[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 Security and Privacy Controls for Information Systems and Organizations:

............................................................. 16
3.1   ACCESS CONTROL ..................................................................................................................
18
3.2   AWARENESS AND TRAINING ................................................................................................... 59
3.3   AUDIT AND ACCOUNTABILITY ................................................................................................. 65
3.4   ASSESSMENT, AUTHORIZATION, AND MONITORING ................................................................. 83
3.5   CONFIGURATION MANAGEMENT ........................................................................................... 96
3.6   CONTINGENCY PLANNING .................................................................................................... 115
3.7   IDENTIFICATION AND AUTHENTICATION ............................................................................... 131
3.8   INCIDENT RESPONSE ............................................................................................................ 149
3.9   MAINTENANCE .................................................................................................................... 162
3.10   MEDIA PROTECTION .......................................................................................................... 171
3.11   PHYSICAL AND ENVIRONMENTAL PROTECTION .................................................................... 179
3.12   PLANNING ........................................................................................................................ 194
3.13   PROGRAM MANAGEMENT ................................................................................................. 203
3.14   PERSONNEL SECURITY ........................................................................................................ 222
3.15   PERSONALLY IDENTIFIABLE INFORMATION PROCESSING AND TRANSPARENCY .......................


[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 NIST provide for CMMC Level 2?

[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.

Assessing Security Requirements for Controlled Unclassified Information

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

[Assistant]
<!-- 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


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

| 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 |

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 does CMMC Level 3 require for Configuration Management?

[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 ......................................................................................................

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 does CMMC Level 3 require for Planning?

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

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


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

[User] What does CMMC require for Access Control?

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

In developing standards and guidelines required by [FISMA], NIST consults with other federal agencies and
offices as well as private sector entities to improve information security, avoid unnecessary and costly
duplication of effort, and ensure that NIST publications complement the standards and guidelines
employed for the protection of national security systems. In addition to its comprehensive public review
and vetting process, NIST collaborates with the Office of the Director of National Intelligence (ODNI), the
Department of Defense (DoD), and the Committee on National Security Systems (CNSS) to establish and
maintain a unified framework and common foundation for information security across the Federal
Government. A common foundation and framework for information security provides the intelligence,
defense, and civilian sectors of the Federal Government and their contractors more uniform and
consistent ways to manage risks to organizational operations and assets, individuals, other organizations,
and the Nation that result from the operation and use of systems. A common foundation and framework
also provides a strong basis for the reciprocal acceptance of security authorization decisions and facilitate
information sharing. NIST also works with public and private sector entities to establish and maintain
specific mappings and relationships between the security standards and guidelines developed by NIST, the
International Organization for Standardization (ISO), and the International Electrotechnical Commission
(IEC).

Assessing Security and Privacy Controls in Information Systems and Organizations


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

[User] What additional guidance does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer provide? (Part 13)

[Assistant]
Implement in phases based upon your resources (includin g time, expertise, budget, etc.), starting with understanding what security requirements you may have already satisfied and building from there.
A system security plan documents how an organization meets or plans to meet the security requirements for a system. In particular, the system security plan describes the system boundary, the environment in which the system operates, how the security requirements are satisfied, and the relationships with, or connections to, other systems. View sample templates for system security plans on the Defense Industrial Base Sector Coordinating Council website. |
| Create a plan of action and milestones (POAM). | Once you have completed your audit or security assessment, describe how unsatisfied security requirements will be met and how planned mitigations will be implemented. Organizations can create system security plans and POAMs as separate or combined documents in any format. Federal agencies may consider system security plans and POAMs as inputs to risk-based decisions on whether to process, store, or transmit CUI on a system hosted by a nonfederal organization. View an editable template. |
| Find help when you need it. | Consider reaching out to a local Manufacturing Extension Partnership or APEX Accelerator to help you get started. Regularly communicate with your prime contractor or contract officer to understand contract requirements. Decide if you need to increase the skills of your existing staff, hire new people, or engage an external partner to help you. If hiring an external partner, such as a managed security services provider (MSSP), talk to others in your industry to get their perspective on vendors they have worked with and always thoroughly review any contract or agreement prior to signing.


[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 10)

[Assistant]
Parameters
- Appendix E: Change Log

The contents of this publication can be used for many different assessment-related purposes to determine organizational compliance with the security requirements.
The broad range of potential  assessment methods and objects listed in this publication does not necessarily reflect  and  should  not  be  directly  associated  with  actual  compliance  or  noncompliance. Rather, the selection of specific assessment methods and objects from the list provided can help generate a picture of overall compliance with the security requirements. There is no expectation about the number of methods or objects needed to determine compliance with the security requirements. Moreover, the entire list of potential assessment objects should not be viewed as required artifacts needed to determine compliance. Organizations have the flexibility to determine the specific methods and objects sufficient to obtain the needed evidence to support any claims of compliance. ## 2. The Fundamentals

The process used by organizations and assessors to assess the security requirements in SP 800171 [3] includes (1) preparing for the assessment, (2) developing a security assessment plan, (3) conducting the assessment, and (4) documenting, analyzing, and reporting the assessment results. 2 The remainder of this section describes the structure and content of the procedures used to assess the security requirements and the importance of assurance cases in providing the evidence necessary to determine compliance with the requirements. ## 2.1. Assessment Procedures

The security requirements in SP 800-171 are organized into 17 families, as illustrated in Table 1. The assessment procedures in Sec. 3 are grouped by similar family designations to ensure the completeness and consistency of assessments. The procedures have been derived from the assessment procedures in SP 800-53A [5]. Table 1.


[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 and Privacy Controls in Information Systems and Organizations provide? (Part 10)

[Assistant]
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. v

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NIST SP 800-53A REV. 5
ASSESSING SECURITY AND PRIVACY CONTROLS IN INFORMATION SYSTEMS AND ORGANIZATIONS
_________________________________________________________________________________________________

DEVELOPING COMMON INFORMATION SECURITY AND PRIVACY FOUNDATIONS
COLLABORATION AMONG PUBLIC AND PRIVATE SECTOR ENTITIES

In developing standards and guidelines required by [FISMA], NIST consults with other federal agencies and
offices as well as private sector entities to improve information security, avoid unnecessary and costly
duplication of effort, and ensure that NIST publications complement the standards and guidelines
employed for the protection of national security systems. In addition to its comprehensive public review
and vetting process, NIST collaborates with the Office of the Director of National Intelligence (ODNI), the
Department of Defense (DoD), and the Committee on National Security Systems (CNSS) to establish and
maintain a unified framework and common foundation for information security across the Federal
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 Audit and Accountability?

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

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


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

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

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

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


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

[User] What does CMMC 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 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 Planning?

[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         |

| Identify the role(s) responsible for security and provide the necessary resources. | Whether it is just one person or multiple people within the business, ensure roles, responsibilities, and authorities related to cybersecurity risk management are established, communicated, understood, and enforced. Even if cybersecurity activities are outsourced to an external provider, someone within the business should still be designated to manage cybersecurity risk.


[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 Zero Trust Architecture:

| | | 3.2.2.


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

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

The resulting tailored baseline set of security controls and the supporting rationale for the selection decisions (including any information system use restrictions required by organizations) are documented in system security plans. Documenting significant risk management decisions in the security control selection process is imperative so that authorizing officials have access to necessary information to make informed authorization decisions for organizational information systems, as demonstrated in Figure 3.

Federal agencies are required to ensure that privacy protections are incorporated into information security planning. To that end, SP 800-53 Rev. 4 features eight new families of privacy controls that are based on the internationally accepted Fair Information Practice Principles (FIPPs). The proliferation of social media, Smart Grid, mobile, and cloud computing, as well as the transition from structured to unstructured data and metadata environments, have added significant complexities and challenges for federal organizations in safeguarding privacy. These challenges extend well beyond the traditional information technology security view of protecting privacy, which focused primarily on ensuring confidentiality.


[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 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 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 does CMMC require for Identification and Authentication?

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

so develop and maintain procedures for particularly important processes that may be urgently needed during emergency situations, such as redeploying the organization's primary authentication platform.
| 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.

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 Maintenance?

[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 Assessing Security Requirements for Controlled Unclassified Information provide? (Part 18)

[Assistant]
P[06]: circumstances requiring users to log out of the system are defined . A.03.01.01.a[01]:

A.03.01.01.a[02]:

system account types allowed are defined. system account types prohibited are defined.
A.03.01.01.b[01]: system accounts are created in accordance with organizational policy, procedures, prerequisites, and criteria. A.03.01.01.b[02]: system accounts are enabled in accordance with organizational policy, procedures, prerequisites, and criteria. A.03.01.01.b[03]: system accounts are modified in accordance with organizational policy, procedures, prerequisites, and criteria. A.03.01.01.b[04]: system accounts are disabled in accordance with organizational policy, procedures, prerequisites, and criteria. A.03.01.01.b[05]: system accounts are removed in accordance with organizational policy, procedures, prerequisites, and criteria. A.03.01.01.c.01: authorized users of the system are specified. A.03.01.01.c.02: group and role memberships are specified. A.03.01.01.c.03: access authorizations (i.e., privileges) for each account are specified. A.03.01.01.d.01: access to the system is authorized based on a valid access authorization. A.03.01.01.d.02: access to the system is authorized based on intended system usage. A.03.01.01.e: the use of system accounts is monitored. A.03.01.01.f.01: system accounts are disabled when the accounts have expired. A.03.01.01.f.02: system accounts are disabled when the accounts have been inactive for <A.03.01.01.ODP[01]: time period> . A.03.01.01.f.03: system accounts are disabled when the accounts are no longer associated with a user or individual. A.03.01.01.f.04: system accounts are disabled when the accounts violate organizational policy. A.03.01.01.f.05: system accounts are disabled when significant risks associated with individuals are discovered. A.03.01.01.g.01: account managers and designated personnel or roles are notified within <A.03.01.01.ODP[02]: time period> when accounts are no longer 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 Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 provide? (Part 10)

[Assistant]
| ..................................................................................................................
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                                                                                | ............................................................................................................. 9                                  |
| CHAPTER THREE THE REQUIREMENTS......................................................................................... 11                       | CHAPTER THREE THE 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 Supply Chain Risk Management?

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

curity 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.
As we push computers to 'the edge,' building a complex world of interconnected information systems and devices, security and privacy risks (including supply chain risks) continue to be a large part of the national conversation and topics of great importance. The significant increase in the complexity of the hardware, software, firmware, and systems within the public and private sectors (including the U.S. critical infrastructure) represents a significant increase in attack surface that can be exploited by adversaries. Moreover, adversaries are using the supply chain as an attack vector and effective means of penetrating our systems, compromising the integrity of system elements, and gaining access to critical assets.

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 Incident Response?

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

## Incident Response Recommendations and Considerations for Cybersecurity Risk Management

## Incident Response Recommendations and Considerations for Cybersecurity Risk Management

Nelson A, Rekhi S, Souppaya M, Scarfone K (2025) Incident Response Recommendations and Considerations for Cybersecurity Risk Management: A CSF 2.0 Community Profile. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) NIST SP 800-61r3. https://doi.org/10.6028/NIST.SP.800-61r3


[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 Incident Response Recommendations and Considerations for Cybersecurity Risk Management_ A CSF 2.0 Community Profile provide? (Part 14)

[Assistant]
ization's cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored. - Identify (ID): The organization's current cybersecurity risks are understood.
- Protect (PR): Safeguards to manage the organization's cybersecurity risks are used. - Detect (DE): Possible cybersecurity attacks and compromises are found and analyzed. - Respond (RS): Actions regarding a detected cybersecurity incident are taken. - Recover (RC): Assets and operations affected by a cybersecurity incident are restored. All six Functions have vital roles in incident response. Govern, Identify, and Protect help organizations prevent some incidents, prepare to handle incidents that do occur, reduce the impact of those incidents, and improve incident response and cybersecurity risk management practices based on lessons learned. Detect, Respond, and Recover help organizations discover, manage, prioritize, contain, eradicate, and recover from cybersecurity incidents, as well as perform incident reporting, notification, and other incident-related communications. Fig. 2. Incident response life cycle model based on CSF 2.0 Functions

<!-- image -->

The bottom level reflects that the preparation activities of Govern, Identify, and Protect are not part of the incident response itself. Rather, they are much broader cybersecurity risk management activities that also support incident response. Incident response is shown in the top level of the figure: Detect, Respond, and Recover. Additionally, the need for continuous improvement is indicated as the middle level with the Improvement Category (ID.IM) within the Identify Function and the dashed green lines. Lessons learned from performing all activities in all Functions are fed into Improvement, and those lessons are analyzed, prioritized, and used to inform all of the Functions.


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

[User] What additional guidance does Assessing Enhanced Security Requirements for Controlled Unclassified Information provide? (Part 16)

[Assistant]
processing, storing, or transmitting CUI. The assessments focus on the overall effectiveness of the security safeguards intended to satisfy the enhanced security requirements defined in [SP 800-172].
## 1.2   TARGET AUDIENCE

This publication serves system, information security, and privacy professionals, including individuals with:

- System development responsibilities (e.g., program managers, system developers, system owners, systems integrators, system security engineers);
- Information security assessment and monitoring responsibilities (e.g., system evaluators, assessors, independent verifiers/validators, auditors, analysts, system owners);
- Information security, privacy, risk management, governance, and oversight responsibilities (e.g., authorizing officials, chief information officers, chief privacy officers, chief information security officers, system managers, information security managers); and
- Information security implementation and operational responsibilities (e.g., system owners, information owners/stewards, mission and business owners, systems administrators, system security officers). ## 1.3   ORGANIZATION OF THIS SPECIAL PUBLICATION

The remainder of this special publication is organized as follows:

Chapter Two describes the fundamental concepts associated with assessments of CUI enhanced security requirements, including assessment procedures, methods, objects, and assurance cases that can be created using evidence produced during assessments. Chapter Three provides a catalog of assessment procedures for the CUI enhanced security requirements in [SP 800-172], including assessment objectives and potential assessment methods and objects for each procedure. Supporting appendices provide additional assessment-related information, including general References , a Glossary , a list of Acronyms , and a description of the Assessment Methods used in assessment procedures.

Assessing Enhanced Security Requirements for Controlled Unclassified Information


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

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

[Assistant]
<!-- 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.


[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:

There may be references in this publication to other publications currently under development by
NIST in accordance with its assigned statutory responsibilities. The information in this publication,
including concepts, practices, and methodologies may be used by federal agencies even before the
completion  of  such  companion  publications. Thus,  until  each  publication  is  completed,  current
requirements, guidelines,  and  procedures, where  they  exist,  remain  operative. For  planning  and
transition  purposes,  federal  agencies  may  wish  to  closely  follow  the  development  of  these  new
publications by NIST. CHAPTER ONE   INTRODUCTION ...................................................................................................... 1
1.1   PURPOSE AND APPLICABILITY ................................................................................................... 2
1.2   TARGET AUDIENCE .................................................................................................................. 3
1.3   ORGANIZATIONAL RESPONSIBILITIES......................................................................................... 3
1.4   RELATIONSHIP TO OTHER PUBLICATIONS ................................................................................... 5
1.5   REVISIONS AND EXTENSIONS .................................................................................................... 5
1.6   PUBLICATION ORGANIZATION .................................................................................................. 5
CHAPTER TWO   THE FUNDAMENTALS ............................................................................................ 7
2.1   REQUIREMENTS AND CONTROLS .............................................................................................. 7
2.2   CONTROL STRUCTURE AND ORGANIZATION ..............................................................................

Security and Privacy Controls for Information Systems and Organizations


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

[User] What additional guidance does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer provide? (Part 10)

[Assistant]
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.
ODPs support consistent security assessments in determining whether security requirements have been satisfied. If a federal agency or a consortium of agencies do not specify a particular value or range of values for an ODP, nonfederal organizations must assign the value or values to complete the security requirement. Tailoring: The process by which control baselines are modified to achieve certain organizational goals and objectives. Definitions provided are intended as plain language. Review the NIST Glossary for official NIST definitions. Determine if your business has CUI. ## General Tips for Getting Started with NIST SP 800-171

Everyone will have different approaches to getting started, but here are a few tips to get you started down the right path:

Understand current (or future) legal, regulatory, or contractual requirements for protecting CUI. The federal agency is responsible for communicating what CUI the business is responsible for protecting as part of the contractual arrangement. If there are questions, reach out to the contracting officer. The business may also have additional compliance requirements beyond SP 800-171. If so, an initial task might be to understand where the requirements overlap and where they differ. With that information, the business can begin addressing requirements that meet multiple compliance requirements. Understand how CUI flows into, within, and out of the business. <!-- image -->

Inventorying what systems or components the business has, and how the data flows into, within, and out of those systems or components, helps practitioners understand the scope of applicability of SP 800-171 security requirements to business systems. <!-- image -->

Scope and Applicability of SP 800-171.


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

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

[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 Media Protection?

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

| FAMILY                            | FAMILY                               |
|-----------------------------------|--------------------------------------|
| Access Control                    | Media Protection                     |
| Awareness and Training            | Personnel Security                   |
| Audit and Accountability          | Physical Protection                  |
| Configuration Management          | Risk Assessment                      |
| Identification and Authentication | Security Assessment                  |
| Incident Response                 | System and Communications Protection |
| Maintenance                       | System and Information Integrity     |

17  The Audit and Accountability, Maintenance, Media Protection, and Physical Protection families do not contain enhanced security requirements at this time.

## 3.8   MEDIA PROTECTION


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

[User] What additional guidance does Zero Trust Architecture provide? (Part 14)

[Assistant] | | B.3 | BRECHAS SISTÉMICAS QUE AFECTAN A LA ZTA......................................................................................................65 | | | B.3.1 | Estandarización de las interfaces entre componentes.........................................................................65 | | | B.3.2 | Nuevas normas para hacer frente a la dependencia excesiva de las API propietarias.........................66 | | | B.4 | L AGUNAS EN EL CONOCIMIENTO DE LA ZTA Y FUTURAS ÁREAS DE INVESTIGACIÓN ........................................................66 | | | B.4.1 | Respuesta de los atacantes a la ZTA.....................................................................................................66 | | | B.4.2 | Experiencia del usuario en un entorno ZTA..........................................................................................67 | | | B.4.3 | Resiliencia de la ZTA ante las disrupciones de la empresa y la red ......................................................67 | | | B.5 | Referencias ................................................................................................................................................68 | | | Lista de figuras Figura 1: Accesos | de la confianza | cero..........................................................................................................................14 | | Figura 2: Componentes lógicos del núcleo de la confianza cero ..................................................................................19 | Figura 2: Componentes lógicos del núcleo de la confianza cero ..................................................................................19 | | | Figura 3: Modelo de agente y puerta de enlace de los dispositivos.............................................................................25 | Figura 3: Modelo de agente y puerta de enlace de los dispositivos.............................................................................25 | | | Figura 4: Modelo de puerta de enclave........................................................................................................................26 | Figura 4: Modelo de puerta de enclave........................................................................................................................26 | | | Figura 5:


[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 Incident Response Recommendations and Considerations for Cybersecurity Risk Management_ A CSF 2.0 Community Profile provide? (Part 16)

[Assistant]
ategory) |
| Post-Incident Activity                              | Identify (Improvement Category) |

Organizations should use the incident response life cycle framework or model that suits them best.
The model in this document is based on CSF 2.0 to take advantage of the wealth of resources available for CSF 2.0 and aid organizations that are already using the CSF. The appropriate incident response life cycle framework or model for an organization depends on many factors; for example, larger and more technology-dependent organizations are likely to benefit more from using a framework or model emphasizing continuous improvement than other organizations would. Regardless of the incident response life cycle framework or model used, every organization should take incident response into consideration throughout their cybersecurity risk management activities. ## 2.2. Incident Response Roles and Responsibilities

In the past, incident response activities were performed almost exclusively by incident handlers from the organization's own incident response team. Today, while incident handlers are still critically important, most organizations increasingly recognize that the success of their incident response efforts depend on the participation of many internal and external parties who hold a wide variety of roles and responsibilities and may be spread around the world. Roles and responsibilities will differ for each organization and may also differ within an organization based on the nature of a particular incident. Examples of incident response roles and responsibilities include the following:

- Leadership . The organization's leadership team oversees incident response, allocates funding, and may have decision-making authority on high-impact response actions, such as shutting down or rebuilding critical services. - Incident handlers.


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

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

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

- Applying a threat-centric approach to security requirements specification;
- Employing system and security architectures that support logical and physical isolation using system and network segmentation techniques, virtual machines, and containers; 16
- Implementing dual authorization controls for the most critical or sensitive operations;
- Limiting persistent storage to isolated enclaves or domains;
- Implementing a comply-to-connect approach for systems and networks;
- Extending configuration management requirements by establishing authoritative sources for addressing changes to systems and system components;
- Periodically refreshing or upgrading organizational systems and system components to a known state or developing new systems or components;
- Employing a security operations center with advanced analytics to support continuous monitoring and protection of organizational systems; and
- Using deception to confuse and mislead adversaries regarding the information they use for decision-making, the value and authenticity of the information they attempt to exfiltrate, or the environment in which they are operating.

| FAMILY                            | FAMILY                               |
|-----------------------------------|--------------------------------------|
| Access Control                    | Media Protection                     |
| Awareness and Training            | Personnel Security                   |
| Audit and Accountability          | Physical Protection                  |
| Configuration Management          | Risk Assessment                      |
| Identification and Authentication | Security Assessment                  |
| Incident Response                 | System and Communications Protection |
| Maintenance                       | System and Information Integrity     |

## 3.1   ACCESS CONTROL


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

[User] What additional guidance does Incident Response Recommendations and Considerations for Cybersecurity Risk Management_ A CSF 2.0 Community Profile provide? (Part 12)

[Assistant]
and Privacy Reference Tool (CPRT). An example of a CPRT mapping is associating CSF 2.0 outcomes with NIST Special Publication (SP) 800-53 controls that can be implemented to help achieve the outcomes.
In this way, CSF 2.0 provides a common language that facilitates access to a large number of other resources. This publication supersedes SP 800-61r2 (Revision 2), Computer Security Incident Handling Guide [SP800-61r2]. ## 1.2. Document Structure

The remainder of this document is organized into the following sections and appendices:

- Section 2 discusses how incident response has evolved to become a critical part of cybersecurity risk management, as well as how the concept of the incident response life cycle has changed to reflect that. - Section 3 presents incident response recommendations and considerations for an organization's cybersecurity risk management practices. They are organized and documented as a CSF 2.0 Community Profile. - The References section lists references cited throughout this publication. - Appendix A and Appendix B provide an acronyms list and a glossary, respectively. - Appendix C contains a change log of the major changes made since the previous revision. ## 2. Incident Response as Part of Cybersecurity Risk Management

This section explains the fundamental concepts of incident response as an integral part of cybersecurity risk management. Section 2.1 explores the incident response life cycle and proposes a new life cycle model based on CSF 2.0 Functions. Section 2.2 discusses incident response roles and responsibilities both inside and outside an organization. Finally, Section 2.3 briefly examines incident response policies, processes, and procedures. ## 2.1. Incident Response Life Cycle Model

Fig. 1 depicts the incident response life cycle model illustrated in the previous version of this publication [SP800-61r2]. Fig. 1.


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

- Technology professionals. Cybersecurity, privacy, system, network, cloud, and other technology architects, engineers, and administrators, as well as software developers, may be involved in incident response and recovery efforts. - Legal. Legal experts can review incident response plans, policies, and procedures to ensure compliance with applicable laws and regulations, including the right to privacy. Legal experts can also review contracts with technology suppliers and other third parties when there are incident response implications. In addition, incident responders can seek guidance from their organization's legal department if a particular incident may have legal ramifications, such as the prosecution of a suspect, lawsuits, or situations that require a memorandum of understanding (MOU) or other binding agreement. - Public affairs and media relations. Depending on the nature and impact of an incident, it may be necessary to inform the media and, by extension, the public. Sometimes, the media learns of incidents through alternate sources (i.e., not through public affairs personnel). Having a media engagement strategy in place can greatly aid in this situation.


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

via mutual Transport Layer Security  (mTLS) when a service makes an initial connection establishment as part of its inter-service call. This authentication is not performed again in subsequent calls.
However, the security of this operation is ensured by not allowing the connections to be very long (usually as long as the time to live [TTL] of the service's identity certificate or as short as 15-30 minutes, depending on the configuration).

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

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

## THE APPLICABILITY OF ENHANCED SECURITY REQUIREMENTS

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


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

[User] What 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:

............................................ 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 require for Media Protection?

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

CHAPTER ONE   INTRODUCTION ...................................................................................................... 1
1.1   PURPOSE AND APPLICABILITY ................................................................................................... 2
1.2   TARGET AUDIENCE .................................................................................................................. 3
1.3   ORGANIZATIONAL RESPONSIBILITIES......................................................................................... 3
1.4   RELATIONSHIP TO OTHER PUBLICATIONS ................................................................................... 5
1.5   REVISIONS AND EXTENSIONS .................................................................................................... 5
1.6   PUBLICATION ORGANIZATION .................................................................................................. 5
CHAPTER TWO   THE FUNDAMENTALS ............................................................................................ 7
2.1   REQUIREMENTS AND CONTROLS .............................................................................................. 7
2.2   CONTROL STRUCTURE AND ORGANIZATION .............................................................................. 8
2.3   CONTROL IMPLEMENTATION APPROACHES ............................................................................. 11
2.4   SECURITY AND PRIVACY CONTROLS ......................................................................................... 13
2.5   TRUSTWORTHINESS AND ASSURANCE ..................................................................................... 14
CHAPTER THREE   THE CONTROLS ................................................................................................. 16
3.1   ACCESS CONTROL ..................................................................................................................


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

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

[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         |

Below is an example of the Incident Response Testing requirement, which is part of the Incident Response (IR) family. The structure and content of a typical security requirement includes:

ODPs support consistent security assessments in determining whether security requirements have been satisfied. If a federal agency or a consortium of agencies do not specify a particular value or range of values for an ODP, nonfederal organizations must assign the value or values to complete the security requirement.


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

........................................................................ | 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 require for Incident Response?

[Assistant]
According to Zero Trust Architecture:

| ACT-IAC   | American Council for Technology and Industry Advisory Council. (2019). Zero Trust Cybersecurity Current Trends . Disponible en https://www.actiac.org/zero- trust-cybersecurity-current-trends                                                                                |
|-----------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Anderson  | Anderson B., McGrew D. (2017). Machine Learning for Encrypted Malware Traffic Classification: Accounting for Noisy Labels and Non- Stationarity. Proceedings of the 23rd ACMSIGKDD International Conference on Knowledge Discovery and Data Mining (ACM, Halifax, Nova Scotia, Canada), pp. 1723-1732. https://doi.org/10.1145/3097983.3098163                  |
| BCORE     | Department of Defense CIO. (2007). Department of Defense Global Information Grid Architecture Vision Version 1.0 June 2007. Disponible en http://www.acqnotes.com/Attachments/DoD%20GIG%20Architectural% 20Vision,%20June%2007.pdf                                                                                |
| CSA-SDP   | Cloud Security Alliance. (2015). SDP Specification 1.0. Disponible en https://cloudsecurityalliance.org/artifacts/sdp-specification-v1-0/                                                                                |
| FIPS199   | National Institute of Standards and Technology. (2004). Standards for Security Categorization of Federal Information and Information Systems. (U.


[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.


[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 3)

[Assistant]
g/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.
(National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) NIST SP 800-171r3. https://doi.org/10.6028/NIST.SP.800-171r3

## Author ORCID iDs

Ron Ross: 0000-0002-1099-9757

Victoria Pillitteri: 0000-0002-7446-7506

## Submit Comments

## 800-171comments@list.nist.gov

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

## Additional Information

Additional information about this publication is available at https://csrc.nist.gov/pubs/sp/800/171/r3/final, including related content, potential updates, and document history. All comments are subject to release under the Freedom of Information Act (FOIA). ## Abstract

The protection of Controlled Unclassified Information (CUI) is of paramount importance to federal agencies and can directly impact the ability of the Federal Government to successfully conduct its essential missions and functions. This publication provides federal agencies with recommended security requirements for protecting the confidentiality of CUI when the information is resident in nonfederal systems and organizations. The requirements apply to components of nonfederal systems that process, store, or transmit CUI or that provide protection for such components. The security requirements are intended for use by federal agencies in contractual vehicles or other agreements established between those agencies and nonfederal organizations. This publication can be used in conjunction with its companion publication, NIST Special Publication 800-171A, which provides a comprehensive set of procedures to assess the security requirements.

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 does CMMC Level 3 require for System and Services Acquisition?

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

ource 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 |

| 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         |