What evidence do auditors commonly ask for on SI-6 Security and Privacy Function Verification?

System and information integrity policy; System and information integrity procedures; Procedures addressing security and privacy function verification; System design documentation; System configuration settings and associated documentation; Alerts/notifications of failed security verification tests.

What is the most common gap auditors find on SI-6?

The security and privacy functions whose correct operation must be verified are not listed

NIST SP 800-53 Rev 5 · SI - System and Information Integrity

`SI-6` Security and Privacy Function Verification

a. Verify the correct operation of organization-defined security and privacy functions; b. Perform the verification of the functions specified in SI-06a Selection (one or more): [organization-defined system transitional states; upon command by user with appropriate privilege; organization-defined frequency]; c. Alert organization-defined personnel or roles to failed security and privacy verification tests; and d. Selection (one or more): Shut the system down; Restart the system; [organization-defined alternative action(s)] when anomalies are discovered.

Source: NIST SP 800-53 Rev 5, SI-6. 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

Alerts/notifications of failed security verification tests · SIEM / log platform

periodic reviewEvidence produced at each review

System audit records · Policy repository / GRC workspace
Test of Organizational processes for security and privacy function verification; mechanisms supporting and/or implementing the security and privacy function verification capability · Data governance / DLP tooling

governing documentDocuments that govern the control

System and information integrity policy · Policy repository / GRC workspace
System and information integrity procedures · Policy repository / GRC workspace
Procedures addressing security and privacy function verification · Policy repository / GRC workspace
System design documentation · Document repository
System configuration settings and associated documentation · Policy repository / GRC workspace
List of system transition states requiring security functionality verification · Document repository
System security plan · 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

The security and privacy functions whose correct operation must be verified are not listed
Failed security function verification tests produce no alert to the defined personnel and no defined response action

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

SI-5(1) Security Alerts, Advisories, and Directives | Automated Alerts and Advisories · SI-6(2) Security and Privacy Function Verification | Automation Support for Distributed Testing