[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 Control Baselines for Information Systems and Organizations:

........................................................ 1               | CHAPTERONE INTRODUCTION......................................................................................................
1   |
|-----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|
| 1.1                                                                                | PURPOSEANDAPPLICABILITY ................................................................................................... | 1                                                                                |
| 1.2                                                                                | TARGET AUDIENCE .................................................................................................................. | 2                                                                                |
| 1.3                                                                                | ORGANIZATIONAL RESPONSIBILITIES .........................................................................................

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 Assessing Security Requirements for Controlled Unclassified Information provide? (Part 5)

[Assistant]
blication 800-series reports on ITL's research, guidelines, and outreach efforts in information system security, and its collaborative activities with industry, government, and academic organizations.
## Audience

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

- System development life cycle responsibilities (e.g., program managers, mission/business owners, information owners/stewards, system designers and developers, system/security engineers, systems integrators)
- Acquisition or procurement responsibilities (e.g., contracting officers)
- System, security, or risk management and oversight responsibilities (e.g., authorizing officials, chief information officers, chief information security officers, system owners, information security managers)
- Security assessment and monitoring responsibilities (e.g., auditors, system evaluators, assessors, independent verifiers/validators, analysts)

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

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

## Patent Disclosure Notice

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

Assessing Security Requirements for Controlled Unclassified Information

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


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

[User] What guidance does Control Baselines for Information Systems and Organizations provide?

[Assistant]
## Control Baselines for Information Systems and Organizations

JOINT TASK FORCE

This publication is available free of charge from:

https://doi.org/10.6028/NIST.SP.800-53B

<!-- image -->

## NIST Special Publication 800-53B

## Control Baselines for Information Systems and Organizations

## JOINT TASK FORCE

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

## October 2020

INCLUDES UPDATES AS OF 12-10-2020; SEE PAGE XI

<!-- image -->

U.S. Department of Commerce Wilbur L. Ross, Jr., Secretary

National Institute of Standards and Technology Walter Copan, NIST Director and Under Secretary of Commerce for 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. 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.


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

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

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

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

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


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

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

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

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

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


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

[User] What additional guidance does Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations provide? (Part 10)

[Assistant]
parameters that organizations define, providing them with the ability to tailor security controls based on specific security requirements, environments of operation, and organizational risk tolerance.
Parameters assigned and/or selected by organizations for a given base control also apply to all control enhancements associated with that control. The first security control in each family (referred to as the dash-1control) addresses policies and procedures needed for effective implementation of all the other controls within each family. Therefore, requirements to develop policies and procedures are not repeated in individual controls. Many security controls and enhancements include supplemental guidance. The supplemental guidance provides additional information about a control or enhancement to help organizations define, develop, and/or implement security controls but does not include any additional requirements. SP 800-53 Rev. 4 includes many changes from SP 800-53 Rev. 3 - 295 controls and control enhancements were added while approximately 100 controls and control enhancements were withdrawn or incorporated into others. Of the eighteen security control families in SP 800-53 Rev. 4, seventeen families are described in the security control catalog in Appendix F, and are closely aligned with the seventeen minimum security requirements for federal information and information systems in FIPS Publication 200, Minimum Security Requirements for Federal Information and Information Systems . One additional family, the Program Management (PM) family, provides controls for information security programs themselves. This family is described in Appendix G of SP 800-53 Rev. 4. While it is not specifically referenced in FIPS 200, the PM section provides security controls at the organization level rather than the information system level. The PM controls are typically implemented at the organization level and not directed at individual organizational information systems.


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

[User] What additional guidance does Security and Privacy Controls for Information Systems and Organizations provide? (Part 19)

[Assistant]
.......................................................................... 424
APPENDIX C   CONTROL SUMMARIES ..........................................................................................
428

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

Executive Summary

As we push computers to “the edge,” building an increasingly complex world of connected
information systems and devices, security and privacy will continue to dominate the national
dialogue. In its 2017 report, Task Force on Cyber Deterrence [DSB 2017], the Defense Science
Board (DSB) provides a sobering assessment of the current vulnerabilities in the U.S. critical
infrastructure and the information systems that support mission-essential operations and assets
in the public and private sectors. “…The Task Force notes that the cyber threat to U.S. critical infrastructure is outpacing
efforts to reduce pervasive vulnerabilities, so that for the next decade at least the United States
must lean significantly on deterrence to address the cyber threat posed by the most capable
U.S. adversaries. It is clear that a more proactive and systematic approach to U.S. cyber
deterrence is urgently needed…”

There is an urgent need to further strengthen the underlying information systems, component
products, and services that the Nation depends on in every sector of the critical infrastructure—
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.

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 Awareness and Training?

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

The security control baselines address the security needs of a broad and diverse set of constituencies, and are developed based on a number of general assumptions, including common environmental, operational, and functional considerations. The baselines also assume typical threats facing common information systems.  Articulating the underlying assumptions is a key element in the initial risk framing step of the risk management process described in NIST SP 800-39.  To ensure that an appropriate set of controls is identified to provide security commensurate with risk, organizations tailor the controls to align with specific security needs. Organizations may perform tailoring at the organization level for all information systems, in support of a particular line of business or mission/business process, at the individual information system level, or by using a combination of the above. The tailoring process is comprised of several steps, as described in SP 800-53 Rev. 4 Section 3.2.  These actions include:


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

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

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

<!-- image -->

## 3 Control Baselines and Tailoring

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


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

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

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

| CHAPTERONE INTRODUCTION...................................................................................................... 1               | CHAPTERONE INTRODUCTION...................................................................................................... 1               | CHAPTERONE INTRODUCTION...................................................................................................... 1   |
|-----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|
| 1.1                                                                                | PURPOSEANDAPPLICABILITY ................................................................................................... | 1                                                                                |
| 1.2                                                                                | TARGET AUDIENCE .................................................................................................................. | 2                                                                                |
| 1.3                                                                                | ORGANIZATIONAL RESPONSIBILITIES .........................................................................................


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

[User] What does CMMC Level 3 require for System and Services Acquisition?

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

ource code. | CUI//SP-CTI   |
| General Proprietary  | e.g., financial information, trade secrets, product research and development, existing and future product designs and performance specifications.
| CUI//PROPIN   |
| Business Information | you do not handle CUI, implementing the security requirements in SP 800-171 will                                                                                | help you take |

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


[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 Zero Trust Architecture:

| | | 3.2.2.


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

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

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

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

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 Personnel Security?

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

The target audience for this publication includes cybersecurity program leadership, cybersecurity personnel, and others who are responsible for preparing for, detecting, responding to, or recovering from cybersecurity incidents. This publication is intended for use by most organizations, regardless of sector, size, or other factors.

At that time, incidents were relatively rare, the scope of most incidents was narrow and welldefined, and incident response and recovery was usually completed within a day or two. Under those conditions, it was realistic to treat incident response as a separate set of activities performed by a separate team of personnel and to depict all incident response activities as part of a circular life cycle. Formal post-incident activities would identify needed improvements and feed them into the preparation stage, thus starting the cycle again. Incident response activities were typically intermittent rather than continuous.

(e.g., detecting the presence of a new threat and characterizing its behavior) and communicate those lessons to the appropriate personnel so that the organization's incident response and other cybersecurity risk management policies, processes, and practices can be adjusted as needed.

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


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

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

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

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

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

## Family: Incident Response


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

[User] What does CMMC Level 3 require for System and Services Acquisition?

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

|                      | When provided as part of a government contract, examples include:                                                                                | Marking 1     |
|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|
| Controlled           | e.g., research and engineering data, engineering drawings, specifications, process sheets, manuals, technical reports, technical orders, catalog-item identifications, data sets, studies and analyses and related information, and computer software executable code and source code. | CUI//SP-CTI   |
| General Proprietary  | e.g., financial information, trade secrets, product research and development, existing and future product designs and performance specifications.


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

[User] What does CMMC Level 3 require for System and Services Acquisition?

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

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

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 does CMMC require for Personnel Security?

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

CHAPTER ONE INTRODUCTION ............................................................................................................... 1
1.1   PURPOSE AND APPLICABILITY .......................................................................................................... 1
1.2   TARGET AUDIENCE ............................................................................................................................ 4
1.3   RELATED PUBLICATIONS AND ASSESSMENT PROCESSES ............................................................... 4
1.4   ORGANIZATION OF THIS PUBLICATION ........................................................................................... 5
CHAPTER TWO THE FUNDAMENTALS ..................................................................................................... 6
2.1   ASSESSMENTS WITHIN THE SYSTEM DEVELOPMENT LIFE CYCLE .................................................. 6
2.2   CONTROL STRUCTURE AND ORGANIZATION .................................................................................. 7
2.3   BUILDING AN EFFECTIVE ASSURANCE CASE .................................................................................... 8
2.4   ASSESSMENT PROCEDURES: ASSESSMENT OBJECTS, METHODS AND OBJECTIVES ................... 11
CHAPTER THREE THE PROCESS ............................................................................................................. 19
3.1   PREPARE FOR SECURITY AND PRIVACY CONTROL ASSESSMENTS ............................................... 19
3.2   DEVELOP SECURITY AND PRIVACY ASSESSMENT PLANS .............................................................. 23
3.3   CONDUCT SECURITY AND PRIVACY CONTROL ASSESSMENTS ..................................................... 30
3.4   ANALYZE ASSESSMENT REPORT RESULTS .....................................................................................

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 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 additional guidance does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 provide? (Part 14)

[Assistant]
..................................................... 50                 | APPENDIX C MAPPINGTABLES ....................................................................................................
50                 |
| APPENDIXD ADVERSARY EFFECTS............................................................................................... 68                    | APPENDIXD ADVERSARY EFFECTS............................................................................................... 68                    |

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

## Errata

This table contains changes that have been incorporated into Special Publication 800-172. Errata updates can include corrections, clarifications, or other minor changes in the publication that are either editorial or substantive in nature. Any potential updates for this document that are not yet published in an errata update or revision-including additional issues and potential corrections-will be posted as they are identified; see the SP 800-172 publication details. | DATE   | TYPE   | CHANGE   | PAGE   |
|--------|--------|----------|--------|

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

## CHAPTER ONE

## INTRODUCTION

THE NEED TO PROTECT CONTROLLED UNCLASSIFIED INFORMATION

oday, more than at any time in history, the Federal Government relies on external service providers to help carry out a wide range of federal missions and business functions using information systems.


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

[User] What does CMMC Level 3 require for Identification and Authentication?

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

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


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

[User] What additional guidance does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 provide? (Part 13)

[Assistant]
| ........................................................................................................
22                                      |
| 3.13 SYSTEMANDCOMMUNICATIONSPROTECTION ..................................................................... | 23                                                                                |
| 3.14 SYSTEMANDINFORMATIONINTEGRITY ................................................................................ | 27                                                                                |
| REFERENCES .................................................................................................................................. 32 | REFERENCES .................................................................................................................................. 32 |
| APPENDIXA GLOSSARY................................................................................................................ 38            | APPENDIXA GLOSSARY................................................................................................................ 38            |
| APPENDIX B ACRONYMS.............................................................................................................. 48             | APPENDIX B ACRONYMS.............................................................................................................. 48             |
| APPENDIX C MAPPINGTABLES .................................................................................................... 50                 | APPENDIX C MAPPINGTABLES ....................................................................................................


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

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

[Assistant]
.................................................................................. 4
1.3   RELATED PUBLICATIONS AND ASSESSMENT PROCESSES ...............................................................
4
1.4   ORGANIZATION OF THIS PUBLICATION ........................................................................................... 5
CHAPTER TWO THE FUNDAMENTALS ..................................................................................................... 6
2.1   ASSESSMENTS WITHIN THE SYSTEM DEVELOPMENT LIFE CYCLE .................................................. 6
2.2   CONTROL STRUCTURE AND ORGANIZATION .................................................................................. 7
2.3   BUILDING AN EFFECTIVE ASSURANCE CASE .................................................................................... 8
2.4   ASSESSMENT PROCEDURES: ASSESSMENT OBJECTS, METHODS AND OBJECTIVES ................... 11
CHAPTER THREE THE PROCESS ............................................................................................................. 19
3.1   PREPARE FOR SECURITY AND PRIVACY CONTROL ASSESSMENTS ............................................... 19
3.2   DEVELOP SECURITY AND PRIVACY ASSESSMENT PLANS .............................................................. 23
3.3   CONDUCT SECURITY AND PRIVACY CONTROL ASSESSMENTS ..................................................... 30
3.4   ANALYZE ASSESSMENT REPORT RESULTS ..................................................................................... 32
3.5   ASSESS SECURITY AND PRIVACY CAPABILITIES .............................................................................. 34
CHAPTER FOUR SECURITY AND PRIVACY ASSESSMENT PROCEDURES ................................................. 37
4.1   ACCESS CONTROL............................................................................................................................


[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 13)

[Assistant]
n 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.
The template is included as an example only-organizations may choose to use other formats or modify the format in this appendix based on organizational needs and the type of overlay being developed. The level of detail included in the overlay is at the discretion of the organization initiating the overlay but should be of sufficient breadth and depth to provide an appropriate rationale and justification for the resulting tailored baseline developed, including any risk-based decisions made during the overlay development process. The sample overlay template consists of eight sections:

- Identification;
- Overlay Characteristics;
- Applicability;
- Overlay Summary;
- Detailed Overlay Control Specifications;
- Tailoring Considerations;
- Definitions; and
- Additional Information or Instructions. ## 9 Privacy

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


[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 16)

[Assistant]
nformation, including inconsistent markings, inadequate safeguarding, and needless restrictions, both by standardizing procedures and by providing common definitions through a CUI Registry [NARA CUI].
The CUI Registry is the online repository of information, guidance, policy, and requirements on handling CUI, including issuances by the National Archives and Records Administration (NARA) CUI Executive Agent. The CUI Registry identifies approved CUI categories, provides general

1 An information system is a discrete set of information resources organized expressly for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information. Information systems also include specialized systems, such as industrial and process control systems, cyber-physical systems, IoT systems, embedded systems, and devices. The term system is used throughout this publication to represent all types of computing platforms that can process, store, or transmit CUI. 2 A federal information system is a system that is used or operated by an executive agency, a contractor of an executive agency, or another organization on behalf of an executive agency. A system that does not meet such criteria is a nonfederal system . 3 Controlled Unclassified Information is any information that law, regulation, or government-wide policy requires to have safeguarding or disseminating controls, excluding information that is classified under [EO 13526] or any predecessor or successor order, or [ATOM54], as amended. 4  Established by Executive Order 13556, the CUI Program standardizes the way that the Executive branch handles unclassified information that requires safeguarding or dissemination controls pursuant to and consistent with law, regulations, and government-wide policies. 5  [EO 13556] designated the National Archives and Records Administration (NARA) as the Executive Agent to implement the CUI Program.


[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 Identification and Authentication?

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

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


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

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

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

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). 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 additional guidance does Assessing Enhanced Security Requirements for Controlled Unclassified Information provide? (Part 20)

[Assistant]
description of assessment methods and objects is provided in Appendix C. Figure 1 illustrates an example of an assessment procedure for the CUI enhanced security requirement 3.1.3e from [SP 800-172].
FIGURE 1:  ASSESSMENT PROCEDURE FOR CUI ENHANCED SECURITY REQUIREMENT

<!-- image -->

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

Organizations are not expected to use all of the assessment methods and objects contained within the assessment procedures identified in this publication. Rather, organizations have the flexibility to establish the level of effort needed and the assurance required for an assessment (e.g., which assessment methods and objects are deemed to be the most useful in obtaining the desired results). The decision on level of effort is made based on how the organization can accomplish the assessment objectives in the most cost-effective and efficient manner and with sufficient confidence to support the determination that the CUI enhanced security requirements have been satisfied. ## ORGANIZATION-DEFINED PARAMETERS

Selected enhanced security requirements contain selection and assignment operations to give organizations flexibility in defining variable parts of those requirements. Selection operations require organizations to select from a list of predefined items. Assignment operations require organizations to define specific parameter values. Determination statements for organizationdefined parameters (ODP) are listed first in the assessment objective section followed by the list of determination statements for the assessment objective. Determination statements for ODPs are noted in bold italics . The ODP values are used in the appropriate determination statements in the assessment procedure, also noted in bold italics .


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

[User] How does Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations support CMMC certification?

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

<!-- image -->

## NIST Special Publication 800 NIST SP 800-171r3

## Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations

Ron Ross Victoria Pillitteri

This publication is available free of charge from:

https://doi.org/10.6028/NIST.SP.800-171r3

<!-- image -->

## NIST Special Publication 800 NIST SP 800-171r3

## Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations

Ron Ross Victoria Pillitteri Computer Security Division

Information Technology Laboratory

This publication is available free of charge from:

https://doi.org/10.6028/NIST.SP.800-171r3

May 2024

<!-- image -->

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

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. Organizations are encouraged to review all draft publications during public comment periods and provide feedback to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at https://csrc.nist.gov/publications.

Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations


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

[User] What additional guidance does Enhanced Security Requirements for Protecting Controlled Unclassified Information_ A Supplement to NIST Special Publication 800-171 provide? (Part 19)

[Assistant]
traditional Information Technology (IT) systems, Operational Technology (OT) systems, Internet of Things

6  [32 CFR 2002] was issued on September 14, 2016, and went into effect on November 14, 2016.
7 The definition of a critical program may vary from organization to organization. For example, the Department of Defense defines a critical program as a program which significantly increases capabilities and mission effectiveness or extends the expected effective life of an essential system/capability [DOD ACQ]. 8  See [OMB M-19-03] and [OCIO HVA]. CHAPTER ONE                                                                                PAGE   2

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

(IoT) systems, and Industrial IoT (IIoT) systems. The convergence of these types of systems has brought forth a new class of systems known as cyber-physical systems , many of which are in sectors of U.S. critical infrastructure, including energy, transportation, defense, manufacturing, healthcare, finance, and information and communications. Therefore, CUI that is processed, stored, or transmitted by any of the above systems related to a critical program or high value asset requires additional protection from the APT.


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

[User] What does CMMC Level 2 require for Risk Assessment?

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

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. 1

| 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.03.02.01.a.03[01]: security literacy training is provided to system users on recognizing indicators of insider threat.


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

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

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

ance. The decision to select a particular set of enhanced security requirements will be based on the mission and business needs of federal agencies and guided and informed by ongoing risk assessments.
The enhanced security requirements for nonfederal systems processing, storing, or transmitting CUI associated with critical programs or high value assets will be conveyed to nonfederal organizations by federal agencies in a contract, grant, or other agreement. The application of the enhanced security requirements to subcontractors will also be addressed by federal agencies in consultation with nonfederal organizations.


[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 14)

[Assistant]
ed 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.
A helpful resource, assembled by member company participants of the National Defense Information Sharing& Analysis Center (ND-ISAC), is the Defense Industrial Base Managed Service Provider Shopping Guide for Small & Medium-Sized Businesses. You may also explore the CyberAB Marketplace to find a consulting firm to assist in NIST 800-171 implementation.* |
| Review NIST SP 800-171A to help you understandhow the security requirements in SP 800-171 can be self-assessed or are assessed by independent, third-party entities or by the | Review NIST SP 800-171A to help you understandhow the security requirements in SP 800-171 can be self-assessed or are assessed by independent, third-party entities or by the                                                                                |

* We provide links to non-NIST sites throughout this publication because they may have information of interest to readers. NIST does not necessarily endorse the views expressed or the facts presented on those sites.


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

[User] What guidance does NIST provide for CMMC Level 2?

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

<!-- image -->

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

## Assessing Security Requirements for Controlled Unclassified Information

Ron Ross Victoria Pillitteri

This publication is available free of charge from:

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

<!-- image -->

## NIST Special Publication

## NIST SP 800-171Ar3

## Assessing Security Requirements for Controlled Unclassified Information

Ron Ross Victoria Pillitteri Computer Security Division

Information Technology Laboratory

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

May 2024

<!-- image -->

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

National Institute of Standards and Technology

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

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


[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 Assessing Security and Privacy Controls in Information Systems and Organizations:

NTROL ASSESSMENTS ..................................................... 30
3.4   ANALYZE ASSESSMENT REPORT RESULTS .....................................................................................
32
3.5   ASSESS SECURITY AND PRIVACY CAPABILITIES .............................................................................. 34
CHAPTER FOUR SECURITY AND PRIVACY ASSESSMENT PROCEDURES ................................................. 37
4.1   ACCESS CONTROL............................................................................................................................ 40
4.2   AWARENESS AND TRAINING ........................................................................................................ 118
4.3   AUDIT AND ACCOUNTABILITY ...................................................................................................... 128
4.4   ASSESSMENT, AUTHORIZATION, AND MONITORING ................................................................. 160
4.5   CONFIGURATION MANAGEMENT ................................................................................................ 177
4.6   CONTINGENCY PLANNING ............................................................................................................ 215
4.7   IDENTIFICATION AND AUTHENTICATION .................................................................................... 243
4.8   INCIDENT RESPONSE ............................................................................................................... 275
4.9   MAINTENANCE ........................................................................................................................ 298
4.10   MEDIA PROTECTION .............................................................................................................. 316
4.11   PHYSICAL AND ENVIRONMENTAL 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 require for Identification and Authentication?

[Assistant]
According to Zero Trust Architecture:

forma estricta antes de permitir el acceso . Se trata de un ciclo constante de acceso, escaneo y evaluación de amenazas, adaptación y reevaluación continua de la confianza en permanente comunicación.
Así, se espera que la empresa que implemente una ZTA cuente con una gestión de la identidad, credenciales y acceso (ICAM, por su nombre en inglés Identity, Credential, and Access Management) y sistemas establecidos de gestión de activos. Entre ellos, se incluye el uso de la autenticación multifactor (MFA, por su denominación en inglés multifactor authentication ) para el acceso a algunos o todos los recursos de la empresa. La supervisión continua con posibles reautenticación y reautorización se produce a lo largo de las transacciones de los usuarios, según lo definido y aplicado por la política (por ejemplo, basada en el tiempo, modificación o nuevo recurso solicitado, actividad anómala de sujeto detectada), la cual procura establecer un equilibrio entre la seguridad, la disponibilidad, la usabilidad y la rentabilidad. 7. La empresa recopila toda la información posible sobre el estado actual de los activos, la infraestructura de la red y las comunicaciones, y la utiliza para mejorar la postura de seguridad. Una empresa debe reunir y procesar los datos sobre la postura de seguridad de sus bienes, el tráfico de red y las solicitudes de acceso. Además, tomará cualquier información obtenida para mejorar la creación y la aplicación de las políticas. Estos datos también servirán como contexto para las solicitudes de acceso de los sujetos (consultar la sección 3.3.1).


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

[User] What does CMMC require for Planning?

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

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

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 Supply Chain Risk Management?

[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.


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

[User] What does CMMC require for Media Protection?

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

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


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

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

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

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


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

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

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

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


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

[User] What does CMMC require for Maintenance?

[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                                   | 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 Risk Management Framework for Information Systems and Organizations_ A System Life Cycle Approach for Security and Privacy provide? (Part 7)

[Assistant] Romine Thomas Michelli Director, Information Technology Laboratory Chair-Defense Community Donna Dodson Susan Dorr-Intelligence Community Co-Chair Cybersecurity Advisor, Information Technology Laboratory Matt Scholl Vicki Michetti Tri-Chair-Defense Community Chief, Computer Security Division Kevin Stine Chris Johnson Chief, Applied Cybersecurity Division Tri-Chair-Intelligence Community Ron Ross Paul Cunningham FISMA Implementation Project Leader Tri-Chair-Civil Agencies ## Joint Task Force Working Group | Ron Ross | Kevin Dulany | Peter Duspiva | Kelley Dempsey | |--------------------|----------------------------------|------------------------------------|----------------------| | NIST, JTF Leader | DoD | Intelligence Community | NIST | | Taylor Roberts OMB | Ellen Nadeau NIST | Victoria Pillitteri NIST | Naomi Lefkovitz NIST | | Jordan Burris OMB | Charles Cutshall OMB | Kevin Herms OMB | Carol Bales OMB | | Jeff Marron NIST | Kaitlin Boeckl NIST | Kirsten Moncada OMB | Jon Boyens NIST | | Dorian Pappas CNSS | Dominic Cussatt Veterans Affairs | Esten Porter The MITRE Corporation | Celia Paulsen NIST | | | Christina Sames | Julie Snyder | Martin Stanley | | Daniel Faigin | | | | | The Aerospace | The MITRE Corporation | The MITRE | Homeland Security | | Corporation | | Corporation | | \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ The authors also wish to recognize Matt

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 3 require for Planning?

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

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

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


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

[User] What does CMMC require for Awareness and Training?

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

NTROL ASSESSMENTS ..................................................... 30
3.4   ANALYZE ASSESSMENT REPORT RESULTS .....................................................................................
32
3.5   ASSESS SECURITY AND PRIVACY CAPABILITIES .............................................................................. 34
CHAPTER FOUR SECURITY AND PRIVACY ASSESSMENT PROCEDURES ................................................. 37
4.1   ACCESS CONTROL............................................................................................................................ 40
4.2   AWARENESS AND TRAINING ........................................................................................................ 118
4.3   AUDIT AND ACCOUNTABILITY ...................................................................................................... 128
4.4   ASSESSMENT, AUTHORIZATION, AND MONITORING ................................................................. 160
4.5   CONFIGURATION MANAGEMENT ................................................................................................ 177
4.6   CONTINGENCY PLANNING ............................................................................................................ 215
4.7   IDENTIFICATION AND AUTHENTICATION .................................................................................... 243
4.8   INCIDENT RESPONSE ............................................................................................................... 275
4.9   MAINTENANCE ........................................................................................................................ 298
4.10   MEDIA PROTECTION .............................................................................................................. 316
4.11   PHYSICAL AND ENVIRONMENTAL 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 2 require for System and Services Acquisition?

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

blication 800-series reports on ITL's research, guidelines, and outreach efforts in information system security, and its collaborative activities with industry, government, and academic organizations.
- System development life cycle responsibilities (e.g., program managers, mission/business owners, information owners/stewards, system designers and developers, system/security engineers, systems integrators)
- Acquisition or procurement responsibilities (e.g., contracting officers)
- System, security, or risk management and oversight responsibilities (e.g., authorizing officials, chief information officers, chief information security officers, system owners, information security managers)
- Security assessment and monitoring responsibilities (e.g., auditors, system evaluators, assessors, independent verifiers/validators, analysts)


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

- Sidecar - Beside each application instance to intercept all traffic into and out of the application and handles east-west internal communication between services in the infrastructure. This is the primary use case of the service mesh.
- Ingress gateway - Controls how applications in the cluster are exposed outside (e.g., managing what names, certificates, ports, protocols, and application endpoints are served to the world outside of the cluster). Think of this as the service mesh control plane that manages a traditional reverse proxy similar to Spring Cloud Gateway, NGINX, or HAProxy.
- Egress gateway - Controls how applications in the cluster communicate with the outside world. This can be used for traditional egress filtering and logging, like a Squid proxy, but can also implement an identity-based policy for what is allowed to call out and perform credential exchange , or present a set of credentials (e.g., an mTLS certificate for a partner API), on behalf of the application so that the application does not need to handle them (e.g., communicating via mTLS with the partner API). Think of this as a nextgeneration identity-aware Squid proxy.
- Edge gateway - Accepts external traffic before the ingress gateway and performs finegrained load balancing across clusters or sites. It is used to terminate external traffic, enable infrastructure-level failover, deploy blue-green clusters, and facilitate ingressgateway-per-team deployments without requiring each of those teams to have publicly routable ingress gateways. Think of this as a modern software-based local traffic manager, like F5, that can apply policy per-request rather than per-connection.


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

[User] What does CMMC require for Risk Assessment?

[Assistant]
According to Zero Trust Architecture:

CDM  System (sistema  CDM). Industry  Compliance (cumplimiento  de  la industria). Threat  Intelligence (inteligencia  sobre  amenazas). Activity  Logs (registros  de  actividades). Control  Plane (plano  de  control). Policy  Engine (motor  de  políticas). Policy Administrator (administrador  de  políticas). Policy Decision Point (punto de decisión de políticas). Data plane (plano de datos). Subject (sujeto). System (sistema). Untrusted (no confiable). Policy Enforcement  Point (punto  de  aplicación  de  políticas). Trusted (confiable). Enterprise Resource (recurso de la empresa). Date Access Policy (política de acceso a los  datos). PKI, public  key  infrastructure (infraestructura  de  clave pública). ID Management (gestión de identidades). SIEM System (sistemas de seguridad de la información y gestión de eventos).

Access  Request (solicitud  de  acceso). Subject  Database  and  History (datos e historial del sujeto). Asset Database (datos del activo). Resource Policy Requirements (requerimientos de la política de recursos). Threat Intelligence  and  Logs (inteligencia  de  amenazas  y  registros). Trust Algorithm (algoritmo de confianza).


[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 Identification and Authentication?

[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.03.01.10.b: the device lock is retained until the user reestablishes access using established identification and authentication procedures.

[SELECT FROM: access control policy and procedures; procedures for session lock and identification and authentication; system design documentation; system configuration settings; display screen with session lock activated; 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 Summary of NIST SP 800-53, Revision 4_ Security and Privacy Controls for Federal Information Systems and Organizations provide? (Part 14)

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

- Authority and Purpose (AP);
- Accountability, Audit, and Risk Management (AR);
- Data Quality and Integrity (DI);
- Data Minimization and Retention (DM);
- Individual Participation and Redress (IP);
- Security (SE);
- Transparency (TR); and,
- Use Limitation (UL). The use of these standardized privacy controls will provide a more disciplined and structured approach for satisfying federal privacy requirements and demonstrating compliance with those requirements. Organizations should decide when to apply control enhancements to support their particular missions and business functions. Specific overlays for privacy can also be considered to facilitate the tailoring of the security control baselines in Appendix D with the requisite privacy controls to ensure that both security and privacy requirements can be satisfied by organizations.


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

[User] What is CMMC practice AC.L2-3.1.6 (NIST 3.1.6)?

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

3.1.6. 3.1.6.

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 18)

[Assistant]
rses, and awareness posters. The resources will likely need to be customized to meet your own unique business needs, but they offer a starting point. Resources can be found in the resources box below.
## Related Resources:

- View all SP 800-171 Awareness and Training Requirements and Assessment Procedures
- NIST Free and Low-Cost Online Cybersecurity Learning Content

ht ps:/

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

- NARA CUI training
- Center for Development of Security Excellence Security Awareness Hub

81&/$66,),('GLYPH<c=3,font=/BCDOEE+Wingdings-Regular>,1)250$7,21GLYPH<c=3,font=/BCDOEE+Wingdings-Regular>,1

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## Getting Started with Audit and Accountability

## Family: Audit and Accountability

Description: Creating, protecting, and retaining system audit records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful, unauthorized, or inappropriate system activity; and ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions. ## Getting Started with Audit and Accountability

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Understand and track who is performing actions within business system(s), what those actions are, and when those actions are taken. Having the ability to review system activity and analyze records, generate reports, resolve audit log process failures, and protect audit data gives the business insight into potential unauthorized activity and improves the ability to respond quickly and appropriately. Consider automated tools for conducting audit and logging activities. Products range from free, open-source tools to commercially available ones. ## Define, maintain, and protect audit record content. - Ask internal information security staff, or your security vendor, what audit log information, if any, the system currently captures and how it is protected and maintained.