EvidenceSheet
NIST SP 800-53 Rev 5 · RA - Risk Assessment

RA-3(1) Risk Assessment | Supply Chain Risk Assessment

(a) Assess supply chain risks associated with organization-defined systems, system components, and system services; and (b) Update the supply chain risk assessment organization-defined frequency, when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.

Source: NIST SP 800-53 Rev 5, RA-3(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 800-53 Rev 5 in the compliance library.

Base controls and their enhancements. Which apply follows the baseline you are assessed against (for example FedRAMP Moderate or High, or the low, moderate and high baselines of SP 800-53B). Text in square brackets is a parameter your organisation sets.

10
artefacts
0
held by a system
6
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

  • Procedures addressing organizational assessments of supply chain risk · Policy repository / GRC workspace
  • Risk assessment · Policy repository / GRC workspace
  • Risk assessment results · Policy repository / GRC workspace
  • Risk assessment reviews · Policy repository / GRC workspace
  • Risk assessment updates · Policy repository / GRC workspace
  • Test of Organizational processes for risk assessment; mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the supply chain risk assessment · Policy repository / GRC workspace

governing documentDocuments that govern the control

  • Supply chain risk management policy · Policy repository / GRC workspace
  • Inventory of critical systems, system components, and system services · Policy repository / GRC workspace
  • Risk assessment policy · Policy repository / GRC workspace
  • Security planning policy and procedures · 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

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.

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RA-3 Risk Assessment · RA-3(2) Risk Assessment | Use of All-source Intelligence