CMMC readiness · NIST 800-171 alignment · DFARS support Mon–Fri · 0800–1800 ET
Controls / Risk Assessment / 3.11.1
3.11.1
RA.L2-3.11.1 · Level 2

Periodically assess the risk to organizational operations (including mission, functions, image, or…

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

Assessment objectives

From NIST SP 800-171A · 2 objectives must be met to satisfy this control
3.11.1[a] the frequency to assess risk to organizational operations, organizational assets, and individuals is defined.
Examine
[SELECT FROM: Risk assessment policy; security planning policy and procedures; procedures addressing organizational risk assessments; security plan; risk assessment; risk assessment results; risk assessment reviews; risk assessment updates; other relevant documents or records].
Interview
[SELECT FROM: Personnel with risk assessment responsibilities; personnel with information security responsibilities].
Test
[SELECT FROM: Organizational processes for risk assessment; mechanisms supporting or for conducting, documenting, reviewing, disseminating, and updating the risk assessment].
3.11.1[b] risk to organizational operations, organizational assets, and individuals resulting from the operation of an organizational system that processes, stores, or transmits CUI is assessed with the defined frequency.
Examine
[SELECT FROM: Risk assessment policy; security planning policy and procedures; procedures addressing organizational risk assessments; security plan; risk assessment; risk assessment results; risk assessment reviews; risk assessment updates; other relevant documents or records].
Interview
[SELECT FROM: Personnel with risk assessment responsibilities; personnel with information security responsibilities].
Test
[SELECT FROM: Organizational processes for risk assessment; mechanisms supporting or for conducting, documenting, reviewing, disseminating, and updating the risk assessment].

What we look for in practice

The following are placeholder notes that should be refined based on practice experience.

What assessors look for in practice. Documented evidence that this control is implemented across all CUI-handling systems within scope. Specific artifacts vary, but expect requests for written procedures, system configurations, and operational records demonstrating the control is active.

Common failure patterns. Typical issues include incomplete documentation, inconsistent implementation across systems, and missing periodic review records. Refine this section as your practice accumulates direct assessment experience.

Strong evidence looks like. Formal policy referencing this control, technical configurations demonstrating enforcement, periodic review logs with sign-off, and procedures for handling exceptions.

Scoring and POA&M context. 3-point control under the DoD Assessment Methodology. Meaningful but more contained scoring impact. Not POA&M-eligible — must be implemented at assessment time.