3.11.1Assess your risk periodically

A documented risk assessment, refreshed on a stated cycle.

RA
Level 2
3 pt
Rev. 3: Reworded

The requirement, verbatim

NIST SP 800-171 Rev. 2 · 3.11.1
Periodically assess the risk to organizational 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.

Requirement 3.11.1, practice name in the CMMC assessment guide: Risk Assessments.

NIST's discussion

Clearly defined system boundaries are a prerequisite for effective risk assessments. Such risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations, organizational assets, and individuals based on the operation and use of organizational systems. Risk assessments also consider risk from external parties (e.g., service providers, contractor operating systems on behalf of the organization, individuals accessing organizational systems, outsourcing entities). Risk assessments, either formal or informal, can be conducted at the organization level, the mission or business process level, or the system level, and at any phase in the system development life cycle.

NIST SP 800-30 provides guidance on conducting risk assessments.

NIST SP 800-171 Rev. 2, discussion under 3.11.1. Whitespace normalised; wording unchanged.

Assessment objectives

An assessor decides each of these separately. The requirement is met only when every objective is.

[a] risk to organizational operations and assets, and individuals is assessed periodically
[b] risk assessments consider the operation and use of organizational systems
[c] risk assessments consider the processing, storage, or transmission of CUI

NIST SP 800-171A, determination statements for 3.11.1.

For assessors: examine, interview, test

NIST SP 800-171A names what an assessor may examine, whom they may interview, and what they may test for this requirement. Assessors select from these lists; they are not a checklist of everything you must produce.

Examine

Risk assessment policy
security planning policy and procedures
procedures addressing organizational risk assessments
system security plan
risk assessment
risk assessment results
risk assessment reviews
risk assessment updates
other relevant documents or records

Interview

Personnel with risk assessment responsibilities
personnel with information security responsibilities

Test

Organizational processes for risk assessment
mechanisms supporting or for conducting, documenting, reviewing, disseminating, and updating the risk assessment

NIST SP 800-171A, potential assessment methods and objects for 3.11.1.

Evidence

No evidence examples are published for this requirement yet. The objectives above are what an assessor checks; evidence is whatever shows each one is true in your environment, dated and kept with your system security plan.

Scoring weight

Worth 3 points. Not meeting this requirement subtracts 3 from your 110-point SPRS score.

DoD NIST SP 800-171 Assessment Methodology v1.2.1 weighting, as carried in the Bedrock scoring table. The score starts at 110 and subtracts the weight of every requirement not met.

In Rev. 3

Rev. 2 is what your contract requires today. A standing DoD class deviation keeps Rev. 2 in force; NIST has published Rev. 3, but it is not adopted for contracts. In Rev. 3 this requirement is reworded: 03.11.01 Risk Assessment. It gains organization-defined parameters.

See the Rev. 2 and Rev. 3 wording word by word, or start with the status page.

Where this page's facts come from

Requirement text: bedrock-cmmc-api@89b8e8e:migrations/004_reference_requirements.sql#Requirement.basicRequirement@rev2
Discussion: bedrock-cmmc-api@89b8e8e:migrations/004_reference_requirements.sql#Requirement.discussion@rev2
Practice name: bedrock-cmmc-api@89b8e8e:migrations/004_reference_requirements.sql#Requirement.title@rev2 (CMMC Assessment Guide practice name)
Objectives: bedrock-cmmc-api@89b8e8e:migrations/005_reference_objectives.sql#AssessmentObjective.description@rev2
Examine, interview, test: bedrock-cmmc-api@89b8e8e:migrations/005_reference_objectives.sql#AssessmentObjective.description@rev2 ({examineGuidance, interviewGuidance, testGuidance})
Level: bedrock-cmmc-api@89b8e8e:migrations/021_fix_level1_requirements.sql#Requirement.cmmcLevel@rev2
Weight: bedrock-cmmc-api@89b8e8e:internal/cmmc/requirement_values.go#requirementValues (DoD AM v1.2.1 / eMASS L2 template v3.8)
Rev. 3 mapping: bedrock-cmmc-api@89b8e8e:docs/reference/nist-800-171-rev3/normalized/r2_r3_transition_map.json#r2_to_r3
Plain-language title and summary: editorial/CMMC Navigator.dc.html#RAW (Foxx Cyber editorial)