[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Access Control?

[Assistant]
According to Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer:

| Access Control                    | Maintenance         | Security Assessment and Monitoring   |
|-----------------------------------|---------------------|--------------------------------------|
| Awareness and Training            | Media Protection    | System and Communications Protection |
| Audit and Accountability          | Personnel Security  | System and Information Integrity     |
| Configuration Management          | Physical Protection | Planning                             |
| Identification and Authentication | Risk Assessment     | System and Services Acquisition      |
| Incident Response                 |                     | Supply Chain Risk Management         |

## Family: Access Control

## Getting Started with Access Control


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Personnel Security?

[Assistant]
According to Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171:

............................................ 5                        |
| 2.1 DEVELOPMENTAPPROACH ......................................................................................................
| 5                                                                                |
| 2.2 ORGANIZATIONANDSTRUCTURE                                                                                | ............................................................................................. 7                                                  |
| 2.3 FLEXIBLE APPLICATION                                                                                | ............................................................................................................. 9                                  |
| CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       | CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       |
| 3.1 ACCESSCONTROL                                                                                | .................................................................................................................. 12                            |
| 3.2 AWARENESSANDTRAINING                                                                                | ...................................................................................................

Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer provide? (Part 2)

[Assistant]
ent, or possibly with other organizations like municipal governments, prime contractors, universities, etc., you will likely be required to demonstrate you are taking adequate measures to protect CUI.
Examples of CUI include:

<!-- image -->

|                      | When provided as part of a government contract, examples include:                                                                                | Marking 1     |
|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|
| Controlled           | e.g., research and engineering data, engineering drawings, specifications, process sheets, manuals, technical reports, technical orders, catalog-item identifications, data sets, studies and analyses and related information, and computer software executable code and source code. | CUI//SP-CTI   |
| General Proprietary  | e.g., financial information, trade secrets, product research and development, existing and future product designs and performance specifications. | CUI//PROPIN   |
| Business Information | you do not handle CUI, implementing the security requirements in SP 800-171 will                                                                                | help you take |

1  For more information on types of CUI and markings, visit the National Archives and Records Administration (NARA) https://www.archives.gov/cui.

Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer

Risk Assessment
Maintenance
Access Control
System and Communications Protection
System and Information Integrity
Incident Response
Physical Protection
Identification and Authentication
Planning
System and Services Acquisition
Media Protection
Awareness and Training
Audit and Accountability
Supply Chain Risk Management
Configuration Management
Personnel Security
Security Assessment


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC require for System and Information Integrity?

[Assistant]
According to Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations:

As the risk to an information system's confidentiality, integrity and/or availability increases, the need for additional controls to protect the system may also increase accordingly.  SP 800-53 Revision 4 provides the security control baselines as the starting point for the security control selection process. The baselines are chosen based on the security category and associated impact level of information systems as described in Federal Information Processing Standard Publication (FIPS) 199, Standards for Security Categorization of Federal Information and Information Systems, and FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems .

- Authority and Purpose (AP);
- Accountability, Audit, and Risk Management (AR);
- Data Quality and Integrity (DI);
- Data Minimization and Retention (DM);
- Individual Participation and Redress (IP);
- Security (SE);
- Transparency (TR); and,
- Use Limitation (UL).

Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What is CMMC practice AC.L2-3.1.7 (NIST 3.1.7)?

[Assistant]
According to Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations:

3.1.7. 3.1.7.

Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Audit and Accountability?

[Assistant]
According to Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171:

............................................ 5                        |
| 2.1 DEVELOPMENTAPPROACH ......................................................................................................
| 5                                                                                |
| 2.2 ORGANIZATIONANDSTRUCTURE                                                                                | ............................................................................................. 7                                                  |
| 2.3 FLEXIBLE APPLICATION                                                                                | ............................................................................................................. 9                                  |
| CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       | CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       |
| 3.1 ACCESSCONTROL                                                                                | .................................................................................................................. 12                            |
| 3.2 AWARENESSANDTRAINING                                                                                | ...................................................................................................


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer provide? (Part 15)

[Assistant]
nks to non-NIST sites throughout this publication because they may have information of interest to readers. NIST does not necessarily endorse the views expressed or the facts presented on those sites.
Further, NIST does not endorse any commercial products that may be advertised or available on these sites. ht ps:/

csrc.nist.gov/projects/protecting-control ed-unclas ified-information

## Family: Access Control

Description: Limiting information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems) and to the types of transactions and functions that authorized users are permitted to exercise.*

## Getting Started with Access Control

<!-- image -->

Implement policies and procedures that limit access to CUI on systems and devices to only those individuals that require such access to do their jobs . Complete a review of publicly available information , such as information on the company website. - Review the content for CUI and remove such information if discovered. CUI should not be available to the public. ## Protect CUI with device locks and session termination . - Train staff on these behaviors and establish policies that prevent unauthorized individuals from seeing CUI or other sensitive information on a device while the device is unattended by an individual. When the individual returns to their device, they will have to re-establish access by using a password or biometric authenticator

Foundational Concept -Least Privilege: This involves limiting access rights to only those users who need it to accomplish assigned tasks. - Identify who has access to CUI and the system. Only those who require access to CUI should have it. For example, if a network or system administrator does not need access to CUI, their access should be restricted. - Reassign or remove privileges as necessary, such as when an individual no longer requires access to CUI and the system.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Supply Chain Risk Management?

[Assistant]
According to Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171:

The system component inventory includes system-specific information required for component accountability and to provide support to identify, control, monitor, and verify configuration items in accordance with the authoritative source. The information necessary for effective accountability of system components includes the system name, hardware and software component owners, hardware inventory specifications, software license information, software version numbers, andfor networked components-the machine names and network addresses. Inventory specifications include the manufacturer, supplier information, component type, date of receipt, cost, model, serial number, and physical location. Organizations also use automated mechanisms to implement and maintain authoritative (i.e., up-to-date, complete, accurate, and available) baseline configurations  for  systems  that  include  hardware  and  software  inventory  tools,  configuration management tools, and network management tools. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels.

- 3.11.6e  Assess, respond to, and monitor supply chain risks associated with organizational systems and system components.

Supply chain events include disruption, use of defective components, insertion of counterfeits, theft,  malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on a system and its information and, therefore, can also adversely impact organizational operations (i.e., mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] How does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer support CMMC certification?

[Assistant]
According to Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer:

ent, or possibly with other organizations like municipal governments, prime contractors, universities, etc., you will likely be required to demonstrate you are taking adequate measures to protect CUI.
Examples of CUI include:

<!-- image -->

|                      | When provided as part of a government contract, examples include:                                                                                | Marking 1     |
|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|
| Controlled           | e.g., research and engineering data, engineering drawings, specifications, process sheets, manuals, technical reports, technical orders, catalog-item identifications, data sets, studies and analyses and related information, and computer software executable code and source code. | CUI//SP-CTI   |
| General Proprietary  | e.g., financial information, trade secrets, product research and development, existing and future product designs and performance specifications. | CUI//PROPIN   |
| Business Information | you do not handle CUI, implementing the security requirements in SP 800-171 will                                                                                | help you take |

1  For more information on types of CUI and markings, visit the National Archives and Records Administration (NARA) https://www.archives.gov/cui.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC require for Maintenance?

[Assistant]
According to Security and Privacy Controls for Information Systems and Organizations:

...................................................................... 14
CHAPTER THREE   THE CONTROLS .................................................................................................
16
3.1   ACCESS CONTROL .................................................................................................................. 18
3.2   AWARENESS AND TRAINING ................................................................................................... 59
3.3   AUDIT AND ACCOUNTABILITY ................................................................................................. 65
3.4   ASSESSMENT, AUTHORIZATION, AND MONITORING ................................................................. 83
3.5   CONFIGURATION MANAGEMENT ........................................................................................... 96
3.6   CONTINGENCY PLANNING .................................................................................................... 115
3.7   IDENTIFICATION AND AUTHENTICATION ............................................................................... 131
3.8   INCIDENT RESPONSE ............................................................................................................ 149
3.9   MAINTENANCE .................................................................................................................... 162
3.10   MEDIA PROTECTION .......................................................................................................... 171
3.11   PHYSICAL AND ENVIRONMENTAL PROTECTION .................................................................... 179
3.12   PLANNING ........................................................................................................................ 194
3.13   PROGRAM MANAGEMENT .................................................................................................

Security and Privacy Controls for Information Systems and Organizations


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Incident Response?

[Assistant]
According to Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171:

............................................ 5                        |
| 2.1 DEVELOPMENTAPPROACH ......................................................................................................
| 5                                                                                |
| 2.2 ORGANIZATIONANDSTRUCTURE                                                                                | ............................................................................................. 7                                                  |
| 2.3 FLEXIBLE APPLICATION                                                                                | ............................................................................................................. 9                                  |
| CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       | CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       |
| 3.1 ACCESSCONTROL                                                                                | .................................................................................................................. 12                            |
| 3.2 AWARENESSANDTRAINING                                                                                | ...................................................................................................


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Personnel Security?

[Assistant]
According to Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171:

............................................ 5                        |
| 2.1 DEVELOPMENTAPPROACH ......................................................................................................
| 5                                                                                |
| 2.2 ORGANIZATIONANDSTRUCTURE                                                                                | ............................................................................................. 7                                                  |
| 2.3 FLEXIBLE APPLICATION                                                                                | ............................................................................................................. 9                                  |
| CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       | CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       |
| 3.1 ACCESSCONTROL                                                                                | .................................................................................................................. 12                            |
| 3.2 AWARENESSANDTRAINING                                                                                | ...................................................................................................


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for System and Communications Protection?

[Assistant]
According to Assessing Enhanced Security Requirements for Controlled Unclassified Information:

| CHAPTERONE INTRODUCTION...................................................................................................... | CHAPTERONE INTRODUCTION...................................................................................................... | 1   |
|-----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|-----|
| 1.1                                                                                | PURPOSEANDAPPLICABILITY............................................................................................................. 1        | 2   |
| 1.2                                                                                | TARGET AUDIENCE.............................................................................................................................. |     |
| 1.3                                                                                | ORGANIZATIONOF THIS SPECIAL PUBLICATION................................................................................. | 2   |
| CHAPTERTWO THE FUNDAMENTALS............................................................................................ | CHAPTERTWO THE FUNDAMENTALS............................................................................................ | 3   |
| 2.1                                                                                | ASSESSMENT PROCEDURES................................................................................................................

Assessing Enhanced Security Requirements for Controlled Unclassified Information


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 provide? (Part 3)

[Assistant]
efore  the  completion  of  such  companion  publications. Thus,  until  each  publication  is completed,  current  requirements,  guidelines,  and  procedures,  where  they  exist,  remain operative.
For planning and transition purposes, federal agencies may wish to closely follow the development of these new publications by NIST. Organizations are encouraged to review draft publications during the public comment periods and provide feedback to NIST. Many NIST publications, other than the ones noted above, are available at https://csrc.nist.gov/publications. ## Comments on this publication may be submitted to:

National Institute of Standards and Technology Attn: Computer Security Division, Information Technology Laboratory 100 Bureau Drive (Mail Stop 8930) Gaithersburg, MD 20899-8930

Email: sec-cert@nist.gov

All comments are subject to release under the Freedom of Information Act (FOIA) [FOIA96]. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## Reports on Computer Systems Technology

The National Institute of Standards and Technology (NIST) Information Technology Laboratory (ITL) promotes the U.S. economy and public welfare by providing technical leadership for the Nation's measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of information technology (IT). ITL's responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the costeffective security of other than national security-related information in federal information systems.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Audit and Accountability?

[Assistant]
According to Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer:

d, communicated, understood, and enforced. Even if cybersecurity activities are outsourced to an external provider, someone within the business should still be designated to manage cybersecurity risk.
|
|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| It's not all technology. | An important point to emphasize is that many requirements in SP 800-171 do not need investments in technology or services to implement. Many requirements can be achieved through the creation of processes and procedures. |
| Implement the requirements and document implementation in a system security plan. | Satisfying the security requirements won't be accomplished overnight. Implement in phases based upon your resources (includin g time, expertise, budget, etc.), starting with understanding what security requirements you may have already satisfied and building from there.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations provide? (Part 5)

[Assistant]
e of continuous improvement in the organization's risk-related activities, with effective communication among tiers and stakeholders. Figure 1 illustrates the three-tiered approach to risk management.
Figure 1: Risk Management 3-Tiered Approach

<!-- image -->

The NIST Risk Management Framework (RMF), described in NIST Special Publication 800-37 Revision 1, Guide for Applying the Risk Management Framework to Federal Information Systems: a Security Life Cycle Approach, is a methodology for implementing risk management at the information systems tier. The RMF (depicted in Figure 2) identifies six distinct steps that provide a disciplined and structured process to integrate information security risk management activities into the system development life cycle. The RMF addresses security concerns of organizations related to the design, development, implementation, operation, and disposal of information systems and the environments in which those systems operate. The security controls in SP 800-53 Rev. 4 support Step Two of the RMF, and a detailed catalog of these controls is provided in Appendix F. For ease of use in the security control selection and specification process, controls are organized into eighteen families, each containing security controls related to the general security topic of the family. Security controls involve aspects of policy, oversight, supervision, manual processes, individual actions, or automated mechanisms implemented by information systems/devices. The security control structure consists of the

following components: (i) a control section; (ii) a supplemental guidance section; (iii) a control enhancements section; (iv) a references section; and (v) a priority and baseline allocation section.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Security and Privacy Controls for Information Systems and Organizations provide? (Part 16)

[Assistant]
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. I

NIST SP 800-53, REV.
5                                                                                SECURITY AND PRIVACY CONTROLS FOR INFORMATION SYSTEMS AND ORGANIZATIONS
_________________________________________________________________________________________________

Table of Contents

CHAPTER ONE   INTRODUCTION ...................................................................................................... 1
1.1   PURPOSE AND APPLICABILITY ................................................................................................... 2
1.2   TARGET AUDIENCE .................................................................................................................. 3
1.3   ORGANIZATIONAL RESPONSIBILITIES......................................................................................... 3
1.4   RELATIONSHIP TO OTHER PUBLICATIONS ................................................................................... 5
1.5   REVISIONS AND EXTENSIONS .................................................................................................... 5
1.6   PUBLICATION ORGANIZATION .................................................................................................. 5
CHAPTER TWO   THE FUNDAMENTALS ............................................................................................ 7
2.1   REQUIREMENTS AND CONTROLS .............................................................................................. 7
2.2   CONTROL STRUCTURE AND ORGANIZATION .............................................................................. 8
2.3   CONTROL IMPLEMENTATION APPROACHES .............................................................................


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer provide? (Part 9)

[Assistant]
NIST does not necessarily endorse the views expressed or the facts presented on those sites. Further, NIST does not endorse any commercial products that may be advertised or available on these sites.
ht ps:/

csrc.nist.gov/projects/protecting-control ed-unclas ified-information

## Introductory Tips for Implementers

<!-- image -->

## What's New in SP 800 -171, Revision 3? ## SP 800-171, Revision 3 was published in May 2024. Significant changes include:

## Updates to the Security Requirements and Families

- Based on NIST SP 800-53, Revision 5 and the NIST SP 800-53B moderate impact control baseline. - Applies updated tailoring criteria addressing stakeholder feedback (adding new, consolidating, and withdrawing requirements). - Includes increased specificity in security requirements. - Introduces organization-defined parameters (ODP) to increase flexibility to better manage organizationspecific risks. ## Additional Revision 3 Resources

- A CUI overlay (.xlsx) showing the direct link between SP 800-53 and SP 800171, including NIST's tailoring decisions. - Transitioning your organization from implementation of Revision 2 to Revision 3? Review this detailed analysis of the changes between Revision 2 and Revision 3 (.xlsx). - The SP 800-171 security requirements in multiple formats (Excel, JSON, and online) through the NIST Cybersecurity and Privacy Reference Tool. ht ps:/

csrc.nist.gov/projects/protecting-control ed-unclas ified-information

## Key Terms

<!-- image -->

<!-- image -->

Control Baseline: A set of controls you can implement to meet strategic, legal, regulatory, or contractual security and privacy requirements and manage risk. Organization-Defined Parameters (ODPs) are included in certain security requirements. ODPs provide the flexibility and specificity needed by organizations to clearly define their CUI security requirements, given the diverse nature of their missions, business functions, operational environments, and risk tolerance.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations provide? (Part 5)

[Assistant]
e of continuous improvement in the organization's risk-related activities, with effective communication among tiers and stakeholders. Figure 1 illustrates the three-tiered approach to risk management.
Figure 1: Risk Management 3-Tiered Approach

<!-- image -->

The NIST Risk Management Framework (RMF), described in NIST Special Publication 800-37 Revision 1, Guide for Applying the Risk Management Framework to Federal Information Systems: a Security Life Cycle Approach, is a methodology for implementing risk management at the information systems tier. The RMF (depicted in Figure 2) identifies six distinct steps that provide a disciplined and structured process to integrate information security risk management activities into the system development life cycle. The RMF addresses security concerns of organizations related to the design, development, implementation, operation, and disposal of information systems and the environments in which those systems operate. The security controls in SP 800-53 Rev. 4 support Step Two of the RMF, and a detailed catalog of these controls is provided in Appendix F. For ease of use in the security control selection and specification process, controls are organized into eighteen families, each containing security controls related to the general security topic of the family. Security controls involve aspects of policy, oversight, supervision, manual processes, individual actions, or automated mechanisms implemented by information systems/devices. The security control structure consists of the

following components: (i) a control section; (ii) a supplemental guidance section; (iii) a control enhancements section; (iv) a references section; and (v) a priority and baseline allocation section.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Planning?

[Assistant]
According to Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer:

d, communicated, understood, and enforced. Even if cybersecurity activities are outsourced to an external provider, someone within the business should still be designated to manage cybersecurity risk.
|
|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| It's not all technology. | An important point to emphasize is that many requirements in SP 800-171 do not need investments in technology or services to implement. Many requirements can be achieved through the creation of processes and procedures. |
| Implement the requirements and document implementation in a system security plan. | Satisfying the security requirements won't be accomplished overnight. Implement in phases based upon your resources (includin g time, expertise, budget, etc.), starting with understanding what security requirements you may have already satisfied and building from there.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC require for Supply Chain Risk Management?

[Assistant]
According to Security and Privacy Controls for Information Systems and Organizations:

With a renewed emphasis on the use of trustworthy, secure information systems and supply
chain security, it is essential that organizations express their security and privacy requirements
with clarity and specificity in order to obtain the systems, components, and services necessary
for mission and business success. Accordingly, this publication provides controls in the System
and Services Acquisition (SA) and Supply Chain Risk Management (SR) families that are directed
at developers. The scope of the controls in those families includes information system, system
component,  and  system  service  development  and  the  associated  developers  whether  the
development is conducted internally by organizations or externally through the contracting and
acquisition processes. The affected controls in the control catalog include SA-8, SA-10, SA-11,
SA-15, SA-16, SA-17, SA-20, SA-21, SR-3, SR-4, SR-5, SR-6, SR-7, SR-8, SR-9, and SR-11. CHAPTER ONE   INTRODUCTION ...................................................................................................... 1
1.1   PURPOSE AND APPLICABILITY ................................................................................................... 2
1.2   TARGET AUDIENCE .................................................................................................................. 3
1.3   ORGANIZATIONAL RESPONSIBILITIES......................................................................................... 3
1.4   RELATIONSHIP TO OTHER PUBLICATIONS ................................................................................... 5
1.5   REVISIONS AND EXTENSIONS .................................................................................................... 5
1.6   PUBLICATION ORGANIZATION .................................................................................................. 5
CHAPTER TWO   THE FUNDAMENTALS ............................................................................................


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Maintenance?

[Assistant]
According to Assessing Enhanced Security Requirements for Controlled Unclassified Information:

| CHAPTERONE INTRODUCTION...................................................................................................... | CHAPTERONE INTRODUCTION...................................................................................................... | 1   |
|-----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|-----|
| 1.1                                                                                | PURPOSEANDAPPLICABILITY............................................................................................................. 1        | 2   |
| 1.2                                                                                | TARGET AUDIENCE.............................................................................................................................. |     |
| 1.3                                                                                | ORGANIZATIONOF THIS SPECIAL PUBLICATION................................................................................. | 2   |
| CHAPTERTWO THE FUNDAMENTALS............................................................................................ | CHAPTERTWO THE FUNDAMENTALS............................................................................................ | 3   |
| 2.1                                                                                | ASSESSMENT PROCEDURES................................................................................................................


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What guidance does Assessing Enhanced Security Requirements for Controlled Unclassified Information provide?

[Assistant]
## Assessing Enhanced Security Requirements for Controlled Unclassified Information

RON ROSS VICTORIA PILLITTERI KELLEY DEMPSEY

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-172A

<!-- image -->

## NIST Special Publication 800-172A

## Assessing Enhanced Security Requirements for Controlled Unclassified Information

RON ROSS VICTORIA PILLITTERI KELLEY DEMPSEY

Computer Security Division Information Technology Laboratory

This publication is available free of charge from:

https://doi.org/10.6028/NIST.SP.800-172A

March 2022

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U.S. Department of Commerce Gina M. Raimondo, Secretary

James K. Olthoff, Performing the Non-Exclusive Functions and Duties of the Under Secretary of Commerce for Standards and Technology & Director, National Institute of Standards and Technology

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## Authority

This publication has been developed by the National Institute of Standards and Technology (NIST) to further its statutory responsibilities under the Federal Information Security Modernization Act (FISMA), 44 U.S.C. § 3551 et seq. , Public Law (P.L.) 113-283. NIST is responsible for developing information security standards and guidelines, including minimum requirements for federal information systems, but such standards and guidelines shall not apply to national security systems without the express approval of the appropriate federal officials exercising policy authority over such systems. This guideline is consistent with requirements of the Office of Management and Budget (OMB) Circular A-130. Nothing in this publication should be taken to contradict the standards and guidelines made mandatory and binding on federal agencies by the Secretary of Commerce under statutory authority.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer provide? (Part 17)

[Assistant]
vant -based on the systems that personnel have authorized access to, contextualized to the work environments of personnel (e.g., telework, shop floor), and tailored to the specific roles of personnel.
The content should include:

- An understanding of the need for security (why is cybersecurity important to our business mission?). - Specific actions required of users to maintain security (required use of multi-factor authentication, not sharing passwords, etc.). - How to respond to confirmed or suspected incidents. - How to securely handle CUI (training should be provided to staff before authorizing access to the system or CUI). - How to recognize and report insider threats, social engineering, and social mining. Examples of security awareness techniques include displaying posters, offering supplies inscribed with security reminders, generating email advisories or notices from leadership, and conducting awareness events -such as a lunch-and-learn or workshop. There are many resources that are free and open to the public that can be incorporated into awareness and training, such as videos, online courses, and awareness posters. The resources will likely need to be customized to meet your own unique business needs, but they offer a starting point. Resources can be found in the resources box below.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC require for Audit and Accountability?

[Assistant]
According to Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations:

- Authority and Purpose (AP);
- Accountability, Audit, and Risk Management (AR);
- Data Quality and Integrity (DI);
- Data Minimization and Retention (DM);
- Individual Participation and Redress (IP);
- Security (SE);
- Transparency (TR); and,
- Use Limitation (UL).


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer provide? (Part 2)

[Assistant]
ent, or possibly with other organizations like municipal governments, prime contractors, universities, etc., you will likely be required to demonstrate you are taking adequate measures to protect CUI.
Examples of CUI include:

<!-- image -->

|                      | When provided as part of a government contract, examples include:                                                                                | Marking 1     |
|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|
| Controlled           | e.g., research and engineering data, engineering drawings, specifications, process sheets, manuals, technical reports, technical orders, catalog-item identifications, data sets, studies and analyses and related information, and computer software executable code and source code. | CUI//SP-CTI   |
| General Proprietary  | e.g., financial information, trade secrets, product research and development, existing and future product designs and performance specifications. | CUI//PROPIN   |
| Business Information | you do not handle CUI, implementing the security requirements in SP 800-171 will                                                                                | help you take |

1  For more information on types of CUI and markings, visit the National Archives and Records Administration (NARA) https://www.archives.gov/cui.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 2 require for Configuration Management?

[Assistant]
According to Assessing Security Requirements for Controlled Unclassified Information:

| Access Control                    | Maintenance         | Security Assessment and Monitoring   |
|-----------------------------------|---------------------|--------------------------------------|
| Awareness and Training            | Media Protection    | System and Communications Protection |
| Audit and Accountability          | Personnel Security  | System and Information Integrity     |
| Configuration Management          | Physical Protection | Planning                             |
| Identification and Authentication | Risk Assessment     | System and Services Acquisition      |
| Incident Response                 |                     | Supply Chain Risk Management         |

[SELECT FROM: access control policy and procedures; procedures for least privilege; list of system-generated privileged accounts; list of system administration personnel; system audit records; system configuration settings; system security plan; list of system-generated security functions or security-relevant information assigned to system accounts or roles; other relevant documents or records]

For example, many technical security requirements are satisfied by security capabilities that are examine the security functions of products and established configuration settings. Assessments built into commercial information technology products and systems. Product assessments are typically conducted by independent, third-party testing organizations. 5 These assessments can also be conducted to demonstrate compliance with industry, national, or international security standards as well as developer and vendor claims. Since many information technology

Assessing Security Requirements for Controlled Unclassified Information


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations provide? (Part 3)

[Assistant] The guide was developed and is maintained by the Joint Task Force Transformation Initiative Interagency Working Group, part of an ongoing information security partnership among the U.S. Department of Defense, the Intelligence Community, the Committee on National Security Systems, the Department of Homeland Security, and U.S. federal civil agencies. SP 800-53 Revision 4 has been updated to reflect the evolving technology and threat space. Example areas include issues particular to mobile and cloud computing; insider threats; applications security; supply chain risks; advanced persistent threat; and trustworthiness, assurance, and resilience of information systems. The revision also contains a new appendix of privacy controls, and related implementation guidance (Appendix J), based on the Fair Information Practice Principles (FIPPs), a widely accepted framework of defining principles to be used in the evaluation and consideration of systems, processes, or programs that affect individual privacy. SP 800-53 Revision 4 is part of the NIST Special Publication 800-series that reports on the NIST Information Technology Laboratory's (ITL) computer security-related research, guidelines, and outreach. The publication provides a comprehensive set of security controls, three security control baselines (low, moderate, and high impact), and guidance for tailoring the appropriate baseline to specific needs according to the organization's missions, environments of operation, and technologies used. As the risk to an information system's confidentiality, integrity and/or availability increases, the need for additional controls to protect the system may also increase accordingly. SP 800-53 Revision 4 provides the security control baselines as the starting point for the security control selection process.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What is CMMC practice AC.L2-3.1.10 (NIST 3.1.10)?

[Assistant]
According to Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations:

3.1.10. 3.1.10.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC require for Personnel Security?

[Assistant]
According to Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations:

.......24                         |
| 2.3.2. Level 1 -Enterprise...................................................................................................................27         |
| 2.3.3.
Level 2 -Mission and Business Process....................................................................................30                      |
| 2.3.4. Level 3 -Operational................................................................................................................32           |
| 2.3.5. C-SCRM PMO..............................................................................................................................33       |
| Critical Success Factors...................................................................................................................37           |
| 3. |
| 3.1.2. The Role of C-SCRM in the Acquisition Process .........................................................................40                        |
| 3.4.1. Foundational Practices ...............................................................................................................46         |


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 provide? (Part 7)

[Assistant]
tegrity, and availability protection. The enhanced security requirements are implemented in addition to the basic and derived requirements since those requirements are not designed to address the APT.
The enhanced security requirements apply to those components of nonfederal systems that process, store, or transmit CUI or that provide protection for such components. There is no expectation that all of the enhanced security requirements will be selected by federal agencies implementing this guidance. The decision to select a particular set of enhanced security requirements will be based on the mission and business needs of federal agencies and guided and informed by ongoing risk assessments. The enhanced security requirements for nonfederal systems processing, storing, or transmitting CUI associated with critical programs or high value assets will be conveyed to nonfederal organizations by federal agencies in a contract, grant, or other agreement. The application of the enhanced security requirements to subcontractors will also be addressed by federal agencies in consultation with nonfederal organizations. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## THE APPLICABILITY OF ENHANCED SECURITY REQUIREMENTS

The enhanced security requirements are only applicable to a nonfederal system or nonfederal organization as mandated by a federal agency in a contract, grant, or other agreement. The requirements apply to the components of nonfederal systems that process, store, or transmit CUI associated with a critical program or a high value asset or that provide protection for such components. The requirements also apply to services, including externally provided services, that process, store, or transmit CUI, or that provide security protections, for the system requiring enhanced protection.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Assessing Enhanced Security Requirements for Controlled Unclassified Information provide? (Part 7)

[Assistant]
nts, third-party assessments, or assessments conducted by sponsoring organizations (e.g., government agencies). Such approaches may be specified in contracts or in agreements by participating parties.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## DEFINITION AND USAGE OF THE TERM INFORMATION SYSTEM

Unless specified by legislation, regulation, or government-wide policy, the term system is used in this publication instead of information system . This change reflects a broad-based and holistic definition of systems that includes general-purpose systems, industrial control systems, cyberphysical systems, and individual devices that are part of the Internet of Things. As computing systems and information technologies are deployed ubiquitously worldwide and systems and components are increasingly connected through wired and wireless networks, the susceptibility of Controlled Unclassified Information to loss or compromise grows - as does the potential for adverse consequences resulting from such occurrences. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## ORGANIZATIONAL SYSTEMS

The term organizational system is used in many of the CUI enhanced security requirements in [SP 800-172] and the associated assessment procedures in this publication. In that context, an organizational system is a nonfederal system that processes, stores, or transmits CUI associated with a critical program or high value asset. Specifically, enhanced security requirements apply to  the  system components or services that  process,  store,  or  transmit  CUI  or  that  provide security protections for those components or services as mandated by a federal agency in a contract, grant, or other agreement.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What is CMMC practice CM.L2-3.4.3 (NIST 3.4.3)?

[Assistant]
According to Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171:

3.4.3e Employ automated discovery and management tools to maintain an up-to-date, complete, accurate, and readily available inventory of system components. 3.4.3. 3.4.3e | Employ automated discovery and management tools to maintain an up-to-date, complete, accurate, and readily available inventory of system components.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] How does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer support CMMC certification?

[Assistant]
According to Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer:

<!-- image -->

<!-- image -->

Howard Lutnick, Secretary of Commerce

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Protecting Controlled Unclassified Information (CUI): NIST Special Publication 800-171, Revision 3 Small Business Primer

## Purpose of this Primer

This guide provides small businesses with an overview of NIST Special Publication (SP) 800-171 Revision 3, Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations . The following pages contain:

- An overview of foundational components of SP 800-171
- A list of frequently asked questions and their answers
- Tips for getting started
- Related resources

## What is Controlled Unclassified Information (CUI)?*

CUI is information the government creates or possesses, or that an entity creates or possesses on behalf of the government, that law, regulation, or governmentwide policy requires you to take technical and operational steps to protect. Systems that process, store, and transmit CUI often support government programs involving sensitive critical assets. As part of a contractual agreement with the federal government, or possibly with other organizations like municipal governments, prime contractors, universities, etc., you will likely be required to demonstrate you are taking adequate measures to protect CUI.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC require for System and Services Acquisition?

[Assistant]
According to Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations:

There may be references in this publication to other publications currently under development by NIST in accordance with its assigned statutory responsibilities. The information in this publication, including concepts and methodologies, may be used by federal agencies even before the completion of such companion publications. Thus, until each publication is completed, current requirements, guidelines, and procedures, where they exist, remain operative. For planning and transition purposes, federal agencies may wish to closely follow the development of these new publications by NIST.

Organizations are concerned about the risks associated with products and services that may potentially contain malicious functionality, are counterfeit, or are vulnerable due to poor manufacturing and development practices within the supply chain. These risks are associated with an enterprise's decreased visibility into and understanding of how the technology they acquire is developed, integrated, and deployed or the processes, procedures, standards, and practices used to ensure the security, resilience, reliability, safety, integrity, and quality of the products and services.

This publication provides guidance to organizations on identifying, assessing, and mitigating cybersecurity risks throughout the supply chain at all levels of their organizations. The publication integrates cybersecurity supply chain risk management (C-SCRM) into risk management activities by applying a multilevel, C-SCRM-specific approach, including guidance on the development of C-SCRM strategy implementation plans, C-SCRM policies, C-SCRM plans, and risk assessments for products and services.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Assessing Enhanced Security Requirements for Controlled Unclassified Information provide? (Part 14)

[Assistant]
ent procedures to generate evidence to support the assertion that the enhanced security requirements have been satisfied. The assessment procedures are typically used as part of an assessment process.
An assessment process is an information-gathering and evidenceproducing activity to determine the effectiveness of the safeguards implemented to meet the set of security requirements specified in [SP 800-172]. The information gathered and evidence produced can be used by an organization to:

- Identify problems or shortfalls in the organization's security and risk management programs,
- Identify security weaknesses and deficiencies in organizational systems 4 and the environments in which those systems operate,
- Prioritize risk mitigation decisions and activities,
- Confirm that identified security weaknesses and deficiencies in organizational systems and environments of operation have been addressed,
- Support continuous monitoring activities, and

1  The National Archives and Records Administration CUI Registry [NARA CUI] is the online repository for information, guidance, policy, and requirements on handling CUI. 2  The definition of a critical program may vary from organization to organization. For example, the Department of Defense defines a critical program as a program that significantly increases capabilities and mission effectiveness or extends the expected effective life of an essential system/capability [DOD ACQ]. 3  The enhanced security requirements are designed to respond to the advanced persistent threat (APT) for CUI associated with a high value asset or critical program by promoting penetration-resistant architectures, damagelimiting operations, and designs to achieve cyber resiliency and survivability. 4  Unless specified by legislation, regulation, or government-wide policy, the term system is used in this publication instead of information system.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations provide? (Part 7)

[Assistant]
ibed in NIST SP 800-39. To ensure that an appropriate set of controls is identified to provide security commensurate with risk, organizations tailor the controls to align with specific security needs.
Organizations may perform tailoring at the organization level for all information systems, in support of a particular line of business or mission/business process, at the individual information system level, or by using a combination of the above. The tailoring process is comprised of several steps, as described in SP 800-53 Rev. 4 Section 3.2. These actions include:

- Identifying and designating common controls - controls that may be inherited by one or more information systems. If an information system inherits a common control, such as environmental controls within a data center, that system does not need to explicitly implement that control. - Applying scoping considerations - these, when applied in conjunction with risk management guidance, can eliminate unnecessary security controls from the initial security control baselines and help ensure that organizations select only those controls needed to provide the appropriate level of protection for information systems. When scoping considerations are applied, compensating controls may need to be selected to provide alternative means to achieve security requirements. - Supplementing baselines - additional security controls and control enhancements are selected if needed to address specific threats and vulnerabilities. ## 4 Documenting the Control Selection Process

To aid in review activities, security planning, and risk assessments, organizations document the relevant decisions taken during the security control selection process, providing a sound rationale for those decisions. This documentation is essential when examining the security considerations for organizational information systems with respect to the potential impact on an organization's mission and business.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations provide? (Part 18)

[Assistant]
|                                                                                |
| D.4.1.6.
Impact Analysis...................................................................................................................226                                                                                |                                                                                |
| D.4.1.7. Risk Response Analysis.......................................................................................................227                                                                                |                                                                                |
| D.4.1.8. Roles and Responsibilities ..................................................................................................228                                                                                |                                                                                |
| D.4.1.9. Definitions ..........................................................................................................................228                                                                                |                                                                                |
| D.4.1.10.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 2 require for Physical Protection?

[Assistant]
According to Assessing Security Requirements for Controlled Unclassified Information:

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the U.S. economy and public welfare by providing technical leadership for the Nation's measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of information technology. ITL's responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the cost-effective security and privacy of other than national security-related information in federal information systems. The Special Publication 800-series reports on ITL's research, guidelines, and outreach efforts in information system security, and its collaborative activities with industry, government, and academic organizations.

| Access Control                    | Maintenance         | Security Assessment and Monitoring   |
|-----------------------------------|---------------------|--------------------------------------|
| Awareness and Training            | Media Protection    | System and Communications Protection |
| Audit and Accountability          | Personnel Security  | System and Information Integrity     |
| Configuration Management          | Physical Protection | Planning                             |
| Identification and Authentication | Risk Assessment     | System and Services Acquisition      |
| Incident Response                 |                     | Supply Chain Risk Management         |

A.03.04.05[01]: physical access restrictions associated with changes to the system are defined and documented.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations provide? (Part 6)

[Assistant]
following components: (i) a control section; (ii) a supplemental guidance section; (iii) a control enhancements section; (iv) a references section; and (v) a priority and baseline allocation section.
Figure 2: The Risk Management Framework

<!-- image -->

## 3 Control Baselines and Tailoring

To assist organizations in making the appropriate selection of security controls for information systems, the concept of security control baselines is introduced. Security control baselines are the starting point for the security control selection process and are chosen based on the security category and associated impact level of information systems determined in accordance with FIPS Publication 199 and FIPS Publication 200, respectively (Step One of the RMF). SP 800-53 Rev. 4 states that 'the security controls and control enhancements listed in the initial baselines are not a minimum- but rather a proposed starting point from which controls and controls enhancements may be removed or added.' Appendix D provides a listing of baseline security controls corresponding to the low-impact, moderate-impact, and high-impact information systems, using the high water mark defined in FIPS Publication 200. The security control baselines address the security needs of a broad and diverse set of constituencies, and are developed based on a number of general assumptions, including common environmental, operational, and functional considerations. The baselines also assume typical threats facing common information systems. Articulating the underlying assumptions is a key element in the initial risk framing step of the risk management process described in NIST SP 800-39. To ensure that an appropriate set of controls is identified to provide security commensurate with risk, organizations tailor the controls to align with specific security needs.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What are the CMMC Level 3 requirements?

[Assistant]
According to Assessing Enhanced Security Requirements for Controlled Unclassified Information:

lar A-130. Nothing in this publication should be taken to contradict the standards and guidelines made mandatory and binding on federal agencies by the Secretary of Commerce under statutory authority.
Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, OMB Director, or any other federal official. This publication may be used by nongovernmental organizations on a voluntary basis and is not subject to copyright in the United States. Attribution would, however, be appreciated by NIST. National Institute of Standards and Technology Special Publication 800-172A Natl. Inst. Stand. Technol. Spec. Publ. 800-172A, 62 pages (March 2022)

CODEN: NSPUE2

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-172A

Certain  commercial  entities,  equipment,  or  materials  may  be  identified  in  this  document  to describe an experimental procedure or concept adequately. Such identification is not intended to imply recommendation or endorsement by NIST, nor is it intended to imply that the entities, materials, or equipment are necessarily the best available for the purpose. There may be references in this publication to other publications currently under development by  NIST  in  accordance  with  its  assigned  statutory  responsibilities. The  information  in  this publication, including concepts, practices, and methodologies, may be used by federal agencies even  before  the  completion  of  such  companion  publications. Thus,  until  each  publication  is completed,  current  requirements,  guidelines,  and  procedures,  where  they  exist,  remain operative. For planning and transition purposes, federal agencies may wish to closely follow the development of these new publications by NIST. Organizations are encouraged to review draft publications during the public comment periods and provide feedback to NIST.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC require for Risk Assessment?

[Assistant]
According to Assessing Security and Privacy Controls in Information Systems and Organizations:

DEVELOPMENT LIFE CYCLE .................................................. 6
2.2   CONTROL STRUCTURE AND ORGANIZATION ..................................................................................
7
2.3   BUILDING AN EFFECTIVE ASSURANCE CASE .................................................................................... 8
2.4   ASSESSMENT PROCEDURES: ASSESSMENT OBJECTS, METHODS AND OBJECTIVES ................... 11
CHAPTER THREE THE PROCESS ............................................................................................................. 19
3.1   PREPARE FOR SECURITY AND PRIVACY CONTROL ASSESSMENTS ............................................... 19
3.2   DEVELOP SECURITY AND PRIVACY ASSESSMENT PLANS .............................................................. 23
3.3   CONDUCT SECURITY AND PRIVACY CONTROL ASSESSMENTS ..................................................... 30
3.4   ANALYZE ASSESSMENT REPORT RESULTS ..................................................................................... 32
3.5   ASSESS SECURITY AND PRIVACY CAPABILITIES .............................................................................. 34
CHAPTER FOUR SECURITY AND PRIVACY ASSESSMENT PROCEDURES ................................................. 37
4.1   ACCESS CONTROL............................................................................................................................ 40
4.2   AWARENESS AND TRAINING ........................................................................................................ 118
4.3   AUDIT AND ACCOUNTABILITY ...................................................................................................... 128
4.4   ASSESSMENT, AUTHORIZATION, AND MONITORING ................................................................. 160
4.5   CONFIGURATION MANAGEMENT ................................................................................................

Assessing Security and Privacy Controls in Information Systems and Organizations


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 provide? (Part 12)

[Assistant]
| ..............................................................................................................
17                                |
| 3.7 MAINTENANCE                                                                                | ...................................................................................................................... 18                        |
| 3.8 MEDIAPROTECTION                                                                                | .............................................................................................................. 18                                |
| 3.9 PERSONNEL SECURITY                                                                                | ............................................................................................................ 18                                  |
| 3.10 PHYSICAL PROTECTION ........................................................................................................ | 19                                                                                |
| 3.11 RISKASSESSMENT                                                                                | ................................................................................................................ 19                              |
| 3.12 SECURITY ASSESSMENT                                                                                | ........................................................................................................


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC require for System and Services Acquisition?

[Assistant]
According to Incident Response Recommendations and Considerations for Cybersecurity Risk Management_ A CSF 2.0 Community Profile:

| CSF Element | CSF Element Description | Priority | Recommendations, Considerations, Notes assist with maintaining cross-references | |---------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | ID.RA-09 | The authenticity and integrity of hardware and software are assessed prior to acquisition and use | Medium | N1: See the notes for ID.RA.

Incident Response Recommendations and Considerations for Cybersecurity Risk Management_ A CSF 2.0 Community Profile


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Audit and Accountability?

[Assistant]
According to Assessing Enhanced Security Requirements for Controlled Unclassified Information:

| ASSESSMENT PROCEDURES................................................................................................................
| 3   |
| 2.2                                                                                | ASSURANCE CASES.............................................................................................................................. | 4   |
| CHAPTER THREE THE PROCEDURES............................................................................................... | CHAPTER THREE THE PROCEDURES............................................................................................... | 7   |
| 3.1                                                                                | ACCESSCONTROL ............................................................................................................................... | 8   |
| 3.2                                                                                | AWARENESSANDTRAINING............................................................................................................... | 9   |
| 3.3                                                                                | AUDIT ANDACCOUNTABILITY........................................................................................................... | 10  |
| 3.4                                                                                | CONFIGURATION MANAGEMENT.....................................................................................................


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Security and Privacy Controls for Information Systems and Organizations provide? (Part 3)

[Assistant]
n before the
completion  of  such  companion  publications. Thus,  until  each  publication  is  completed,  current
requirements, guidelines,  and  procedures, where  they  exist,  remain  operative.
For  planning  and
transition  purposes,  federal  agencies  may  wish  to  closely  follow  the  development  of  these  new
publications by NIST. Organizations are encouraged to review draft publications during the designated public comment
periods and provide feedback to NIST. Many NIST publications, other than the ones noted above,
are available at https://csrc.nist.gov/publications. Comments on this publication may be submitted to:

National Institute of Standards and Technology
Attn: Computer Security Division, Information Technology Laboratory
100 Bureau Drive (Mail Stop 8930) Gaithersburg, MD 20899-8930
Email: sec-cert@nist.gov

All comments are subject to release under the Freedom of Information Act (FOIA) [FOIA96]. i

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NIST SP 800-53, REV. 5                                                                                SECURITY AND PRIVACY CONTROLS FOR INFORMATION SYSTEMS AND ORGANIZATIONS
_________________________________________________________________________________________________

Reports on Computer Systems Technology

The National Institute of Standards and Technology (NIST) Information Technology Laboratory
(ITL) promotes the U.S. economy and public welfare by providing technical leadership for the
Nation’s measurement and standards infrastructure. ITL develops tests, test methods, reference
data, proof of concept implementations, and technical analyses to advance the development
and productive use of information technology (IT).


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What does CMMC Level 3 require for Configuration Management?

[Assistant]
According to Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer:

| Access Control                    | Maintenance         | Security Assessment and Monitoring   |
|-----------------------------------|---------------------|--------------------------------------|
| Awareness and Training            | Media Protection    | System and Communications Protection |
| Audit and Accountability          | Personnel Security  | System and Information Integrity     |
| Configuration Management          | Physical Protection | Planning                             |
| Identification and Authentication | Risk Assessment     | System and Services Acquisition      |
| Incident Response                 |                     | Supply Chain Risk Management         |

- Based on NIST SP 800-53, Revision 5 and the NIST SP 800-53B moderate impact control baseline.
- Applies updated tailoring criteria addressing stakeholder feedback (adding new, consolidating, and withdrawing requirements).
- Includes increased specificity in security requirements.
- Introduces organization-defined parameters (ODP) to increase flexibility to better manage organizationspecific risks.

Control Baseline: A set of controls you can implement to meet strategic, legal, regulatory, or contractual security and privacy requirements and manage risk.


[System] You are a CMMC (Cybersecurity Maturity Model Certification) expert with deep knowledge of NIST SP 800-171, SP 800-172, and defense contractor cybersecurity requirements. You provide accurate guidance on CMMC compliance, CUI protection, and DoD security controls.

[User] What additional guidance does Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations provide? (Part 17)

[Assistant]
cy is followed. 12  'Adequately addressed by other related controls' means that the protection capability offered by the control is provided by another control in the same or different control family.
Using this tailoring option helps to eliminate potential redundancy in requirements without affecting the protection of CUI in nonfederal systems and organizations. specified for confidentiality protection. The Program Management (PM) family is not included because it is not associated with any control baseline. Finally, the Contingency Planning (CP) family is not included because it addresses availability. 13

Table 1. Security Requirement Families

| Access Control                    | Maintenance         | Security Assessment and Monitoring   |
|-----------------------------------|---------------------|--------------------------------------|
| Awareness and Training            | Media Protection    | System and Communications Protection |
| Audit and Accountability          | Personnel Security  | System and Information Integrity     |
| Configuration Management          | Physical Protection | Planning                             |
| Identification and Authentication | Risk Assessment     | System and Services Acquisition      |
| Incident Response                 |                     | Supply Chain Risk Management         |

Organization-defined parameters (ODPs) are included in certain security requirements. ODPs provide flexibility through the use of assignment and selection operations to allow federal agencies and nonfederal organizations to specify values for the designated parameters in the requirements. 14 Assignment and selection operations provide the capability to customize the security requirements based on specific protection needs. The determination of ODP values can be guided and informed by laws, Executive Orders, directives, regulations, policies, standards, guidance, or mission and business needs.

Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations