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

SR-3(1) Supply Chain Controls and Processes | Diverse Supply Base

Employ a diverse set of sources for the following system components and services: organization-defined system components and services.

Source: NIST SP 800-53 Rev 5, SR-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
2
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

  • Inventory records of critical system components · Policy repository / GRC workspace
  • Test of Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical system components; processes to identify critical suppliers; mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical system components · Vendor register / contract repository

governing documentDocuments that govern the control

  • Supply chain risk management policy and procedures · Policy repository / GRC workspace
  • System and services acquisition policy · Policy repository / GRC workspace
  • Planning policy · Policy repository / GRC workspace
  • Procedures addressing supply chain protection · Policy repository / GRC workspace
  • Physical inventory of critical systems and system components · Policy repository / GRC workspace
  • Inventory of critical suppliers, service providers, developers, and contracts · Vendor register / contract repository
  • List of security safeguards ensuring an adequate supply of critical system components · Document repository
  • System security plan · 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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SR-3 Supply Chain Controls and Processes · SR-3(2) Supply Chain Controls and Processes | Limitation of Harm