# NIST SP 800-171 Rev. 3 3.6.1 — Incident Handling

- Source: https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-6-1-incident-handling
- 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) › Incident Response — §3.6
- Last updated: 2026-06-05
- Publisher: iCompaas, Inc. (https://www.icompaas.com)

**NIST SP 800-171 Rev. 3**·Requirement `3.6.1`·critical·Component: **Incident Response**

## What this control requires

> This control requires implementing an incident-handling capability that aligns with the organization's incident response plan. The capability should include preparation, detection, analysis, containment, eradication, and recovery, involving coordination across various organizational entities, such as security, legal, and operational teams. This control supports the Incident Handling Capability capability within the Incident Response (3.6) family.
> 
> — NIST SP 800-171 Rev. 3, Requirement 3.6.1

### In plain English

This control requires implementing an incident-handling capability that aligns with the organization's incident response plan. 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 **critical** in the source catalogue. Treat gaps here as production incidents in the risk register, not housekeeping.

## 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 **Incident Response**, the assessor will trace your implementation back to the catalogue reference (Requirement 3.6.1) and look for objective evidence on the latest two assessment cycles.

## How to implement

#### Incident Response

**Runbook.** Maintain a runbook keyed by incident type with named roles (IC, comms, scribe), an out-of-band comms channel, and a 72-hour timeline for external notification.

**Tabletop.** Run a quarterly tabletop exercise (ransomware, insider, supply-chain) and feed gaps back into the runbook.

### Operational checklist

-   **Response.** Document the trigger, the owner and the cadence.
-   **Incident.** 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.
-   **Scope:** management, preparation, detection, analysis, containment, eradication, recovery, security.

## Evidence to collect

-   **Ticketing Workflow.** `ticketing_workflow` evidence

Workflow metrics (ServiceNow, Jira) show approvals and remediation. Focus: Incident Handling.

## Common pitfalls

-   Runbooks that name a role but no person, or list a paging channel that no longer exists.

## 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 IR-4** — Incident Handling](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/ir-4-incident-handling)
-   [**SOC 2 (2017 TSC) CC7.5** — Security Incident Recovery Activities](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/cc7-5-security-incident-recovery-activities)

## Related controls in NIST SP 800-171 Rev. 3

-   [**Requirement 3.6.2** — Incident Monitoring, Reporting, and Response Assistance](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-6-2-incident-monitoring-reporting-and-response-assistance)
-   [**Requirement 3.6.4** — Incident Response Training](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-6-4-incident-response-training)
-   [**Requirement 3.6.5** — Incident Response Plan](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-6-5-incident-response-plan)
-   [**Requirement 3.3.5** — Audit Record Review, Analysis, and Reporting](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-3-5-audit-record-review-analysis-and-reporting)
-   [**Requirement 3.3.6** — Audit Record Reduction and Report Generation](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-3-6-audit-record-reduction-and-report-generation)

## 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 3.6.1`

Topics: incident responsechange managementbackup recovery

## 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.