DFARS 252.204-7020 NIST SP 800-171 DoD Assessment Requirements. Basic (Mar 2022) (Current)

As prescribed in 204.7304(e), use the clause at 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, in all solicitations and contracts, including solicitations and contracts using FAR part 12 procedures for the acquisition of commercial items, except for solicitations and contracts solely for the acquisition of COTS items.

NIST SP 800-171 DOD ASSESSMENT REQUIREMENTS (MAR 2022)

      (a)  Definitions.

      “Basic Assessment” means a contractor’s self-assessment of the contractor’s implementation of NIST SP 800-171 that—

      (1)  Is based on the Contractor’s review of their system security plan(s) associated with covered contractor information system(s);

      (2)  Is conducted in accordance with the NIST SP 800-171 DoD Assessment Methodology; and

      (3)  Results in a confidence level of “Low” in the resulting score, because it is a self-generated score.

      “Covered contractor information system” has the meaning given in the clause 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, of this contract.

      “High Assessment” means an assessment that is conducted by Government personnel using NIST SP 800-171A, Assessing Security Requirements for Controlled Unclassified Information that—

              (1)  Consists of—

                    (i)  A review of a contractor’s Basic Assessment;

                    (ii)  A thorough document review;

                    (iii)  Verification, examination, and demonstration of a Contractor’s system security plan to validate that NIST SP 800-171 security requirements have been implemented as described in the contractor’s system security plan; and

                    (iv)  Discussions with the contractor to obtain additional information or clarification, as needed; and

              (2)  Results in a confidence level of “High” in the resulting score.

      “Medium Assessment” means an assessment conducted by the Government that—

              (1)  Consists of—

                    (i)  A review of a contractor’s Basic Assessment;

                    (ii)  A thorough document review; and

                    (iii)  Discussions with the contractor to obtain additional information or clarification, as needed; and

              (2)  Results in a confidence level of “Medium” in the resulting score.

      (b)  Applicability.  This clause applies to covered contractor information systems that are required to comply with the National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171, in accordance with Defense Federal Acquisition Regulation System (DFARS) clause at 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, of this contract.

      (c)  Requirements.  The Contractor shall provide access to its facilities, systems, and personnel necessary for the Government to conduct a Medium or High NIST SP 800-171 DoD Assessment, as described in NIST SP 800-171 DoD Assessment Methodology at https://www.acq.osd.mil/asda/dpc/cp/cyber/safeguarding.html#nistSP800171, if necessary.

      (d)  Procedures.  Summary level scores for all assessments will be posted in the Supplier Performance Risk System (SPRS) (https://www.sprs.csd.disa.mil/) to provide DoD Components visibility into the summary level scores of strategic assessments.

              (1)  Basic Assessments.  A contractor may submit, via encrypted email, summary level scores of Basic Assessments conducted in accordance with the NIST SP 800-171 DoD Assessment Methodology to [email protected]mil for posting to SPRS.

                    (i)  The email shall include the following information:

                            (A)  Version of NIST SP 800-171 against which the assessment was conducted.

                            (B)  Organization conducting the assessment (e.g., Contractor self-assessment).

                            (C)  For each system security plan (security requirement 3.12.4) supporting the performance of a DoD contract—

(1)  All industry Commercial and Government Entity (CAGE) code(s) associated with the information system(s) addressed by the system security plan; and

(2)  A brief description of the system security plan architecture, if more than one plan exists.

                            (D)  Date the assessment was completed

                            (E)  Summary level score (e.g., 95 out of 110, NOT the individual value for each requirement).

                            (F)  Date that all requirements are expected to be implemented (i.e., a score of 110 is expected to be achieved) based on information gathered from associated plan(s) of action developed in accordance with NIST SP 800-171.

                    (ii)  If multiple system security plans are addressed in the email described at paragraph (b)(1)(i) of this section, the Contractor shall use the following format for the report:

System Security Plan

CAGE Codes supported by this plan

Brief description of the plan architecture

Date of assessment

Total Score

Date score of 110 will achieved

           
           
           

              (1)  Medium and High Assessments.  DoD will post the following Medium and/or High Assessment summary level scores to SPRS for each system security plan assessed:

                    (i)  The standard assessed (e.g., NIST SP 800-171 Rev 1).

                    (ii)  Organization conducting the assessment, e.g., DCMA, or a specific organization (identified by Department of Defense Activity Address Code (DoDAAC)).

                    (iii)  All industry CAGE code(s) associated with the information system(s) addressed by the system security plan.

                    (iv)  A brief description of the system security plan architecture, if more than one system security plan exists.

                    (v)  Date and level of the assessment, i.e., medium or high.

                    (vi)  Summary level score (e.g., 105 out of 110, not the individual value assigned for each requirement).

                    (vii)  Date that all requirements are expected to be implemented (i.e., a score of 110 is expected to be achieved) based on information gathered from associated plan(s) of action developed in accordance with NIST SP 800-171.

      (e)  Rebuttals.

              (1)  DoD will provide Medium and High Assessment summary level scores to the Contractor and offer the opportunity for rebuttal and adjudication of assessment summary level scores prior to posting the summary level scores to SPRS (see SPRS User’s Guide https://www.sprs.csd.disa.mil/pdf/SPRS_Awardee.pdf).

              (2)  Upon completion of each assessment, the contractor has 14 business days to provide additional information to demonstrate that they meet any security requirements not observed by the assessment team or to rebut the findings that may be of question.

      (f)  Accessibility.

              (1)  Assessment summary level scores posted in SPRS are available to DoD personnel, and are protected, in accordance with the standards set forth in DoD Instruction 5000.79, Defense-wide Sharing and Use of Supplier and Product Performance Information (PI).

              (2)  Authorized representatives of the Contractor for which the assessment was conducted may access SPRS to view their own summary level scores, in accordance with the SPRS Software User’s Guide for Awardees/Contractors available at https://www.sprs.csd.disa.mil/pdf/SPRS_Awardee.pdf.

              (3)  A High NIST SP 800-171 DoD Assessment may result in documentation in addition to that listed in this clause. DoD will retain and protect any such documentation as “Controlled Unclassified Information (CUI)” and intended for internal DoD use only. The information will be protected against unauthorized use and release, including through the exercise of applicable exemptions under the Freedom of Information Act (e.g., Exemption 4 covers trade secrets and commercial or financial information obtained from a contractor that is privileged or confidential).

      (g)  Subcontracts.

              (1)  The Contractor shall insert the substance of this clause, including this paragraph (g), in all subcontracts and other contractual instruments, including subcontracts for the acquisition of commercial items (excluding COTS items).

              (2)  The Contractor shall not award a subcontract or other contractual instrument, that is subject to the implementation of NIST SP 800-171 security requirements, in accordance with DFARS clause 252.204-7012 of this contract, unless the subcontractor has completed, within the last 3 years, at least a Basic NIST SP 800-171 DoD Assessment, as described in https://www.acq.osd.mil/asda/dpc/cp/cyber/safeguarding.html#nistSP800171, for all covered contractor information systems relevant to its offer that are not part of an information technology service or system operated on behalf of the Government.

              (3)  If a subcontractor does not have summary level scores of a current NIST SP 800-171 DoD Assessment (i.e., not more than 3 years old unless a lesser time is specified in the solicitation) posted in SPRS, the subcontractor may conduct and submit a Basic Assessment, in accordance with the NIST SP 800-171 DoD Assessment Methodology, to [email protected] for posting to SPRS along with the information required by paragraph (d) of this clause.

(End of clause)
 

   (g)  Subcontracts.

              (1)  The Contractor shall insert the substance of this clause, including this paragraph (g), in all subcontracts and other contractual instruments, including subcontracts for the acquisition of commercial items (excluding COTS items).

              (2)  The Contractor shall not award a subcontract or other contractual instrument, that is subject to the implementation of NIST SP 800-171 security requirements, in accordance with DFARS clause 252.204-7012 of this contract, unless the subcontractor has completed, within the last 3 years, at least a Basic NIST SP 800-171 DoD Assessment, as described in https://www.acq.osd.mil/asda/dpc/cp/cyber/safeguarding.html#nistSP800171, for all covered contractor information systems relevant to its offer that are not part of an information technology service or system operated on behalf of the Government.

              (3)  If a subcontractor does not have summary level scores of a current NIST SP 800-171 DoD Assessment (i.e., not more than 3 years old unless a lesser time is specified in the solicitation) posted in SPRS, the subcontractor may conduct and submit a Basic Assessment, in accordance with the NIST SP 800-171 DoD Assessment Methodology, to [email protected] for posting to SPRS along with the information required by paragraph (d) of this clause.

Mandatory (Exception);

52.204-21 Basic Safeguarding of Covered Contractor Information Systems.

52.204-23 Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities.

252.204-7000 Disclosure of Information.

252.204-7008 Compliance with Safeguarding Covered Defense Information Controls.

252.204-7009 Limitations on the Use or Disclosure of Third-Party Contractor Reported Cyber Incident Information.

252.204-7012 Safeguarding Covered Defense Information and Cyber Incident Reporting.

252.239-7000 Protection Against Compromising Emanations.

252.239-7009 Representation of Use of Cloud Computing.

252.239-7010 Cloud Computing Services.

252.239-7017 Notice of Supply Chain Risk.

252.239-7018 Supply Chain Risk.

252.245-7000 Government-Furnished Mapping, Charting, and Geodesy Property.

252.246-7007 Contractor Counterfeit Electronic Part Detection and Avoidance System.

252.204-7016 Covered Defense Telecommunications Equipment or Services-Representation.

252.204-7017 Prohibition on the Acquisition of Covered Defense Telecommunications Equipment or Services—Representation.

252.204-7018 Prohibition on the Acquisition of Covered Defense Telecommunications Equipment or Services

252.204-7019 Notice of NIST SP 800-171 DoD Assessment Requirements.

252.204-7021 Contractor Compliance with the Cybersecurity Maturity Model Certification Level Requirement.

1852.246-74 Contractor Counterfeit Electronic Part Detection and Avoidance

3052.204-70 Security requirements for unclassified information technology resources.

3052.204-71 Contractor employee access.

552.204-9 Personal Identity Verification Requirements.

552.239-70 Information Technology Security Plan and Security Authorization.

552.239-71 Security Requirements for Unclassified Information Technology Resources.

552.238-110 Commercial Satellite Communication (COMSATCOM) Services.

652.239-70 Information Technology Security Plan and Accreditation.

652.239-71 Security Requirements for Unclassified Information Technology Resources.

752.204-72 Access to USAID facilities and USAID's information systems.

952.204-77 Computer security.

952.223-76 Conditional payment of fee or profit-safeguarding restricted data and other classified information and protection of worker safety and health.

970.5203-1 Management controls.

970.5204-1 Counterintelligence.

970.5204-3 Access to and ownership of records.

Working with a set of FAR clauses from an RFP or contract?

Try pasting them into our tool to instantly generate a risk profile, including the basic flow down recommendation.

Info

Works best with Chrome and Edge browsers!