What evidence do auditors commonly ask for on IR-4(13) Incident Handling | Behavior Analysis?

Incident response policy; Procedures addressing system monitoring tools and techniques; Incident response plan; System monitoring logs or records; System monitoring tools and techniques documentation; System configuration settings and associated documentation.

What is the most common gap auditors find on IR-4(13)?

Anomalous or suspected adversarial behavior is not analyzed in the defined environments

NIST SP 800-53 Rev 5 · IR - Incident Response

`IR-4(13)` Incident Handling | Behavior Analysis

Analyze anomalous or suspected adversarial behavior in or related to organization-defined environments or resources.

Source: NIST SP 800-53 Rev 5, IR-4(13). 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 800-53 Rev 5 in the compliance library.

Base controls and their enhancements. Which apply follows the baseline you are assessed against (for example FedRAMP Moderate or High, or the low, moderate and high baselines of SP 800-53B). Text in square brackets is a parameter your organisation sets.

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

System monitoring logs or records · SIEM / log platform

periodic reviewEvidence produced at each review

Test of Organizational processes for detecting anomalous behavior · SIEM / log platform

governing documentDocuments that govern the control

Incident response policy · Policy repository / GRC workspace
Procedures addressing system monitoring tools and techniques · Policy repository / GRC workspace
Incident response plan · Policy repository / GRC workspace
System monitoring tools and techniques documentation · Policy repository / GRC workspace
System configuration settings and associated documentation · Policy repository / GRC workspace
Security plan · Policy repository / GRC workspace
System component inventory · Policy repository / GRC workspace
Network diagram · Policy repository / GRC workspace

First move

Mostly documents and reviews. Pull the 1 system-held artefact from your SIEM / log platform on a schedule; put the documents under version control with an owner and review date, and log each review as a dated record with a named reviewer.

Common gaps auditors find

Anomalous or suspected adversarial behavior is not analyzed in the defined environments
The environments or resources subject to behavior analysis were never defined

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.

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IR-4(12) Incident Handling | Malicious Code and Forensic Analysis · IR-4(14) Incident Handling | Security Operations Center