§170.19. CMMC scoping. — Inbound Citations

(i) The OSC must achieve a CMMC Status of Final Level 2 (C3PAO) for information systems within the Level 3 CMMC Assessment Scope prior to the CMMC Level 3 certification assessment. The CMMC Assessment Scope for the Level 3 certification assessment must be equal to, or a subset of, the CMMC Assessment Scope associated with the OSC's Final Level 2 (C3PAO). Asset requirements differ for each CMMC Level. Scoping differences are set forth in § 170.19.

(B) In the CMMC Level 2 Scoring Methodology, each security requirement has a value (e.g., 1, 3 or 5), which is related to the designation by NIST as basic or derived security requirements. Per NIST SP 800-171 R2, the basic security requirements are obtained from FIPS PUB 200 Mar2006, which provides the high-level and fundamental security requirements for Federal information and systems. The derived security requirements, which supplement the basic security requirements, are taken from the security controls in NIST SP 800-53 R5.

(1) For NIST SP 800-171 R2 basic and derived security requirements that, if not implemented, could lead to significant exploitation of the network, or exfiltration of CUI, five (5) points are subtracted from the maximum score. The basic and derived security requirements with a value of five (5) points include:

(i) Basic security requirements. AC.L2-3.1.1, AC.L2-3.1.2, AT.L2-3.2.1, AT.L2-3.2.2, AU.L2-3.3.1, CM.L2-3.4.1, CM.L2-3.4.2, IA-L2-3.5.1, IA-L2-3.5.2, IR.L2-3.6.1, IR.L2-3.6.2, MA.L2-3.7.2, MP.L2-3.8.3, PS.L2-3.9.2, PE.L2-3.10.1, PE.L2-3.10.2, CA.L2-3.12.1, CA.L2-3.12.3, SC.L2-3.13.1, SC.L2-3.13.2, SI.L2-3.14.1, SI.L2-3.14.2, and SI.L2-3.14.3.

(ii) Derived security requirements. AC.L2-3.1.12, AC.L2-3.1.13, AC.L2-3.1.16, AC.L2-3.1.17, AC.L2-3.1.18, AU.L2-3.3.5, CM.L2-3.4.5, CM.L2-3.4.6, CM.L2-3.4.7, CM.L2-3.4.8, IA.L2-3.5.10, MA.L2-3.7.5, MP.L2-3.8.7, RA.L2-3.11.2, SC.L2-3.13.5, SC.L2-3.13.6, SC.L2-3.13.15, SI.L2-3.14.4, and SI.L2-3.14.6.

(2) For basic and derived security requirements that, if not implemented, have a specific and confined effect on the security of the network and its data, three (3) points are subtracted from the maximum score. The basic and derived security requirements with a value of three (3) points include:

(i) Basic security requirements. AU.L2-3.3.2, MA.L2-3.7.1, MP.L2-3.8.1, MP.L2-3.8.2, PS.L2-3.9.1, RA.L2-3.11.1, and CA.L2-3.12.2.

(ii) Derived security requirements. AC.L2-3.1.5, AC.L2- 3.1.19, MA.L2-3.7.4, MP.L2-3.8.8, SC.L2-3.13.8, SI.L2-3.14.5, and SI.L2-3.14.7.

(3) All remaining derived security requirements, other than the exceptions noted, if not implemented, have a limited or indirect effect on the security of the network and its data. For these, 1 point is subtracted from the maximum score.

(4) Two derived security requirements, IA.L2-3.5.3 and SC.L2-3.13.11, can be partially effective even if not completely or properly implemented, and the points deducted may be adjusted depending on how the security requirement is implemented.

(i) Multi-factor authentication (MFA) (CMMC Level 2 security requirement IA.L2-3.5.3) is typically implemented first for remote and privileged users (since these users are both limited in number and more critical) and then for the general user, so three (3) points are subtracted from the maximum score if MFA is implemented only for remote and privileged users. Five (5) points are subtracted from the maximum score if MFA is not implemented for any users.

(ii) FIPS-validated encryption (CMMC Level 2 security requirement SC.L2-3.13.11) is required to protect the confidentiality of CUI. If encryption is employed, but is not FIPS-validated, three (3) points are subtracted from the maximum score; if encryption is not employed; five (5) points are subtracted from the maximum score.

(5) OSAs must have a System Security Plan (SSP) (CMMC security requirement CA.L2-3.12.4) in place at the time of assessment to describe each information system within the CMMC Assessment Scope. The absence of an up to date SSP at the time of the assessment would result in a finding that 'an assessment could not be completed due to incomplete information and noncompliance with 48 CFR 252.204-7012.'

(6) For each NOT MET security requirement the OSA must have a POA&M in place. A POA&M addressing NOT MET security requirements is not a substitute for a completed requirement. Security requirements not implemented, whether described in a POA&M or not, is assessed as 'NOT MET.'

(7) Specialized Assets must be evaluated for their asset category per the CMMC scoping guidance for the level in question and handled accordingly as set forth in § 170.19.

(8) If an OSC previously received a favorable adjudication from the DoD CIO indicating that a security requirement is not applicable or that an alternative security measure is equally effective (in accordance with 48 CFR 252.204-7008 or 48 CFR 252.204-7012), the DoD CIO adjudication must be included in the system security plan to receive consideration during an assessment. A security requirement for which implemented security measures have been adjudicated by the DoD CIO as equally effective is assessed as MET if there have been no changes in the environment.

(a) The contracting officer shall include the CMMC level (see 32 CFR 170.19) required by the program office or requiring activity in the solicitation provision and contract clause prescribed at 204.7504.

(1) The OSA must conduct a Level 1 self-assessment scored in accordance with the CMMC Scoring Methodology described in § 170.24. The Level 1 self-assessment must be performed in accordance with the CMMC Level 1 scope requirements set forth in § 170.19(a) and (b) and the following:

(i) The Level 1 self-assessment must be performed using the objectives defined in NIST SP 800-171A Jun2018 (incorporated by reference, see § 170.2) for the security requirement that maps to the CMMC Level 1 security requirement as specified in table 1 to paragraph (c)(1)(ii) of this section. In any case where an objective addresses CUI, FCI should be substituted for CUI in the objective.

(iii) Additional guidance can be found in the guidance document listed in paragraph (b) of appendix A to this part.

(1) The OSA must conduct a Level 2 self-assessment in accordance with NIST SP 800-171A Jun2018 (incorporated by reference, see § 170.2) and the CMMC Level 2 scoping requirements set forth in §§ 170.19(a) and (c) for the information systems within the CMMC Assessment Scope. The Level 2 self-assessment must be scored in accordance with the CMMC Scoring Methodology described in § 170.24 and the OSA must upload the results into SPRS. If a POA&M exists, a POA&M closeout self-assessment must be performed by the OSA when all NOT MET requirements have been remediated. The POA&M closeout self-assessment must be performed within 180-days of the Conditional CMMC Status Date. Additional guidance can be found in the guidance document listed in paragraph (c) of appendix A to this part.

(1) An authorized or accredited C3PAO must perform a Level 2 certification assessment in accordance with NIST SP 800-171A Jun2018 (incorporated by reference, see § 170.2) and the CMMC Level 2 scoping requirements set forth in § 170.19(a) and (c) for the information systems within the CMMC Assessment Scope. The Level 2 certification assessment must be scored in accordance with the CMMC Scoring Methodology described in § 170.24 and the C3PAO must upload the results into the CMMC instantiation of eMASS. Final results are communicated to the OSC through a CMMC Assessment Findings Report.

(1) The OSA must conduct a Level 1 self-assessment scored in accordance with the CMMC Scoring Methodology described in § 170.24. The Level 1 self-assessment must be performed in accordance with the CMMC Level 1 scope requirements set forth in § 170.19(a) and (b) and the following:

(i) The Level 1 self-assessment must be performed using the objectives defined in NIST SP 800-171A Jun2018 (incorporated by reference, see § 170.2) for the security requirement that maps to the CMMC Level 1 security requirement as specified in table 1 to paragraph (c)(1)(ii) of this section. In any case where an objective addresses CUI, FCI should be substituted for CUI in the objective.

(iii) Additional guidance can be found in the guidance document listed in paragraph (b) of appendix A to this part.

(a) CCAs, in support of a C3PAO, conduct Level 2 certification assessments of OSCs in accordance with NIST SP 800-171A Jun2018 (incorporated by reference, see § 170.2), the assessment processes defined in § 170.17, and the scoping requirements defined in § 170.19(c). CCAs must meet all of the requirements set forth in paragraph (b) of this section. A CCA may conduct Level 2 certification assessments and participate on a C3PAO Assessment Team.

(1) The OSA must conduct a Level 2 self-assessment in accordance with NIST SP 800-171A Jun2018 (incorporated by reference, see § 170.2) and the CMMC Level 2 scoping requirements set forth in §§ 170.19(a) and (c) for the information systems within the CMMC Assessment Scope. The Level 2 self-assessment must be scored in accordance with the CMMC Scoring Methodology described in § 170.24 and the OSA must upload the results into SPRS. If a POA&M exists, a POA&M closeout self-assessment must be performed by the OSA when all NOT MET requirements have been remediated. The POA&M closeout self-assessment must be performed within 180-days of the Conditional CMMC Status Date. Additional guidance can be found in the guidance document listed in paragraph (c) of appendix A to this part.

(1) An authorized or accredited C3PAO must perform a Level 2 certification assessment in accordance with NIST SP 800-171A Jun2018 (incorporated by reference, see § 170.2) and the CMMC Level 2 scoping requirements set forth in § 170.19(a) and (c) for the information systems within the CMMC Assessment Scope. The Level 2 certification assessment must be scored in accordance with the CMMC Scoring Methodology described in § 170.24 and the C3PAO must upload the results into the CMMC instantiation of eMASS. Final results are communicated to the OSC through a CMMC Assessment Findings Report.

(vii) is defined in § 170.18(a)(1)(iii). (CMMC-custom term)

CMMC Status Date means the date that the CMMC Status results are submitted to SPRS or the CMMC instantiation of eMASS, as appropriate. The date of the Conditional CMMC Status will remain as the CMMC Status Date after a successful POA&M closeout. A new date is not set for a Final that follows a Conditional. (CMMC-custom term)

CMMC Third-Party Assessment Organization (C3PAO) means an organization that has been authorized or accredited by the Accreditation Body to conduct Level 2 certification assessments and has the roles and responsibilities identified in § 170.9. (CMMC-custom term)

Contractor is defined in 48 CFR 3.502-1.

Contractor Risk Managed Assets are defined in table 3 to § 170.19(c)(1). (CMMC-custom term)

Controlled Unclassified Information (CUI) is defined in 32 CFR 2002.4(h).

Controlled Unclassified Information (CUI) Assets means assets that can process, store, or transmit CUI. (CMMC-custom term)

DCMA DIBCAC High Assessment means an assessment that is conducted by Government personnel in accordance with NIST SP 800-171A Jun2018 and leveraging specific guidance in the DoD Assessment Methodology that:

(iii) In accordance with § 170.19(c)(2), the OSA's on-premises infrastructure connecting to the CSP's product or service offering is part of the CMMC Assessment Scope, which will also be assessed. As such, the security requirements from the Customer Responsibility Matrix (CRM) must be documented or referred to in the OSA's System Security Plan (SSP).

(iii) In accordance with § 170.19(c)(2), the OSC's on-premises infrastructure connecting to the CSP's product or service offering is part of the CMMC Assessment Scope. As such, the security requirements from the CRM must be documented or referred to in the OSC's SSP.

(1) The OSC must achieve a CMMC Status of Final Level 2 (C3PAO) on the Level 3 CMMC Assessment Scope, as defined in § 170.19(d), prior to initiating a Level 3 certification assessment, which will be performed by DCMA DIBCAC (www.dcma.mil/DIBCAC) on behalf of the DoD. The OSC must complete and achieve a MET result for all security requirements specified in table 1 to § 170.14(c)(4) to achieve the CMMC Status of Level 3 (DIBCAC). DCMA DIBCAC will submit the Level 3 certification assessment results into the CMMC instantiation of eMASS, which then provides automated transmission to SPRS. To maintain compliance with the requirements for a CMMC Status of Level 3 (DIBCAC), the Level 3 certification assessment must be performed every three years for all information systems within the Level 3 CMMC Assessment Scope. In addition, given that compliance with Level 2 requirements is a prerequisite for applying for CMMC Level 3, a Level 2 (C3PAO) certification assessment must also be conducted every three years to maintain CMMC Level 3 (DIBCAC) status. Level 3 certification assessment must be completed within three years of the CMMC Status Date associated with the Final Level 3 (DIBCAC) or, if there was a POA&M, then within three years of the CMMC Status Date associated with the Conditional Level 3 (DIBCAC).

(i) The Level 3 certification assessment results input into the CMMC instantiation of eMASS shall include, at minimum, the following items:

(C) All industry CAGE code(s) associated with the information system(s) addressed by the CMMC Assessment Scope.

(ii) The OSC has achieved the CMMC Status of Conditional Level 3 (DIBCAC) if the Level 3 certification assessment results in a POA&M and the POA&M meets all CMMC Level 3 POA&M requirements listed in § 170.21(a)(3).

(A) A Level 3 POA&M is allowed only in accordance with the CMMC POA&M requirements listed in § 170.21.

(B) The OSC must remediate any NOT MET requirements, must undergo a POA&M closeout certification assessment from DCMA DIBCAC, and DCMA DIBCAC must post compliance results into the CMMC instantiation of eMASS within 180 days of the CMMC Status Date associated with the Conditional Level 3 (DIBCAC). If the POA&M is not successfully closed out within the 180-day timeframe, the Conditional Level 3 (DIBAC) CMMC Status for the information system will expire. If Conditional Level 3 (DIBCAC) CMMC Status expires within the period of performance of a contract, standard contractual remedies will apply, and the OSC will be ineligible for additional awards with a requirement for the CMMC Status of Level 3 (DIBCAC) for the information system within the CMMC Assessment Scope until such time as a new CMMC Status is achieved.

(iii) The OSC has achieved the CMMC Status of Final Level 3 (DIBCAC) if the Level 3 certification assessment results in a passing score as defined in § 170.24. This score may be achieved upon initial certification assessment or as the result of a POA&M closeout certification assessment, as applicable.

(iv) The DoD reserves the right to conduct a DCMA DIBCAC assessment of the OSC, as provided for under the 48 CFR 252.204-7020. If the investigative results of a subsequent DCMA DIBCAC assessment show that adherence to the provisions of this part have not been achieved or maintained, these DCMA DIBCAC results will take precedence over any pre-existing CMMC Status. At that time, standard contractual remedies will be available and the OSC will be ineligible for additional awards with CMMC Status requirement of Level 3 (DIBCAC) for the information system within the CMMC Assessment Scope until such time as a new CMMC Status is achieved.

(iii) In accordance with § 170.19(d)(2), the OSC's on-premises infrastructure connecting to the CSP's product or service offering is part of the CMMC Assessment Scope. As such, the security requirements from the CRM must be documented or referred to in the OSC's SSP.

(2) The requirements for defining the CMMC Assessment Scope for CMMC Levels 1, 2, and 3 are set forth in this section. Additional guidance regarding scoping can be found in the guidance documents listed in paragraphs (e) through (g) of appendix A to this part.