Assessment Objectives

In addition to relevant policies, standards and procedures, the assessor shall examine, interview, and/or test to determine if appropriately scoped evidence exists to support the claim that:

• RSK-20_A01 an organization-wide strategy for managing supply chain risks is developed.
  Assessment rigor: 1
  Origin: 53A_R5_PM-30a.[01]
• RSK-20_A02 supply chain risks associated with organizational systems and system components are identified.
  Assessment rigor: 1
  Origin: 172A_3.11.7e[a]
• RSK-20_A03 the supply chain risk management strategy is implemented consistently across the organization.
  Assessment rigor: 1
  Origin: 53A_R5_PM-30b.
• RSK-20_A04 a plan for managing supply chain risks is developed.
  Assessment rigor: 1
  Origin: 172A_3.11.7e[c] 171A_R3_A.03.17.01.a[01] 53A_R5_SR-02a.[01]
• RSK-20_A05 security requirements to protect against supply chain risks to the system, system components, or system services and to limit the harm or consequences from supply chain-related events are defined.
  Assessment rigor: 1
  Origin: 53A_R5_SR-02_ODP[01] 172A_3.11.7e[b] 171A_R3_A.03.17.03.ODP[01]
• RSK-20_A06 the supply chain risk management strategy is reviewed / updated per an organization-defined frequency or as required to address organizational changes.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: 3
  Origin: 53A_R5_PM-30c.
• RSK-20_A07 the frequency at which to review and update the supply chain risk management plan is defined.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: 2
  Origin: 53A_R5_PM-30_ODP 53A_R5_SR-02_ODP[02] 172A_3.11.7e_ODP[1] 171A_R3_A.03.17.01.ODP[01]
• RSK-20_A08 the plan for managing supply chain risks is updated frequently.
  Defined parameters: at least annually
  Assessment rigor: 3
  Origin: 172A_3.11.7e[d]
• RSK-20_A09 the SCRM plan addresses risks associated with the research and development of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_SR-02a.[02] 53A_R5_PM-30a.[02] 53A_R5_PM-30a.[03] 53A_R5_PM-30a.[04] 171A_R3_A.03.17.01.a[02]
• RSK-20_A10 the SCRM plan addresses risks associated with the design of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_SR-02a.[03] 171A_R3_A.03.17.01.a[03]
• RSK-20_A11 the SCRM plan addresses risks associated with the manufacturing of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_SR-02a.[04] 171A_R3_A.03.17.01.a[04]
• RSK-20_A12 the SCRM plan addresses risks associated with the acquisition of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_PM-30a.[05] 53A_R5_PM-30a.[06] 53A_R5_PM-30a.[07] 53A_R5_SR-02a.[05] 171A_R3_A.03.17.01.a[05]
• RSK-20_A13 the SCRM plan addresses risks associated with the delivery of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_SR-02a.[06] 171A_R3_A.03.17.01.a[06]
• RSK-20_A14 the SCRM plan addresses risks associated with the integration of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_SR-02a.[07] 171A_R3_A.03.17.01.a[07]
• RSK-20_A15 the SCRM plan addresses risks associated with the operation of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_PM-30a.[08] 53A_R5_PM-30a.[09] 53A_R5_PM-30a.[10] 53A_R5_SR-02a.[08] 171A_R3_A.03.17.01.a[08]
• RSK-20_A16 the SCRM plan addresses risks associated with the maintenance of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_PM-30a.[08] 53A_R5_PM-30a.[09] 53A_R5_PM-30a.[10] 53A_R5_SR-02a.[08] 171A_R3_A.03.17.01.a[09]
• RSK-20_A17 the SCRM plan addresses risks associated with the disposal of the system, system components, or system services.
  Assessment rigor: 2
  Origin: 53A_R5_PM-30a.[11] 53A_R5_PM-30a.[12] 53A_R5_PM-30a.[13] 53A_R5_SR-02a.[09] 171A_R3_A.03.17.01.a[10]
• RSK-20_A18 the SCRM plan is reviewed per an organization-defined frequency.
  Defined parameters: at least annually
  Assessment rigor: 3
  Origin: 53A_R5_SR-02b.
• RSK-20_A19 the SCRM plan is updated per an organization-defined frequency.
  Defined parameters: at least annually
  Assessment rigor: 3
  Origin: 53A_R5_SR-02b.
• RSK-20_A20 the SCRM plan is protected from unauthorized disclosure.
  Assessment rigor: 2
  Origin: 53A_R5_SR-02c.[01] 171A_R3_A.03.17.01.c
• RSK-20_A21 the supply chain risk management plan is protected from unauthorized modification.
  Assessment rigor: 3
  Origin: 53A_R5_SR-02c.[02]
• RSK-20_A22 Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component or system service are defined.
  Assessment rigor: 3
  Origin: 53A_R5_SR-07_ODP
• RSK-20_A23 OPSEC controls are employed to protect supply chain-related information for the system, system component or system service.
  Assessment rigor: 3
  Origin: 53A_R5_SR-07
• RSK-20_A24 the risk (including supply chain risk) of unauthorized disclosure resulting from the processing, storage, or transmission of sensitive / regulated data is assessed.
  Defined parameters: at least annually, and upon significant change to the data processing environment
  Assessment rigor: 3
  Origin: SCF Created
• RSK-20_A25 a process for identifying weaknesses or deficiencies in the supply chain elements and processes is established.
  Assessment rigor: 2
  Origin: 171A_R3_A.03.17.03.a[01]
• RSK-20_A26 organization-defined security requirements are enforced to protect against supply chain risks to the system, system components, or system services and to limit the harm or consequences of supply chain-related events.
  Assessment rigor: 3
  Origin: SCF Created
• RSK-20_A27 a process for addressing weaknesses or deficiencies in the supply chain elements and processes is established.
  Assessment rigor: 2
  Origin: 171A_R3_A.03.17.03.a[02]
• RSK-20_A28 the risk (including supply chain risk) of unauthorized disclosure resulting from the processing, storage, or transmission of CUI is assessed.
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.11.01.a
• RSK-20_A29 the SCRM plan is reviewed <A.03.17.01.ODP[01]: frequency>.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.17.01.b[01]
• RSK-20_A30 the SCRM plan is updated <A.03.17.01.ODP[01]: frequency>.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.17.01.b[02]
• RSK-20_A31 the following security requirements are enforced to protect against supply chain risks to the system, system components, or system services and to limit the harm or consequences of supply chain-related events: <A.03.17.03.ODP[01]: security requirements>.
  Defined parameters: at a minimum, integrate Supply Chain Risk Management (SCRM) into acquisition/procurement policies, provide adequate SCRM resources, define the SCRM control baseline, establish processes to ensure suppliers disclose significant vulnerabilities and significant incidents
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.17.03.b

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