AU 9(5) Dual Authorization

---
name: "AU-9(5)_dual-authorization"
description: "Enforce dual authorization for [organization-defined] of [organization-defined]."
category: "information-gathering"
version: "5.2.0"
author: "cyberstrike-official"
tags:
  - nist
  - sp800-53
  - rev5
  - au-9-5
  - au
  - enhancement
tech_stack:
  - aws
  - azure
  - gcp
  - linux
  - windows
cwe_ids:
  - CWE-778
chains_with:
  - AC-3
prerequisites:
  - AU-9
severity_boost:
  AC-3: "Chain with AC-3 for comprehensive security coverage"
---

# AU-9(5) Dual Authorization

> **Enhancement of:** AU-9

## High-Level Description

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

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

## What to Check

- [ ] Verify AU-9(5) Dual Authorization is documented in SSP
- [ ] Confirm control is operating effectively
- [ ] Review evidence of continuous monitoring for AU-9(5)
- [ ] Verify enhancement builds upon base control AU-9

## How to Test

### Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-9(5) 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

Enforce dual authorization for [organization-defined] of [organization-defined].

### Implementation Guidance

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

## Risk Assessment

| Finding                                    | Severity | Impact                              |
| ------------------------------------------ | -------- | ----------------------------------- |
| AU-9(5) Dual Authorization not implemented | Medium   | Audit and Accountability            |
| AU-9(5) partially implemented              | Low      | Incomplete Audit and Accountability |

## CWE Categories

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

## References

- [NIST SP 800-53 Rev 5 - AU-9(5)](https://csrc.nist.gov/projects/cprt/catalog#/cprt/framework/version/SP_800_53_5_1_1/home?element=au-9.5)
- [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-3) reviewed