NIST 800-53 REV 5 • SUPPLY CHAIN RISK MANAGEMENT
SR-1 — Policy and Procedures
Develop, document, and disseminate to {{ insert: param, sr-1_prm_1 }}: {{ insert: param, sr-01_odp.03 }} 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 {{ insert: param, sr-01_odp.04 }} 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 {{ insert: param, sr-01_odp.05 }} and following {{ insert: param, sr-01_odp.06 }} ; and Procedures {{ insert: param, sr-01_odp.07 }} and following {{ insert: param, sr-01_odp.08 }}.
Supplemental Guidance
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.
Practitioner Notes
Create and maintain a policy for managing supply chain risks — the risks that come from the vendors, products, and services your organization relies on. Your supply chain is only as strong as its weakest link.
Example 1: Write a Supply Chain Risk Management policy that covers vendor assessment requirements, approved supplier lists, software integrity verification, and incident notification requirements from suppliers. Store it with version control and review annually.
Example 2: Use the M365 Compliance Manager to track your SR family controls. Upload your policy, vendor assessment records, and procurement procedures as evidence. Set up review reminders for annual policy updates.