+SR-03 Supply Chain Controls and Processes
---+SR-03(01) Diverse Supply Base
---+SR-03(02) Limitation of Harm
---+SR-03(03) Sub-tier Flow Down

SR-03 Supply Chain Controls and Processes

Control

  1. Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of [Assignement: system or system component] in coordination with [Assignement: supply chain personnel];
  2. Employ the following controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: [Assignement: supply chain controls] ; and
  3. Document the selected and implemented supply chain processes and controls in [Selection(one-or-more): security and privacy plans; supply chain risk management plan; {{ insert: param, sr-03_odp.05 }} ].

Discussion

Supply chain elements include organizations, entities, or tools employed for the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain.

Assessment Objective

    1. a process or processes is/are established to identify and address weaknesses or deficiencies in the supply chain elements and processes of [Assignement: system or system component];
    2. the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of [Assignement: system or system component] is/are coordinated with [Assignement: supply chain personnel];
  2. [Assignement: supply chain controls] are employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events;
  3. the selected and implemented supply chain processes and controls are documented in [Selection(one-or-more): security and privacy plans; supply chain risk management plan; {{ insert: param, sr-03_odp.05 }} ].

Assessment Method

Examine

Supply chain risk management policy supply chain risk management procedures supply chain risk management strategy supply chain risk management plan systems and critical system components inventory documentation system and services acquisition policy system and services acquisition procedures procedures addressing the integration of information security and privacy requirements into the acquisition process solicitation documentation acquisition documentation (including purchase orders) service level agreements acquisition contracts for systems or services risk register documentation system security plan privacy plan other relevant documents or records

Interview

Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities

1. Übersicht

SR-03(01) Diverse Supply Base

Control

Employ a diverse set of sources for the following system components and services: [Assignement: organization-defined system components and services].

Discussion

Diversifying the supply of systems, system components, and services can reduce the probability that adversaries will successfully identify and target the supply chain and can reduce the impact of a supply chain event or compromise. Identifying multiple suppliers for replacement components can reduce the probability that the replacement component will become unavailable. Employing a diverse set of developers or logistics service providers can reduce the impact of a natural disaster or other supply chain event. Organizations consider designing the system to include diverse materials and components.

Assessment Objective

  1. a diverse set of sources is employed for [Assignement: system components];
  2. a diverse set of sources is employed for [Assignement: services].

Assessment Method

Examine

Supply chain risk management policy and procedures system and services acquisition policy planning policy procedures addressing supply chain protection physical inventory of critical systems and system components inventory of critical suppliers, service providers, developers, and contracts inventory records of critical system components list of security safeguards ensuring an adequate supply of critical system components system security plan other relevant documents or records

Interview

Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain protection responsibilities
SR-03(02) Limitation of Harm

Control

Employ the following controls to limit harm from potential adversaries identifying and targeting the organizational supply chain: [Assignement: controls].

Discussion

Controls that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include avoiding the purchase of custom or non-standardized configurations, employing approved vendor lists with standing reputations in industry, following pre-agreed maintenance schedules and update and patch delivery mechanisms, maintaining a contingency plan in case of a supply chain event, using procurement carve-outs that provide exclusions to commitments or obligations, using diverse delivery routes, and minimizing the time between purchase decisions and delivery.

Assessment Objective

[Assignement: controls] are employed to limit harm from potential adversaries identifying and targeting the organizational supply chain.

Assessment Method

Examine

Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy configuration management policy procedures addressing supply chain protection procedures addressing the integration of information security requirements into the acquisition process procedures addressing the baseline configuration of the system configuration management plan system design documentation system architecture and associated configuration documentation solicitation documentation acquisition documentation acquisition contracts for the system, system component, or system service threat assessments vulnerability assessments list of security safeguards to be taken to protect the organizational supply chain against potential supply chain threats system security plan other relevant documents or records

Interview

Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities
SR-03(03) Sub-tier Flow Down

Control

Ensure that the controls included in the contracts of prime contractors are also included in the contracts of subcontractors.

Discussion

To manage supply chain risk effectively and holistically, it is important that organizations ensure that supply chain risk management controls are included at all tiers in the supply chain. This includes ensuring that Tier 1 (prime) contractors have implemented processes to facilitate the "flow down" of supply chain risk management controls to sub-tier contractors. The controls subject to flow down are identified in [SR-3b](#sr-3_smt.b).

Assessment Objective

the controls included in the contracts of prime contractors are also included in the contracts of subcontractors.

Assessment Method

Examine

Supply chain risk management policy and procedures supply chain risk management plan system and services acquisition policy procedures addressing supply chain protection acquisition documentation service level agreements acquisition contracts for the system, system component, or system service inter-organizational agreements and procedures system security plan other relevant documents or records

Interview

Organizational personnel with system and services acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with supply chain risk management responsibilities

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Regulierungen

2. Identifizierte Anforderungen

Anforderungen

3. Zugehörige Regulierungen

Regulierungen

Verknüpfte Vorgänge

Verknüpfungen
is blocked by SR-03 Supply Chain Controls and Processes – Assessment Procedure
is blocked by Supply Chain Risk Assessment (SCRA)
is blocked by Processes To Address Weaknesses or Deficiencies