Control statement
- a.Develop, document, and disseminate to [Organization-defined: organization-defined personnel or roles]:
- 1.[Organization-defined: sr-01_odp.03] supply chain risk management policy that:
- (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
- 2.Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;
- 1.[Organization-defined: sr-01_odp.03] supply chain risk management policy that:
- b.Designate an [Organization-defined: official] to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and
- c.Review and update the current supply chain risk management:
- 1.Policy [Organization-defined: frequency] and following [Organization-defined: events] ; and
- 2.Procedures [Organization-defined: frequency] and following [Organization-defined: events].
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.
Organization-defined parameters
These values must be resolved through the organization’s tailoring and governance process. Bracketed parameter references in the control text identify where a decision is required.
From control text to operational evidence
Use Policy and Procedures as a testable risk decision. Translate the official statement into accountable people, repeatable processes, configured technology, and evidence that demonstrates the outcome over time. In this family, pay particular attention to cybersecurity supply-chain governance, provenance, supplier risk, component authenticity, and dependency resilience.
Implementation workflow
- Define the control boundary, responsible owner, inherited portions, and systems or processes in scope.
- Resolve each organization-defined parameter before declaring the control implemented.
- Document how the implementation satisfies every clause of the official control statement.
- Collect evidence as a normal byproduct of operation rather than only before an assessment.
- Review exceptions, changes, and monitoring results on a risk-based cadence.
Evidence examples
- supplier inventories and criticality ratings
- contract security clauses
- provenance and authenticity records
- supplier monitoring and incident records
Common failure patterns
- tier-one vendors assessed while sub-tier dependencies are ignored
- contracts lack evidence and notification obligations
- open-source and service dependencies omitted
- supplier risk reviews occur only at onboarding
Questions practitioners should ask
- What risk decision is this control intended to support in this system?
- Which parts are implemented locally, inherited, shared, or not applicable—and what evidence supports that decision?
- Do the documented narrative, deployed configuration, operating process, and collected evidence agree?
- What event or threshold requires the implementation to be reviewed or changed?
Assessment objectives and methods
Show the assessment objective
- SR-01a.
- SR-01a.[01]a supply chain risk management policy is developed and documented;
- SR-01a.[02]the supply chain risk management policy is disseminated to [Organization-defined: personnel or roles];
- SR-01a.[03]supply chain risk management procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls are developed and documented;
- SR-01a.[04]the supply chain risk management procedures are disseminated to [Organization-defined: personnel or roles].
- SR-01a.01
- SR-01a.01(a)
- SR-01a.01(a)[01]the [Organization-defined: sr-01_odp.03] supply chain risk management policy addresses purpose;
- SR-01a.01(a)[02]the [Organization-defined: sr-01_odp.03] supply chain risk management policy addresses scope;
- SR-01a.01(a)[03][Organization-defined: sr-01_odp.03] supply chain risk management policy addresses roles;
- SR-01a.01(a)[04]the [Organization-defined: sr-01_odp.03] supply chain risk management policy addresses responsibilities;
- SR-01a.01(a)[05]the [Organization-defined: sr-01_odp.03] supply chain risk management policy addresses management commitment;
- SR-01a.01(a)[06]the [Organization-defined: sr-01_odp.03] supply chain risk management policy addresses coordination among organizational entities;
- SR-01a.01(a)[07]the [Organization-defined: sr-01_odp.03] supply chain risk management policy addresses compliance.
- SR-01a.01(b)the [Organization-defined: sr-01_odp.03] supply chain risk management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;
- SR-01a.01(a)
- SR-01b.the [Organization-defined: official] is designated to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures;
- SR-01c.
- SR-01c.01
- SR-01c.01[01]the current supply chain risk management policy is reviewed and updated [Organization-defined: frequency];
- SR-01c.01[02]the current supply chain risk management policy is reviewed and updated following [Organization-defined: events];
- SR-01c.02
- SR-01c.02[01]the current supply chain risk management procedures are reviewed and updated [Organization-defined: frequency];
- SR-01c.02[02]the current supply chain risk management procedures are reviewed and updated following [Organization-defined: events].
- SR-01c.01
Examine
- Supply chain risk management policy
- supply chain risk management procedures
- system security plan
- privacy plan
- other relevant documents or records
Interview
- Organizational personnel with supply chain risk management responsibilities
- organizational personnel with information security and privacy responsibilities
- organizational personnel with acquisition responsibilities
- organizational personnel with enterprise risk management responsibilities
Related controls
These relationships come from the official OSCAL catalog. They indicate useful dependencies or context, not automatic inheritance or equivalence.
Authoritative sources
Bare Metal Cyber is an independent educational publisher and is not affiliated with or endorsed by NIST. Official control requirements and interpretations remain with NIST and the responsible authorizing organization.