AU 10(3) Chain Of Custody

---
name: "AU-10(3)_chain-of-custody"
description: "Maintain reviewer or releaser credentials within the established chain of custody for information reviewed or released."
category: "information-gathering"
version: "5.2.0"
author: "cyberstrike-official"
tags:
  - nist
  - sp800-53
  - rev5
  - au-10-3
  - au
  - enhancement
tech_stack:
  - aws
  - azure
  - gcp
  - linux
  - windows
cwe_ids:
  - CWE-778
chains_with:
  - AC-4
  - AC-16
prerequisites:
  - AU-10
severity_boost:
  AC-4: "Chain with AC-4 for comprehensive security coverage"
  AC-16: "Chain with AC-16 for comprehensive security coverage"
---

# AU-10(3) Chain of Custody

> **Enhancement of:** AU-10

## High-Level Description

**Family:** Audit and Accountability (AU)
**Framework:** NIST SP 800-53 Rev 5

Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each individual who handled the evidence, the date and time the evidence was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the credentials of reviewers or releasers provides the organization with the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used.

## What to Check

- [ ] Verify AU-10(3) Chain of Custody is documented in SSP
- [ ] Confirm control is operating effectively
- [ ] Review evidence of continuous monitoring for AU-10(3)
- [ ] Verify enhancement builds upon base control AU-10

## How to Test

### Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-10(3) implementation details. Verify the organization has documented how this control is satisfied.

### Step 2: Validate Implementation

```
# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly

# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null
```

### Step 3: Test Operating Effectiveness

Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.

## Tools

| Tool            | Purpose                      | Usage                            |
| --------------- | ---------------------------- | -------------------------------- |
| cloud-audit-mcp | Check logging configuration  | `cloud_audit_logging`            |
| AWS CLI         | Review CloudTrail/CloudWatch | `aws cloudtrail describe-trails` |

## Remediation Guide

### Control Statement

Maintain reviewer or releaser credentials within the established chain of custody for information reviewed or released.

### Implementation Guidance

Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each individual who handled the evidence, the date and time the evidence was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the credentials of reviewers or releasers provides the organization with the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used.

## Risk Assessment

| Finding                                   | Severity | Impact                              |
| ----------------------------------------- | -------- | ----------------------------------- |
| AU-10(3) Chain of Custody not implemented | Medium   | Audit and Accountability            |
| AU-10(3) partially implemented            | Low      | Incomplete Audit and Accountability |

## CWE Categories

| CWE ID  | Title                |
| ------- | -------------------- |
| CWE-778 | Insufficient Logging |

## References

- [NIST SP 800-53 Rev 5 - AU-10(3)](https://csrc.nist.gov/projects/cprt/catalog#/cprt/framework/version/SP_800_53_5_1_1/home?element=au-10.3)
- [NIST SP 800-53A Rev 5 (Assessment Procedures)](https://csrc.nist.gov/pubs/sp/800/53/a/r5/final)
- [NIST SP 800-53 Rev 5 Full Catalog](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final)

## Checklist

- [ ] Control documented in SSP
- [ ] Implementation evidence collected
- [ ] Operating effectiveness validated
- [ ] Continuous monitoring in place
- [ ] Related controls (AC-4, AC-16) reviewed