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SPRS Score Estimator
NIST SP 800-171 Self-Assessment Scoring

Rate each of the 110 National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171 requirements and see the Supplier Performance Risk System (SPRS) score the Department of Defense (DoD) scoring method produces, from 110 down to negative 203.

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How This Estimator Works

Defense contractors that handle Controlled Unclassified Information (CUI) must implement the 110 security requirements in NIST SP 800-171 Revision 2 and post a summary score in SPRS. The DoD Assessment Methodology scores the self-assessment by starting at 110 and subtracting 5, 3, or 1 point for each requirement that is not implemented.

Two requirements allow partial credit. Multifactor authentication (3.5.3) costs 3 points instead of 5 when it covers only remote and privileged users. Federal Information Processing Standards (FIPS) validated cryptography (3.13.11) costs 3 points instead of 5 when encryption is in place but not FIPS validated. Requirement 3.12.4, the system security plan, has no point value, but an assessment cannot be completed without one.

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Access Control

22 requirements

3.1.1 Limit system access to authorized users 5 points
3.1.2 Limit system access to the types of transactions and functions authorized users are permitted to execute 5 points
3.1.3 Control the flow of CUI in accordance with approved authorizations 1 point
3.1.4 Separate duties of individuals to reduce risk of malevolent activity 1 point
3.1.5 Employ the principle of least privilege 3 points
3.1.6 Use non-privileged accounts or roles when accessing non-security functions 1 point
3.1.7 Prevent non-privileged users from executing privileged functions 1 point
3.1.8 Limit unsuccessful logon attempts 1 point
3.1.9 Provide privacy and security notices consistent with applicable CUI rules 1 point
3.1.10 Use session lock with pattern-hiding displays to prevent access after period of inactivity 1 point
3.1.11 Terminate (automatically) user sessions after a defined condition 1 point
3.1.12 Monitor and control remote access sessions 5 points
3.1.13 Employ cryptographic mechanisms to protect the confidentiality of remote access sessions 5 points
3.1.14 Route remote access via managed access control points 1 point
3.1.15 Authorize remote execution of privileged commands and remote access to security-relevant information 1 point
3.1.16 Authorize wireless access prior to allowing such connections 5 points
3.1.17 Protect wireless access using authentication and encryption 5 points
3.1.18 Control connection of mobile devices 5 points
3.1.19 Encrypt CUI on mobile devices and mobile computing platforms 3 points
3.1.20 Verify and control/limit connections to and use of external systems 1 point
3.1.21 Limit use of organizational portable storage devices on external systems 1 point
3.1.22 Control CUI posted or processed on publicly accessible systems 1 point
Awareness and Training

3 requirements

3.2.1 Ensure managers, systems administrators, and users are aware of the security risks 5 points
3.2.2 Ensure personnel are trained to carry out their assigned information security-related duties 5 points
3.2.3 Provide security awareness training on recognizing and reporting potential indicators of insider threat 1 point
Audit and Accountability

9 requirements

3.3.1 Create and retain system audit logs 5 points
3.3.2 Ensure the actions of individual system users can be uniquely traced 3 points
3.3.3 Review and update logged events 1 point
3.3.4 Alert in the event of an audit logging process failure 1 point
3.3.5 Correlate audit record review, analysis, and reporting 5 points
3.3.6 Provide audit record reduction and report generation 1 point
3.3.7 Provide a system capability that compares and synchronizes internal system clocks 1 point
3.3.8 Protect audit information and audit logging tools from unauthorized access 1 point
3.3.9 Limit management of audit logging functionality to a subset of privileged users 1 point
Configuration Management

9 requirements

3.4.1 Establish and maintain baseline configurations and inventories 5 points
3.4.2 Establish and enforce security configuration settings 5 points
3.4.3 Track, review, approve/disapprove, and log changes to organizational systems 1 point
3.4.4 Analyze the security impact of changes 1 point
3.4.5 Define, document, approve, and enforce physical and logical access restrictions associated with changes 5 points
3.4.6 Employ the principle of least functionality 5 points
3.4.7 Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services 5 points
3.4.8 Apply deny-by-exception policy for running software 5 points
3.4.9 Control and monitor user-installed software 1 point
Identification and Authentication

11 requirements

3.5.1 Identify system users, processes acting on behalf of users, and devices 5 points
3.5.2 Authenticate (or verify) the identities of users, processes, or devices 5 points
3.5.3 Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts 3 or 5 points
3.5.4 Employ replay-resistant authentication mechanisms 1 point
3.5.5 Prevent reuse of identifiers for a defined period 1 point
3.5.6 Disable identifiers after a defined period of inactivity 1 point
3.5.7 Enforce a minimum password complexity and change of characters when new passwords are created 1 point
3.5.8 Prohibit password reuse for a specified number of generations 1 point
3.5.9 Allow temporary password use for system logons with an immediate change to a permanent password 1 point
3.5.10 Store and transmit only cryptographically-protected passwords 5 points
3.5.11 Obscure feedback of authentication information 1 point
Incident Response

3 requirements

3.6.1 Establish an operational incident-handling capability 5 points
3.6.2 Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization 5 points
3.6.3 Test the organizational incident response capability 1 point
Maintenance

6 requirements

3.7.1 Perform maintenance on organizational systems 3 points
3.7.2 Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance 5 points
3.7.3 Ensure equipment removed for off-site maintenance is sanitized of any CUI 1 point
3.7.4 Check media containing diagnostic and test programs for malicious code before the media are used 3 points
3.7.5 Require multifactor authentication to establish nonlocal maintenance sessions 5 points
3.7.6 Supervise the maintenance activities of maintenance personnel without required access authorization 1 point
Media Protection

9 requirements

3.8.1 Protect (i.e., physically control and securely store) system media containing CUI 3 points
3.8.2 Limit access to CUI on system media to authorized users 3 points
3.8.3 Sanitize or destroy system media containing CUI before disposal or release for reuse 5 points
3.8.4 Mark media with necessary CUI markings and distribution limitations 1 point
3.8.5 Control access to media containing CUI and maintain accountability for media during transport outside controlled areas 1 point
3.8.6 Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards 1 point
3.8.7 Control the use of removable media on system components 5 points
3.8.8 Prohibit the use of portable storage devices when such devices have no identifiable owner 3 points
3.8.9 Protect the confidentiality of backup CUI at storage locations 1 point
Personnel Security

2 requirements

3.9.1 Screen individuals prior to authorizing access to organizational systems containing CUI 3 points
3.9.2 Ensure that CUI and organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers 5 points
Physical Protection

6 requirements

3.10.1 Limit physical access to organizational systems, equipment, and the respective operating environments to authorized individuals 5 points
3.10.2 Protect and monitor the physical facility and support infrastructure for organizational systems 5 points
3.10.3 Escort visitors and monitor visitor activity 1 point
3.10.4 Maintain audit logs of physical access 1 point
3.10.5 Control and manage physical access devices 1 point
3.10.6 Enforce safeguarding measures for CUI at alternate work sites 1 point
Risk Assessment

3 requirements

3.11.1 Periodically assess the risk to organizational operations, organizational assets, and individuals resulting from the operation of organizational systems 3 points
3.11.2 Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems are identified 5 points
3.11.3 Remediate vulnerabilities in accordance with risk assessments 1 point
Security Assessment

4 requirements

3.12.1 Periodically assess the security controls in organizational systems to determine if the controls are effective in their application 5 points
3.12.2 Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems 3 points
3.12.3 Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls 5 points
3.12.4 Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems no point value
System and Communications Protection

16 requirements

3.13.1 Monitor, control, and protect communications at the external boundaries and key internal boundaries of organizational systems 5 points
3.13.2 Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems 5 points
3.13.3 Separate user functionality from system management functionality 1 point
3.13.4 Prevent unauthorized and unintended information transfer via shared system resources 1 point
3.13.5 Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks 5 points
3.13.6 Deny network communications traffic by default and allow network communications traffic by exception 5 points
3.13.7 Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks 1 point
3.13.8 Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards 3 points
3.13.9 Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity 1 point
3.13.10 Establish and manage cryptographic keys for cryptography employed in organizational systems 1 point
3.13.11 Employ FIPS-validated cryptography when used to protect the confidentiality of CUI 3 or 5 points
3.13.12 Prohibit remote activation of collaborative computing devices and provide indication of devices in use to users present at the device 1 point
3.13.13 Control and monitor the use of mobile code 1 point
3.13.14 Control and monitor the use of Voice over Internet Protocol (VoIP) technologies 1 point
3.13.15 Protect the authenticity of communications sessions 5 points
3.13.16 Protect the confidentiality of CUI at rest 1 point
System and Information Integrity

7 requirements

3.14.1 Identify, report, and correct system flaws in a timely manner 5 points
3.14.2 Provide protection from malicious code at designated locations within organizational systems 5 points
3.14.3 Monitor system security alerts and advisories and take action in response 5 points
3.14.4 Update malicious code protection mechanisms when new releases are available 5 points
3.14.5 Perform periodic scans of organizational systems and real-time scans of files from external sources as files are downloaded, opened, or executed 3 points
3.14.6 Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks 5 points
3.14.7 Identify unauthorized use of organizational systems 3 points
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