---
title: "NIST 800-171 3.3.1 (AU.L2-3.3.1): System Audit Logs"
description: "NIST SP 800-171 3.3.1 System Audit Logs: 5 SPRS points, not allowed on a CMMC POA&M. The text, what assessors check and the evidence."
url: https://policycortex.com/nist-800-171/audit-and-accountability/3.3.1
sealed: 2026-11-11
amended: 2026-11-11
register: nist-800-171/audit-and-accountability/3.3.1
records: 7
digest: sha3:3e02f9c1058012eceab4afd77d8d44282e4bcf412bc56f5fa12a41246ca18db1
---

# NIST 800-171 3.3.1 (AU.L2-3.3.1): System Audit Logs

NIST 800-171 / Audit and Accountability / 3.3.1

"Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity." ([NIST SP 800-171 Rev. 2, requirement 3.3.1](https://doi.org/10.6028/NIST.SP.800-171r2))

CMMC Level 2 practice AU.L2-3.3.1.

## What 3.3.1 means in practice

Decide which events matter (sign-ins, privilege use, changes, access to CUI), make sure every system records them with enough detail to investigate, and keep the records long enough to use. Assessors check both the list of event types and real logs that contain them.

## SPRS points and the CMMC POA&M

- **CMMC Level 2 practice**: AU.L2-3.3.1
- **SPRS points**: 5 points. When it is not met, the DoD Assessment Methodology subtracts 5 from the score of 110.
- **CMMC POA&M**: Not allowed. It is worth 5 points, and 32 CFR 170.21(a)(2)(ii) admits only requirements worth 1 point, with one exception: 3.13.11 when encryption is used but not FIPS validated.

Sources: [NIST SP 800-171 DoD Assessment Methodology, version 1.2.1 (June 24, 2020), Annex A](https://www.acq.osd.mil/asda/dpc/cp/cyber/docs/safeguarding/NIST-SP-800-171-Assessment-Methodology-Version-1.2.1-6.24.2020.pdf); [32 CFR 170.21, Plan of Action and Milestones requirements](https://www.ecfr.gov/current/title-32/section-170.21).

## What an assessor checks for 3.3.1

NIST SP 800-171A gives 6 determination statements for 3.3.1, each found satisfied or other than satisfied. Determine if:

- 3.3.1[a] audit logs needed (i.e., event types to be logged) to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity are specified.
- 3.3.1[b] the content of audit records needed to support monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity is defined.
- 3.3.1[c] audit records are created (generated).
- 3.3.1[d] audit records, once created, contain the defined content.
- 3.3.1[e] retention requirements for audit records are defined.
- 3.3.1[f] audit records are retained as defined.

[NIST SP 800-171A (June 2018), assessment objectives for 3.3.1](https://doi.org/10.6028/NIST.SP.800-171A)

## Evidence that shows 3.3.1 is met

- The list of event types to log and the content each record must hold.
- Logging configuration for the identity provider, servers, network devices and cloud services.
- Sample audit records showing the defined content.
- The retention period and the storage settings that enforce it.

## How PolicyCortex gathers the evidence

PolicyCortex reads this evidence with the collectors below, read only, and grades 3.3.1 from it. Each line says what the product checks.

- **Azure Monitor: Diagnostic settings.** Checks that diagnostic settings capture the sign-in and audit log categories and send them to a Log Analytics workspace.
- **AWS: CloudTrail and CloudWatch.** Checks that CloudTrail is on in every region, delivers to CloudWatch Logs and records S3 data events.
- **AWS: S3 buckets · EC2 and VPC networking · Data stores · Load balancers, API Gateway, CloudFront and Lambda.** Checks that S3 server access logging, VPC flow logs, RDS log exports, and load balancer, API Gateway and CloudFront logging are turned on.

## Related pages

- **Calculator**: [SPRS score calculator: mark 3.3.1 and the other 109 requirements and see the score.](https://policycortex.com/sprs-score-calculator#family-AU)
- **Sample package**: [Sample package: an SSP, a POA&M and an evidence chain the product generated from demonstration data.](https://policycortex.com/sample-package)
- **Family**: [All 9 Audit and Accountability requirements (3.3).](https://policycortex.com/nist-800-171/audit-and-accountability)
- **Previous**: [3.2.3: Insider Threat](https://policycortex.com/nist-800-171/awareness-and-training/3.2.3)
- **Next**: [3.3.2: User Accountability](https://policycortex.com/nist-800-171/audit-and-accountability/3.3.2)
- **All requirements**: [All 110 NIST SP 800-171 requirements, by family.](https://policycortex.com/nist-800-171)

Meet the requirement once. Keep the evidence current. [Request Access](https://app.policycortex.com/auth?mode=request-access) · [Book a call](https://policycortex.com/book)

## Register colophon

| Seq | Label | SHA3-256 | Prev |
|---|---|---|---|
| REC 0000 | REQUIREMENT | 9cf4671f84b5 | f4c9e00cfdc1 |
| REC 0001 | MEANING | 5a93520006d7 | 9cf4671f84b5 |
| REC 0002 | POINTS AND POA&M | f5da0fdee77d | 5a93520006d7 |
| REC 0003 | ASSESSMENT OBJECTIVES | 8b96d1a11ef7 | f5da0fdee77d |
| REC 0004 | EVIDENCE | 948b7f03b77c | 8b96d1a11ef7 |
| REC 0005 | COLLECTORS | 23d7a3fd2dc6 | 948b7f03b77c |
| REC 0006 | RELATED | 3e02f9c10580 | 23d7a3fd2dc6 |

Head sha3:3e02f9c1058012eceab4afd77d8d44282e4bcf412bc56f5fa12a41246ca18db1. Each digest is SHA3-256 over the previous digest, the register key, the record label, and the record copy; a second party can recompute it from this document.