What evidence do auditors commonly ask for on IR-4(7) Incident Handling | Insider Threats: Intra-organization Coordination?

Incident response policy; Procedures addressing incident handling; Incident response plan; Insider threat program plan; Insider threat CONOPS; System security plan.

What is the most common gap auditors find on IR-4(7)?

Insider threat incident handling is not coordinated with the defined organizational entities

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

`IR-4(7)` Incident Handling | Insider Threats: Intra-organization Coordination

Coordinate an incident handling capability for insider threats that includes the following organizational entities organization-defined entities.

Source: NIST SP 800-53 Rev 5, IR-4(7). 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

none for this control

periodic reviewEvidence produced at each review

Test of Organizational processes for coordinating incident handling · Document repository

governing documentDocuments that govern the control

Incident response policy · Policy repository / GRC workspace
Procedures addressing incident handling · Policy repository / GRC workspace
Incident response plan · Policy repository / GRC workspace
Insider threat program plan · Policy repository / GRC workspace
Insider threat CONOPS · Document repository
System security plan · Policy repository / GRC workspace
Privacy plan · Policy repository / GRC workspace

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

Insider threat incident handling is not coordinated with the defined organizational entities
The entities participating in insider threat incident handling 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.

Build my evidence sheet

IR-4(6) Incident Handling | Insider Threats · IR-4(8) Incident Handling | Correlation with External Organizations