SR-1—Policy and Procedures
>Control Description
Develop, document, and disseminate to ⚙organization-defined personnel or roles: (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
[Selection (one or more): Organization-level; Mission/business process-level; System-level] supply chain risk management policy that:
Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;
Designate an ⚙organization-defined official to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and
Review and update the current supply chain risk management:
Policy ⚙organization-defined frequency and following ⚙organization-defined events; and
Procedures ⚙organization-defined frequency and following ⚙organization-defined events.
>DoD Impact Level Requirements
FedRAMP Parameter Values
SR-1 (a) [to include chief privacy and ISSO and/or similar role or designees] SR-1 (c) (1) [at least annually] SR-1 (c) (2) [at least annually] [significant changes]
>Discussion
Supply chain risk management policy and procedures address the controls in the SR family as well as supply chain-related controls in other families that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance.
Therefore, it is important that security and privacy programs collaborate on the development of supply chain risk management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations.
Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents.
Events that may precipitate an update to supply chain risk management policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.
>Related Controls
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •What supply chain risk management policies address SR-1?
- •Who is responsible for managing supply chain risks?
- •How do you assess and monitor risks from suppliers, vendors, and contractors?
Technical Implementation:
- •What processes ensure that supply chain components meet security requirements?
- •How do you verify the authenticity and integrity of acquired components?
- •What controls prevent counterfeit or malicious components from entering your supply chain?
Evidence & Documentation:
- •Can you provide supply chain risk assessments?
- •What documentation demonstrates supplier compliance with security requirements?
- •Where do you maintain records of supplier assessments and component provenance?
Ask AI
Configure your API key to use AI features.