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

[User] What does CMMC Level 2 require for Planning?

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

Certain equipment, instruments, software, or materials, commercial or non-commercial, are identified in this paper in order to specify the experimental procedure adequately. Such identification does not imply recommendation or endorsement of any product or service by NIST, nor does it imply that the materials or equipment identified are necessarily the best available for the purpose. There may be references in this publication to other publications currently under development by NIST in accordance with its assigned statutory responsibilities. The information in this publication, including concepts and methodologies, may be used by federal agencies even before the completion of such companion publications. Thus, until each publication is completed, current requirements, guidelines, and procedures, where they exist, remain operative. For planning and transition purposes, federal agencies may wish to closely follow the development of these new publications by NIST. to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at

The purpose of this publication is to provide procedures for assessing the security requirements in NIST Special Publication (SP) 800-171, Protecting Controlled Unclassified Information (CUI) in Nonfederal Systems and Organizations [3]. Organizations can use the assessment procedures to generate evidence that the security requirements have been satisfied. The scope of the security assessments conducted using the procedures described in this publication is guided and informed by the system security plans for systems that process, store, or transmit CUI. The assessment procedures offer the flexibility to customize assessments based on organizational policies and requirements, known threat and vulnerability information, system and platform dependencies, operational considerations, and tolerance for 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 Level 3 require for Personnel Security?

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

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

Assessing Enhanced Security Requirements for Controlled Unclassified Information


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

[User] What additional guidance does 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.

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

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


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

[User] What additional guidance does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 provide? (Part 11)

[Assistant]
..................................................... 11                       | CHAPTER THREE THE REQUIREMENTS.........................................................................................
11                       |
| 3.1 ACCESSCONTROL                                                                                | .................................................................................................................. 12                            |
| 3.2 AWARENESSANDTRAINING                                                                                | ................................................................................................... 13                                           |
| 3.3 AUDIT ANDACCOUNTABILITY                                                                                | ................................................................................................. 14                                             |
| 3.4 CONFIGURATIONMANAGEMENT                                                                                | ........................................................................................... 14                                                   |
| 3.5 IDENTIFICATIONANDAUTHENTICATION                                                                                | ................................................................................. 16                                                             |
| 3.6 INCIDENT RESPONSE                                                                                | ..............................................................................................................

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 require for Access Control?

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

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.

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 Security Assessment?

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

...... 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......................................................................................... 11                       |
| 3.1 ACCESSCONTROL                                                                                | ..................................................................................................................


[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] How does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 support CMMC certification?

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

## NIST Special Publication 800-172

## Enhanced Security Requirements for Protecting Controlled Unclassified Information

A Supplement to NIST Special Publication 800-171

RON ROSS VICTORIA PILLITTERI GARY GUISSANIE RYAN WAGNER RICHARD GRAUBART

DEB BODEAU

This publication is available free of charge from:

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

<!-- image -->

## NIST Special Publication 800-172

## Enhanced Security Requirements for Protecting Controlled Unclassified Information

A Supplement to NIST Special Publication 800-171

## RON ROSS VICTORIA PILLITTERI

Computer Security Division

National Institute of Standards and Technology

## GARY GUISSANIE RYAN WAGNER

Institute for Defense Analyses

RICHARD GRAUBART DEB BODEAU

The MITRE Corporation

This publication is available free of charge from:

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

## February 2021

<!-- image -->

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

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

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

## Authority

This publication has been developed by NIST to further its statutory responsibilities under the Federal Information Security Modernization Act (FISMA), 44 U.S.C. § 3551 et seq. , Public Law (P.L.) 113-283. NIST is responsible for developing information security standards and guidelines, including minimum requirements for federal information systems, but such standards and guidelines shall not apply to national security systems without the express approval of the appropriate federal officials exercising policy authority over such systems.


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

[User] What additional guidance does A Zero Trust Architecture Model for Access Control in Cloud-Native Applications in Multi-Cloud Environments provide? (Part 18)

[Assistant]
basis through a dynamic policy that takes the current status of the user, service, and requested resource into account. The above requirements can only be met through a comprehensive policy framework.
This document provides guidance for developing a policy framework that will form the foundation for realizing a zero trust architecture (ZTA) while incorporating zero trust principles into its design for cloud-native applications. The policy framework should also consist of a comprehensive set of policies that span all critical entities and resources in the application stack, including the network, network devices, users, and services. ## Background - Zero Trust Principles and Zero Trust Architecture

A summary of the zero trust principles and the definition of a zero trust architecture, as described in SP 800-207, Zero Trust Architecture [1], are:

- Zero trust is the term for an evolving set of cybersecurity paradigms that move defenses from static, network-based perimeters to focus on users and resources. It is a set of security primitives rather than a particular set of technologies. Zero trust assumes that there is no implicit trust granted to user accounts based solely on their physical or network location (i.e., local area networks versus the internet) or to endpoints (devices) based on their ownership (e.g., enterprise or personally owned). Zero trust focuses on protecting resources (e.g., devices, services, workflows, network accounts) rather than network segments, as the network location is no longer seen as the prime component to the security posture of the resource. - A zero trust architecture uses zero trust principles to plan industrial and enterprise infrastructures and workflows. NIST's guidance on zero trust also contains an abstract definition of zero trust architecture and gives general deployment models and use cases with which zero trust could improve an enterprise's overall information technology security posture.

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 does CMMC require for System and Services Acquisition?

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

espective of impact level. In addition to the control baselines, this publication provides tailoring guidance and a set of working assumptions that help guide and inform the control selection process.
Finally, this publication provides guidance on the development of overlays to facilitate control baseline customization for specific communities of interest, technologies, and environments of operation.

Control Baselines for Information Systems and Organizations


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

[User] What additional guidance does Control Baselines for Information Systems and Organizations provide? (Part 12)

[Assistant]
sections, controls, and control enhancements. These examples are illustrative in nature and are not intended to limit or constrain the application of controls or control enhancements by organizations.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## Table of Contents

| CHAPTERONE INTRODUCTION...................................................................................................... 1               | CHAPTERONE INTRODUCTION...................................................................................................... 1               | CHAPTERONE INTRODUCTION...................................................................................................... 1   |
|-----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|
| 1.1                                                                                | PURPOSEANDAPPLICABILITY ................................................................................................... | 1                                                                                |
| 1.2                                                                                | TARGET AUDIENCE ..................................................................................................................


[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 Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations:

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

Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations


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

[User] What additional guidance does Protecting Controlled Unclassified Information (CUI)_ NIST Special Publication 800-171, Revision 3. Small Business Primer provide? (Part 5)

[Assistant]
s and disclosure

Preventing disruption in how information is accessed

<!-- image -->

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

## Structure of SP 800-171

SP 800-171 security requirements are organized into 17 families, as illustrated in the table below. Each family is further broke n down into requirements related to the family's general security topic (see the example at the bottom of the page). | 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         |

## Understanding the Security Requirements in SP 800-171

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:

<!-- image -->

ht ps:/

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

## Overview

<!-- image -->

## Top 5 Frequently Asked Questions

## Top five questions NIST receives on SP 800-171:

| How can I 'comply' with SP 800-171? | NIST does not have a role in determining compliance with the security requirements in SP 800-171. If you have questions regarding requirements to protect CUI or other regulatory requirements, please contact your prime contractor and/or federal point of contact for the contract.


[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 13)

[Assistant]
or, scope, and level of effort for the assessment as well as the degree of assurance that the security requirements have been satisfied. See SP 800-53A, Appendix C, Assessment Method Descriptions [5].
The structure and content of an assessment procedure are provided in the example below:

## 03.01.06      Least Privilege - Privileged Accounts

## ASSESSMENT OBJECTIVE

Multi-Part Determination Statement and ODP for Security Requirement

Security Requirement Name

## Determine if:

A.03.01.06.ODP[01]: personnel or roles to which privileged accounts on the system are to be restricted are defined . A.03.01.06.a: privileged accounts on the system are restricted to <A.03.01.06.ODP[01]: personnel or roles> . A.03.01.06.b: users (or roles) with privileged accounts are required to use non-privileged accounts when accessing non-security functions or non-security information. ## ASSESSMENT METHODS AND OBJECTS

## Examine

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

## Interview

[SELECT FROM: personnel with responsibilities for defining least privileges; personnel with information security responsibilities; system administrators]

## Test

[SELECT FROM: mechanisms for implementing least privilege functions]

## REFERENCES

Source Assessment Procedures: AC-06(02), AC-06(05)

Determination statements have alphanumeric identifiers. Each determination statement begins with the letter ' A ' to indicate that it is part of an assessment procedure.

Assessing Security Requirements for Controlled Unclassified Information


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

[User] What does CMMC require for Security Assessment?

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

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


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

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

[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.

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

DEVELOPMENT OF INFORMATION SYSTEMS, COMPONENTS, AND SERVICES

Security and Privacy Controls for Information Systems and Organizations


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

[User] What does CMMC require for Physical Protection?

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

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the U.S. economy and public welfare by providing technical leadership for the Nation's measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of information technology. ITL's responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the cost-effective security and privacy of other than national security-related information in federal information systems. The Special Publication 800-series reports on ITL's research, guidelines, and outreach efforts in information system security, and its collaborative activities with industry, government, and academic organizations. - The application is made up of a set of loosely coupled components called microservices. Each of the microservices can be hosted on different physical or virtual machines (VMs) and even be geographically distributed (e.g., within several facilities that belong to the enterprise, such as the headquarters, branch offices, and in various cloud service provider environments). - Any transaction involving the application may also involve one or more inter-service (microservice) calls across the network. - A widespread feature (though not necessarily a requirement for cloud-native applications) is the presence of a software platform called the service mesh that provides an integrated set of all application services (e.g., services discovery, networking connections, communication resilience, and security services like authentication and authorization). - Zero trust is the term for an evolving set of cybersecurity paradigms that move defenses from static, network-based perimeters to focus on users and resources. It is a set of security primitives rather than a particular set of technologies.


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

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

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

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


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

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

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

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the U.S. economy and public welfare by providing technical leadership for the Nation's measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of information technology. ITL's responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the cost-effective security and privacy of other than national security-related information in federal information systems. The Special Publication 800-series reports on ITL's research, guidelines, and outreach efforts in information system security, and its collaborative activities with industry, government, and academic organizations. | Table 1. Security Requirement Families .......................................................................................................4          |
|----------------------------------------------------------------------------------------------------------------------------------------------------------|
| Table 2. Security Control Tailoring Criteria.................................................................................................93          |
| Table 3. Access Control (AC) .......................................................................................................................93   |
| Table 4. Awareness and Training (AT).........................................................................................................94          |
| Table 5. Audit and Accountability (AU).......................................................................................................95          |
| Table 6.

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] How does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 support CMMC certification?

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

## NIST Special Publication 800-172

## Enhanced Security Requirements for Protecting Controlled Unclassified Information

A Supplement to NIST Special Publication 800-171

RON ROSS VICTORIA PILLITTERI GARY GUISSANIE RYAN WAGNER RICHARD GRAUBART

DEB BODEAU

This publication is available free of charge from:

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

<!-- image -->

## NIST Special Publication 800-172

## Enhanced Security Requirements for Protecting Controlled Unclassified Information

A Supplement to NIST Special Publication 800-171

## RON ROSS VICTORIA PILLITTERI

Computer Security Division

National Institute of Standards and Technology

## GARY GUISSANIE RYAN WAGNER

Institute for Defense Analyses

RICHARD GRAUBART DEB BODEAU

The MITRE Corporation

This publication is available free of charge from:

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

## February 2021

<!-- image -->

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

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

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

## Authority

This publication has been developed by NIST to further its statutory responsibilities under the Federal Information Security Modernization Act (FISMA), 44 U.S.C. § 3551 et seq. , Public Law (P.L.) 113-283. NIST is responsible for developing information security standards and guidelines, including minimum requirements for federal information systems, but such standards and guidelines shall not apply to national security systems without the express approval of the appropriate federal officials exercising policy authority over such systems.


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

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

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

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


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

[User] What does CMMC require for Personnel Security?

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

SP 800-53 Revision 4 has been updated to reflect the evolving technology and threat space. Example areas include issues particular to mobile and cloud computing; insider threats; applications security; supply chain risks; advanced persistent threat; and trustworthiness, assurance, and resilience of information systems. The revision also contains a new appendix of privacy controls, and related implementation guidance (Appendix J), based on the Fair Information Practice Principles (FIPPs), a widely accepted framework of defining principles to be used in the evaluation and consideration of systems, processes, or programs that affect individual privacy.

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


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

[User] What are the CMMC Level 3 requirements?

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

<!-- image -->

<!-- image -->

Howard Lutnick, Secretary of Commerce

<!-- image -->

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

## Purpose of this Primer

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

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

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

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


[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 16)

[Assistant]
administrator does not need access to CUI, their access should be restricted. - Reassign or remove privileges as necessary, such as when an individual no longer requires access to CUI and the system.
- Identify who within the business has administrative (i.e., system administrator or domain administrator) privileges on systems and devices. Limit administrative privileges to only those who need them to perform specified tasks. Implement policies that restrict use of these accounts for routine, day-to-day tasks that do not require administrative privileges. ## Related Resources:

- View all SP 800-171 Access Control Requirements and Assessment Procedures
- NIST Identity and Access Management Resources

*Family definitions, except for 'Supply Chain Risk Management,' are adapted from FIPS 200 , Minimum Security Requirements for Federal Information and Information Systems. ht ps:/

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

## Getting Started with Access Control

<!-- image -->

## Getting Started with Awareness and Training

## Family: Awareness and Training

Description: Ensuring personnel are made aware of the security risks associated with their activities and of the applicable laws, directives, policies, standards, regulations, or procedures related to the security of organizational systems; and ensuring that organizational personnel are adequately trained to carry out their assigned information security-related duties and responsibilities. ## Getting Started with Awareness and Training

<!-- image -->

Regularly provide basic and advanced security literacy training to new and existing staff. Customize the content to make it relevant -based on the systems that personnel have authorized access to, contextualized to the work environments of personnel (e.g., telework, shop floor), and tailored to the specific roles of personnel.


[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 12)

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

To help ensure that selected and implemented controls are sufficient to adequately mitigate risks to organizational operations and assets, SP 800-53 Rev. 4 introduces the concept of overlays. An overlay provides a set of security controls, control enhancements, and supplemental guidance for community-wide use or to address specialized requirements, technologies, or unique missions and environments of operation. For example, the federal government may decide to establish a government-wide set of security controls and implementation guidance for public key infrastructure (PKI) systems that could be uniformly applied to information systems. Multiple overlays can be applied to a single security control baseline. The tailored baselines that result from the overlay development process may be more or less stringent than the original security control baselines. Risk assessments provide information necessary to determine if the risk from implementing the tailored baselines falls within the risk tolerance of the organizations or communities of interest developing the overlays. General guidance on overlays is provided in section 3.3 and an overlay template is provided in Appendix I.


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

[User] What does CMMC require for Security Assessment?

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

SP 800-53 Revision 4 has been updated to reflect the evolving technology and threat space. Example areas include issues particular to mobile and cloud computing; insider threats; applications security; supply chain risks; advanced persistent threat; and trustworthiness, assurance, and resilience of information systems. The revision also contains a new appendix of privacy controls, and related implementation guidance (Appendix J), based on the Fair Information Practice Principles (FIPPs), a widely accepted framework of defining principles to be used in the evaluation and consideration of systems, processes, or programs that affect individual privacy. Many organizations use well-known international information security standards as the basis or as a supplemental source of security controls for risk management. To aid in selection and comparison, SP 800-53 Rev. 4 provides mapping tables to provide organizations with a general indication of security control coverage with respect to ISO/IEC 27001, Information technologySecurity techniques-Information security management systems-Requirements and ISO/IEC 15408, Information technology -- Security techniques -- Evaluation criteria for IT security . ISO/IEC 27001 applies to all types of organizations and specifies requirements for establishing, implementing, operating, monitoring, reviewing, maintaining, and improving a documented information security management system (ISMS) within the context of business risks. ISO/IEC 15408 (also known as the Common Criteria) provides functionality and assurance requirements for developers of information systems and information system components (i.e., information technology products).


[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 15)

[Assistant] Modelo de portal de recursos........................................................................................................................27 | Figura 5: Modelo de portal de recursos........................................................................................................................27 | | | Figura 6: Entorno de prueba de la aplicación ...............................................................................................................28 | Figura 6: Entorno de prueba de la aplicación ...............................................................................................................28 | | | Figura 7: Proceso del algoritmo de confianza...............................................................................................................29 | Figura 7: Proceso del algoritmo de confianza...............................................................................................................29 | | | Figura 8: Empresa con empleados remotos .................................................................................................................36 | Figura 8: Empresa con empleados remotos .................................................................................................................36 | | | Figura 9: Ejemplo de multinube ...................................................................................................................................36 | Figura 9: Ejemplo de multinube ...................................................................................................................................36 | | | Figura 10: Empresa con acceso para personal externo ................................................................................................38 | |----------------------------------------------------------------------------------------------------------------------------------------------------------------| | Figura 11: Colaboración entre empresas......................................................................................................................39 | | Figura 12: Ciclo de implantación de una ZTA................................................................................................................52 | | Lista de tablas | ## 1 Introducción La infraestructura de una empresa típica se ha convertido en algo cada vez más complejo.


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

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

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

3.4.3. 3.4.3.


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

[User] What does CMMC Level 2 require for System and Information Integrity?

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

| Table 1. Security Requirement Families .......................................................................................................4          |
|----------------------------------------------------------------------------------------------------------------------------------------------------------|
| Table 2. Security Control Tailoring Criteria.................................................................................................93          |
| Table 3. Access Control (AC) .......................................................................................................................93   |
| Table 4. Awareness and Training (AT).........................................................................................................94          |
| Table 5. Audit and Accountability (AU).......................................................................................................95          |
| Table 6. Assessment, Authorization, and Monitoring (CA).........................................................................95                       |
| Table 7. Configuration Management (CM).................................................................................................96                |
| Table 8. Contingency Planning (CP) ............................................................................................................96        |
| Table 9. Identification and Authentication (IA) ..........................................................................................97             |
| Table 10. Incident Response (IR).................................................................................................................98      |
| Table 11. Maintenance (MA) ......................................................................................................................98      |
| Table 12.


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

[User] What does CMMC Level 2 require for System and Information Integrity?

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

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

A.03.07.04.b: media with diagnostic and test programs are checked for malicious code before the media are used in the system.

[SELECT FROM: processes for approving, controlling, and monitoring maintenance tools; mechanisms for supporting or implementing the approval, control, or monitoring of maintenance tools; processes for preventing the unauthorized removal of information; processes for inspecting media for malicious code; mechanisms for supporting media sanitization or the destruction of equipment; mechanisms for supporting the verification of media sanitization; processes for inspecting maintenance tools; mechanisms for supporting or implementing the inspection of maintenance tools; mechanisms for supporting or implementing the inspection of media used for maintenance]


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

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

## Family: Media Protection

Description: Protect system media, both paper and digital; limiting access to data on system media to authorized users; and sanitizing or destroying system media before disposal or release for reuse.


[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 12)

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

To help ensure that selected and implemented controls are sufficient to adequately mitigate risks to organizational operations and assets, SP 800-53 Rev. 4 introduces the concept of overlays. An overlay provides a set of security controls, control enhancements, and supplemental guidance for community-wide use or to address specialized requirements, technologies, or unique missions and environments of operation. For example, the federal government may decide to establish a government-wide set of security controls and implementation guidance for public key infrastructure (PKI) systems that could be uniformly applied to information systems. Multiple overlays can be applied to a single security control baseline. The tailored baselines that result from the overlay development process may be more or less stringent than the original security control baselines. Risk assessments provide information necessary to determine if the risk from implementing the tailored baselines falls within the risk tolerance of the organizations or communities of interest developing the overlays. General guidance on overlays is provided in section 3.3 and an overlay template is provided in Appendix I.


[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 4)

[Assistant]
additional controls to protect the system may also increase accordingly. SP 800-53 Revision 4 provides the security control baselines as the starting point for the security control selection process.
The baselines are chosen based on the security category and associated impact level of information systems as described in Federal Information Processing Standard Publication (FIPS) 199, Standards for Security Categorization of Federal Information and Information Systems, and FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems . A separate guideline, SP 800-53A, Guide for Assessing the Security Controls in Federal Information Systems and Organizations, provides specific guidelines that facilitate periodic assessment of security controls to ensure that controls have been implemented correctly, are operating as intended, and are meeting the organization's security requirements. ## 2 NIST SP 800-53 Revision 4 and the Risk Management Framework (RMF)

NIST SP 800-39, Managing Information Security Risk , defines risk management as 'the program and supporting processes to manage information security risk to organizational operations (including mission, functions, and reputation), organizational assets, individuals, other organizations, and the Nation'. To integrate the risk management process throughout an organization and to address its mission and business concerns, a three-tiered approach is employed. The process is carried out across three tiers with the objective of continuous improvement in the organization's risk-related activities, with effective communication among tiers and stakeholders. Figure 1 illustrates the three-tiered approach to risk management.


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

| Executive Summary.................................................................................................................
1                                   | Executive Summary................................................................................................................. 1                                   |
|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Introduction ...................................................................................................................... | Introduction ...................................................................................................................... | 2                                                                                |
|                                                                                | Background - Zero Trust Principles and Zero Trust Architecture................................


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

[User] What additional guidance does A Zero Trust Architecture Model for Access Control in Cloud-Native Applications in Multi-Cloud Environments provide? (Part 12)

[Assistant]
| Approaches for Deployment and the Limitations of Network-Tier Policies                                                                                | ...............17                                                                                |
| 4.6.2. | Prerequisites for the Deployment of Identity-Tier Policies........................................18                                                                   |                                                                                |
| 4.6.3.


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

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

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

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


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

[User] What additional guidance does Security and Privacy Controls for Information Systems and Organizations provide? (Part 20)

[Assistant]
e—
ensuring that those systems, components, and services are sufficiently trustworthy and provide
the necessary resilience to support the economic and national security interests of the United
States.
This update to NIST Special Publication (SP) 800-53 responds to the call by the DSB by
embarking on a proactive and systemic approach to develop and make available to a broad base
of public and private sector organizations a comprehensive set of safeguarding measures for all
types of computing platforms, including general purpose computing systems, cyber-physical
systems, cloud-based systems, mobile devices, Internet of Things (IoT) devices, weapons
systems, space systems, communications systems, environmental control systems, super
computers, and industrial control systems. Those safeguarding measures include implementing
security and privacy controls to protect the critical and essential operations and assets of
organizations and the privacy of individuals. The objectives are to make the information systems
we depend on more penetration-resistant, limit the damage from attacks when they occur,
make the systems cyber-resilient and survivable, and protect individuals’ privacy. Revision 5 of this foundational NIST publication represents a multi-year effort to develop the
next generation of security and privacy controls that will be needed to accomplish the above
objectives. It includes changes to make the controls more usable by diverse consumer groups
(e.g., enterprises conducting mission and business functions; engineering organizations
developing information systems, IoT devices, and systems-of-systems; and industry partners
building system components, products, and services).


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

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

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

ework. The assessment procedures, executed at various phases of the system
development life cycle, are consistent with the security and privacy controls in NIST Special
Publication 800-53, Revision 5.
The procedures are customizable and can be easily tailored to
provide organizations with the needed flexibility to conduct security and privacy control
assessments that support organizational risk management processes and are aligned with the
stated risk tolerance of the organization. Information on building effective security and privacy
assessment plans is also provided with guidance on analyzing assessment results.

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 A Zero Trust Architecture Model for Access Control in Cloud-Native Applications in Multi-Cloud Environments provide? (Part 9)

[Assistant]
| Enterprise Infrastructure Layer ...................................................................................
| 6                                                                                |
|                                                                                | Designing a Policy Framework for ZTA for Cloud-Native Application Environments. 7                                                                                | Designing a Policy Framework for ZTA for Cloud-Native Application Environments. 7                                                                                |
|                                                                                | Functional Components of Identity-Based Segmentation Policies for ZTA.................. | 8                                                                                |
|                                                                                | Shortcomings of Identity-Based Segmentation Policies for Enterprise ZTA ................


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

| CSF Element                                      | CSF Element Description                                                                                | Priority   | Recommendations, Considerations, Notes making on when to escalate or elevate incident response activities.

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 2 require for Awareness and Training?

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

- Identifying potential problems or shortfalls in security and risk management programs
- Identifying security weaknesses and deficiencies in systems and the environments in which those systems operate
- Prioritizing risk mitigation decisions and activities
- Confirming that identified security weaknesses and deficiencies in the system and environment of operation have been addressed
- Supporting continuous monitoring activities and providing information security situational awareness

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

[SELECT FROM: access control policy and procedures; procedures for publicly accessible content; list of users authorized to post publicly accessible content on organizational systems; training materials or records; records of publicly accessible information reviews; records of response to CUI discovered on public websites; system audit logs; security awareness training records; system security plan; other relevant documents or records]


[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 Risk Management Framework for Information Systems and Organizations_ A System Life Cycle Approach for Security and Privacy provide? (Part 12)

[Assistant]
for the Federal agency's enterprise, but also for the Executive Branch as a whole. The E.O. states:

- '…The executive branch operates its information technology (IT) on behalf of the American people.
Its IT and data should be secured responsibly using all United States Government capabilities...'
- '…Cybersecurity risk management comprises the full range of activities undertaken to protect IT and data from unauthorized access and other cyber threats, to maintain awareness of cyber threats, to detect anomalies and incidents adversely affecting IT and data, and to mitigate the impact of, respond to, and recover from incidents…'

OMB Memorandum M-17-25, Reporting Guidance for Executive Order on Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure [OMB M-17-25] provides implementation guidance to Federal agencies for E.O. 13800. The memorandum states:

'… An effective enterprise risk management program promotes a common understanding for recognizing and describing potential risks that can impact an agency's mission and the delivery of services to the public. Such risks include, but are not limited to, strategic, market, cyber, legal,

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

reputational, political, and a broad range of operational risks such as information security, human capital, business continuity, and related risks…'

'… Effective management of cybersecurity risk requires that agencies align information security management processes with strategic, operational, and budgetary planning processes…'

OMB Circular A-130, Managing Information as a Strategic Resource [OMB A-130], addresses responsibilities for protecting federal information resources and for managing personally identifiable information (PII).

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 Level 2 require for Personnel Security?

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

......................98      |
| Table 11. Maintenance (MA) ......................................................................................................................98      |
| Table 12.
Media Protection (MP)................................................................................................................99        |
| Table 13. Physical and Environmental Protection (PE)...............................................................................99                    |
| Table 14. Planning (PL)..............................................................................................................................100 |
| Table 15. Program Management (PM) .....................................................................................................100               |
| Table 16. Personnel Security (PS) .............................................................................................................101       |
| Table 17. PII Processing and Transparency (PT) .......................................................................................102                |
| Table 18. Risk Assessment (RA) ................................................................................................................102       |
| Table 19. System and Services Acquisition (SA)........................................................................................103                |
| Table 20. System and Communications Protection (SC)...........................................................................103                        |
| Table 21. System and Information Integrity (SI) .......................................................................................104               |
| Table 22. Supply Chain Risk Management (SR).........................................................................................105                  |
| Table 23.


[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 16)

[Assistant]
administrator does not need access to CUI, their access should be restricted. - Reassign or remove privileges as necessary, such as when an individual no longer requires access to CUI and the system.
- Identify who within the business has administrative (i.e., system administrator or domain administrator) privileges on systems and devices. Limit administrative privileges to only those who need them to perform specified tasks. Implement policies that restrict use of these accounts for routine, day-to-day tasks that do not require administrative privileges. ## Related Resources:

- View all SP 800-171 Access Control Requirements and Assessment Procedures
- NIST Identity and Access Management Resources

*Family definitions, except for 'Supply Chain Risk Management,' are adapted from FIPS 200 , Minimum Security Requirements for Federal Information and Information Systems. ht ps:/

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

## Getting Started with Access Control

<!-- image -->

## Getting Started with Awareness and Training

## Family: Awareness and Training

Description: Ensuring personnel are made aware of the security risks associated with their activities and of the applicable laws, directives, policies, standards, regulations, or procedures related to the security of organizational systems; and ensuring that organizational personnel are adequately trained to carry out their assigned information security-related duties and responsibilities. ## Getting Started with Awareness and Training

<!-- image -->

Regularly provide basic and advanced security literacy training to new and existing staff. Customize the content to make it relevant -based on the systems that personnel have authorized access to, contextualized to the work environments of personnel (e.g., telework, shop floor), and tailored to the specific roles of personnel.


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

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

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

| 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 guidance does Assessing Security and Privacy Controls in Information Systems and Organizations provide?

[Assistant]
NIST Special Publication 800-53A
Revision 5

Assessing Security and Privacy Controls in
Information Systems and Organizations

JOINT TASK FORCE

This publication is available free of charge from:
https://doi.org/10.6028/NIST.SP.800-53Ar5

 NIST Special Publication 800-53A
Revision 5

 Assessing Security and Privacy Controls
in Information Systems and
Organizations

JOINT TASK FORCE

This publication is available free of charge from:
https://doi.org/10.6028/NIST.SP.800-53Ar5

January 2022

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

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

Authority

This publication has been developed by NIST to further its statutory responsibilities under the
Federal Information Security Modernization Act (FISMA), 44 U.S.C. § 3551 et seq., Public Law
(P.L.) 113-283. NIST is responsible for developing information security standards and guidelines,
including minimum requirements for federal information systems. Such information security
standards and guidelines shall not apply to national security systems without the express
approval of the appropriate federal officials exercising policy authority over such systems. This
guideline is consistent with the requirements of the Office of Management and Budget (OMB)
Circular A-130. Nothing in this publication should be taken to contradict the standards and guidelines made
mandatory and binding on federal agencies by the Secretary of Commerce under statutory
authority. Nor should these guidelines be interpreted as altering or superseding the existing
authorities of the Secretary of Commerce, OMB Director, or any other federal official. This
publication may be used by nongovernmental organizations on a voluntary basis and is not
subject to copyright in the United States.


[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 does CMMC Level 3 require for Audit and Accountability?

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

| 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 Level 3 require for Supply Chain Risk Management?

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

deral agency to ensure that requirements to protect CUI are identified in applicable contracts or agreements, and CUI is marked by the federal agency. |
| How do I get a 'NIST SP 800 -171 Assessment'?
| The term 'NIST Assessment' and 'NIST SP 800 - 171 Assessment' is frequently used to describe the Department of Defense (DOD) proce ss used to complete its NIST SP 800-171 Assessment Module through the Supplier Performance Risk System (SPRS). NIST develops the underlying technical guidelines (SP 800-171, SP 800-171A, SP 800-172, and SP 800- 172A) on which the 'NIST Assessment' is based, but NIST does not have a role in DOD's implementation of its programs . For additional guidance on NIST's methodology to plan, prepare for, and conduct security requirement assessments, refer to SP 800-171A. |
| What products, vendors, or solutions are 'NIST SP 800 -171 compliant' or 'CMMC - certified'? | NIST does not identify or track implementation of or compliance with the security requirements. |
| What is the relationship between NIST and CMMC? | The Cybersecurity Maturity Model Certification (CMMC) is a DOD program that references the security requirements in NIST SP 800-171 and SP 800-172. NIST is not involved in the design, development, or implementation of the CMMCmodel, accreditation body, or certification process. It is important to note that CMMCis currently based on SP 800-171, Revision 2. Contractors should check for specific requirements in their contracts to understand which version they are required to use. |


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

[User] What additional guidance does A Zero Trust Architecture Model for Access Control in Cloud-Native Applications in Multi-Cloud Environments provide? (Part 3)

[Assistant]
l 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 2023-09-08

## How to Cite this NIST Technical Series Publication:

Chandramouli R, Butcher Z (2023) A Zero-Trust Architecture Model for Access Control in Cloud-Native Applications in Multi-Location Environments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) NIST SP 800-207A. https://doi.org/10.6028/NIST.SP.800-207A

## Author ORCID iDs

Ramaswamy Chandramouli: 0000-0002-7387-5858

## Contact Information

sp800-207A-comments@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

All comments are subject to release under the Freedom of Information Act (FOIA). ## Abstract

One of the basic tenets of zero trust is to remove the implicit trust in users, services, and devices based only on their network location, affiliation, and ownership. NIST Special Publication 800207 has laid out a comprehensive set of zero trust principles and referenced zero trust architectures (ZTA) for turning those concepts into reality. A key paradigm shift in ZTAs is the change in focus from security controls based on segmentation and isolation using network parameters (e.g., Internet Protocol (IP) addresses, subnets, perimeter) to identities. From an application security point of view, this requires authentication and authorization policies based on application and service identities in addition to the underlying network parameters and user identities.