03.11.01: Risk Assessments

Beyond CMMC Level 1

The free web app covers the 17 CMMC Level 1 practices. This requirement is part of the full NIST 800-171 set — get the desktop app to work on all 110 requirements with SPRS scoring. Previously saved data is shown read-only below, and your data always remains exportable in full.

Get the desktop app

Security Requirements for 03.11.01 Risk Assessments

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, contractors 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.[SP 800-30] provides guidance on conducting risk assessments.

Assessment GuidanceExamine 0/9

How an assessor determines this requirement is met. Source: CMMC Assessment Guide – Level 2, Version 2.13 (NIST SP 800-171 Rev. 2).

Discussion

Risk arises from anything that can reduce an organization’s assurance of mission/business success; cause harm to image or reputation; or harm individuals, other organizations, or the Nation.

Organizations assess the risk to their operations and assets at regular intervals. Areas where weakness or vulnerabilities could lead to risk may include:

poorly designed and executed business processes;

inadvertent actions of people, such as disclosure or modification of information; intentional actions of people inside and outside the organization; failure of systems to perform as intended; failures of technology; and

external events, such as natural disasters, public infrastructure and supply chain failures.

When conducting risk assessments use established criteria and procedures. The results of formal risk assessments are documented. It is important to note that risk assessments differ from vulnerability assessments (see RA.L2-3.11.2). A vulnerability assessment provides input to a risk assessment along with other information such as results from likelihood analysis and analysis of potential treat sources. Risk assessments should be performed at defined regular intervals. Mission risks include anything that will keep an organization from meeting its mission. Function risk is anything that will prevent the performance of a function. Image and reputation risks refer to intangible risks that have value and could cause damage to potential or future trust relationships. 173

This requirement, RA.L2-3.11.1, which requires periodically assessing the risk to organization systems, assets, and individuals, is a baseline Risk Assessment requirement. RA.L2-3.11.1 enables other Risk Assessment requirements (e.g., RA.L2-3.11.3, Vulnerability Remediation), as well as CA.L2-3.12.2, Plan of Action.

Examples

Example 1
You are a system administrator. You and your team members are working on a big government contract requiring you to store CUI. As part of your periodic (e.g., annual) risk assessment exercise, you evaluate the new risk involved with storing CUI [a, b]. When conducting the assessment you consider increased legal exposure, financial requirements of safeguarding CUI, potentially elevated attention from external attackers, and other factors.
Example 2
173 NIST SP 800-30, Guide for Conducting Risk Assessments, September 2012.
Example 3
After determining how storing CUI affects your overall risk profile, you use that as a basis for a conversation on how that risk should be mitigated.

Assessment Methods

Examine

The process of reviewing, inspecting, observing, studying, or analyzing assessment objects (e.g., policies, procedures, plans, system designs, mechanisms) to facilitate understanding, achieve clarification, or obtain evidence.Example: An assessor reads the access control policy and inspects system configuration settings to confirm they match.

Not all of the evidence listed is required to meet this requirement — check the items your organization has collected.

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

The process of holding discussions with individuals or groups within an organization to facilitate understanding, achieve clarification, or identify the location of evidence.Example: An assessor asks a system administrator to describe how user accounts are approved, reviewed, and disabled.

Personnel with risk assessment responsibilities
Personnel with information security responsibilities

Test

The process of exercising assessment objects (e.g., activities, mechanisms) under specified conditions to compare actual behavior with expected behavior.Example: An assessor attempts to sign in with a disabled account to confirm that access is denied.

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

Potential Assessment Considerations

Have initial and periodic risk assessments been conducted [b]?
Are methods defined for assessing risk (e.g., reviewing security assessments, incident reports, and security advisories, identifying threat sources, threat events, and vulnerabilities, and determining likelihood, impact, and overall risk to the confidentiality of CUI) [b]?

Key References

NIST SP 800-171 Rev. 2 3.11.1

Overview