IR-4(3)_continuity-of-operations

IR-4(3) Continuity of Operations

Enhancement of: IR-4

High-Level Description

Family: Incident Response (IR) Framework: NIST SP 800-53 Rev 5

Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of IR-4(5).

What to Check

• Verify IR-4(3) Continuity of Operations is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for IR-4(3)
• Verify enhancement builds upon base control IR-4

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for IR-4(3) implementation details. Verify the organization has documented how this control is satisfied.

Step 2: Validate Implementation

# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly

# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null

Step 3: Test Operating Effectiveness

Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.

Tools

Remediation Guide

Control Statement

Identify [organization-defined] and take the following actions in response to those incidents to ensure continuation of organizational mission and business functions: [organization-defined].

Implementation Guidance

Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of IR-4(5).

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - IR-4(3)
• NIST SP 800-53A Rev 5 (Assessment Procedures)
• NIST SP 800-53 Rev 5 Full Catalog

Checklist

• Control documented in SSP
• Implementation evidence collected
• Operating effectiveness validated
• Continuous monitoring in place
• Related controls (none) reviewed