3.6.2
IR.L2-3.6.2 · Level 2
Track, document, and report incidents to designated officials and/or authorities both internal and…
NIST SP 800-171 Rev 2 · §3.6.2
Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization.
Assessment objectives
3.6.2[a]
incidents are tracked.
Examine
[SELECT FROM: Incident response policy; procedures addressing incident monitoring; incident response records and documentation; procedures addressing incident reporting; incident reporting records and documentation; incident response plan; security plan; other relevant documents or records].
Interview
[SELECT FROM: Personnel with incident monitoring responsibilities; personnel with incident reporting responsibilities; personnel who have or should have reported incidents; personnel (authorities) to whom incident information is to be reported; personnel with information security responsibilities].
Test
[SELECT FROM: Incident monitoring capability for the organization; mechanisms supporting or implementing tracking and documenting of system security incidents; organizational processes for incident reporting; mechanisms supporting or implementing incident reporting].
3.6.2[b]
incidents are documented.
Examine
[SELECT FROM: Incident response policy; procedures addressing incident monitoring; incident response records and documentation; procedures addressing incident reporting; incident reporting records and documentation; incident response plan; security plan; other relevant documents or records].
Interview
[SELECT FROM: Personnel with incident monitoring responsibilities; personnel with incident reporting responsibilities; personnel who have or should have reported incidents; personnel (authorities) to whom incident information is to be reported; personnel with information security responsibilities].
Test
[SELECT FROM: Incident monitoring capability for the organization; mechanisms supporting or implementing tracking and documenting of system security incidents; organizational processes for incident reporting; mechanisms supporting or implementing incident reporting].
3.6.2[c]
authorities to whom incidents are to be reported are identified.
Examine
[SELECT FROM: Incident response policy; procedures addressing incident monitoring; incident response records and documentation; procedures addressing incident reporting; incident reporting records and documentation; incident response plan; security plan; other relevant documents or records].
Interview
[SELECT FROM: Personnel with incident monitoring responsibilities; personnel with incident reporting responsibilities; personnel who have or should have reported incidents; personnel (authorities) to whom incident information is to be reported; personnel with information security responsibilities].
Test
[SELECT FROM: Incident monitoring capability for the organization; mechanisms supporting or implementing tracking and documenting of system security incidents; organizational processes for incident reporting; mechanisms supporting or implementing incident reporting].
3.6.2[d]
organizational officials to whom incidents are to be reported are identified.
Examine
[SELECT FROM: Incident response policy; procedures addressing incident monitoring; incident response records and documentation; procedures addressing incident reporting; incident reporting records and documentation; incident response plan; security plan; other relevant documents or records].
Interview
[SELECT FROM: Personnel with incident monitoring responsibilities; personnel with incident reporting responsibilities; personnel who have or should have reported incidents; personnel (authorities) to whom incident information is to be reported; personnel with information security responsibilities].
Test
[SELECT FROM: Incident monitoring capability for the organization; mechanisms supporting or implementing tracking and documenting of system security incidents; organizational processes for incident reporting; mechanisms supporting or implementing incident reporting].
3.6.2[e]
identified authorities are notified of incidents.
Examine
[SELECT FROM: Incident response policy; procedures addressing incident monitoring; incident response records and documentation; procedures addressing incident reporting; incident reporting records and documentation; incident response plan; security plan; other relevant documents or records].
Interview
[SELECT FROM: Personnel with incident monitoring responsibilities; personnel with incident reporting responsibilities; personnel who have or should have reported incidents; personnel (authorities) to whom incident information is to be reported; personnel with information security responsibilities].
Test
[SELECT FROM: Incident monitoring capability for the organization; mechanisms supporting or implementing tracking and documenting of system security incidents; organizational processes for incident reporting; mechanisms supporting or implementing incident reporting].
3.6.2[f]
identified organizational officials are notified of incidents.
Examine
[SELECT FROM: Incident response policy; procedures addressing incident monitoring; incident response records and documentation; procedures addressing incident reporting; incident reporting records and documentation; incident response plan; security plan; other relevant documents or records].
Interview
[SELECT FROM: Personnel with incident monitoring responsibilities; personnel with incident reporting responsibilities; personnel who have or should have reported incidents; personnel (authorities) to whom incident information is to be reported; personnel with information security responsibilities].
Test
[SELECT FROM: Incident monitoring capability for the organization; mechanisms supporting or implementing tracking and documenting of system security incidents; organizational processes for incident reporting; mechanisms supporting or implementing incident reporting].
What we look for in practice
The following are placeholder notes that should be refined based on practice experience.
What assessors look for in practice. Documented evidence that this control is implemented across all CUI-handling systems within scope. Specific artifacts vary, but expect requests for written procedures, system configurations, and operational records demonstrating the control is active.
Common failure patterns. Typical issues include incomplete documentation, inconsistent implementation across systems, and missing periodic review records. Refine this section as your practice accumulates direct assessment experience.
Strong evidence looks like. Formal policy referencing this control, technical configurations demonstrating enforcement, periodic review logs with sign-off, and procedures for handling exceptions.
Scoring and POA&M context. 5-point control under the DoD Assessment Methodology. Highest scoring impact — treat as a foundational requirement. Not POA&M-eligible — must be implemented at assessment time.