Pre-acquisition Integrity Verification
High Risk
Complex
High Cost
SR-9(2) (Pre-acquisition Integrity Verification) enhances base SR-9 within the NIST Supply Chain Risk Management family. Base SR-9 sets the foundational expectation; this enhancement adds specificity: This enhancement strengthens SR-9 with requirements for pre-acquisition integrity verification in environments that create, receive, maintain, or transmit ePHI. Covered entities and business associates apply it to vendor selection, component authenticity, and supply chain oversight for EHR, devices, and cloud services touching ePHI.
Control Objective
Implement Pre-acquisition Integrity Verification so organization-defined supply chain risk management safeguards operate consistently on systems and networks that handle ePHI, with measurable evidence for HIPAA and NIST assessments.
Implementation Guidance
- Map SR-9(2) to systems in scope (EHR, imaging, lab, pharmacy, billing, identity, backups, and BA connections).\n2. Translate “Pre-acquisition Integrity Verification” into technical settings, procedures, or architecture patterns owned by named roles.\n3. Prefer enforceable controls (config, automation, mediation) over awareness-only measures where feasible.\n4. Integrate with change, incident, and downtime processes so clinical operations are not surprised.\n5. Log and retain evidence of operation (tickets, configs, test results) aligned to audit needs.\n6. Include vendors/BAs in contracts and connection standards when they touch the control surface.\n7. Test after major EHR, network, or cloud changes — upgrades often reset protections.\n8. Review exceptions at least quarterly; expire “temporary” holes that expose ePHI paths.
Real-World Use Cases
How this control shows up in healthcare and HIPAA-covered environments.
Best Practices
- Name an owner for SR-9(2) in the SSP control matrix.\n- Favor system enforcement on ePHI paths over informal email approval.\n- Measure coverage: percent of in-scope clinical systems where the enhancement operates.\n- Review exceptions quarterly with security and clinical informatics.\n- Feed relevant events to SIEM with a named use case.\n- Keep a one-page evidence pack (config + sample log + last test) ready for assessors.
Common Gaps & Violations
- Policy cites SR-9(2) but production EHR/network paths show no enforcement of pre-acquisition integrity verification.\n- Permanent exceptions with no expiry for vendors or “special” clinics.\n- Control implemented only on corporate IT — clinical devices and interfaces omitted.\n- No logs or test records; reliance on tribal knowledge.\n- Major upgrade silently disabled the enhancement.
Required Documentation
- Procedure/standard for Pre-acquisition Integrity Verification (SR-9(2))\n- Architecture or configuration baselines showing enforcement points\n- Exception register with owners and expiry\n- Sample logs, alerts, or test results\n- Training or runbook references for clinical/IT operators
How to Test & Validate
- Attempt a prohibited or out-of-policy action related to pre-acquisition integrity verification; confirm block, alert, or required workflow.\n2. Complete an authorized clinical/IT path; confirm success and logging.\n3. Sample open exceptions for approval and expiry.\n4. Verify at least one EHR-adjacent and one BA/vendor path are in scope.\n5. Confirm evidence retained for the last 90 days (or per policy).
Audit Considerations
Assessors look for operating evidence of Pre-acquisition Integrity Verification on systems touching ePHI — configs, logs, restore/DR artifacts, or failed-test results — not only a policy paragraph referencing SR-9(2).
HIPAA Mapping
How this NIST control supports HIPAA Security Rule expectations.
- 164.308(b) Business Associate Contracts — require safeguards from vendors that create or receive ePHI.\n- 164.308(a)(1)(ii)(A) Risk Analysis — include supply chain threats to ePHI systems.\n- 164.308(a)(1)(ii)(B) Risk Management — select and monitor suppliers of clinical technology.\n- 164.314(a) Business associate contracts — flow down requirements that protect ePHI.
Compliance Tips
- List SR-9(2) explicitly in the system security plan with system inventory references.\n- Prioritize emergency department, inpatient EHR, and remote access paths first.\n- Bundle evidence with related HIPAA evaluation, integrity, or workforce-security narratives where they overlap.
References & Resources
- NIST SP 800-53 Rev. 5 — SR-9(2)\n- Related controls: SR-9\n- Note: SR-9(2) is retained in this knowledge base for coverage continuity; confirm applicability against your adopted baseline and current NIST catalog.
Related Guidelines
Related controls that commonly accompany SR-9(2).
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