RS.AN-03 RS · Respond · RS.AN Incident Analysis

RS.AN-03 — Root cause and incident analysis

Analysis is performed to establish what has taken place during an incident and the root cause of the incident.

Also written as RS-AN-03, RS.AN-3, CSF 2.0 RS.AN-03, NIST CSF RS.AN.

What NIST CSF RS.AN-03 means

RS.AN-03 is one of 13 subcategories in the Respond (RS) function, under the Incident Analysis category (RS.AN). The Core states: “Analysis is performed to establish what has taken place during an incident and the root cause of the incident.” Respond outcomes are hard to evidence without incidents, so exercises and tabletop records carry the weight: they are what shows the capability exists before it is needed.

Evidence that supports RS.AN-03

To demonstrate this outcome in an assessment or audit, gather artefacts such as:

  • Root-cause analysis reports for incidents
  • Forensic investigation records
  • Attack timeline reconstructions

ISO 27001 mapping

RS.AN-03 corresponds to the following ISO 27001:2022 Annex A control(s): A.5.26. Evidence collected for one framework typically supports the other.

Map RS.AN-03 to ISO 27001 & SOC 2 →
Crosswalk this subcategory in the Control Mapper & Gap Assessment.
Document the risk →
Record treatment for gaps against RS.AN-03 in the Risk Register.

Other Incident Analysis subcategories

RS.AN-06 Investigation actions recorded RS.AN-07 Incident data and metadata preserved RS.AN-08 Incident magnitude estimated and validated

All 13 Respond subcategories →

Frequently asked questions

Is NIST CSF RS.AN-03 mandatory?

No. CSF 2.0 is a voluntary framework of outcomes rather than a set of requirements, and there is no certification against it. RS.AN-03 becomes binding only when something else makes it so — a contract, a regulator that references CSF, or your own Target Profile. That is the practical difference between CSF and an auditable standard like ISO 27001 or SOC 2.

How is RS.AN-03 assessed?

Through profiles rather than pass/fail testing. You record how fully the outcome is achieved today in a Current Profile, state where it needs to be in a Target Profile, and the gap between them becomes your action plan. Implementation Tiers (Partial, Risk Informed, Repeatable, Adaptive) describe how rigorous your governance around the outcome is, not whether you have met it.

Who owns RS.AN-03?

The Respond function is normally owned by the security or IT function, but RS.AN-03 still needs a specific named owner. Assessors treat an outcome with no owner as not achieved regardless of the tooling behind it, so record ownership in your profile alongside the assessment.

Does NIST CSF RS.AN-03 map to ISO 27001?

Yes — RS.AN-03 corresponds to ISO 27001:2022 Annex A control(s) A.5.26. Evidence collected for one framework typically supports the other, so a single control library can serve both.