What evidence do auditors commonly ask for on CA-1 Policy and Procedures?

Policy naming supply chain assessment obligations; Procedures for assessing suppliers and components; Review records.

What is the most common gap auditors find on CA-1?

assessment policy stops at the organizational boundary

NIST SP 800-161 Rev 1 (supply chain) · C-SCRM Family: Assessment, Authorization, and Monitoring

`CA-1` Policy and Procedures

Establishes assessment and authorization policy that covers suppliers, delivered components and external service providers.

Source: NIST SP 800-161 Rev 1 (supply chain), CA-1. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open NIST SP 800-161 Rev 1 (supply chain) in the compliance library.

artefacts

held by a system

at each review

hard

to go live

Policy repository / GRC workspace

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

none for this control

periodic reviewEvidence produced at each review

Policy naming supply chain assessment obligations · Policy repository / GRC workspace
Review records · Policy repository / GRC workspace

governing documentDocuments that govern the control

Procedures for assessing suppliers and components · Vendor register / contract repository

First move

No system holds this evidence for you: it is people and documents. Reminders and routing to the owner still save time. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date.

Common gaps auditors find

assessment policy stops at the organizational boundary

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

AU-16 Cross-Organizational Audit Logging · CA-2 Control Assessments