Safeguarding Controlled Unclassified Information (CUI) under CMMC 2.0

This is a comprehensive guide to understanding Controlled Unclassified Information (CUI), its protection under the Cybersecurity Maturity Model Certification (CMMC), and best practices for safeguarding CUI such as leveraging OSCAL and STIGs.

Understanding Controlled Unclassified Information (CUI)

Controlled Unclassified Information (CUI) plays a pivotal role in government operations, encompassing government-owned or created information that necessitates safeguarding through information security controls, even though it is not classified. For example, sensitive but unclassified government and business data falls under the CUI designation, demanding protection to uphold national security, privacy, and economic interests. Understanding the distinction between CUI and classified information is crucial to underscore the significance of safeguarding CUI in government contracts and collaborations. While classified information is explicitly labeled and protected, CUI requires similar protective measures due to its sensitive nature and its integral role in government operations and national security. 

Additionally, the specific categories of CUI, such as Controlled Technical Information (CTI) and Proprietary Manufacturer (MFC), highlight the diverse nature of information that falls under the CUI designation. For instance, Controlled Technical Information (CTI) encompasses data related to technical details of defense articles and services, and Proprietary Manufacturer (MFC) includes information from private manufacturers that needs to be safeguarded. Each category demands tailored safeguarding protocols to ensure the information’s confidentiality, integrity, and availability, underscoring the need for standardized standards and specific requirements in handling CUI. By understanding the nuances of CUI categories and their distinct safeguarding requirements, organizations and contractors can effectively implement the necessary protective measures to uphold the confidentiality and integrity of CUI.

Furthermore, the National Archives and Records Administration experienced a significant data breach, creating a CUI management program. This incident served as a wake-up call, emphasizing the need for robust protective measures and standardized protocols to prevent future incidents and mitigate potential threats to sensitive information.

Importance of Protecting CUI

For instance, CUI includes sensitive but unclassified government and business data that, if compromised, can pose significant risks to national security and economic stability. The potential consequences of a breach of CUI could range from the compromise of critical infrastructure information to the unauthorized access of proprietary business data, both of which have serious implications for the safety and well-being of the nation and its citizens.

Moreover, the urgency of safeguarding CUI was highlighted by a major data breach at the National Archives and Records Administration, which led to the creation of a CUI management program. This breach served as a wake-up call, emphasizing the need for robust protective measures and standardized protocols to prevent future incidents and mitigate potential threats to sensitive information. Additionally, the requirement for contractors to demonstrate expertise in safeguarding CUI when working with the U.S. Department of Defense is a testament to CUI’s critical role in government operations and security. This underscores the need for contractors to be well-versed in the specific security measures and requirements for handling CUI, as dictated by the Cybersecurity Maturity Model Certification (CMMC), to ensure the preservation of national security and the integrity of sensitive information.

Furthermore, the protection of CUI is essential not only for national security but also for safeguarding privacy and economic interests. The compromise of CUI can have far-reaching implications, including the unauthorized disclosure of proprietary business information or the potential exploitation of critical infrastructure data. Therefore, the effective protection of CUI is vital for maintaining the integrity of sensitive information and upholding the security and economic stability of the nation.

The Cybersecurity Maturity Model Certification (CMMC) and CUI Protection

The Cybersecurity Maturity Model Certification (CMMC) is a critical framework designed to safeguard Controlled Unclassified Information (CUI) and Federal Contract Information (FCI). This certification program is particularly significant for Department of Defense (DoD) contractors, as it ensures that they adhere to stringent security measures for protecting sensitive government information. For example, the CMMC's three levels of assessment – Foundational, Advanced, and Expert – provide a structured approach to evaluating and enhancing organizations' cybersecurity practices to ensure the safeguarding of CUI. This systematic approach helps establish a clear understanding of the security requirements and assists organizations in implementing the necessary measures to protect CUI effectively.

Furthermore, the CMMC plays a pivotal role in setting specific standards and requirements for handling CUI, thereby offering a comprehensive approach to information security within the defense industrial base (DIB). For instance, organizations aiming to achieve CMMC compliance must demonstrate their ability to implement the appropriate security controls outlined in NIST SP 800-171 to protect CUI effectively. This includes measures such as access control, audit and accountability, incident response, and system and communications protection, among others. By outlining these specific requirements, the CMMC ensures that organizations have a clear roadmap for protecting CUI, thereby contributing to the overall security posture of the defense supply chain.

Moreover, the CMMC's role in protecting CUI extends beyond compliance requirements. It also serves as a mechanism for enhancing organizations’ cybersecurity resilience and ability to safeguard sensitive information effectively. By aligning with the CMMC's security standards and requirements, organizations can protect CUI and establish robust and resilient cybersecurity practices to mitigate potential threats and vulnerabilities.

CUI and Federal Contract Information (FCI)

FCI is data provided under a government contract and is not intended for public release, while CUI is government-owned or created information that requires safeguarding using information security controls. While controls for FCI overlap with FAR 52.204-21, which sets minimum cybersecurity requirements, CUI is protected in accordance with NIST 800-171, necessitating more stringent security protections.

For example, a company working on a government contract may handle both FCI and CUI. Federal Contract Information might include data such as financial reports or acquisition plans, which require a baseline level of cybersecurity controls. On the other hand, controlled unclassified information may encompass more sensitive data like proprietary manufacturing processes or critical defense infrastructure, demanding a higher level of security measures to protect it from unauthorized access or disclosure. The CMMC's role in assessing Defense Industrial Base (DIB) members is crucial in ensuring that both CUI and FCI are adequately protected. By addressing the specific security requirements for each type of information, the CMMC ensures that contractors implement the necessary safeguards to protect sensitive government-owned data and information provided under federal contracts.

Additionally, understanding the distinction between CUI and FCI is fundamental for organizations to tailor their security measures and protocols accordingly. By recognizing the varying levels of sensitivity and potential impact of each type of information, organizations can develop targeted security strategies to protect both CUI and FCI effectively. This enables them to align with the specific security requirements mandated by the CMMC and enhance their overall cybersecurity posture.

Levels of CMMC Assessment for Protecting CUI

The Cybersecurity Maturity Model Certification (CMMC) 2.0 has been designed to introduce a comprehensive framework for protecting Controlled Unclassified Information (CUI) at various levels of assessment, thereby ensuring robust security measures across defense industrial base (DIB) organizations. The three levels of assessment under CMMC 2.0, namely Foundational, Advanced, and Expert, each outline specific security measures and requirements tailored to the handling and safeguarding of CUI. For instance, the Foundational level may focus on basic cybersecurity hygiene, while the Expert level may demand more advanced and sophisticated security controls and practices to protect highly sensitive CUI.

Organizations seeking certification under CMMC must thoroughly comprehend and adhere to the controls and practices stipulated for each level of assessment. For example, at the Foundational level, organizations may be required to implement basic access control measures and conduct regular security training for employees handling CUI. In contrast, at the Expert level, the implementation of advanced encryption protocols and stringent access controls may be expected to safeguard the most sensitive categories of CUI, such as Controlled Technical Information (CTI) and Proprietary Manufacturer (MFC) data. Therefore, a nuanced understanding of the specific security measures and requirements for each level of CMMC assessment is crucial for organizations to effectively protect CUI and achieve compliance with the certification standards.

Furthermore, the CMMC's multi-level approach to assessing and enhancing cybersecurity practices enables organizations to progressively strengthen their security posture and resilience. By advancing through the different levels of assessment, organizations can not only tailor their security measures to the sensitivity of CUI but also continuously improve their ability to protect sensitive government information from potential threats and vulnerabilities.

Categories of CUI and Their Safeguarding

Controlled Unclassified Information (CUI) encompasses various categories, such as Basic CUI and Specified CUI, each requiring specific safeguarding measures tailored to the nature of the information. For example, Basic CUI may include unclassified information that is deemed sensitive and requires protection, while Specified CUI comprises information that demands an even higher level of safeguarding due to its significance to national security or other critical interests.

Moreover, the CUI Registry provides a comprehensive outline of specific categories of information falling under the CUI designation, including Controlled Technical Information (CTI) and Proprietary Manufacturer (MFC). This emphasizes the need for a nuanced approach to safeguarding CUI, as each category may require distinct security measures and protocols to ensure its protection from unauthorized access or disclosure. Furthermore, correctly identifying and safeguarding information classified as CUI is crucial for maintaining its integrity and confidentiality, underscoring the importance of tailored protection measures for different types of sensitive information.

Furthermore, the distinct categories of CUI underscore the need for organizations to develop targeted security strategies to protect each type of information effectively. By recognizing the specific requirements for safeguarding Basic CUI and Specified CUI, organizations can tailor their security controls and practices to the sensitivity and potential impact of the information, thereby enhancing their ability to protect CUI comprehensively.

Legal and Regulatory Framework for CUI Protection

Executive orders and legislation, such as NIST SP 800-171 and the Cybersecurity Maturity Model Certification (CMMC) program, have been implemented in response to the increasing threat of cyberattacks and data breaches, emphasizing the need to safeguard sensitive information to ensure national security and privacy.

For example, the NIST SP 800-171 publication provides guidelines for protecting Controlled Unclassified Information in non-federal systems and organizations. It outlines specific security requirements for handling CUI, including access control, incident response, and encryption protocols. Compliance with NIST SP 800-171 is essential for organizations dealing with CUI to meet the stringent security standards mandated by the DoD. Additionally, the CMMC program includes three levels of cybersecurity practices, each with its own set of security measures and requirements for handling CUI. These levels of assessment are foundational, advanced, and expert, catering to the varying degrees of complexity and sensitivity of CUI data.

Furthermore, understanding and adhering to applicable laws and regulations, such as the DoD Instruction (DoDI) 5200.48, is paramount for organizations to align their information security practices with the specific requirements for handling CUI. This instruction mandates the implementation of stringent security controls and procedures to protect CUI, ensuring that contractors and subcontractors are equipped to safeguard sensitive information in accordance with government laws, regulations, and policies. Therefore, a comprehensive understanding of CUI protection’s legal and regulatory landscape is fundamental for organizations aiming to work with the DoD and handle sensitive information securely and compliantly.

Moreover, the legal and regulatory framework for protecting CUI is continuously evolving in response to emerging cybersecurity threats and vulnerabilities. This necessitates organizations to stay informed about the latest developments in laws, regulations, and compliance standards related to CUI protection to ensure that they maintain a robust and current approach to safeguarding sensitive government information.

Technology's Role in CUI Protection

Data encryption and hardened virtual appliances are fundamental elements in the protection of CUI. For example, data encryption, such as double AES-256 encryption used by Kiteworks, ensures that sensitive content communications, including CUI, remain secure and protected. The use of hardened virtual appliances further enhances CUI’s security by providing a robust and secure environment for storing and transmitting sensitive information, which is vital for maintaining compliance with CMMC requirements.

Moreover, Kiteworks' Private Content Network exemplifies the technology’s advanced CUI protection capabilities. This solution unifies, tracks, and secures sensitive content communications, offering comprehensive security and compliance governance. By utilizing such advanced technology, organizations can effectively safeguard CUI, demonstrating their commitment to meeting the stringent security requirements outlined by the Cybersecurity Maturity Model Certification (CMMC). The integration of advanced technology not only ensures the protection of CUI but also facilitates adherence to the specific security measures and requirements mandated for handling CUI under CMMC, thereby enabling organizations to establish a strong cybersecurity posture in their operations.

Furthermore, the role of technology in protecting CUI extends beyond encryption and secure storage solutions. Advanced technologies such as data loss prevention (DLP) systems, secure collaboration platforms, and threat intelligence tools play a crucial role in identifying, monitoring, and mitigating potential risks to CUI. By leveraging these technologies, organizations can proactively protect CUI from unauthorized access, data breaches, and other security threats, thereby enhancing their information systems’ overall security and resilience.

Best Practices for Protecting CUI

One key best practice is ensuring that all employees receive comprehensive cybersecurity training to recognize, handle, and safeguard CUI in line with the Cybersecurity Maturity Model Certification (CMMC) requirements. For example, regular security awareness training sessions and simulated phishing exercises can significantly enhance employees’ ability to identify and respond to potential security threats, reducing the risk of unauthorized access to CUI.

Furthermore, it is essential for DoD contractors to establish and maintain a robust incident response plan tailored to the protection of CUI. This plan should outline the steps to be taken in case of a security breach or unauthorized access to CUI, including prompt reporting, containment, eradication, and recovery measures. By having a well-defined incident response plan in place, contractors can mitigate the impact of security incidents and demonstrate their readiness to protect CUI, thereby bolstering their credibility and trustworthiness as custodians of sensitive government information.

In addition to training and incident response planning, implementing a comprehensive access control policy is another critical best practice for protecting CUI. This involves the careful management of user privileges, access rights, and authentication processes to ensure that only authorized personnel have access to CUI. For instance, the use of multi-factor authentication, role-based access controls, and regular access reviews can significantly reduce the risk of unauthorized exposure or compromise of CUI. By adhering to best practices in access control, DoD contractors can fortify the protection of CUI and align with the stringent security requirements mandated by the CMMC.

Moreover, regular security assessments and audits play a crucial role in identifying potential vulnerabilities and gaps in the protection of CUI. By conducting thorough assessments of their information systems and security controls, organizations can proactively address any weaknesses or deficiencies and enhance their ability to protect CUI effectively. This proactive approach to security assessment is essential for continuously improving the resilience and robustness of CUI protection measures.

In addition, it is extremely helpful that policies and procedures written to protect CUI be simultaneously readable by both humans and machines. Languages such as LegalDocML and OSCAL provide such languages. For information about how OSCAL can help a CMMC certification program, read our article HERE.