What evidence do auditors commonly ask for on SI-4 System Monitoring?

Monitoring coverage of delivered and supplier-operated components; Detection use cases for supply chain compromise; Alert records and triage.

What is the most common gap auditors find on SI-4?

delivered appliances excluded from monitoring

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

`SI-4` System Monitoring

Monitors for behaviour indicating compromise arriving through the supply chain, such as unexpected outbound activity from delivered components.

Source: NIST SP 800-161 Rev 1 (supply chain), SI-4. 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

moderate

to go live

SIEM / log platform

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

Alert records and triage · SIEM / log platform

periodic reviewEvidence produced at each review

none for this control

governing documentDocuments that govern the control

Monitoring coverage of delivered and supplier-operated components · Policy repository / GRC workspace
Detection use cases for supply chain compromise · Policy repository / GRC workspace

First move

Start with the 1 of 3 artefacts that already live in a system (SIEM / log platform); keep the periodic reviews but log each one as a dated record with a named reviewer.

Common gaps auditors find

delivered appliances excluded from monitoring
outbound connections from vendor equipment unexamined

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

SI-3 Malicious Code Protection · SI-5 Security Alerts, Advisories, and Directives