SR-4(2)_track-and-trace

SR-4(2) Track and Trace

Enhancement of: SR-4

High-Level Description

Family: Supply Chain Risk Management (SR) Framework: NIST SP 800-53 Rev 5

Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event.

What to Check

• Verify SR-4(2) Track and Trace is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for SR-4(2)
• Verify enhancement builds upon base control SR-4

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for SR-4(2) implementation details. Verify the organization has documented how this control is satisfied.

Step 2: Validate Implementation

# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly

# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null

Step 3: Test Operating Effectiveness

Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.

Tools

Remediation Guide

Control Statement

Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: [organization-defined].

Implementation Guidance

Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - SR-4(2)
• NIST SP 800-53A Rev 5 (Assessment Procedures)
• NIST SP 800-53 Rev 5 Full Catalog

Checklist

• Control documented in SSP
• Implementation evidence collected
• Operating effectiveness validated
• Continuous monitoring in place
• Related controls (IA-2, IA-8, PE-16, PL-2) reviewed