What evidence do auditors commonly ask for on RV.3.1 Analyze Vulnerabilities to Identify Root Causes?

Root cause analysis template; Log of systemic improvements driven by RCA; Training updates citing RCA outcomes; Metrics on recurrence of similar findings.

What is the most common gap auditors find on RV.3.1?

RCA performed only on incidents that draw external attention

NIST SP 800-218 (SSDF) · Respond to Vulnerabilities

`RV.3.1` Analyze Vulnerabilities to Identify Root Causes

Perform root cause analysis on confirmed vulnerabilities so that systemic weaknesses are identified and remediated, not just individual instances. Feed the lessons back into design, coding, and testing practices.

Source: NIST SP 800-218 (SSDF), RV.3.1. 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 800-218 (SSDF) in the compliance library.

artefacts

held by a system

at each review

easy

to go live

SIEM / log platform

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

Log of systemic improvements driven by RCA · SIEM / log platform
Metrics on recurrence of similar findings · Policy repository / GRC workspace

periodic reviewEvidence produced at each review

none for this control

governing documentDocuments that govern the control

Root cause analysis template · Document repository
Training updates citing RCA outcomes · HR system / LMS

First move

Automate the pull from your SIEM / log platform. Retention and alert rules exported from the SIEM; review evidence is the closed-alert record with reviewer and time.

Common gaps auditors find

RCA performed only on incidents that draw external attention
lessons not propagated to other teams
training and standards never updated based on RCA

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

RV.2.2 Develop and Implement Remediation Plans · RV.3.2 Identify and Fix Similar Vulnerabilities