DoD Assessment Methodology
Source of Reference: The NIST SP 800-171 DoD Assessment Methodology from U.S. Department of Defense Website
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DoD Assessment Scoring Template
[a] The following template illustrates the scoring methodology described in section K-1. If all requirements are MET, a score of 110 is awarded. For each practice NOT MET, the associated value is subtracted from 110. Consistency results from the fact that the assessments are based on what is not yet implemented, or document that all requirements have been MET.
[b] It is important to note an assessment is about the extent to which the company has implemented the practices. It is not a value judgement about the specific approach to implementing – in other words, all solutions that meet the CMMC practices are acceptable. This is not an assessment of one solution compared to another.
[c] Scoring for Basic, Medium, and High NIST SP 800-171 DoD, and CMMC 3rd Party Assessments are all the same.
[d] While NIST does not prioritize requirements in terms of impact, certain requirements do have more impact than others. In this scoring methodology security requirements/ CMMC Practices are weighted based on their effect on the information system and DoD CUI created on or transiting that system.
| Practice Number | Practice Requirement | Value | Comment |
|---|---|---|---|
| AC.L1-3.1.1* | Limit system access to authorized users, processes acting on behalf of authorized users, and devices (including other systems). | 5 | |
| AC.L1-3.1.2* | Limit system access to the types of transactions and functions that authorized users are permitted to execute. | 5 | |
| AC.L2-3.1.3 | Control the flow of CUI in accordance with approved authorizations. | 1 | |
| AC.L2-3.1.4 | Separate the duties of individuals to reduce the risk of malevolent activity without collusion. | 1 | |
| AC.L2-3.1.5 | Employ the principle of least privilege, including for specific security functions and privileged accounts. | 3 | |
| AC.L2-3.1.6 | Use non-privileged accounts or roles when accessing non-security functions. | 1 | |
| AC.L2-3.1.7 | Prevent non-privileged users from executing privileged functions and capture the execution of such functions in audit logs. | 1 | |
| AC.L2-3.1.8 | Limit unsuccessful logon attempts. | 1 | |
| AC.L2-3.1.9 | Provide privacy and security notices consistent with applicable CUI rules. | 1 | |
| AC.L2-3.1.10 | Use session lock with pattern-hiding displays to prevent access and viewing of data after a period of inactivity. | 1 | |
| AC.L2-3.1.11 | Terminate (automatically) a user session after a defined condition. | 1 | |
| AC-L2.3.1.12 | Monitor and control remote access sessions. | 5 | Do not subtract points if remote access not permitted |
| AC.L2-3.1.13 | Employ cryptographic mechanisms to protect the confidentiality of remote access sessions. | 5 | Do not subtract points if remote access not permitted |
| AC.L2-3.1.14 | Route remote access via managed access control points. | 1 | |
| AC.L2-3.1.15 | Authorize remote execution of privileged commands and remote access to security-relevant information. | 1 | |
| AC.L2-3.1.16 | Authorize wireless access prior to allowing such connections. | 5 | Do not subtract points if wireless access not permitted |
| AC.L2-3.1.17 | Protect wireless access using authentication and encryption. | 5 | Do not subtract points if wireless access not permitted |
| AC.L2-3.1.18 | Control connection of mobile devices. | 5 | Do not subtract points if connection of mobile devices is not permitted |
| AC.L2-3.1.19 | Encrypt CUI on mobile devices and mobile computing platforms | 3 | Exposure limited to CUI on mobile platform |
| AC.L1-3.1.20* | Verify and control/limit connections to and use of external systems. | 1 | |
| AC.L2-3.1.21 | Limit use of portable storage devices on external systems. | 1 | |
| AC.L1-3.1.22* | Control CUI posted or processed on publicly accessible systems. | 1 | |
| AT.L2-3.2.1 | Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems. | 5 | |
| AT.L2-3.2.2 | Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities. | 5 | |
| AT.L2-3.2.3 | Provide security awareness training on recognizing and reporting potential indicators of insider threat. | 1 | |
| AU.L2-3.3.1 | Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity. | 5 | |
| AU.L2-3.3.2 | Ensure that the actions of individual system 3
users can be uniquely traced to those users
so they can be held accountable for their
actions.
3.3.3 Review and update logged events. 1 3.3.4 Alert in the event of an audit logging process 1 failure. 3.3.5 Correlate audit record review, analysis, and 5 reporting processes for investigation and
response to indications of unlawful,
unauthorized, suspicious, or unusual activity.
3.3.6 Provide audit record reduction and report 1 generation to support on-demand analysis
and reporting.
3.3.7 Provide a system capability that compares 1 and synchronizes internal system clocks with
an authoritative source to generate time
stamps for audit records.
3.3.8 Protect audit information and audit logging 1 tools from unauthorized access,
modification, and deletion.
3.3.9 Limit management of audit logging 1 functionality to a subset of privileged users. 3.4.1 Establish and maintain baseline 5 configurations and inventories of
organizational systems (including hardware,
software, firmware, and documentation)
throughout the respective system
development life cycles.
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NIST SP 800-171 DoD Assessment Methodology, Version 1.2.1, June 24, 2020
Additions/edits to Version 1.1 are shown in blue
Security Requirement Value Comment 3.4.2 Establish and enforce security configuration 5 settings for information technology products
employed in organizational systems.
3.4.3 Track, review, approve or disapprove, and 1 log changes to organizational systems. 3.4.4 Analyze the security impact of changes prior 1 to implementation. 3.4.5 Define, document, approve, and enforce 5 physical and logical access restrictions
associated with changes to organizational
systems.
3.4.6 Employ the principle of least functionality by 5 configuring organizational systems to
provide only essential capabilities.
3.4.7 Restrict, disable, or prevent the use of 5 nonessential programs, functions, ports,
protocols, and services.
3.4.8 Apply deny-by-exception (blacklisting) policy 5 to prevent the use of unauthorized software
or deny-all, permit-by-exception
(whitelisting) policy to allow the execution of
authorized software.
3.4.9 Control and monitor user-installed software. 1 Identify system users, processes acting on 5 3.5.1* behalf of users, and devices.
Authenticate (or verify) the identities of 5
3.5.2* users, processes, or devices, as a
prerequisite to allowing access to
organizational systems.
3.5.3 Use multifactor authentication (MFA) for 3 to 5 Subtract 5 points if MFA not local and network access to privileged implemented. Subtract 3
accounts and for network access to non- points if implemented for
privileged accounts. remote and privileged users,
but not the general user
3.5.4 Employ replay-resistant authentication 1 mechanisms for network access to privileged
and non-privileged accounts.
3.5.5 Prevent reuse of identifiers for a defined 1 period. 3.5.6 Disable identifiers after a defined period of 1 inactivity.
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NIST SP 800-171 DoD Assessment Methodology, Version 1.2.1, June 24, 2020
Additions/edits to Version 1.1 are shown in blue
Security Requirement Value Comment 3.5.7 Enforce a minimum password complexity 1 and change of characters when new
passwords are created.
3.5.8 Prohibit password reuse for a specified 1 number of generations. 3.5.9 Allow temporary password use for system 1 logons with an immediate change to a
permanent password.
3.5.10 Store and transmit only cryptographically- 5 Encrypted representations of protected passwords. passwords include, for
example, encrypted versions
of passwords and one-way
cryptographic hashes of
passwords
3.5.11 Obscure feedback of authentication 1 information. 3.6.1 Establish an operational incident-handling 5 capability for organizational systems that
includes preparation, detection, analysis,
containment, recovery, and user response
activities.
3.6.2 Track, document, and report incidents to 5 designated officials and/or authorities both
internal and external to the organization.
3.6.3 Test the organizational incident response 1 capability. 3.7.1 Perform maintenance on organizational 3 systems. 3.7.2 Provide controls on the tools, techniques, 5 mechanisms, and personnel used to conduct
system maintenance.
3.7.3 Ensure equipment removed for off-site 1 maintenance is sanitized of any CUI. 3.7.4 Check media containing diagnostic and test 3 programs for malicious code before the
media are used in organizational systems.
3.7.5 Require multifactor authentication to 5 establish nonlocal maintenance sessions via
external network connections and terminate
such connections when nonlocal
maintenance is complete.
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NIST SP 800-171 DoD Assessment Methodology, Version 1.2.1, June 24, 2020
Additions/edits to Version 1.1 are shown in blue
Security Requirement Value Comment 3.7.6 Supervise the maintenance activities of 1 maintenance personnel without required
access authorization.
3.8.1 Protect (i.e., physically control and securely 3 Exposure limited to CUI on store) system media containing CUI, both media
paper and digital.
3.8.2 Limit access to CUI on system media to 3 Exposure limited to CUI on authorized users. media
Sanitiz 5 While exposure limited to
e or destroy system media containing
3.8.3* CUI before disposal or release for reuse. CUI on media, failure to
sanitize can result in
continual exposure of CUI
3.8.4 Mark media with necessary CUI markings 1 and distribution limitations. 3.8.5 Control access to media containing CUI and 1 maintain accountability for media during
transport outside of controlled areas.
3.8.6 Implement cryptographic mechanisms to 1 protect the confidentiality of CUI stored on
digital media during transport unless
otherwise protected by alternative physical
safeguards.
3.8.7 Control the use of removable media on 5 system components. 3.8.8 Prohibit the use of portable storage devices 3 when such devices have no identifiable
owner.
3.8.9 Protect the confidentiality of backup CUI at 1 storage locations. 3.9.1 Screen individuals prior to authorizing access 3 to organizational systems containing CUI. 3.9.2 Ensure that organizational systems 5 containing CUI are protected during and
after personnel actions such as terminations
and transfers.
Limit physical access to organizational 5
3.10.1* systems, equipment, and the respective
operating environments to authorized
individuals.
3.10.2 Protect and monitor the physical facility and 5 support infrastructure for organizational
systems.
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NIST SP 800-171 DoD Assessment Methodology, Version 1.2.1, June 24, 2020
Additions/edits to Version 1.1 are shown in blue
Security Requirement Value Comment
Escort visitors and monitor visitor activity. 1
3.10.3* Maintain audit logs of physical access. 1 3.10.4* Control and manage physical access devices. 1 3.10.5* 3.10.6 Enforce safeguarding measures for CUI at 1 alternate work sites. 3.11.1 Periodically assess the risk to organizational 3 operations (including mission, functions,
image, or reputation), organizational assets,
and individuals, resulting from the operation
of organizational systems and the associated
processing, storage, or transmission of CUI.
3.11.2 Scan for vulnerabilities in organizational 5 systems and applications periodically and
when new vulnerabilities affecting those
systems and applications are identified.
3.11.3 Remediate vulnerabilities in accordance with 1 risk assessments. 3.12.1 Periodically assess the security controls in 5 organizational systems to determine if the
controls are effective in their application.
3.12.2 Develop and implement plans of action 3 designed to correct deficiencies and reduce
or eliminate vulnerabilities in organizational
systems.
3.12.3 Monitor security controls on an ongoing 5 basis to ensure the continued effectiveness
of the controls.
3.12.4 Develop, document, and periodically update NA The absence of a system system security plans that describe system security plan would result in
boundaries, system environments of a finding that ‘an assessment
operation, how security requirements are could not be completed due
implemented, and the relationships with or to incomplete information
connections to other systems. and noncompliance with
DFARS clause 252.204-7012.’
Monitor, control, and protect 5
3.13.1* communications (i.e., information
transmitted or received by organizational
systems) at the external boundaries and key
internal boundaries of organizational
systems.
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NIST SP 800-171 DoD Assessment Methodology, Version 1.2.1, June 24, 2020
Additions/edits to Version 1.1 are shown in blue
Security Requirement Value Comment 3.13.2 Employ architectural designs, software 5 development techniques, and systems
engineering principles that promote
effective information security within
organizational systems.
3.13.3 Separate user functionality from system 1 management functionality. 3.13.4 Prevent unauthorized and unintended 1 information transfer via shared system
resources.
Implement subnetworks for publicly 5
3.13.5* accessible system components that are
physically or logically separated from
internal networks.
3.13.6 Deny network communications traffic by 5 default and allow network communications
traffic by exception (i.e., deny all, permit by
exception).
3.13.7 Prevent remote devices from simultaneously 1 establishing non-remote connections with
organizational systems and communicating
via some other connection to resources in
external networks (i.e., split tunneling).
3.13.8 Implement cryptographic mechanisms to 3 prevent unauthorized disclosure of CUI
during transmission unless otherwise
protected by alternative physical safeguards.
3.13.9 Terminate network connections associated 1 with communications sessions at the end of
the sessions or after a defined period of
inactivity.
3.13.10 Establish and manage cryptographic keys for 1 cryptography employed in organizational
systems.
3.13.11 Employ FIPS-validated cryptography when 3 to 5 Subtract 5 points if no used to protect the confidentiality of CUI. cryptography is employed; 3
points if mostly not FIPS
validated
3.13.12 Prohibit remote activation of collaborative 1 computing devices and provide indication of
devices in use to users present at the device.
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NIST SP 800-171 DoD Assessment Methodology, Version 1.2.1, June 24, 2020
Additions/edits to Version 1.1 are shown in blue
Security Requirement Value Comment 3.13.13 Control and monitor the use of mobile code. 1 3.13.14 Control and monitor the use of Voice over 1 Internet Protocol (VoIP) technologies. 3.13.15 Protect the authenticity of communications 5 sessions. 3.13.16 Protect the confidentiality of CUI at rest. 1 Identify, report, and correct system flaws in 5 3.14.1* a timely manner. 3.14.2* Provide protection from malicious code at 5 designated locations within organizational
systems.
3.14.3 Monitor system security alerts and 5 advisories and take action in response.
Update malicious code protection 5
3.14.4* mechanisms when new releases are
available.
Perform periodic scans of organizational 3
3.14.5* systems and real-time scans of files from
external sources as files are downloaded,
opened, or executed.
3.14.6 Monitor organizational systems, including 5 inbound and outbound communications
traffic, to detect attacks and indicators of
potential attacks.
3.14.7 Identify unauthorized use of organizational 3 systems
systems per Federal Acquisition Regulation (FAR) clause 52.204-21, Basic Safeguarding of Covered Contractor Information Systems. |
- Basic safeguarding requirements and procedures to protect covered contractor information systems per Federal Acquisition Regulation (FAR) clause 52.204-21, Basic Safeguarding of Covered Contractor Information Systems.