DoD Assessment Methodology

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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 Methodology

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 users can be uniquely traced to those users so they can be held accountable for their actions. 3
AU.L2-3.3.3 Review and update logged events. 1
AU.L2-3.3.4 Alert in the event of an audit logging process failure. 1
AU.L2-3.3.5 Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity. 5
AU.L2-3.3.6 Provide audit record reduction and report generation to support on-demand analysis and reporting. 1
AU.L2-3.3.7 Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records. 1
AU.L2-3.3.8 Protect audit information and audit logging tools from unauthorized access, modification, and deletion. 1
AU.L2-3.3.9 Limit management of audit logging functionality to a subset of privileged users. 1
CM.L2-3.4.1 Establish and maintain baseline 5
         configurations and inventories of 
         organizational systems (including hardware, 
         software, firmware, and documentation) 
         throughout the respective system 
         development life cycles. 



                                                                                              14 




            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. 


                                                                                              15 




           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. 


                                                                                           16 




            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. 


                                                                                             17 




            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. 



                                                                                             18 




            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. 


                                                                                            19 




            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 


  • 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. 
  • 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.