+SR-04 Provenance
---+SR-04(01) Identity
---+SR-04(02) Track and Trace
---+SR-04(03) Validate as Genuine and Not Altered
---+SR-04(04) Supply Chain Integrity — Pedigree
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SR-04 Provenance
Control
Document, monitor, and maintain valid provenance of the following systems, system components, and associated data: [Assignement: systems, system components, and associated data].
Discussion
Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures (see [SR-1](#sr-1) ) for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and system components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations have methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. These actions help track, assess, and document any changes to the provenance, including changes in supply chain elements or configuration, and help ensure non-repudiation of provenance information and the provenance change records. Provenance considerations are addressed throughout the system development life cycle and incorporated into contracts and other arrangements, as appropriate.
Assessment Objective
- valid provenance is documented for [Assignement: systems, system components, and associated data];
- valid provenance is monitored for [Assignement: systems, system components, and associated data];
- valid provenance is maintained for [Assignement: systems, system components, and associated data].
Assessment Method
Examine
Supply chain risk management policy
supply chain risk management procedures
supply chain risk management plan
documentation of critical systems, critical system components, and associated data
documentation showing the history of ownership, custody, and location of and changes to critical systems or critical system components
system architecture
inter-organizational agreements and procedures
contracts
system security plan
privacy plan
personally identifiable information processing policy
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. Áttekintés
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Szabvány |
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SR-04(01) Identity
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Control
Establish and maintain unique identification of the following supply chain elements, processes, and personnel associated with the identified system and critical system components: [Assignement: supply chain elements, processes, and personnel].
Discussion
Knowing who and what is in the supply chains of organizations is critical to gaining visibility into supply chain activities. Visibility into supply chain activities is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility into supply chains elements, processes, and personnel, it is very difficult for organizations to understand and manage risk and reduce their susceptibility to adverse events. Supply chain elements include organizations, entities, or tools used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems and system components. Supply chain processes include development processes for hardware, software, and firmware; shipping and handling procedures; configuration management tools, techniques, and measures to maintain provenance; personnel and physical security programs; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities related to the secure the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of a system or system component. Identification methods are sufficient to support an investigation in case of a supply chain change (e.g. if a supply company is purchased), compromise, or event.
Assessment Objective
- unique identification of [Assignement: supply chain elements, processes, and personnel] is established;
- unique identification of [Assignement: supply chain elements, processes, and personnel] is maintained.
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
procedures addressing the integration of information security requirements into the acquisition process
list of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations
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
organizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors
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SR-04(02) Track and Trace
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Control
Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: [Assignement: systems and critical system components].
Discussion
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.
Assessment Objective
- the unique identification of [Assignement: systems and critical system components] is established for tracking through the supply chain;
- the unique identification of [Assignement: systems and critical system components] is maintained for tracking through the supply chain.
Assessment Method
Examine
Supply chain risk management policy and procedures
system and services acquisition policy
procedures addressing supply chain protection
procedures addressing the integration of information security requirements into the acquisition process
supply chain risk management plan
list of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations
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
organizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors
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SR-04(03) Validate as Genuine and Not Altered
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Control
Employ the following controls to validate that the system or system component received is genuine and has not been altered: [Assignement: organization-defined controls].
Discussion
For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including optical and nanotechnology tagging, physically unclonable functions, side-channel analysis, cryptographic hash verifications or digital signatures, and visible anti-tamper labels or stickers. Controls can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Organizations may leverage supplier and contractor processes for validating that a system or component is genuine and has not been altered and for replacing a suspect system or component. Some indications of tampering may be visible and addressable before accepting delivery, such as inconsistent packaging, broken seals, and incorrect labels. When a system or system component is suspected of being altered or counterfeit, the supplier, contractor, or original equipment manufacturer may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item. Organizations can provide training to personnel on how to identify suspicious system or component deliveries.
Assessment Objective
- [Assignement: controls] are employed to validate that the system or system component received is genuine;
- [Assignement: controls] are employed to validate that the system or system component received has not been altered.
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
procedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system
system design documentation
procedures addressing the integration of information security requirements into the acquisition process
solicitation documentation
acquisition documentation
service level agreements
acquisition contracts for the system, system component, or system service
evidentiary documentation (including applicable configurations) indicating that the system or system component is genuine and has not been altered
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
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SR-04(04) Supply Chain Integrity — Pedigree
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Control
Employ [Assignement: controls] and conduct [Assignement: analysis method] to ensure the integrity of the system and system components by validating the internal composition and provenance of critical or mission-essential technologies, products, and services.
Discussion
Authoritative information regarding the internal composition of system components and the provenance of technology, products, and services provides a strong basis for trust. The validation of the internal composition and provenance of technologies, products, and services is referred to as the pedigree. For microelectronics, this includes material composition of components. For software this includes the composition of open-source and proprietary code, including the version of the component at a given point in time. Pedigrees increase the assurance that the claims suppliers assert about the internal composition and provenance of the products, services, and technologies they provide are valid. The validation of the internal composition and provenance can be achieved by various evidentiary artifacts or records that manufacturers and suppliers produce during the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of technology, products, and services. Evidentiary artifacts include, but are not limited to, software identification (SWID) tags, software component inventory, the manufacturers’ declarations of platform attributes (e.g., serial numbers, hardware component inventory), and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself.
Assessment Objective
- [Assignement: controls] are employed to ensure the integrity of the system and system components;
- [Assignement: analysis method] is conducted to ensure the integrity of the system and system components.
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
bill of materials for critical systems or system components
acquisition documentation
software identification tags
manufacturer declarations of platform attributes (e.g., serial numbers, hardware component inventory) and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself
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
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1.1 Hivatkozások
1.2 Azonosított követelmények
1.3 Kapcsolódó szabályozások
2. Azonosított követelmények
Követelmények
| Forrás |
Követelmény |
3. Kapcsolódó szabályozások
Szabályozások
| Forrás |
Szabályozás |
Kapcsolt feladatok
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