What evidence do auditors commonly ask for on SR-11(1) Component Authenticity | Anti-counterfeit Training?

Supply chain risk management policy and procedures; Supply chain risk management plan; System and services acquisition policy; Anti-counterfeit plan; Anti-counterfeit policy and procedures; Media disposal policy.

What is the most common gap auditors find on SR-11(1)?

Personnel receiving and handling components have not been trained to detect counterfeit hardware, software and firmware

NIST SP 800-53 Rev 5 · SR - Supply Chain Risk Management

`SR-11(1)` Component Authenticity | Anti-counterfeit Training

Train organization-defined personnel or roles to detect counterfeit system components (including hardware, software, and firmware).

Source: NIST SP 800-53 Rev 5, SR-11(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.

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

Test of Organizational processes for anti-counterfeit training · HR system / LMS

governing documentDocuments that govern the control

Supply chain risk management policy and procedures · Policy repository / GRC workspace
Supply chain risk management plan · Policy repository / GRC workspace
System and services acquisition policy · Policy repository / GRC workspace
Anti-counterfeit plan · Policy repository / GRC workspace
Anti-counterfeit policy and procedures · Policy repository / GRC workspace
Media disposal policy · Policy repository / GRC workspace
Media protection policy · Policy repository / GRC workspace
Incident response policy · Policy repository / GRC workspace
Training materials addressing counterfeit system components · HR system / LMS

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

Personnel receiving and handling components have not been trained to detect counterfeit hardware, software and firmware
Anti-counterfeit training was delivered once with no record of who among the defined roles completed it

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

SR-11 Component Authenticity · SR-11(2) Component Authenticity | Configuration Control for Component Service and Repair