# 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