[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 5)

[Assistant]
quirements in NIST Special Publication 800-171 and are intended for use by federal agencies in contractual vehicles or other agreements established between those agencies and nonfederal organizations.
## Keywords

Advanced Persistent Threat; Basic Security Requirement; Contractor Systems; Controlled Unclassified Information; CUI Registry; Derived Security Requirement; Enhanced Security Requirement; Executive Order 13556; FIPS Publication 199; FIPS Publication 200; FISMA; NIST Special Publication 800-53; Nonfederal Organizations; Nonfederal Systems; Security Assessment; Security Control; Security Requirement. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## Acknowledgements

The authors also wish to recognize the scientists, engineers, and research staff from the NIST Computer Security and the Applied Cybersecurity Divisions for their exceptional contributions in helping to improve the content of the publication. A special note of thanks to Pat O'Reilly, Jim Foti, Jeff Brewer, Chris Enloe, Ned Goren, and the entire NIST web team for their outstanding administrative support. Finally, the authors also gratefully acknowledge the contributions from individuals and organizations in the public and private sectors, nationally and internationally, whose thoughtful and constructive comments improved the overall quality, thoroughness, and usefulness of this publication. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## Patent Disclosure Notice

NOTICE: The Information Technology Laboratory (ITL) has requested that holders of patent claims whose use may be required for compliance with the guidance or requirements of this publication disclose such patent claims to ITL.


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

<!-- image -->

<!-- image -->

Howard Lutnick, Secretary of Commerce

<!-- image -->

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.

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 Level 3 require for Physical Protection?

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

| ...................................................................................................
3                                            |
| 1.2 TARGET AUDIENCE                                                                                | .................................................................................................................. 4                             |
| 1.3 ORGANIZATIONOF THIS SPECIAL PUBLICATION                                                                                | .......................................................................... 4                                                                     |
| CHAPTERTWO THE FUNDAMENTALS............................................................................................ 5                        | CHAPTERTWO THE FUNDAMENTALS............................................................................................ 5                        |
| 2.1 DEVELOPMENTAPPROACH ...................................................................................................... | 5                                                                                |
| 2.2 ORGANIZATIONANDSTRUCTURE                                                                                | ............................................................................................. 7                                                  |
| 2.3 FLEXIBLE APPLICATION                                                                                | .............................................................................................................

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 Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations provide? (Part 14)

[Assistant]
scribed in a similar manner to those of Appendix F (Security Controls) and Appendix G (Information Security Programs Organization-Wide Information Security Program Management Controls). SP 800-53 Rev.
4 reminds readers to view the privacy controls in Appendix J from the same perspective as the Program Management controls in Appendix G-that is, the controls are implemented for each organizational information system irrespective of the FIPS 199 categorization for that system. Appendix J defines controls, control enhancements, guidance, and references for the following new families:

- 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). The use of these standardized privacy controls will provide a more disciplined and structured approach for satisfying federal privacy requirements and demonstrating compliance with those requirements. Organizations should decide when to apply control enhancements to support their particular missions and business functions. Specific overlays for privacy can also be considered to facilitate the tailoring of the security control baselines in Appendix D with the requisite privacy controls to ensure that both security and privacy requirements can be satisfied by organizations.

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 additional guidance does Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations provide? (Part 7)

[Assistant]
................................3           | 2. The Fundamentals.....................................................................................................................3           |
| 3.
The Security Requirements........................................................................................................6               | 3. The Security Requirements........................................................................................................6               | 3. The Security Requirements........................................................................................................6               |
| References.......................................................................................................................................75 | References.......................................................................................................................................75 | References.......................................................................................................................................75 |
| Appendix A. | Acronyms ................................................................................................................83                         |                                                                                |
| Appendix B. | Glossary...................................................................................................................85                       |                                                                                |
| Appendix C.

Protecting Controlled Unclassified Information in Nonfederal 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.L2-3.1.3 (NIST 3.1.3)?

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

3.1.3. 3.1.3.

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 require for System and Services Acquisition?

[Assistant]
According to A Zero Trust Architecture Model for Access Control in Cloud-Native Applications in Multi-Cloud Environments:

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.

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.

A Zero Trust Architecture Model for Access Control in Cloud-Native Applications in Multi-Cloud Environments


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

[Assistant]
## NIST Special Publication 800-172

## Enhanced Security Requirements for Protecting Controlled Unclassified Information

A Supplement to NIST Special Publication 800-171

RON ROSS VICTORIA PILLITTERI GARY GUISSANIE RYAN WAGNER RICHARD GRAUBART

DEB BODEAU

This publication is available free of charge from:

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

<!-- image -->

## NIST Special Publication 800-172

## Enhanced Security Requirements for Protecting Controlled Unclassified Information

A Supplement to NIST Special Publication 800-171

## RON ROSS VICTORIA PILLITTERI

Computer Security Division

National Institute of Standards and Technology

## GARY GUISSANIE RYAN WAGNER

Institute for Defense Analyses

RICHARD GRAUBART DEB BODEAU

The MITRE Corporation

This publication is available free of charge from:

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

## February 2021

<!-- image -->

U.S. Department of Commerce Wynn Coggins, Acting Secretary

National Institute of Standards and Technology 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 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.


[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 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 Personnel Security?

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

| CHAPTERONE INTRODUCTION...................................................................................................... | CHAPTERONE INTRODUCTION...................................................................................................... |
|--------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|
| 1.1 PURPOSEANDAPPLICABILITY                                                                                | ................................................................................................... 3                                            |
| 1.2 TARGET AUDIENCE                                                                                | .................................................................................................................. 4                             |
| 1.3 ORGANIZATIONOF THIS SPECIAL PUBLICATION                                                                                | .......................................................................... 4                                                                     |
| CHAPTERTWO THE FUNDAMENTALS............................................................................................ 5                        | CHAPTERTWO THE FUNDAMENTALS............................................................................................ 5                        |
| 2.1 DEVELOPMENTAPPROACH ......................................................................................................


[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 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 Media Protection?

[Assistant]
According to Control Baselines for Information Systems and Organizations:

Information security programs are responsible for protecting information and information systems from unauthorized access, use, disclosure, disruption, modification, or destruction (i.e., unauthorized system activity or behavior) in order to provide confidentiality, integrity, and availability. Privacy programs are responsible for managing the risks to individuals associated with the creation, collection, use, processing, dissemination, storage, maintenance, disclosure, or disposal (collectively referred to as 'processing') of personally identifiable information (PII) and for ensuring compliance with applicable privacy requirements. 11  When a system processes PII, the information security and privacy programs have a shared responsibility to manage the impacts to individuals that arise from security risks and collaborate to determine the security categorization and the selection and tailoring of controls from the security control baselines.

Control Baselines 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 additional guidance does Control Baselines for Information Systems and Organizations provide? (Part 19)

[Assistant]
| PROGRAMMANAGEMENTFAMILY .......................................................................................
| 37                                                                                |
| 3.14                                                                                | PERSONNEL SECURITY FAMILY .............................................................................................. | 39                                                                                |
| 3.15                                                                                | PERSONALLY IDENTIFIABLEINFORMATIONPROCESSINGANDTRANSPARENCYFAMILY ............. | 40                                                                                |
| 3.16                                                                                | RISKASSESSMENT FAMILY .................................................................................................... | 41                                                                                |
| 3.17                                                                                | SYSTEMANDSERVICESACQUISITION FAMILY .........................................................................


[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 Planning?

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

.............................................................................. 7
2.2   CONTROL STRUCTURE AND ORGANIZATION ..............................................................................
8
2.3   CONTROL IMPLEMENTATION APPROACHES ............................................................................. 11
2.4   SECURITY AND PRIVACY CONTROLS ......................................................................................... 13
2.5   TRUSTWORTHINESS AND ASSURANCE ..................................................................................... 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 ....................................................................................................................

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] How does Assessing Security Requirements for Controlled Unclassified Information support CMMC certification?

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

<!-- image -->

## NIST Special Publication 800 NIST SP 800-171Ar3

## Assessing Security Requirements for Controlled Unclassified Information

Ron Ross Victoria Pillitteri

This publication is available free of charge from:

https://doi.org/10.6028/NIST.SP.800-171Ar3

<!-- image -->

## NIST Special Publication

## NIST SP 800-171Ar3

## Assessing Security Requirements for Controlled Unclassified Information

Ron Ross Victoria Pillitteri Computer Security Division

Information Technology Laboratory

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171Ar3

May 2024

<!-- image -->

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

National Institute of Standards and Technology

Certain equipment, instruments, software, or materials, commercial or non-commercial, are identified in this paper in order to specify the experimental procedure adequately. Such identification does not imply recommendation or endorsement of any product or service by NIST, nor does it imply that the materials or equipment identified 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 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. to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at

Organizations are encouraged to review all draft publications during public comment periods and provide feedback https://csrc.nist.gov/publications.

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 does CMMC require for Security Assessment?

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

8 (also known as the Common Criteria) provides functionality and assurance requirements for developers of information systems and information system components (i.e., information technology products).
Since many of the technical security controls defined in Appendix F are implemented in hardware, software, and firmware components of information systems, organizations can obtain significant benefit from the acquisition and employment of information technology products evaluated against the requirements of ISO/IEC 15408. The use of such products can provide evidence that certain security controls are implemented correctly, operating as intended, and producing the desired effect in satisfying stated security requirements.


[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 Configuration Management?

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

A CSF Community Profile is a baseline of CSF outcomes that is created and published to address shared interests and goals for reducing cybersecurity risk among a number of organizations. A Community Profile is typically developed for a particular sector, subsector, technology, threat type, or other use case [CSF2.0].

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 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 additional guidance does Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations provide? (Part 5)

[Assistant]
blication 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.
## Audience

This publication serves a diverse group of individuals and organizations in the public and private sectors, including:

- Federal agencies responsible for managing and protecting CUI
- Nonfederal organizations responsible for protecting CUI
- Individuals with system development life cycle responsibilities (e.g., program managers, mission/business owners, information owners/stewards, system designers and developers, system/security engineers, systems integrators)
- Individuals with acquisition or procurement responsibilities (e.g., contracting officers)
- Individuals with system, security, or risk management and oversight responsibilities (e.g., authorizing officials, chief information officers, chief information security officers, system owners, information security managers)
- Individuals with security assessment and monitoring responsibilities (e.g., auditors, system evaluators, assessors, analysts, independent verifiers and validators)

The above roles and responsibilities can be viewed from two perspectives:

- Federal perspective : The entity establishing and conveying the security requirements in contractual vehicles or other types of agreements
- Nonfederal perspective : The entity responding to and complying with the security requirements set forth in contracts or agreements

## Patent Disclosure Notice

NOTICE: ITL has requested that holders of patent claims whose use may be required for compliance with the guidance or requirements of this publication disclose such patent claims to ITL. However, holders of patents are not obligated to respond to ITL calls for patents and ITL has not undertaken a patent search in order to identify which, if any, patents may apply to this publication.


[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 Information Integrity?

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

NIST SP 800-172, Enhanced Security Requirements for Protecting Controlled Unclassified Information provides enhanced security requirements to help protect CUI associated with critical programs or high value assets in nonfederal systems and organizations from the advanced persistent threat (APT). The SP 800-172 enhanced security requirements are designed to protect confidentiality, integrity and availability of information.

2 SP 800-171 does not explicitly cover integrity and availability so it is not a comprehensive security program.

| 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         |


[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 Risk Management Framework for Information Systems and Organizations_ A System Life Cycle Approach for Security and Privacy:

the Federal Information Security Modernization Act of 2014 (FISMA), the Privacy Act of 1974, OMB policies, and Federal Information Processing Standards, among other laws,  regulations,  and  policies.
The  scope  of  this  publication  pertains  to  federal  information systems,  which  are  discrete  sets  of  information  resources  organized  for  the  collection, processing, maintenance, use, sharing, dissemination, or disposition of information, whether such information is in digital or non-digital form. Information resources include information and related resources, such as personnel, equipment, funds, and information technology.

Risk Management Framework for Information Systems and Organizations_ A System Life Cycle Approach for Security and Privacy


[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 Security and Privacy Controls for Information Systems and Organizations:

bust and comprehensive information security and privacy risk
management  programs  can  facilitate  compliance  with  applicable  laws,  regulations,  executive
orders,  and  governmentwide  policies.
Risk  management  frameworks  and  risk  management
processes are essential in developing, implementing, and maintaining the protection measures
necessary to address stakeholder needs and the current threats to organizational operations
and  assets,  individuals,  other  organizations,  and  the  Nation. Employing  effective  risk-based
processes,  procedures,  methods,  and  technologies  ensures  that  information  systems  and
organizations have the necessary trustworthiness and resiliency to support essential mission and
business functions, the U.S. critical infrastructure, and continuity of government.


[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 Security Assessment?

[Assistant]
According to Risk Management Framework for Information Systems and Organizations_ A System Life Cycle Approach for Security and Privacy:

assess; authorization to operate; authorization to use; authorizing official; categorize; common control; common control authorization; common control provider; continuous monitoring; control assessor; control baseline; cybersecurity framework profile; hybrid control; information owner or steward; information security; monitor; ongoing authorization; plan of action and milestones; privacy; privacy assessment report; privacy control; privacy plan; privacy risk; risk assessment; risk executive function; risk management; risk management framework; security; security assessment report; security control; security engineering; security plan; security risk; senior agency information security officer; senior agency official for privacy; supply chain risk management; system development life cycle; system owner; system privacy officer; system security officer; system-specific control. 9  Reciprocity is an agreement between organizations to accept one another's security assessment results in order to reuse system resources or to accept each other's assessed security posture in order to share information. 10  [SP 800-64] and [SP 800-160 v1] provide guidance on security considerations in the SDLC. Organizations may choose to divide security and privacy requirements into more granular categories depending on where the requirements are employed in the SDLC and for what purpose. Organizations may use the term capability requirement to describe a capability that the system or organization must provide to satisfy a stakeholder protection need. In addition, organizations may refer to system requirements that pertain to particular hardware, software, and firmware components of a system as specification requirements -that is, capabilities that implement all or part of a control and that may be assessed (i.e., as part of the verification, validation, testing, and evaluation processes).


[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 Access Control?

[Assistant]
According to Risk Management Framework for Information Systems and Organizations_ A System Life Cycle Approach for Security and Privacy:

This publication describes the Risk Management Framework (RMF) and provides guidelines for applying the RMF to information systems and organizations. The RMF provides a disciplined, structured, and flexible process for managing security and privacy risk that includes information security categorization; control selection, implementation, and assessment; system and common control authorizations; and continuous monitoring. The RMF includes activities to prepare organizations to execute the framework at appropriate risk management levels. The RMF also promotes near real-time risk management and ongoing information system and common control authorization through the implementation of continuous monitoring processes; provides senior leaders and executives with the necessary information to make efficient, cost-effective, risk management decisions about the systems supporting their missions and business functions; and incorporates security and privacy into the system development life cycle. Executing the RMF tasks links essential risk management processes at the system level to risk management processes at the organization level. In addition, it establishes responsibility and accountability for the controls implemented within an organization's information systems and inherited by those 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 require for Supply Chain Risk Management?

[Assistant]
According to Risk Management Framework for Information Systems and Organizations_ A System Life Cycle Approach for Security and Privacy:

This publication contains comprehensive updates to the Risk Management Framework . The updates include an alignment with the constructs in the NIST Cybersecurity Framework; the integration of privacy risk management processes; an alignment with system life cycle security engineering processes; and the incorporation of supply chain  risk  management  processes. Organizations  can use the frameworks and processes in a complementary manner within the RMF to effectively manage security and  privacy risks to organizational  operations  and assets, individuals, other organizations, and the Nation. Revision 2 includes a set of organization-wide RMF tasks that are designed to prepare information system owners to conduct system-level risk management activities. The intent  is  to  increase  the  effectiveness,  efficiency,  and cost-effectiveness  of  the  RMF  by  establishing  a  closer connection to the organization's missions and business functions  and  improving  the  communications  among senior leaders, managers, and operational personnel. assess; authorization to operate; authorization to use; authorizing official; categorize; common control; common control authorization; common control provider; continuous monitoring; control assessor; control baseline; cybersecurity framework profile; hybrid control; information owner or steward; information security; monitor; ongoing authorization; plan of action and milestones; privacy; privacy assessment report; privacy control; privacy plan; privacy risk; risk assessment; risk executive function; risk management; risk management framework; security; security assessment report; security control; security engineering; security plan; security risk; senior agency information security officer; senior agency official for privacy; supply chain risk management; system development life cycle; system owner; system privacy officer; system security officer; system-specific 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 additional guidance does Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations provide? (Part 2)

[Assistant]
ral 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 all draft publications during public comment periods and provide feedback to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at https://csrc.nist.gov/publications. ## Authority

This publication has been developed by NIST in accordance with its statutory responsibilities under the Federal Information Security Modernization Act (FISMA) of 2014, 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 appropriate federal officials exercising policy authority over such systems. This guideline is consistent with the 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. Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of the OMB, 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.


[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 Level 3 require for Security Assessment?

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

Advanced Persistent Threat; Basic Security Requirement; Contractor Systems; Controlled Unclassified Information; CUI Registry; Derived Security Requirement; Enhanced Security Requirement; Executive Order 13556; FIPS Publication 199; FIPS Publication 200; FISMA; NIST Special Publication 800-53; Nonfederal Organizations; Nonfederal Systems; Security Assessment; Security Control; Security Requirement. | CHAPTERONE INTRODUCTION...................................................................................................... | CHAPTERONE INTRODUCTION...................................................................................................... |
|--------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|
| 1.1 PURPOSEANDAPPLICABILITY                                                                                | ................................................................................................... 3                                            |
| 1.2 TARGET AUDIENCE                                                                                | .................................................................................................................. 4                             |
| 1.3 ORGANIZATIONOF THIS SPECIAL PUBLICATION                                                                                | .......................................................................... 4                                                                     |
| CHAPTERTWO 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 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 Assessing Security Requirements for Controlled Unclassified Information provide? (Part 15)

[Assistant]
y of sources and conducting different types of activities during an assessment. An assurance case is a body of evidence organized into an argument demonstrating that some claim about a system is true.
For security assessments conducted using the procedures in this publication, that claim is 'compliance' with the security requirements in SP 800-171. Assessors obtain evidence during security assessments to allow designated officials 4 to make objective determinations about compliance with the security requirements. The evidence needed to make such determinations can be obtained from various sources, including independent, third-party assessments or other types of assessments, depending on the needs of the organization establishing the requirements and the organization conducting the assessments. 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

4 A designated official is an official, either internal or external to a nonfederal organization, with the responsibility to determine organizational compliance with the security requirements. 5  Examples of third-party testing organizations include Common Criteria Testing Laboratories that evaluate IT products in accordance with ISO/IEC 15408 [6] and Cryptographic Module Validation Program Testing Laboratories that evaluate cryptographic modules in accordance with Federal Information Processing Standard (FIPS) 140 [7].


[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 Security Assessment?

[Assistant]
According to Control Baselines for Information Systems and Organizations:

| CONTROL NUMBER   | CONTROL NAME CONTROL ENHANCEMENT NAME                 | PRIVACY CONTROL BASELINE   | SECURITY CONTROL BASELINES   | SECURITY CONTROL BASELINES   | SECURITY CONTROL BASELINES   |
|------------------|-------------------------------------------------------|----------------------------|------------------------------|------------------------------|------------------------------|
| CONTROL NUMBER   | CONTROL NAME CONTROL ENHANCEMENT NAME                 | PRIVACY CONTROL BASELINE   | LOW                          | MOD                          | HIGH                         |
| CA-1             | Policy and Procedures                                 | x                          | x                            | x                            | x                            |
| CA-2             | Control Assessments                                   | x                          | x                            | x                            | x                            |
| CA-2(1)          | INDEPENDENT ASSESSORS                                 |                            |                              | x                            | x                            |
| CA-2(2)          | SPECIALIZED ASSESSMENTS                               |                            |                              |                              | x                            |
| CA-2(3)          | LEVERAGING RESULTS FROM EXTERNAL ORGANIZATIONS        |                            |                              |                              |                              |
| CA-3             | Information Exchange                                  |                            | x                            | x                            | x                            |
| CA-3(1)          | UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS     | W: Moved to SC-7(25). | W: Moved to SC-7(25). | W: Moved to SC-7(25). | W: Moved to SC-7(25).


[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 Awareness and Training?

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

| CHAPTERONE INTRODUCTION...................................................................................................... | CHAPTERONE INTRODUCTION...................................................................................................... |
|--------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|
| 1.1 PURPOSEANDAPPLICABILITY                                                                                | ................................................................................................... 3                                            |
| 1.2 TARGET AUDIENCE                                                                                | .................................................................................................................. 4                             |
| 1.3 ORGANIZATIONOF THIS SPECIAL PUBLICATION                                                                                | .......................................................................... 4                                                                     |
| CHAPTERTWO THE FUNDAMENTALS............................................................................................ 5                        | CHAPTERTWO THE FUNDAMENTALS............................................................................................ 5                        |
| 2.1 DEVELOPMENTAPPROACH ......................................................................................................


[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 Physical Protection?

[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         |

Scope and Applicability of SP 800-171. The security requirements in NIST SP 800-171 are only applicable to components of nonfederal systems that process, store, or transmit CUI or that provide protection for such components. Appropriately scoping requirements is an important factor in determining protection-related investment decisions and managing security risks for your business. You may limit the scope of the security requirements by isolating the system components in a separate security domain. Isolation can be achieved by implementing subnetworks with firewalls or other boundary protection devices. Security domains may employ physical separation, logical separation, or a combination of both. This approach can provide adequate security for CUI and avoid increasing the organization's security posture beyond what it requires for protecting its missions, operations, and assets.

- Permit only qualified and authorized individuals to access the system for the purpose of initiating changes. Access restrictions include physical and logical access controls, software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into the system), and change windows (i.e., changes occur only during specified times).


[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 9)

[Assistant]
tise, and understanding. Appendix E provides three tables that identify specific assurance-related controls that are included in the low-, moderate-, and high-impact baselines described in Appendix D.
The controls described assist organizations in defining the controls needed to satisfy minimum assurance requirements. Where additional assurance is desired to achieve risk management objectives, Table E-4 provides additional security controls and control enhancements to achieve enhanced assurance. Implementers should note that designation of assurance-related controls is not intended to imply a greater level of importance for such controls. Achieving adequate security for organizational information systems requires the correct combination of both functionality- and assurance-related security controls. ## 6 Security Controls

Appendix F, the Security Control Catalog, provides a comprehensive range of countermeasures for organizations and information systems. The security controls are designed to be technologyneutral such that the focus is on the fundamental countermeasures needed to protect organizational information during processing, storage, or transmission. SP 800-53 Rev. 4, therefore, does not provide guidance on the application of security controls to specific technologies, environments of operation, or missions/business functions. These specific areas may be addressed using overlays (see below). Control enhancements are included with many security controls and are selected in order to increase the strength of the base control. Control enhancements are intended to be implemented only in conjunction with implementation of the base control. Some security controls and control enhancements include one or more assignment and selection statements. These are variable parameters that organizations define, providing them with the ability to tailor security controls based on specific security requirements, environments of operation, and organizational 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 does CMMC require for Awareness and Training?

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

uld be developed for narrower audiences, such as federal agencies, small businesses, or educational institutions. For more information on CSF 2.0 Community Profiles, see the Framework Resource Center.
| CSF Element                                                     | CSF Element Description                                                                                | Priority   | Recommendations, Considerations, Notes                                                              |
|-----------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------|-----------------------------------------------------------------------------------------------------|
| PR.AA (Identity Management, Authentication, and Access Control) | Access to physical and logical assets is limited to authorized users, services, and hardware and managed commensurate with the assessed risk of unauthorized access                       | Medium     | N1: See the notes for PR. |
| PR.AA-01                                                        | Identities and credentials for authorized users, services, and hardware are managed by the organization                                                                                | Medium     | N1: See the notes for PR. |
| PR.AA-02                                                        | Identities are proofed and bound to credentials based on the context of interactions                                                                                | Medium     | N1: See the notes for PR.


[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 Risk Assessment?

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

Advanced Persistent Threat; Basic Security Requirement; Contractor Systems; Controlled Unclassified Information; CUI Registry; Derived Security Requirement; Enhanced Security Requirement; Executive Order 13556; FIPS Publication 199; FIPS Publication 200; FISMA; NIST Special Publication 800-53; Nonfederal Organizations; Nonfederal Systems; Security Assessment; Security Control; Security Requirement. This publication is a supplement to NIST Special Publication 800-171 [SP 800-171]. It contains recommendations  for  enhanced  security  requirements  to  provide  additional  protection  for Controlled Unclassified Information (CUI) in nonfederal systems and organizations when such information is  associated  with critical  programs  or  high  value  assets. The  enhanced  security requirements are designed to respond to the advanced persistent threat (APT) and supplement the basic and derived security requirements in [SP 800-171]. While the security requirements in [SP 800-171] focus primarily on confidentiality protection, the enhanced security requirements in this publication address confidentiality, integrity, 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.


[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 2 requirements?

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

other than the ones noted above, are available at

Organizations are encouraged to review all draft publications during public comment periods and provide feedback https://csrc.nist.gov/publications.
## Authority

This publication has been developed by NIST in accordance with its statutory responsibilities under the Federal Information Security Modernization Act (FISMA) of 2014, 44 U.S.C. § 3551 et seq., Public Law (P.L.) 113-283 [1]. 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 appropriate federal officials exercising policy authority over such systems. This guideline is consistent with the requirements of the Office of Management and Budget (OMB) Circular A-130 [2]. 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, Director of the OMB, 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. ## NIST Technical Series Policies

Copyright, Use, and Licensing Statements NIST Technical Series Publication Identifier Syntax

## Publication History

Approved by the NIST Editorial Review Board on 2024-04-23 Supersedes NIST Special Publication 800-171A (June 2018) https://doi.org/10.6028/NIST.SP.800-171A

## How to Cite this NIST Technical Series Publication:

Ross R, Pillitteri V (2024) Assessing Security Requirements for Controlled Unclassified Information 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 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 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] How does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 support CMMC certification?

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

## NIST Special Publication 800-172

## Enhanced Security Requirements for Protecting Controlled Unclassified Information

A Supplement to NIST Special Publication 800-171

RON ROSS VICTORIA PILLITTERI GARY GUISSANIE RYAN WAGNER RICHARD GRAUBART

DEB BODEAU

This publication is available free of charge from:

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

<!-- image -->

## NIST Special Publication 800-172

## Enhanced Security Requirements for Protecting Controlled Unclassified Information

A Supplement to NIST Special Publication 800-171

## RON ROSS VICTORIA PILLITTERI

Computer Security Division

National Institute of Standards and Technology

## GARY GUISSANIE RYAN WAGNER

Institute for Defense Analyses

RICHARD GRAUBART DEB BODEAU

The MITRE Corporation

This publication is available free of charge from:

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

## February 2021

<!-- image -->

U.S. Department of Commerce Wynn Coggins, Acting Secretary

National Institute of Standards and Technology 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 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.


[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 2 requirements?

[Assistant]
According to Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations:

aft publications during public comment periods and provide feedback to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at https://csrc.nist.gov/publications.
## Authority

This publication has been developed by NIST in accordance with its statutory responsibilities under the Federal Information Security Modernization Act (FISMA) of 2014, 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 appropriate federal officials exercising policy authority over such systems. This guideline is consistent with the 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. Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of the OMB, 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. ## NIST Technical Series Policies

Copyright, Use, and Licensing Statements NIST Technical Series Publication Identifier Syntax

## Publication History

Approved by the NIST Editorial Review Board on 2024-04-23 Supersedes NIST Special Publication 800-171r2 (February 2020; Includes updates as of 01-28-2021) https://doi.org/10.6028/NIST.SP.800-171r2

## How to Cite this NIST Technical Series Publication:

Ross R, Pillitteri V (2024) Protecting Controlled Unclassified Information in Nonfederal 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 6)

[Assistant]
chnology Laboratory (ITL) has requested that holders of patent claims whose use may be required for compliance with the guidance or requirements of this publication disclose such patent claims to ITL.
However, holders of patents are not obligated to respond to ITL calls for patents and ITL has not undertaken a patent search in order to identify which, if any, patents may apply to this publication. As of the date of publication and following call(s) for the identification of patent claims whose use may be required for compliance with the guidance or requirements of this publication, no such patent claims have been identified to ITL. No representation is made or implied by ITL that licenses are not required to avoid patent infringement in the use of this publication. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## HOW TO USE THIS PUBLICATION

This publication is a supplement to NIST Special Publication 800-171 [SP 800-171]. It contains recommendations  for  enhanced  security  requirements  to  provide  additional  protection  for Controlled Unclassified Information (CUI) in nonfederal systems and organizations when such information is  associated  with critical  programs  or  high  value  assets. The  enhanced  security requirements are designed to respond to the advanced persistent threat (APT) and supplement the basic and derived security requirements in [SP 800-171]. While the security requirements in [SP 800-171] focus primarily on confidentiality protection, the enhanced security requirements in this publication address confidentiality, integrity, 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.


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

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.

The criteria for whether a security control is assurance- or functionality-related is based on the overall characteristics of the control. In general, assurance-related controls are controls that: (i) define processes, procedures, techniques, or methodologies for designing and developing information systems and system components; (ii) provide supporting operational processes including improving the quality of systems, components, or processes; (iii) produce security evidence from developmental or operational activities; (iv) determine security control effectiveness or risk; or (v) improve personnel skills, expertise, and understanding.


[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] What additional guidance does Control Baselines for Information Systems and Organizations provide? (Part 15)

[Assistant]
| CONTROLBASELINE ASSUMPTIONS ...........................................................................................
| 8                                                                                |
| 2.4                                                                                | TAILORING CONTROLBASELINES .............................................................................................. | 9                                                                                |
| 2.5                                                                                | CAPABILITIES ......................................................................................................................... | 14                                                                                |
| CHAPTER THREE THECONTROLBASELINES................................................................................. | CHAPTER THREE THECONTROLBASELINES................................................................................. | 15                                                                                |
| 3.1                                                                                | ACCESSCONTROLFAMILY ......................................................................................................


[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 2)

[Assistant] ## Table of Contents | 1 | Introduction ............................................................................................................1 | |------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------| | 2 | NIST SP 800-53 Revision 4 and the Risk Management Framework (RMF)........2 | | 3 | Control Baselines and Tailoring ...........................................................................4 | | 4 | Documenting the Control Selection Process ......................................................5 | | 5 | Assurance...............................................................................................................6 | | 6 | Security Controls ...................................................................................................7 | | 7 | International Information Security Standards .....................................................8 | | 8 | Overlays..................................................................................................................9 | | 9 | Privacy ..................................................................................................................10 | | List of Figures | List of Figures | | Figure 1: Risk Management 3-Tiered Approach.........................................................2 | Figure 1: Risk Management 3-Tiered Approach.........................................................2 | | Figure 2: The Risk Management Framework ..............................................................3 | Figure 2: The Risk Management Framework ..............................................................3 | | Figure 3: Security Control Selection Process ............................................................5 | Figure 3: Security Control Selection Process ............................................................5 | ## 1 Introduction In April, 2013, NIST published an update, Revision 4, to NIST Special Publication 800-53, Security and Privacy Controls for Federal Information Systems and Organization .


[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 A Zero Trust Architecture Model for Access Control in Cloud-Native Applications in Multi-Cloud Environments provide? (Part 2)

[Assistant]
ts, 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 all draft publications during public comment periods and provide feedback to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at https://csrc.nist.gov/publications. ## Authority

This publication has been developed by NIST in accordance with its statutory responsibilities under the Federal Information Security Modernization Act (FISMA) of 2014, 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 appropriate federal officials exercising policy authority over such systems. This guideline is consistent with the 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. Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of the OMB, 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.