# NIST SP 800-171 Rev. 3 3.11.4 — Risk Response - Source: https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-11-4-risk-response - Section: [Compliance](https://support.icompaas.com/compliance) › [NIST SP 800-171 Rev. 3 Requirements](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3) › Risk Assessment — §3.11 - Last updated: 2026-06-05 - Publisher: iCompaas, Inc. (https://www.icompaas.com) **NIST SP 800-171 Rev. 3**·Requirement `3.11.4`·high·Component: **Risk Assessment** ## What this control requires > This control requires responding to findings from security assessments, monitoring, and audits. It involves determining an appropriate response to identified risks, and generating a Plan of Action and Milestones (POAM) entry if the risk mitigation cannot be implemented immediately. This control supports the Risk Response Management capability within the Risk Assessment (3.11) family. > > — NIST SP 800-171 Rev. 3, Requirement 3.11.4 ### In plain English This control requires responding to findings from security assessments, monitoring, and audits. In practice, this means you can prove you response management-level controls on a defined cadence. ## Why it matters DoD contractors and their subcontractors must implement all 100 SP 800-171 requirements to keep CUI handling contracts. Gaps are scored against the SPRS scoring methodology; below a 110-point starting score, each unmet requirement deducts points and a below-threshold score can disqualify a bid. This control is rated **high**. Auditors expect a named owner, a remediation SLA, and a tooling artefact that evidences continuous operation. ## What an auditor looks for A C3PAO conducting a CMMC Level 2 assessment uses NIST SP 800-171A objectives. They expect a System Security Plan (SSP), Plan of Action & Milestones (POA&M) for any gaps, and objective evidence (configurations, ticket records, training records) for every requirement. Within **Risk Assessment**, the assessor will trace your implementation back to the catalogue reference (Requirement 3.11.4) and look for objective evidence on the latest two assessment cycles. ## How to implement #### Policy Management **Docs.** Keep each policy in version-controlled Markdown alongside the code that implements it; ship a signed PDF snapshot at each annual review and link the SHA into the SoA. ### Operational checklist - **Response.** Document the trigger, the owner and the cadence. - **Risk.** Document the trigger, the owner and the cadence. - **Security.** Document the trigger, the owner and the cadence. - **Plan.** Document the trigger, the owner and the cadence. - **Policy.** Document the trigger, the owner and the cadence. - **Scope:** management, security, assessment, response. ## Evidence to collect - **Policy Document.** A signed and version-controlled policy / standard / procedure document. Signed policy or standard documents the safeguard. Focus: Risk Response. ## Common pitfalls - Policies that no engineer has read; the version in Confluence drifts from the version that's actually being enforced. ## How it maps to other frameworks Computed from shared tags, control component and key-operation subjects — handy when you are reconciling controls across an audit. - [**NIST SP 800-53 Rev. 5 RA-7** — Risk Response](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/ra-7-risk-response) - [**SOC 2 (2017 TSC) CC4.1** — Control Monitoring](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/cc4-1-control-monitoring) - [**ISO/IEC 27001:2022 A.5.1** — Policies for information security](https://support.icompaas.com/compliance/iso-27001-2022/a-5-1-policies-for-information-security) - [**HIPAA (45 CFR Part 164) 164.308(a)(5)(i)** — Security Awareness and Training](https://support.icompaas.com/compliance/hipaa/164-308-a-5-i-security-awareness-and-training) - [**BSI C5:2020 SP-01** — Documentation, communication and provision of policies and instructions](https://support.icompaas.com/compliance/bsi-c5-2020/sp-01-documentation-communication-and-provision-of-policies-and-instructions) ## Related controls in NIST SP 800-171 Rev. 3 - [**Requirement 3.12.2** — Plan of Action and Milestones](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-12-2-plan-of-action-and-milestones) - [**Requirement 3.11.2** — Vulnerability Monitoring and Scanning](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-11-2-vulnerability-monitoring-and-scanning) - [**Requirement 3.12.3** — Continuous Monitoring](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-12-3-continuous-monitoring) - [**Requirement 3.12.1** — Security Assessment](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-12-1-security-assessment) - [**Requirement 3.10.2** — Monitoring Physical Access](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-10-2-monitoring-physical-access) - [**Requirement 3.3.4** — Response to Audit Logging Process Failures](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-3-4-response-to-audit-logging-process-failures) ## References - [NIST Computer Security Resource Center — NIST SP 800-171 Rev. 3](https://csrc.nist.gov/pubs/sp/800/171/r3/final) - Catalogue identifier: `Requirement 3.11.4` Topics: governance risklogging monitoringcontinuous monitoringpolicy management ## Related compliance guidance - [NIST SP 800-171 and CMMC: a practical guide to protecting CUI in the cloud](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3): Start with the full NIST SP 800-171 implementation guide — scope, roadmap, evidence and how the assessment runs. - [NIST SP 800-53 Rev. 5: a practical implementation guide for cloud teams](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5): The catalogue 800-171 is tailored from, and the basis of the FedRAMP Moderate baseline your cloud providers must meet for CUI. - [ISO/IEC 27001:2022 compliance: a practical implementation guide](https://support.icompaas.com/compliance/iso-27001-2022): If commercial customers ask for a certificate as well, most 800-171 controls can be evidenced once and mapped to Annex A.