NIST Special Publication 800-171 Revision 2

Date Published: January 28th, 2021

Withdrawn on May 14, 2024. Superseded by SP 800-171 Rev. 3

Author(s): Ron Ross (NIST), Victoria Pillitteri (NIST), Kelley Dempsey (NIST), Mark Riddle (NARA), Gary Guissanie (IDA)

Note: A Class Deviation is in effect as of May 2, 2024 (DEVIATION 2024O0013). The deviation clause requires contractors, who are subject to 252.204-7012, to comply with National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171 Revision 2, instead of the version of NIST SP 800-171 in effect at the time the solicitation is issued or as authorized by the contracting officer. Click Here

3.10.1: Limit physical access to organizational systems, equipment, and the respective operating environments to authorized individuals.

Control Family: Physical Protection

Control Type: Basic

SPRS Value: 5

SPRS Supplemental Guidance: N/A

CMMC Level(s):

  • PE.L1-b.1.viii

  • PE.L2-3.10.1

Top Ten Failed Requirement:

No

Referenced in:

DFARS 252.204-7012

Derived From: NIST SP 800-53r4

  • PE-2

  • PE-4

  • PE-5

  • PE-6

NIST Supplemental Guidance:

N/A

Discussion:

This requirement applies to employees, individuals with permanent physical access authorization credentials, and visitors. Authorized individuals have credentials that include badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, directives, policies, regulations, standards, procedures, and guidelines. This requirement applies only to areas within facilities that have not been designated as publicly accessible.

Limiting physical access to equipment may include placing equipment in locked rooms or other secured areas and allowing access to authorized individuals only; and placing equipment in locations that can be monitored by organizational personnel. Computing devices, external disk drives, networking devices, monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of equipment.

Upon assessment, assessors must determine if-

3.10.1[a] authorized individuals allowed physical access are identified.
3.10.1[b] physical access to organizational systems is limited to authorized individuals.
3.10.1[c] physical access to equipment is limited to authorized individuals.
3.10.1[d] physical access to operating environments is limited to authorized individuals

Assessors are instructed to-

Examine: [SELECT FROM: Physical and environmental protection policy; procedures addressing physical access authorizations; system security plan; authorized personnel access list; authorization credentials; physical access list reviews; physical access termination records and associated documentation; other relevant documents or records].

Interview: [SELECT FROM: Personnel with physical access authorization responsibilities; personnel with physical access to system facility; personnel with information security responsibilities].

Test: [SELECT FROM: Organizational processes for physical access authorizations; mechanisms supporting or implementing physical access authorizations].

FURTHER DISCUSSION

This addresses the company’s physical space (e.g., office, testing environments, equipment rooms), technical assets, and non-technical assets that need to be protected from unauthorized physical access. Specific environments are limited to authorized employees, and access is controlled with badges, electronic locks, physical key locks, etc. Output devices, such as printers, are placed in areas where their use does not expose data to unauthorized individuals. Lists of personnel with authorized access are developed and maintained, and personnel are issued appropriate authorization credentials.

Example

You manage a DoD project that requires special equipment used only by project team members [b,c]. You work with the facilities manager to put locks on the doors to the areas where the equipment is stored and used [b,c,d]. Project team members are the only individuals issued with keys to the space. This restricts access to only those employees who work on the DoD project and require access to that equipment

Potential Assessment Considerations

  • Are lists of personnel with authorized access developed and maintained, and are appropriate authorization credentials issued [a]?

  • Has the facility/building manager designated building areas as “sensitive” and designed physical security protections (e.g., guards, locks, cameras, card readers) to limit physical access to the area to only authorized employees [b,c,d]?

  • Are output devices such as printers placed in areas where their use does not expose data to unauthorized individuals [c]?