32 C.F.R. § 170.11

Current through November 30, 2024
Section 170.11 - [Effective 12/16/2024] CMMC Certified Assessor (CCA)
(a)Roles and responsibilities. CCAs, in support of a C3PAO, conduct Level 2 certification assessments of OSCs in accordance with NIST SP 800-171A Jun2018 (incorporated by reference, see § 170.2), the assessment processes defined in § 170.17, and the scoping requirements defined in § 170.19(c). CCAs must meet all of the requirements set forth in paragraph (b) of this section. A CCA may conduct Level 2 certification assessments and participate on a C3PAO Assessment Team.
(b)Requirements. CCAs shall:
(1) Obtain and maintain certification from the CAICO in accordance with the requirements set forth in § 170.10. Certification is valid for 3 years from the date of issuance.
(2) Comply with the Accreditation Body policies for Conflict of Interest, Code of Professional Conduct, and Ethics set forth in § 170.8(b)(17).
(3) Complete a Tier 3 background investigation resulting in a determination of national security eligibility. This Tier 3 background investigation will not result in a security clearance and is not being executed for the purpose of government employment. The Tier 3 background investigation is initiated using the Standard Form (SF) 86 (www.gsa.gov/reference/forms/questionnaire-for-national-security-positions). These positions are designated as non-critical sensitive with a risk designation of "Moderate Risk" in accordance with 5 CFR 1400.201(b) and (d) and the investigative requirements of 5 CFR 731.106(c)(2) .
(4) Meet the equivalent of a favorably adjudicated Tier 3 background investigation when not eligible for a Tier 3 background investigation. DoD will determine the Tier 3 background investigation equivalence for use with the CMMC Program only.
(5) Provide all documentation and records in English.
(6) Be a CCP who has at least 3 years of cybersecurity experience, at least 1 year of assessment or audit experience, and at least one foundational qualification, aligned to at least the Intermediate Proficiency Level of the DoD Cyberspace Workforce Framework's Security Control Assessor (612) Work Role, from DoD Manual 8140.03, Cyberspace Workforce Qualification and Management Program (https://dodcio.defense.gov/Portals/0/Documents/Library/DoDM-8140-03.pdf). Information on the Work Role 612 can be found at https://public.cyber.mil/dcwf-work-role/security-control-assessor/.
(7) Only use IT, cloud, cybersecurity services, and end-point devices provided by the authorized/accredited C3PAO that has been engaged to perform that OSA's Level 2 certification assessment and which has undergone a Level 2 certification assessment by DCMA DIBCAC (or higher) for all assessment activities. Individual assessors are prohibited from using any other IT, including IT that is personally owned, to include internal and external cloud services and end-point devices, to process, store, or transmit CMMC assessment reports or any other CMMC assessment-related information. The evaluation of assessment evidence within the OSC environment, using OSC tools, is permitted.
(8) Immediately notify the responsible C3PAO of any breach or potential breach of security to any CMMC-related assessment materials under the assessors' purview.
(9) Not share any information about an OSC obtained during CMMC pre-assessment and assessment activities with any person not involved with that specific assessment, except as otherwise required by law.
(10) Qualify as a Lead CCA by having at least 5 years of cybersecurity experience, 5 years of management experience, 3 years of assessment or audit experience, and at least one foundational qualification aligned to Advanced Proficiency Level of the DoD Cyberspace Workforce Framework's Security Control Assessor (612) Work Role, from DoD Manual 8140.03, Cyberspace Workforce Qualification and Management Program (https://dodcio.defense.gov/Portals/0/Documents/Library/DoDM-8140-03.pdf). Information on the Work Role 612 can be found at https://public.cyber.mil/dcwf-work-role/security-control-assessor/.

32 C.F.R. §170.11

89 FR 83214 , 12/16/2024