Level 5 CMMC - CMMC Practices

RM.2.141  

Reference: CMMC 1.02

Family: RM

Level Introduced: 2

Practice:
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.

CMMC Clarification:
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 should 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, such as insider threat and fraud;
• failure of systems to perform as intended;
• failures of technology; and
• external events, such as natural disasters, public infrastructure and supply chain failures.

An organization can perform a formal or an informal risk assessment. In a formal risk assessment, you use established criteria and procedures. Formal risk assessments are documented. It is important to note that risk assessments differ from vulnerability assessments (See RM.2.142). 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.

Example
You help manage IT for your employer. You and your team members are working on a big government contract requiring you to store CUI. You assess the risk involved with storing CUI. You consider storing that information with a cloud provider. You and your coworkers discuss the pros and cons of this option. Then, you use these details to make the final decision about using a cloud provider.

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.

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, 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.

Source: NIST Special Publication 800-171 Rev. 2

RA-3

RISK ASSESSMENT

Description:
The organization:
    a. Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
    b. Documents risk assessment results in [Selection: security plan; risk assessment report; [Assignment: organization-defined document]];
    c. Reviews risk assessment results [Assignment: organization-defined frequency];
    d. Disseminates risk assessment results to [Assignment: organization-defined personnel or roles]; and
    e. Updates the risk assessment [Assignment: organization-defined frequency] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.

Supplemental Guidance:
Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems.
Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation. Related controls: RA-2, PM-9.

Source: NIST Special Publication 800-53 Rev. 4

Source: CMMC v1.02