What evidence do auditors commonly ask for on 03.11.01 Risk Assessment?

Risk assessment report; Risk register; Methodology document.

What is the most common gap auditors find on 03.11.01?

RA not updated post major change

NIST SP 800-171 Rev 3 · 03.11 RA (Risk Assessment)

`03.11.01` Risk Assessment

Conduct risk assessments including likelihood and impact of unauthorized access, use, disclosure, disruption, modification, or destruction of system and CUI; update at defined frequency and when significant changes occur.

Source: NIST SP 800-171 Rev 3, 03.11.01. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open NIST SP 800-171 Rev 3 in the compliance library.

artefacts

held by a system

at each review

hard

to go live

Policy repository / GRC workspace

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

none for this control

periodic reviewEvidence produced at each review

Risk assessment report · Policy repository / GRC workspace

governing documentDocuments that govern the control

Risk register · Policy repository / GRC workspace
Methodology document · Document repository

First move

No system holds this evidence for you: it is people and documents. Reminders and routing to the owner still save time. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date.

Common gaps auditors find

RA not updated post major change
no quantification of CUI risk

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

03.10.08 Access Control for Transmission · 03.11.02 Vulnerability Monitoring and Scanning