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

Integrity policy covering delivered components and updates; Procedures for verifying what arrives; Review records.

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

policy addresses running systems but not what is installed onto them

NIST SP 800-161 Rev 1 (supply chain) · C-SCRM Family: System and Information Integrity

`SI-1` Policy and Procedures

Extends system and information integrity policy to cover integrity of components and updates arriving from the supply chain.

Source: NIST SP 800-161 Rev 1 (supply chain), SI-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

Review records · Policy repository / GRC workspace

governing documentDocuments that govern the control

Integrity policy covering delivered components and updates · Policy repository / GRC workspace
Procedures for verifying what arrives · Policy repository / GRC workspace

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

policy addresses running systems but not what is installed onto them

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

SC-47 Alternative Communications Paths · SI-2 Flaw Remediation