---
title: "NIST 800-171 3.6.1 (IR.L2-3.6.1): Incident Handling"
description: "NIST SP 800-171 3.6.1 Incident Handling: 5 SPRS points, not allowed on a CMMC POA&M. The text, what assessors check and the evidence."
url: https://policycortex.com/nist-800-171/incident-response/3.6.1
sealed: 2026-11-11
amended: 2026-11-11
register: nist-800-171/incident-response/3.6.1
records: 7
digest: sha3:c3e5ce0f6bf064cdc5b3a9c552ae878d5f0d41ce7588e85dcae5bbc23149e264
---

# NIST 800-171 3.6.1 (IR.L2-3.6.1): Incident Handling

NIST 800-171 / Incident Response / 3.6.1

"Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities." ([NIST SP 800-171 Rev. 2, requirement 3.6.1](https://doi.org/10.6028/NIST.SP.800-171r2))

CMMC Level 2 practice IR.L2-3.6.1.

## What 3.6.1 means in practice

You need a working incident response capability, not just a plan: people assigned, tools ready, and procedures that cover preparation, detection, analysis, containment, recovery and support for users. Assessors ask to see how a real or practice incident moved through each of those stages.

## SPRS points and the CMMC POA&M

- **CMMC Level 2 practice**: IR.L2-3.6.1
- **SPRS points**: 5 points. When it is not met, the DoD Assessment Methodology subtracts 5 from the score of 110.
- **CMMC POA&M**: Not allowed. It is worth 5 points, and 32 CFR 170.21(a)(2)(ii) admits only requirements worth 1 point, with one exception: 3.13.11 when encryption is used but not FIPS validated.

Sources: [NIST SP 800-171 DoD Assessment Methodology, version 1.2.1 (June 24, 2020), Annex A](https://www.acq.osd.mil/asda/dpc/cp/cyber/docs/safeguarding/NIST-SP-800-171-Assessment-Methodology-Version-1.2.1-6.24.2020.pdf); [32 CFR 170.21, Plan of Action and Milestones requirements](https://www.ecfr.gov/current/title-32/section-170.21).

## What an assessor checks for 3.6.1

NIST SP 800-171A gives 7 determination statements for 3.6.1, each found satisfied or other than satisfied. Determine if:

- 3.6.1[a] an operational incident-handling capability is established.
- 3.6.1[b] the operational incident-handling capability includes preparation.
- 3.6.1[c] the operational incident-handling capability includes detection.
- 3.6.1[d] the operational incident-handling capability includes analysis.
- 3.6.1[e] the operational incident-handling capability includes containment.
- 3.6.1[f] the operational incident-handling capability includes recovery.
- 3.6.1[g] the operational incident-handling capability includes user response activities.

[NIST SP 800-171A (June 2018), assessment objectives for 3.6.1](https://doi.org/10.6028/NIST.SP.800-171A)

## Evidence that shows 3.6.1 is met

- The incident response plan, with roles and contact details.
- The detection tools and the alerts that open an incident.
- Records from a real or practice incident showing each stage.
- Playbooks for the common incident types.

## How PolicyCortex gathers the evidence

PolicyCortex reads this evidence with the collectors below, read only, and grades 3.6.1 from it. Each line says what the product checks.

- **Microsoft Sentinel: Automation and alert rules.** Reads Microsoft Sentinel automation rules and checks that incident response automation and playbooks are configured and enabled.

## Related pages

- **Calculator**: [SPRS score calculator: mark 3.6.1 and the other 109 requirements and see the score.](https://policycortex.com/sprs-score-calculator#family-IR)
- **Sample package**: [Sample package: an SSP, a POA&M and an evidence chain the product generated from demonstration data.](https://policycortex.com/sample-package)
- **Family**: [All 3 Incident Response requirements (3.6).](https://policycortex.com/nist-800-171/incident-response)
- **Previous**: [3.5.11: Obscured Feedback](https://policycortex.com/nist-800-171/identification-and-authentication/3.5.11)
- **Next**: [3.6.2: Incident Reporting](https://policycortex.com/nist-800-171/incident-response/3.6.2)
- **All requirements**: [All 110 NIST SP 800-171 requirements, by family.](https://policycortex.com/nist-800-171)

Meet the requirement once. Keep the evidence current. [Request Access](https://app.policycortex.com/auth?mode=request-access) · [Book a call](https://policycortex.com/book)

## Register colophon

| Seq | Label | SHA3-256 | Prev |
|---|---|---|---|
| REC 0000 | REQUIREMENT | 170ed703e0d5 | 690a8950252a |
| REC 0001 | MEANING | 4c8810a558ec | 170ed703e0d5 |
| REC 0002 | POINTS AND POA&M | bcbab69a58d9 | 4c8810a558ec |
| REC 0003 | ASSESSMENT OBJECTIVES | af3804b0baf0 | bcbab69a58d9 |
| REC 0004 | EVIDENCE | 6f4b7a85f060 | af3804b0baf0 |
| REC 0005 | COLLECTORS | d931716887ce | 6f4b7a85f060 |
| REC 0006 | RELATED | c3e5ce0f6bf0 | d931716887ce |

Head sha3:c3e5ce0f6bf064cdc5b3a9c552ae878d5f0d41ce7588e85dcae5bbc23149e264. Each digest is SHA3-256 over the previous digest, the register key, the record label, and the record copy; a second party can recompute it from this document.