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a6a5d8e | 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 | # Vertical Governance Policy: Defense — CMMC Level 3 / NIST SP 800-171
# Doctrine v6 | R3 Adversarial Receipts
# Last revised: 2025-07
schema_version: "1.0.0"
vertical: defense
regime: CMMC-L3/NIST-SP-800-171
effective_date: "2025-07-01"
jurisdiction: US-Federal-DoD
meta:
title: "Defense AI Governance Policy — CMMC Level 3 / NIST SP 800-171 Alignment"
description: >
Maps Cybersecurity Maturity Model Certification Level 3 and NIST SP 800-171
Controlled Unclassified Information (CUI) requirements to Doctrine v6 Λ-axes
for AI systems deployed in defense-industrial-base (DIB) contexts.
authority: "32 CFR Part 170 (CMMC); NIST SP 800-171 Rev 3 (2024); DFARS 252.204-7012"
receipt_chain_required: true
merkle_root_algorithm: SHA3-256
classification_ceiling: CUI
regulatory_clauses:
- clause_id: CMMC-L3-AC.L3-3.1.3
title: "Control CUI Flow"
citation: "CMMC L3 AC.L3-3.1.3; NIST SP 800-171 Rev 3 § 3.1.3"
full_ref: "NIST SP 800-171 Rev 3 Control 3.1.3 — Control the flow of CUI in accordance with approved authorizations"
lambda_axes:
- axis: Λ6
label: Security
weight: 1.0
enforcement: mandatory
rationale: >
AI inference requests containing CUI must be tagged, routed through
approved enclaves, and receipt-logged with enclave attestation token.
- axis: Λ10
label: Sovereignty
weight: 0.92
enforcement: mandatory
- clause_id: CMMC-L3-AU.L3-3.3.1
title: "Create and Retain System Audit Logs"
citation: "CMMC L3 AU.L3-3.3.1; NIST SP 800-171 Rev 3 § 3.3.1"
full_ref: "NIST SP 800-171 Rev 3 Control 3.3.1 — Create, protect, and retain system audit logs"
lambda_axes:
- axis: Λ7
label: Auditability
weight: 1.0
enforcement: mandatory
rationale: >
Merkle DAG receipt chain provides cryptographic audit log; each node
captures timestamp (TAI64N), actor DID, action type, CUI category code.
- axis: Λ8
label: Robustness
weight: 0.78
enforcement: mandatory
- clause_id: CMMC-L3-IA.L3-3.5.3
title: "Multifactor Authentication"
citation: "CMMC L3 IA.L3-3.5.3; NIST SP 800-171 Rev 3 § 3.5.3"
full_ref: "NIST SP 800-171 Rev 3 Control 3.5.3 — Use multifactor authentication for local and network access"
lambda_axes:
- axis: Λ6
label: Security
weight: 0.95
enforcement: mandatory
- axis: Λ2
label: Accountability
weight: 0.88
enforcement: mandatory
rationale: >
Each AI agent principal must carry a FIDO2/PIV-backed credential;
authentication event hashed into receipt chain root.
- clause_id: CMMC-L3-SI.L3-3.14.2
title: "Provide Protection from Malicious Code at Alternate Processed Locations"
citation: "CMMC L3 SI.L3-3.14.2; NIST SP 800-171 Rev 3 § 3.14.2"
full_ref: "NIST SP 800-171 Rev 3 Control 3.14.2 — Provide protection from malicious code at appropriate locations"
lambda_axes:
- axis: Λ5
label: Safety
weight: 0.90
enforcement: mandatory
rationale: >
AI model weights and inference artifacts must be integrity-verified
before each execution; hash comparison logged in receipt.
- axis: Λ8
label: Robustness
weight: 0.85
enforcement: mandatory
- clause_id: NIST-171-3.12.4
title: "System Security Plans"
citation: "NIST SP 800-171 Rev 3 § 3.12.4"
full_ref: "NIST SP 800-171 Rev 3 Control 3.12.4 — Develop, document, and periodically update system security plans"
lambda_axes:
- axis: Λ1
label: Transparency
weight: 0.85
enforcement: mandatory
rationale: >
AI system security plan must describe model architecture, training
data provenance, and governance receipt chain topology.
- axis: Λ9
label: Explainability
weight: 0.72
enforcement: recommended
- clause_id: DFARS-252.204-7012
title: "Safeguarding Covered Defense Information"
citation: "DFARS 252.204-7012(b); 48 CFR § 252.204-7012"
full_ref: "DFARS 252.204-7012 — Safeguarding Covered Defense Information and Cyber Incident Reporting"
lambda_axes:
- axis: Λ6
label: Security
weight: 1.0
enforcement: mandatory
- axis: Λ2
label: Accountability
weight: 0.92
enforcement: mandatory
rationale: >
72-hour cyber incident reporting obligation; AI anomaly detection
must auto-generate incident receipt with IOC hashes within 1 hour.
- clause_id: CMMC-L3-RA.L3-3.11.2
title: "Scan for Vulnerabilities"
citation: "CMMC L3 RA.L3-3.11.2; NIST SP 800-171 Rev 3 § 3.11.2"
full_ref: "NIST SP 800-171 Rev 3 Control 3.11.2 — Scan for vulnerabilities in organizational systems and applications"
lambda_axes:
- axis: Λ8
label: Robustness
weight: 0.90
enforcement: mandatory
rationale: >
AI pipeline must undergo adversarial robustness scanning quarterly;
scan results are commitment receipts in the Merkle DAG.
- axis: Λ4
label: Fairness
weight: 0.60
enforcement: recommended
- clause_id: EO-14110-AI-SAFETY
title: "Executive Order on AI Safety — Defense Applications"
citation: "E.O. 14110 § 4.2 (Oct 2023); DoD AI Adoption Strategy 2024"
full_ref: "E.O. 14110 § 4.2 — National security AI safety; DoD AI Adoption Strategy (Feb 2024)"
lambda_axes:
- axis: Λ5
label: Safety
weight: 1.0
enforcement: mandatory
rationale: >
Autonomous AI systems in defense must have human-on-the-loop kill
switches; each autonomous decision receipt must include HotL token.
- axis: Λ4
label: Fairness
weight: 0.75
enforcement: mandatory
compliance_thresholds:
minimum_lambda_coverage: 8
mandatory_axes: [Λ5, Λ6, Λ7, Λ10]
receipt_retention_days: 3650 # 10 years DFARS
max_cui_inference_latency_ms: 100
adversarial_scan_cycle_days: 90
classification_ceiling: CUI
receipt_chain:
algorithm: SHA3-256
chaining: merkle_dag
quorum: 3-of-5
nodes: [primary, secondary, tertiary, hot-standby, air-gapped-archive]
enclave_attestation: true
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