SR-3 SR · Supply Chain Risk Management

Supply Chain Controls and Processes

✓ LOW ✓ MODERATE ✓ HIGH
3 Enhancements 1 Overlay 23 Related Controls
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Requirements NIST SOURCE

Discussion (NIST Supplemental Guidance)

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.

Enhancements NIST SOURCE

SR-3(1) Diverse Supply Base LOW MODERATE HIGH

Employ a diverse set of sources for the following system components and services: [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.

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SR-3(2) Limitation of Harm LOW MODERATE HIGH

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

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SR-3(3) Sub-tier Flow Down LOW MODERATE HIGH

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.

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Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for SR-3 yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.

Assessment

NIST SP 800-53A REV 5.2.0

Assessment Objectives

  1. the system or system component requiring a process or processes to identify and address weaknesses or deficiencies is defined;
  2. supply chain personnel with whom to coordinate the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes is/are defined;
  3. supply chain controls 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 are defined;
  4. one or more of the following PARAMETER VALUES is/are selected: {security and privacy plans; supply chain risk management plan; <SR-03_ODP[05] document>};
  5. the document identifying the selected and implemented supply chain processes and controls is defined (if selected);
  6. a process or processes is/are established to identify and address weaknesses or deficiencies in the supply chain elements and processes of <SR-03_ODP[01] system or system component>;
  7. the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of <SR-03_ODP[01] system or system component> is/are coordinated with <SR-03_ODP[02] supply chain personnel>;
  8. <SR-03_ODP[03] 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;
  9. the selected and implemented supply chain processes and controls are documented in <SR-03_ODP[04] SELECTED PARAMETER VALUES>.

Examine

[SELECT FROM: 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

[SELECT FROM: Organizational personnel with acquisition responsibilities; organizational personnel with information security and privacy responsibilities; organizational personnel with supply chain risk management responsibilities].

Test

[SELECT FROM: Organizational processes for identifying and addressing supply chain element and process deficiencies].

Overlays

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

  • Base control: Included (matches standard baseline)

MODERATE

  • Base control: Included (matches standard baseline)

HIGH

  • Base control: Included (matches standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for SR-3. This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.

Learn more about STIG/CCI integration →

Evidence

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.

Policy

  • Supply chain risk management policy
  • supply chain risk management strategy
  • supply chain risk management plan
  • system and services acquisition policy
  • system security plan
  • privacy plan

Configuration

  • systems and critical system components inventory documentation

Testing

  • Organizational processes for identifying and addressing supply chain element and process deficiencies

Other Records

  • supply chain risk management procedures
  • 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
  • other relevant documents or records