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Evidence Collection Approach for CMMC Practices Levels 1 and 2

The following table contains the DIBCAC Evidence collection approach for the CMMC Levels 1 and 2 practices and their Assessment Objectives.

The following tables provide a general approach between Assessment Objectives (AOs) and Assessment Methods that may be used. These are not to be construed as directive. The Assessor has the right to replace any Assessment Method with a different one based on what the OSC has provided in other requirements, previously gathered Evidence, or the lack therein.

The definition of the Evidence approaches are as follows:

Artifacts: Tangible and reviewable records that are the direct outcome of a practice or process being performed by a system, person, or persons performing a role in that practice, control, or process. (See CAP Glossary for additional details.)
Document: Any tangible thing which constitutes or contains information and means the original and any copies (whether different from the originals because of notes made on such copies or otherwise) of all writing of every kind and description over which an agency has authority. (See CAP Glossary for additional details.)
Physical Review: An on-premise observation of Evidence.
Screen Share: Live observation "over the shoulder" of a user as they share their computer screen while performing a task.

Access Control (AC)

AC.L2-3.1.1 – Authorized Access Control [CUI Data]

Practice and Assessment Objectives	Evidence
AC.L2-3.1.1 Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems).
[a] authorized users are identified.	Document
[b] processes acting on behalf of authorized users are identified.	Document
[c] devices (and other systems) authorized to connect to the system are identified.	Document
[d] system access is limited to authorized users.	Screen Share
[e] system access is limited to processes acting on behalf of authorized users.	Screen Share
[f] system access is limited to authorized devices (including other systems).	Screen Share
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AC.L2-3.1.2 – Transaction & Function Control [CUI Data]

SECURITY REQUIREMENT Limit information system access to the types of transactions and functions that authorized users are permitted to execute.
ASSESSMENT OBJECTIVES [a] the types of transactions and functions that authorized users are permitted to execute are defined; and [b] system access is limited to the defined types of transactions and functions for authorized users.
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AC.L2-3.1.3 – Control CUI Flow

SECURITY REQUIREMENT Control the flow of CUI in accordance with approved authorizations.
ASSESSMENT OBJECTIVES [a] information flow control policies are defined; [b] methods and enforcement mechanisms for controlling the flow of CUI are defined; [c] designated sources and destinations (e.g., networks, individuals, and devices) for CUI within the system and between interconnected systems are identified; [d] authorizations for controlling the flow of CUI are defined; and [e] approved authorizations for controlling the flow of CUI are enforced.
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AC.L2-3.1.4 – Separation of Duties

SECURITY REQUIREMENT Separate the duties of individuals to reduce the risk of malevolent activity without collusion.
ASSESSMENT OBJECTIVES [a] the duties of individuals requiring separation are defined; [b] responsibilities for duties that require separation are assigned to separate individuals; and [c] access privileges that enable individuals to exercise the duties that require separation are granted to separate individuals.
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AC.L2-3.1.5 – Least Privilege

SECURITY REQUIREMENT Employ the principle of least privilege, including for specific security functions and privileged accounts.
ASSESSMENT OBJECTIVES [a] privileged accounts are identified; [b] access to privileged accounts is authorized in accordance with the principle of least privilege; [c] security functions are identified; and [d] access to security functions is authorized in accordance with the principle of least privilege.
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AC.L2-3.1.6 – Non-Privileged Account Use

SECURITY REQUIREMENT Use non-privileged accounts or roles when accessing nonsecurity functions.
ASSESSMENT OBJECTIVES [a] nonsecurity functions are identified; and [b] users are required to use non-privileged accounts or roles when accessing nonsecurity functions.
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AC.L2-3.1.7 – Privileged Functions

SECURITY REQUIREMENT Prevent non-privileged users from executing privileged functions and capture the execution of such functions in audit logs.
ASSESSMENT OBJECTIVES [a] privileged functions are defined; [b] non-privileged users are defined; [c] non-privileged users are prevented from executing privileged functions; and [d] the execution of privileged functions is captured in audit logs.
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AC.L2-3.1.8 – Unsuccessful Logon Attempts

SECURITY REQUIREMENT Limit unsuccessful logon attempts.
ASSESSMENT OBJECTIVES [a] the means of limiting unsuccessful logon attempts is defined; and [b] the defined means of limiting unsuccessful logon attempts is implemented.
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AC.L2-3.1.9 – Privacy & Security Notices

SECURITY REQUIREMENT Provide privacy and security notices consistent with applicable CUI rules.
ASSESSMENT OBJECTIVES [a] privacy and security notices required by CUI-specified rules are identified, consistent, and associated with the specific CUI category; and [b] privacy and security notices are displayed.
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AC.L2-3.1.10 – Session Lock

SECURITY REQUIREMENT Use session lock with pattern-hiding displays to prevent access and viewing of data after a period of inactivity.
ASSESSMENT OBJECTIVES [a] the period of inactivity after which the system initiates a session lock is defined; [b] access to the system and viewing of data is prevented by initiating a session lock after the defined period of inactivity; and [c] previously visible information is concealed via a pattern-hiding display after the defined period of inactivity.
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AC.L2-3.1.11 – Session Termination

SECURITY REQUIREMENT Terminate (automatically) a user session after a defined condition.
ASSESSMENT OBJECTIVES [a] conditions requiring a user session to terminate are defined; and [b] a user session is automatically terminated after any of the defined conditions
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AC.L2-3.1.12 – Control Remote Access

SECURITY REQUIREMENT Monitor and control remote access sessions.
ASSESSMENT OBJECTIVES [a] remote access sessions are permitted; [b] the types of permitted remote access are identified; [c] remote access sessions are controlled; and [d] remote access sessions are monitored.
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AC.L2-3.1.13 – Remote Access Confidentiality

SECURITY REQUIREMENT Employ cryptographic mechanisms to protect the confidentiality of remote access sessions.
ASSESSMENT OBJECTIVES [a] cryptographic mechanisms to protect the confidentiality of remote access sessions are identified; and [b] cryptographic mechanisms to protect the confidentiality of remote access sessions are implemented.
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AC.L2-3.1.14 – Remote Access Routing

SECURITY REQUIREMENT Route remote access via managed access control points.
ASSESSMENT OBJECTIVES [a] managed access control points are identified and implemented; and [b] remote access is routed through managed network access control points.
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AC.L2-3.1.15 – Privileged Remote Access

SECURITY REQUIREMENT Authorize remote execution of privileged commands and remote access to security-relevant information.
ASSESSMENT OBJECTIVES [a] privileged commands authorized for remote execution are identified; [b] security-relevant information authorized to be accessed remotely is identified; [c] the execution of the identified privileged commands via remote access is authorized; and [d] access to the identified security-relevant information via remote access is authorized.
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AC.L2-3.1.16 – Wireless Access Authorization

SECURITY REQUIREMENT Authorize wireless access prior to allowing such connections.
ASSESSMENT OBJECTIVES [a] wireless access points are identified; and [b] wireless access is authorized prior to allowing such connections.
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AC.L2-3.1.17 – Wireless Access Protection

SECURITY REQUIREMENT Protect wireless access using authentication and encryption.
ASSESSMENT OBJECTIVES [a] wireless access to the system is protected using authentication; and [b] wireless access to the system is protected using encryption.
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AC.L2-3.1.18 – Mobile Device Connection

SECURITY REQUIREMENT Control connection of mobile devices.
ASSESSMENT OBJECTIVES [a] mobile devices that process, store, or transmit CUI are identified; [b] mobile device connections are authorized; and [c] mobile device connections are monitored and logged.
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AC.L2-3.1.19 – Encrypt CUI on Mobile

SECURITY REQUIREMENT Encrypt CUI on mobile devices and mobile computing platforms.
ASSESSMENT OBJECTIVES [a] mobile devices and mobile computing platforms that process, store, or transmit CUI are identified; and [b] encryption is employed to protect CUI on identified mobile devices and mobile computing platforms.
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AC.L2-3.1.20 – External Connections [CUI Data]

SECURITY REQUIREMENT Verify and control/limit connections to and use of external information systems.
ASSESSMENT OBJECTIVES [a] connections to external systems are identified; [b] the use of external systems is identified; [c] connections to external systems are verified; [d] the use of external systems is verified; [e] connections to external systems are controlled/limited; and [f] the use of external systems is controlled/limited.
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AC.L2-3.1.21 – Portable Storage Use

SECURITY REQUIREMENT Limit use of portable storage devices on external systems.
ASSESSMENT OBJECTIVES [a] the use of portable storage devices containing CUI on external systems is identified and documented; [b] limits on the use of portable storage devices containing CUI on external systems are defined; and [c] the use of portable storage devices containing CUI on external systems is limited as defined.
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AC.L2-3.1.22 – Control Public Information [CUI Data]

SECURITY REQUIREMENT Control information posted or processed on publicly accessible information systems.
ASSESSMENT OBJECTIVES [a] individuals authorized to post or process information on publicly accessible systems are identified; [b] procedures to ensure CUI is not posted or processed on publicly accessible systems are identified; [c] a review process is in place prior to posting of any content to publicly accessible systems; [d] content on publicly accessible systems is reviewed to ensure that it does not include CUI; and [e] mechanisms are in place to remove and address improper posting of CUI.
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Awareness and Training (AT)

AT.L2-3.2.1 – Role-Based Risk Awareness

SECURITY REQUIREMENT Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems.
ASSESSMENT OBJECTIVES [a] security risks associated with organizational activities involving CUI are identified; [b] policies, standards, and procedures related to the security of the system are identified; [c] managers, systems administrators, and users of the system are made aware of the security risks associated with their activities; and [d] managers, systems administrators, and users of the system are made aware of the applicable policies, standards, and procedures related to the security of the system.
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AT.L2-3.2.2 – Role-Based Training

SECURITY REQUIREMENT Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities.\|-
ASSESSMENT OBJECTIVES [a] information security-related duties, roles, and responsibilities are defined; [b] information security-related duties, roles, and responsibilities are assigned to designated personnel; and [c] personnel are adequately trained to carry out their assigned information security-related duties, roles, and responsibilities.
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AT.L2-3.2.3 – Insider Threat Awareness

SECURITY REQUIREMENT Provide security awareness training on recognizing and reporting potential indicators of insider threat.
ASSESSMENT OBJECTIVES [a] potential indicators associated with insider threats are identified; and [b] security awareness training on recognizing and reporting potential indicators of insider threat is provided to managers and employees.
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Audit and Accountability (AU)

AU.L2-3.3.1 – System Auditing

SECURITY REQUIREMENT Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity.
ASSESSMENT OBJECTIVES [a] audit logs needed (i.e., event types to be logged) to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity are specified; [b] the content of audit records needed to support monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity is defined; [c] audit records are created (generated); [d] audit records, once created, contain the defined content; [e] retention requirements for audit records are defined; and [f] audit records are retained as defined.
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AU.L2-3.3.2 – User Accountability

SECURITY REQUIREMENT Ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions.
ASSESSMENT OBJECTIVES [a] the content of the audit records needed to support the ability to uniquely trace users to their actions is defined; and [b] audit records, once created, contain the defined content.
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AU.L2-3.3.3 – Event Review

SECURITY REQUIREMENT Review and update logged events.
ASSESSMENT OBJECTIVES [a] a process for determining when to review logged events is defined; [b] event types being logged are reviewed in accordance with the defined review process; and [c] event types being logged are updated based on the review.
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AU.L2-3.3.4 – Audit Failure Alerting

SECURITY REQUIREMENT Alert in the event of an audit logging process failure.
ASSESSMENT OBJECTIVES [a] personnel or roles to be alerted in the event of an audit logging process failure are identified; [b] types of audit logging process failures for which alert will be generated are defined; and [c] identified personnel or roles are alerted in the event of an audit logging process failure.
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AU.L2-3.3.5 – Audit Correlation

SECURITY REQUIREMENT Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity.
ASSESSMENT OBJECTIVES [a] audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity are defined; and [b] defined audit record review, analysis, and reporting processes are correlated.
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AU.L2-3.3.6 – Reduction & Reporting

SECURITY REQUIREMENT Provide audit record reduction and report generation to support on-demand analysis and reporting.
ASSESSMENT OBJECTIVES [a] an audit record reduction capability that supports on-demand analysis is provided; and [b] a report generation capability that supports on-demand reporting is provided.
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AU.L2-3.3.7 – Authoritative Time Source

SECURITY REQUIREMENT Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records.
ASSESSMENT OBJECTIVES [a] internal system clocks are used to generate time stamps for audit records; [b] an authoritative source with which to compare and synchronize internal system clocks is specified; and [c] internal system clocks used to generate time stamps for audit records are compared to and synchronized with the specified authoritative time source.
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AU.L2-3.3.8 – Audit Protection

SECURITY REQUIREMENT Protect audit information and audit logging tools from unauthorized access, modification, and deletion.
ASSESSMENT OBJECTIVES [a] audit information is protected from unauthorized access; [b] audit information is protected from unauthorized modification; [c] audit information is protected from unauthorized deletion; [d] audit logging tools are protected from unauthorized access; [e] audit logging tools are protected from unauthorized modification; and [f] audit logging tools are protected from unauthorized deletion.
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AU.L2-3.3.9 – Audit Management

SECURITY REQUIREMENT Limit management of audit logging functionality to a subset of privileged users.
ASSESSMENT OBJECTIVES [a] a subset of privileged users granted access to manage audit logging functionality is defined; and [b] management of audit logging functionality is limited to the defined subset of privileged users.
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Configuration Management (CM)

CM.L2-3.4.1 – System Baselining

SECURITY REQUIREMENT Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.
ASSESSMENT OBJECTIVES [a] a baseline configuration is established; [b] the baseline configuration includes hardware, software, firmware, and documentation; [c] the baseline configuration is maintained (reviewed and updated) throughout the system development life cycle; [d] a system inventory is established; [e] the system inventory includes hardware, software, firmware, and documentation; and [f] the inventory is maintained (reviewed and updated) throughout the system development life cycle.
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CM.L2-3.4.2 – Security Configuration Enforcement

SECURITY REQUIREMENT Establish and enforce security configuration settings for information technology products employed in organizational systems.
ASSESSMENT OBJECTIVES [a] security configuration settings for information technology products employed in the system are established and included in the baseline configuration; and [b] security configuration settings for information technology products employed in the system are enforced.
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CM.L2-3.4.3 – System Change Management

SECURITY REQUIREMENT Track, review, approve or disapprove, and log changes to organizational systems.
ASSESSMENT OBJECTIVES [a] changes to the system are tracked; [b] changes to the system are reviewed; [c] changes to the system are approved or disapproved; and [d] changes to the system are logged.
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CM.L2-3.4.4 – Security Impact Analysis

SECURITY REQUIREMENT Analyze the security impact of changes prior to implementation.
ASSESSMENT OBJECTIVES [a] the security impact of changes to the system is analyzed prior to implementation.
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CM.L2-3.4.5 – Access Restrictions for Change

SECURITY REQUIREMENT Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.
ASSESSMENT OBJECTIVES [a] physical access restrictions associated with changes to the system are defined; [b] physical access restrictions associated with changes to the system are documented; [c] physical access restrictions associated with changes to the system are approved; [d] physical access restrictions associated with changes to the system are enforced; [e] logical access restrictions associated with changes to the system are defined; [f] logical access restrictions associated with changes to the system are documented; [g] logical access restrictions associated with changes to the system are approved; and [h] logical access restrictions associated with changes to the system are enforced.
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CM.L2-3.4.6 – Least Functionality

SECURITY REQUIREMENT Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities.
ASSESSMENT OBJECTIVES [a] essential system capabilities are defined based on the principle of least functionality; and [b] the system is configured to provide only the defined essential capabilities.
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CM.L2-3.4.7 – Nonessential Functionality

SECURITY REQUIREMENT Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services.
ASSESSMENT OBJECTIVES [a] essential programs are defined; [b] the use of nonessential programs is defined; [c] the use of nonessential programs is restricted, disabled, or prevented as defined; [d] essential functions are defined; [e] the use of nonessential functions is defined; [f] the use of nonessential functions is restricted, disabled, or prevented as defined; [g] essential ports are defined; [h] the use of nonessential ports is defined; [i] the use of nonessential ports is restricted, disabled, or prevented as defined; [j] essential protocols are defined; [k] the use of nonessential protocols is defined; [l] the use of nonessential protocols is restricted, disabled, or prevented as defined; [m] essential services are defined; [n] the use of nonessential services is defined; and [o] the use of nonessential services is restricted, disabled, or prevented as defined.
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CM.L2-3.4.8 – Application Execution Policy

SECURITY REQUIREMENT Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software.
ASSESSMENT OBJECTIVES [a] a policy specifying whether whitelisting or blacklisting is to be implemented is specified; [b] the software allowed to execute under whitelisting or denied use under blacklisting is specified; and [c] whitelisting to allow the execution of authorized software or blacklisting to prevent the use of unauthorized software is implemented as specified.
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CM.L2-3.4.9 – User-Installed Software

SECURITY REQUIREMENT Control and monitor user-installed software.
ASSESSMENT OBJECTIVES [a] a policy for controlling the installation of software by users is established; [b] installation of software by users is controlled based on the established policy; and [c] installation of software by users is monitored.
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Identification and Authentication (IA)

IA.L2-3.5.1 – Identification [CUI Data]

SECURITY REQUIREMENT Identify information system users, processes acting on behalf of users, or devices.
ASSESSMENT OBJECTIVES [a] system users are identified; [b] processes acting on behalf of users are identified; and [c] devices accessing the system are identified.
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IA.L2-3.5.2 – Authentication [CUI Data]

SECURITY REQUIREMENT Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems.
ASSESSMENT OBJECTIVES [a] the identity of each user is authenticated or verified as a prerequisite to system access; [b] the identity of each process acting on behalf of a user is authenticated or verified as a prerequisite to system access; and [c] the identity of each device accessing or connecting to the system is authenticated or verified as a prerequisite to system access.
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IA.L2-3.5.3 – Multifactor Authentication

SECURITY REQUIREMENT Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts.
ASSESSMENT OBJECTIVES [a] privileged accounts are identified; [b] multifactor authentication is implemented for local access to privileged accounts; [c] multifactor authentication is implemented for network access to privileged accounts; and [d] multifactor authentication is implemented for network access to non-privileged accounts.
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IA.L2-3.5.4 – Replay-Resistant Authentication

SECURITY REQUIREMENT Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts.
ASSESSMENT OBJECTIVES [a] replay-resistant authentication mechanisms are implemented for network account access to privileged and non-privileged accounts.
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IA.L2-3.5.5 – Identifier Reuse

SECURITY REQUIREMENT Prevent reuse of identifiers for a defined period.
ASSESSMENT OBJECTIVES [a] a period within which identifiers cannot be reused is defined; and [b] reuse of identifiers is prevented within the defined period.
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IA.L2-3.5.6 – Identifier Handling

SECURITY REQUIREMENT Disable identifiers after a defined period of inactivity.
ASSESSMENT OBJECTIVES [a] a period of inactivity after which an identifier is disabled is defined; and [b] identifiers are disabled after the defined period of inactivity.
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IA.L2-3.5.7 – Password Complexity

SECURITY REQUIREMENT Enforce a minimum password complexity and change of characters when new passwords are created.
ASSESSMENT OBJECTIVES [a] password complexity requirements are defined; [b] password change of character requirements are defined; [c] minimum password complexity requirements as defined are enforced when new passwords are created; and [d] minimum password change of character requirements as defined are enforced when new passwords are created.
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IA.L2-3.5.8 – Password Reuse

SECURITY REQUIREMENT Prohibit password reuse for a specified number of generations.
ASSESSMENT OBJECTIVES [a] the number of generations during which a password cannot be reused is specified and [b] reuse of passwords is prohibited during the specified number of generations.
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IA.L2-3.5.9 – Temporary Passwords

SECURITY REQUIREMENT Allow temporary password use for system logons with an immediate change to a permanent password.
ASSESSMENT OBJECTIVES [a] an immediate change to a permanent password is required when a temporary password is used for system logon.
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IA.L2-3.5.10 – Cryptographically-Protected Passwords

SECURITY REQUIREMENT Store and transmit only cryptographically-protected passwords.
ASSESSMENT OBJECTIVES [a] passwords are cryptographically protected in storage; and [b] passwords are cryptographically protected in transit.
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IA.L2-3.5.11 – Obscure Feedback

SECURITY REQUIREMENT Obscure feedback of authentication information.
ASSESSMENT OBJECTIVES [a] authentication information is obscured during the authentication process.
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Incident Response (IR)

IR.L2-3.6.1 – Incident Handling

SECURITY REQUIREMENT Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities.
ASSESSMENT OBJECTIVES [a] an operational incident-handling capability is established; [b] the operational incident-handling capability includes preparation; [c] the operational incident-handling capability includes detection; [d] the operational incident-handling capability includes analysis; [e] the operational incident-handling capability includes containment; [f] the operational incident-handling capability includes recovery; and [g] the operational incident-handling capability includes user response
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IR.L2-3.6.2 – Incident Reporting

SECURITY REQUIREMENT Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization.
ASSESSMENT OBJECTIVES [a] incidents are tracked; [b] incidents are documented; [c] authorities to whom incidents are to be reported are identified; [d] organizational officials to whom incidents are to be reported are identified; [e] identified authorities are notified of incidents; and [f] identified organizational officials are notified of incidents.
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IR.L2-3.6.3 – Incident Response Testing

SECURITY REQUIREMENT Test the organizational incident response capability.
ASSESSMENT OBJECTIVES [a] the incident response capability is tested.
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Maintenance (MA)

MA.L2-3.7.1 – Perform Maintenance

SECURITY REQUIREMENT Perform maintenance on organizational systems.
ASSESSMENT OBJECTIVES [a] system maintenance is performed.
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MA.L2-3.7.2 – System Maintenance Control

SECURITY REQUIREMENT Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.
ASSESSMENT OBJECTIVES [a] tools used to conduct system maintenance are controlled; [b] techniques used to conduct system maintenance are controlled; [c] mechanisms used to conduct system maintenance are controlled; and [d] personnel used to conduct system maintenance are controlled.
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MA.L2-3.7.3 – Equipment Sanitization

SECURITY REQUIREMENT Ensure equipment removed for off-site maintenance is sanitized of any CUI.
ASSESSMENT OBJECTIVES [a] equipment to be removed from organizational spaces for off-site maintenance is sanitized of any CUI.
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MA.L2-3.7.4 – Media Inspection

SECURITY REQUIREMENT Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems.
ASSESSMENT OBJECTIVES [a] media containing diagnostic and test programs are checked for malicious code before being used in organizational systems that process, store, or transmit CUI.
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MA.L2-3.7.5 – Nonlocal Maintenance

SECURITY REQUIREMENT Require multifactor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete.
ASSESSMENT OBJECTIVES [a] multifactor authentication is used to establish nonlocal maintenance sessions via external network connections; and [b] nonlocal maintenance sessions established via external network connections are terminated when nonlocal maintenance is complete.
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MA.L2-3.7.6 – Maintenance Personnel

SECURITY REQUIREMENT Supervise the maintenance activities of maintenance personnel without required access authorization.
ASSESSMENT OBJECTIVES [a] maintenance personnel without required access authorization are supervised during maintenance activities.
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Media Protection (MP)

MP.L2-3.8.1 – Media Protection

SECURITY REQUIREMENT Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital.
ASSESSMENT OBJECTIVES [a] paper media containing CUI is physically controlled; [b] digital media containing CUI is physically controlled; [c] paper media containing CUI is securely stored; and [d] digital media containing CUI is securely stored.
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MP.L2-3.8.2 – Media Access

SECURITY REQUIREMENT Limit access to CUI on system media to authorized users.
ASSESSMENT OBJECTIVES [a] access to CUI on system media is limited to authorized users.
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MP.L2-3.8.3 – Media Disposal [CUI Data]

SECURITY REQUIREMENT Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse.
ASSESSMENT OBJECTIVES [a] system media containing CUI is sanitized or destroyed before disposal; and [b] system media containing CUI is sanitized before it is released for reuse.
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MP.L2-3.8.4 – Media Markings

SECURITY REQUIREMENT Mark media with necessary CUI markings and distribution limitations.
ASSESSMENT OBJECTIVES [a] media containing CUI is marked with applicable CUI markings; and [b] media containing CUI is marked with distribution limitations.
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MP.L2-3.8.5 – Media Accountability

SECURITY REQUIREMENT Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas.
ASSESSMENT OBJECTIVES [a] access to media containing CUI is controlled; and [b] accountability for media containing CUI is maintained during transport outside of controlled areas.
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MP.L2-3.8.6 – Portable Storage Encryption

SECURITY REQUIREMENT Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards.
ASSESSMENT OBJECTIVES [a] the confidentiality of CUI stored on digital media is protected during transport using cryptographic mechanisms or alternative physical safeguards.
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MP.L2-3.8.7 – Removable Media

SECURITY REQUIREMENT Control the use of removable media on system components.
ASSESSMENT OBJECTIVES [a] the use of removable media on system components is controlled.
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MP.L2-3.8.8 – Shared Media

SECURITY REQUIREMENT Prohibit the use of portable storage devices when such devices have no identifiable owner.ASSESSMENT OBJECTIVES
ASSESSMENT OBJECTIVES [a] the use of portable storage devices is prohibited when such devices have no identifiable owner.
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MP.L2-3.8.9 – Protect Backups

SECURITY REQUIREMENT Protect the confidentiality of backup CUI at storage locations.
ASSESSMENT OBJECTIVES [a] the confidentiality of backup CUI is protected at storage locations.
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Personnel Security (PS)

PS.L2-3.9.1 – Screen Individuals

SECURITY REQUIREMENT Screen individuals prior to authorizing access to organizational systems containing CUI.
ASSESSMENT OBJECTIVES [a] individuals are screened prior to authorizing access to organizational systems containing CUI.
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PS.L2-3.9.2 – Personnel Actions

SECURITY REQUIREMENT Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers.
ASSESSMENT OBJECTIVES [a] a policy and/or process for terminating system access and any credentials coincident with personnel actions is established; [b] system access and credentials are terminated consistent with personnel actions such as termination or transfer; and [c] the system is protected during and after personnel transfer actions.
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Physical Protection (PE)

PE.L2-3.10.1 – Limit Physical Access [CUI Data]

SECURITY REQUIREMENT Limit physical access to organizational information systems, equipment, and the respective operating environments to authorized individuals.
ASSESSMENT OBJECTIVES [a] authorized individuals allowed physical access are identified; [b] physical access to organizational systems is limited to authorized individuals; [c] physical access to equipment is limited to authorized individuals; and [d] physical access to operating environments is limited to authorized.
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PE.L2-3.10.2 – Monitor Facility

SECURITY REQUIREMENT Protect and monitor the physical facility and support infrastructure for organizational systems.
ASSESSMENT OBJECTIVES [a] the physical facility where organizational systems reside is protected; [b] the support infrastructure for organizational systems is protected; [c] the physical facility where organizational systems reside is monitored; and [d] the support infrastructure for organizational systems is monitored.
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PE.L2-3.10.3 – Escort Visitors [CUI Data]

SECURITY REQUIREMENT Escort visitors and monitor visitor activity.
ASSESSMENT OBJECTIVES [a] visitors are escorted; and [b] visitor activity is monitored.
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PE.L2-3.10.4 – Physical Access Logs [CUI Data]

SECURITY REQUIREMENT Maintain audit logs of physical access.
ASSESSMENT OBJECTIVES [a] audit logs of physical access are maintained.
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PE.L2-3.10.5 – Manage Physical Access [CUI Data]

SECURITY REQUIREMENT Control and manage physical access devices.
ASSESSMENT OBJECTIVES [a] physical access devices are identified; [b] physical access devices are controlled; and [c] physical access devices are managed.
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PE.L2-3.10.6 – Alternative Work Sites

SECURITY REQUIREMENT Enforce safeguarding measures for CUI at alternate work sites.
ASSESSMENT OBJECTIVES [a] safeguarding measures for CUI are defined for alternate work sites; and [b] safeguarding measures for CUI are enforced for alternate work sites.
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Risk Assessment (RA)

RA.L2-3.11.1 – Risk Assessments

SECURITY REQUIREMENT Periodically assess the risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals, resulting from the operation of organizational systems and the associated processing, storage, or transmission of CUI.
ASSESSMENT OBJECTIVES [a] the frequency to assess risk to organizational operations, organizational assets, and individuals is defined; and [b] risk to organizational operations, organizational assets, and individuals resulting from the operation of an organizational system that processes, stores, or transmits CUI is assessed with the defined frequency.
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RA.L2-3.11.2 – Vulnerability Scan

SECURITY REQUIREMENT Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified.
ASSESSMENT OBJECTIVES [a] the frequency to scan for vulnerabilities in organizational systems and applications is defined; [b] vulnerability scans are performed on organizational systems with the defined frequency; [c] vulnerability scans are performed on applications with the defined frequency; [d] vulnerability scans are performed on organizational systems when new vulnerabilities are identified; and [e] vulnerability scans are performed on applications when new vulnerabilities are identified.
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RA.L2-3.11.3 – Vulnerability Remediation

SECURITY REQUIREMENT Remediate vulnerabilities in accordance with risk assessments.
ASSESSMENT OBJECTIVES [a] vulnerabilities are identified; and [b] vulnerabilities are remediated in accordance with risk assessments.
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Security Assessment (CA)

CA.L2-3.12.1 – Security Control Assessment

SECURITY REQUIREMENT Periodically assess the security controls in organizational systems to determine if the controls are effective in their application.
ASSESSMENT OBJECTIVES [a] the frequency of security control assessments is defined; and [b] security controls are assessed with the defined frequency to determine if the controls are effective in their application.
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CA.L2-3.12.2 – Operational Plan of Action

SECURITY REQUIREMENT Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems.
ASSESSMENT OBJECTIVES [a] deficiencies and vulnerabilities to be addressed by the plan of action are identified; [b] a plan of action is developed to correct identified deficiencies and reduce or eliminate identified vulnerabilities; and [c] the plan of action is implemented to correct identified deficiencies and reduce or eliminate identified vulnerabilities.
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CA.L2-3.12.3 – Security Control Monitoring

SECURITY REQUIREMENT Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls.
ASSESSMENT OBJECTIVES [a] security controls are monitored on an ongoing basis to ensure the continued effectiveness of those controls.
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CA.L2-3.12.4 – System Security Plan =

SECURITY REQUIREMENT Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems.
ASSESSMENT OBJECTIVES [a] a system security plan is developed; [b] the system boundary is described and documented in the system security plan; [c] the system environment of operation is described and documented in the system security plan; [d] the security requirements identified and approved by the designated authority as non-applicable are identified; [e] the method of security requirement implementation is described and documented in the system security plan; [f] the relationship with or connection to other systems is described and documented in the system security plan; [g] the frequency to update the system security plan is defined; and [h] system security plan is updated with the defined frequency.
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System and Communications Protection (SC)

SC.L2-3.13.1 – Boundary Protection [CUI Data]

SECURITY REQUIREMENT Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems.
ASSESSMENT OBJECTIVES [a] the external system boundary is defined; [b] key internal system boundaries are defined; [c] communications are monitored at the external system boundary; [d] communications are monitored at key internal boundaries; [e] communications are controlled at the external system boundary; [f] communications are controlled at key internal boundaries; [g] communications are protected at the external system boundary; and [h] communications are protected at key internal boundaries.
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SC.L2-3.13.2 – Security Engineering

SECURITY REQUIREMENT Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems.
ASSESSMENT OBJECTIVES [a] architectural designs that promote effective information security are identified; [b] software development techniques that promote effective information security are identified; [c] systems engineering principles that promote effective information security are identified; [d] identified architectural designs that promote effective information security are employed; [e] identified software development techniques that promote effective information security are employed; and [f] identified systems engineering principles that promote effective information security are employed.
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SC.L2-3.13.3 – Role Separation

SECURITY REQUIREMENT Separate user functionality from system management functionality.
ASSESSMENT OBJECTIVES [a] user functionality is identified; [b] system management functionality is identified; and [c] user functionality is separated from system management functionality.
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SC.L2-3.13.4 – Shared Resource Control

SECURITY REQUIREMENT Prevent unauthorized and unintended information transfer via shared system resources.
ASSESSMENT OBJECTIVES [a] unauthorized and unintended information transfer via shared system resources is prevented.
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SC.L2-3.13.5 – Public-Access System Separation [CUI Data]

SECURITY REQUIREMENT Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.
ASSESSMENT OBJECTIVES [a] publicly accessible system components are identified; and [b] subnetworks for publicly accessible system components are physically or logically separated from internal networks.
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SC.L2-3.13.6 – Network Communication by Exception

SECURITY REQUIREMENT Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception).
ASSESSMENT OBJECTIVES [a] network communications traffic is denied by default; and [b] network communications traffic is allowed by exception.
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SC.L2-3.13.7 – Split Tunneling

SECURITY REQUIREMENT Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks (i.e., split tunneling).
ASSESSMENT OBJECTIVES [a] remote devices are prevented from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks (i.e., split tunneling).
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SC.L2-3.13.8 – Data in Transit

SECURITY REQUIREMENT Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards.
ASSESSMENT OBJECTIVES [a] cryptographic mechanisms intended to prevent unauthorized disclosure of CUI are identified; [b] alternative physical safeguards intended to prevent unauthorized disclosure of CUI are identified; and [c] either cryptographic mechanisms or alternative physical safeguards are implemented to prevent unauthorized disclosure of CUI during transmission.
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SC.L2-3.13.9 – Connections Termination

SECURITY REQUIREMENT Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity.
ASSESSMENT OBJECTIVES [a] a period of inactivity to terminate network connections associated with communications sessions is defined; [b] network connections associated with communications sessions are terminated at the end of the sessions; and [c] network connections associated with communications sessions are terminated after the defined period of inactivity.
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SC.L2-3.13.10 – Key Management

SECURITY REQUIREMENT Establish and manage cryptographic keys for cryptography employed in organizational systems.
ASSESSMENT OBJECTIVES [a] cryptographic keys are established whenever cryptography is employed; and [b] cryptographic keys are managed whenever cryptography is employed.
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SC.L2-3.13.11 – CUI Encryption

SECURITY REQUIREMENT Employ FIPS-validated cryptography when used to protect the confidentiality of CUI.
ASSESSMENT OBJECTIVES [a] FIPS-validated cryptography is employed to protect the confidentiality of CUI.
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SC.L2-3.13.12 – Collaborative Device Control

SECURITY REQUIREMENT Prohibit remote activation of collaborative computing devices and provide indication of devices in use to users present at the device.
ASSESSMENT OBJECTIVES [a] collaborative computing devices are identified; [b] collaborative computing devices provide indication to users of devices in use; and [c] remote activation of collaborative computing devices is prohibited.
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SC.L2-3.13.13 – Mobile Code

SECURITY REQUIREMENT Control and monitor the use of mobile code.
ASSESSMENT OBJECTIVES [a] use of mobile code is controlled; and [b] use of mobile code is monitored.
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SC.L2-3.13.14 – Voice over Internet Protocol

SECURITY REQUIREMENT Control and monitor the use of Voice over Internet Protocol (VoIP) technologies.
ASSESSMENT OBJECTIVES [a] use of Voice over Internet Protocol (VoIP) technologies is controlled; and [b] use of Voice over Internet Protocol (VoIP) technologies is monitored.
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SC.L2-3.13.15 – Communications Authenticity

SECURITY REQUIREMENT Protect the authenticity of communications sessions.
ASSESSMENT OBJECTIVES [a] the authenticity of communications sessions is protected.
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SC.L2-3.13.16 – Data at Rest

SECURITY REQUIREMENT Protect the confidentiality of CUI at rest.
ASSESSMENT OBJECTIVES [a] the confidentiality of CUI at rest is protected.
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System and Information Integrity (SI)

SI.L2-3.14.1 – Flaw Remediation [CUI Data]

SECURITY REQUIREMENT Identify, report, and correct information and information system flaws in a timely manner.
ASSESSMENT OBJECTIVES [a] the time within which to identify system flaws is specified; [b] system flaws are identified within the specified time frame; [c] the time within which to report system flaws is specified; [d] system flaws are reported within the specified time frame; [e] the time within which to correct system flaws is specified; and [f] system flaws are corrected within the specified time frame.
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SI.L2-3.14.2 – Malicious Code ProTection [CUI Data]

SECURITY REQUIREMENT Provide protection from malicious code at appropriate locations within organizational information systems.
ASSESSMENT OBJECTIVES [a] designated locations for malicious code protection are identified; and [b] protection from malicious code at designated locations is provided.
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SI.L2-3.14.3 – Security Alerts & Advisories

SECURITY REQUIREMENT Monitor system security alerts and advisories and take action in response.
ASSESSMENT OBJECTIVES [a] response actions to system security alerts and advisories are identified; [b] system security alerts and advisories are monitored; and [c] actions in response to system security alerts and advisories are taken.
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SI.L2-3.14.4 – Update Malicious Code Protection [CUI Data]

SECURITY REQUIREMENT Update malicious code protection mechanisms when new releases are available.
ASSESSMENT OBJECTIVES [a] malicious code protection mechanisms are updated when new releases are available.
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SI.L2-3.14.5 – System & File Scanning [CUI Data]

SECURITY REQUIREMENT Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed.
ASSESSMENT OBJECTIVES [a] the frequency for malicious code scans is defined; [b] malicious code scans are performed with the defined frequency; and [c] real-time malicious code scans of files from external sources as files are downloaded, opened, or executed are performed.
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SI.L2-3.14.6 – Monitor Communications for Attacks

SECURITY REQUIREMENT Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks.
ASSESSMENT OBJECTIVES [a] the system is monitored to detect attacks and indicators of potential attacks; [b] inbound communications traffic is monitored to detect attacks and indicators of potential attacks; and [c] outbound communications traffic is monitored to detect attacks and indicators of potential attacks.
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SI.L2-3.14.7 – Identify Unauthorized Use

SECURITY REQUIREMENT Identify unauthorized use of organizational systems.
ASSESSMENT OBJECTIVES [a] authorized use of the system is defined; and [b] unauthorized use of the system is identified.
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AC.L1-3.1.1 Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems). [c] devices (and other systems) authorized to connect to the Document system are identified. [e] system access is limited to processes acting on behalf of Screen Share authorized users. [f] system access is limited to authorized devices (including other Screen Share systems).

[a] information flow control policies are defined. Document

 |  Certified CMMC Assessor (CCA)

[d] authorizations for controlling the flow of CUI are defined. Document AC.L1-3.1.2 Limit information system access to the types of transactions and functions that authorized users are permitted to execute. [a] the types of transactions and functions that authorized users Document [a] the duties of individuals requiring separation are defined. Document are permitted to execute are defined. [b] system access is limited to the defined types of transactions Screen Share and functions for authorized users. Additional: HR policy or procedure discussing account creation Document process. AC.L3-3.1.3 Control the flow of CUI in accordance with approved authorizations. [a] privileged accounts are identified. Document [b] methods and enforcement mechanisms for controlling the Document flow of CUI are defined. [c] designated sources and destinations (e.g., networks, Artifact [c] security functions are identified. Document individuals, and devices) for CUI within the system and between interconnected systems are identified. [e] approved authorizations for controlling the flow of CUI are Screen Share enforced. AC.L2-3.1.4 Separate the duties of individuals to reduce the risk of malevolent activity without collusion. [b] responsibilities for duties that require separation are assigned Screen Share to separate individuals. [c] access privileges that enable individuals to exercise the duties Screen Share that require separation are granted to separate individuals. AC.L2-3.1.5 Employ the principle of least privilege, including for specific security functions and privileged accounts. [b] access to privileged accounts is authorized in accordance Artifact with the principle of least privilege. [d] access to security functions is authorized in accordance with Artifact the principle of least privilege. Additional: Policy or procedure showing the separation of duties Document for general users and admin users.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 | [a] nonsecurity functions are identified. Document [a] privileged functions are defined. Document [b] non-privileged users are defined. Document CertifiedCMMCAssessor(CCA) | AC.L2-3.1.6 Use non-privileged accounts or roles when accessing nonsecurity functions. [b] users are required to use non-privileged accounts or roles Screen Share when accessing nonsecurity functions. [b] privacy and security notices are displayed. Artifact AC.L2-3.1.7 Prevent non-privileged users from executing privileged functions and capture the execution of such functions in audit logs. [c] non-privileged users are prevented from executing privileged Screen Share functions. [d] the execution of privileged functions is captured in audit Screen Share logs. AC.L2-3.1.8 Limit unsuccessful logon attempts. [a] the means of limiting unsuccessful logon attempts are Document defined. [a] conditions requiring a user session to terminate are defined. Document [b] the defined means of limiting unsuccessful logon attempts is Artifact implemented. AC.L2-3.1.9 Provide privacy and security notices consistent with applicable CUI rules. [a] privacy and security notices required by CUI-specified rules Document are identified, consistent, and associated with the specific CUI category. AC.L2-3.1.10 Use session lock with pattern-hiding displays to prevent access and viewing of data after a period of inactivity. [a] the period of inactivity after which the system initiates a Document session lock is defined. [b] access to the system and viewing of data is prevented by Artifact initiating a session lock after the defined period of inactivity.

[c] previously visible information is concealed via a pattern Document

hiding display after the defined period of inactivity. AC.L2-3.1.11 Terminate (automatically) a user session after a defined condition. [b] a user session is automatically terminated after any of the Screen Share defined conditions occur.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 |

[a] remote access sessions are permitted. Document [b] the types of permitted remote access are identified. Document [c] remote access sessions are controlled. Screen Share [d] remote access sessions are monitored. Screen Share Additional: Policy or procedure for setting up remote access. Document

 |  Certified CMMC Assessor (CCA)

AC.L2-3.1.12 Monitor and control remote access sessions. AC.L2-3.1.13 Employ cryptographic mechanisms to protect the confidentiality of remote access sessions. [a] cryptographic mechanisms to protect the confidentiality of Document remote access sessions are identified. [b] cryptographic mechanisms to protect the confidentiality of Screen Share remote access sessions are implemented. [a] wireless access points are identified. Document AC.L2-3.1.14 Route remote access via managed access control points. [a] managed access control points are identified and Screen Share implemented. [b] remote access is routed through managed network access Screen Share control points. AC.L2-3.1.15 Authorize remote execution of privileged commands and remote access to security-relevant information. [a] privileged commands authorized for remote execution are Document identified. [b] security-relevant information authorized to be accessed Document remotely is identified. [c] the execution of the identified privileged commands via Artifact remote access is authorized. [d] access to the identified security-relevant information via Artifact remote access is authorized. AC.L2-3.1.16 Authorize wireless access prior to allowing such connections. [b] wireless access is authorized prior to allowing such Screen Share connections. AC.L2-3.1.17 Protect wireless access using authentication and encryption. Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 | [b] wireless access to the system is protected using encryption. Screen Share [b] mobile device connections are authorized. Artifact [c] mobile device connections are monitored and logged. Screen Share CertifiedCMMCAssessor(CCA) | [a] connections to external systems are identified. Document [a] wireless access to the system is protected using Screen Share [b] the use of external systems is identified. Document authentication. [c] connections to external systems are verified. Artifact [d] the use of external systems is verified. Artifact [e] connections to external systems are controlled/limited. Screen Share AC.L2-3.1.18 Control connection of mobile devices. [f] the use of external systems is controlled/limited. Screen Share [a] mobile devices that process, store, or transmit CUI are Document identified. AC.L2-3.1.19 Encrypt CUI on mobile devices and mobile computing platforms. [a] mobile devices and mobile computing platforms that process, Document store, or transmit CUI are identified. [b] encryption is employed to protect CUI on identified mobile Screen Share devices and mobile computing platforms. AC.L1-3.1.20 Verify and control/limit connections to and use of external information systems. AC.L2-3.1.21 Limit use of portable storage devices on external systems. [a] the use of portable storage devices containing CUI on Document external systems is identified and documented. [b] limits on the use of portable storage devices containing CUI Document on external systems are defined. [c] the use of portable storage devices containing CUI on Document external systems is limited as defined. AC.L1-3.1.22 Control information posted or processed on publicly accessible information systems. [a] individuals authorized to post or process information on Document publicly accessible systems are identified. [b] procedures to ensure FCI is not posted or processed on Document publicly accessible systems are identified.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 |

 |  Certified CMMC Assessor (CCA)

[c] a review process is in place prior to posting of any content to Artifact publicly accessible systems. [d] content on publicly accessible systems is reviewed to ensure Artifact that it does not include FCI. [e] mechanisms are in place to remove and address improper Artifact posting of FCI. AT.L2-3.2.1 Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems. [a] security risks associated with organizational activities involving Document CUI are identified. [a] potential indicators associated with insider threats are identified. Document [b] policies, standards, and procedures related to the security of the Document system are identified. [c] managers, systems administrators, and users of the system are Artifact made aware of the security risks associated with their activities. [d] managers, systems administrators, and users of the system are Artifact made aware of the applicable policies, standards, and procedures related to the security of the system. AT.L2-3.2.2 Ensure that personnel are trained to carry out their assigned information security related duties and responsibilities. [a] information security-related duties, roles, and responsibilities are Document defined. [b] information security-related duties, roles, and responsibilities are Artifact assigned to designated personnel. [c] personnel are adequately trained to carry out their assigned Artifact information security-related duties, roles, and responsibilities. AT.L2-3.2.3 Provide security awareness training on recognizing and reporting potential indicators of insider threat. [b] security awareness training on recognizing and reporting potential Artifact indicators of insider threat is provided to managers and employees. AU.L2-3.3.1 Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 |

[c] audit records are created (generated). Screen Share [d] audit records, once created, contain the defined content. Screen Share [e] retention requirements for audit records are defined. Document [f] audit records are retained as defined. Screen Share [b] audit records, once created, contain the defined content. Screen Share CertifiedCMMCAssessor(CCA) | [a] a process for determining when to review logged events is defined. Document [a] audit logs needed (i.e., event types to be logged) to enable the Document monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity are specified. [c] event types being logged are updated based on the review. Artifact [b] the content of audit records needed to support monitoring, Document analysis, investigation, and reporting of unlawful or unauthorized system activity is defined. AU.L2-3.3.2 Ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions. [a] the content of the audit records needed to support the ability to Document uniquely trace users to their actions is defined. AU.L2-3.3.3 Review and update logged events. [b] event types being logged are reviewed in accordance with the Artifact defined review process. AU.L2-3.3.4 Alert in the event of an audit logging process failure. [a] personnel or roles to be alerted in the event of an audit logging Document process failure are identified. [b] types of audit logging process failures for which alert will be Document generated are defined. [c] identified personnel or roles are alerted in the event of an audit Artifact logging process failure. AU.L2-3.3.5 Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity. [a] audit record review, analysis, and reporting processes for Document investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity are defined. [b] defined audit record review, analysis, and reporting processes are Artifact correlated.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 |

 |  Certified CMMC Assessor (CCA)

[a] audit information is protected from unauthorized access. Screen Share AU.L2-3.3.6 Provide audit record reduction and report generation to support on-demand analysis [b] audit information is protected from unauthorized modification. Screen Share and reporting. [c] audit information is protected from unauthorized deletion. Screen Share [a] an audit record reduction capability that supports on-demand Screen Share [d] audit logging tools are protected from unauthorized access. Screen Share analysis is provided. [e] audit logging tools are protected from unauthorized modification. Screen Share [b] a report generation capability that supports on-demand reporting is Screen Share provided. [f] audit logging tools are protected from unauthorized deletion. Screen Share AU.L2-3.3.7 Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records. [a] internal system clocks are used to generate time stamps for audit Screen Share records. [b] an authoritative source with which to compare and synchronize Document internal system clocks is specified. [c] internal system clocks used to generate time stamps for audit Screen Share records are compared to and synchronized with the specified authoritative time source. AU.L2-3.3.8 Protect audit information and audit logging tools from unauthorized access, modification, and deletion. [a] a baseline configuration is established. Document AU.L2-3.3.9 Limit management of audit logging functionality to a subset of privileged users. [a] a subset of privileged users granted access to manage audit logging Document functionality is defined. [b] management of audit logging functionality is limited to the defined Screen Share subset of privileged users. CM.L2-3.4.1 Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles. [b] the baseline configuration includes hardware, software, firmware, Artifact and documentation.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 |

[d] a system inventory is established. Document CertifiedCMMCAssessor(CCA) | [a] changes to the system are tracked. Artifact [b] changes to the system are reviewed. Artifact [c] changes to the system are approved or disapproved. Artifact [c] the baseline configuration is maintained (reviewed and updated) Artifact throughout the system development life cycle. [d] changes to the system are logged. Artifact [e] the system inventory includes hardware, software, firmware, and Artifact documentation. [f] the inventory is maintained (reviewed and updated) throughout the Artifact system development life cycle. CM.L2-3.4.2 Establish and enforce security configuration settings for information technology products employed in organizational systems. [a] security configuration settings for information technology products Document employed in the system are established and included in the baseline configuration. [b] security configuration settings for information technology Artifact products employed in the system are enforced. CM.L2-3.4.3 Track, review, approve or disapprove, and log changes to organizational systems. CM.L2-3.4.4 Analyze the security impact of changes prior to implementation. [a] the security impact of changes to the system is analyzed prior to Artifact implementation. CM.L2-3.4.5 Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems. [a] physical access restrictions associated with changes to the system Document are defined. [b] physical access restrictions associated with changes to the system Document are documented. [c] physical access restrictions associated with changes to the system Artifact are approved. [d] physical access restrictions associated with changes to the system Physical Review are enforced. [e] logical access restrictions associated with changes to the system are Document defined. [f] logical access restrictions associated with changes to the system are Document documented.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 | [a] essential programs are defined. Document [b] the use of nonessential programs is defined. Document

 |  Certified CMMC Assessor (CCA)

[d] essential functions are defined. Document [e] the use of nonessential functions is defined. Document [g] logical access restrictions associated with changes to the system are Artifact approved. [h] logical access restrictions associated with changes to the system are Artifact enforced. [g] essential ports are defined. Document [h] the use of nonessential ports is defined. Document CM.L2-3.4.6 Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities. [a] essential system capabilities are defined based on the principle of Document [j] essential protocols are defined. Document least functionality. [k] the use of nonessential protocols is defined. Document [b] the system is configured to provide only the defined essential Screen Share capabilities. [m] essential services are defined. Document CM.L2-3.4.7 Restrict, disable, or prevent the use of nonessential programs, functions, ports, [n] the use of nonessential services is defined. Document protocols, and services. [c] the use of nonessential programs is restricted, disabled, or Screen Share prevented as defined. [f] the use of nonessential functions is restricted, disabled, or Screen Share prevented as defined. [i] the use of nonessential ports is restricted, disabled, or prevented as Screen Share defined. [l] the use of nonessential protocols is restricted, disabled, or Screen Share prevented as defined. [o] the use of nonessential services is restricted, disabled, or prevented Screen Share as defined. CM.L2-3.4.8 Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software. [a] a policy specifying whether whitelisting or blacklisting is to be Document implemented is specified.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 | [c] installation of software by users is monitored. Screen Share [a] system users are identified. Document CertifiedCMMCAssessor(CCA) | [b] processes acting on behalf of users are identified. Document [c] devices accessing the system are identified. Document [b] the software allowed to execute under whitelisting or denied use Document under blacklisting is specified. [c] whitelisting to allow the execution of authorized software or Screen Share blacklisting to prevent the use of unauthorized software is implemented as specified. CM.L2-3.4.9 Control and monitor user-installed software. [a] a policy for controlling the installation of software by users is Document established. [b] installation of software by users is controlled based on the Screen Share established policy. [a] privileged accounts are identified. Document IA.L1-3.5.1 Identify information system users, processes acting on behalf of users, or devices. IA.L1-3.5.2 Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems. [a] the identity of each user is authenticated or verified as a Screen Share prerequisite to system access. [b] the identity of each process acting on behalf of a user is Screen Share authenticated or verified as a prerequisite to system access. [c] the identity of each device accessing or connecting to the system is Screen Share authenticated or verified as a prerequisite to system access. IA.L2-3.5.3 Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts. [b] multifactor authentication is implemented for local access to Screen Share privileged accounts. [c] multifactor authentication is implemented for network access to Screen Share privileged accounts. [d] multifactor authentication is implemented for network access to Screen Share non-privileged accounts.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 | [a] a period within which identifiers cannot be reused is defined. Document [b] reuse of identifiers is prevented within the defined period. Artifact [a] a period of inactivity after which an identifier is disabled is defined. Document [b] identifiers are disabled after the defined period of inactivity. Artifact [a] password complexity requirements are defined. Document

 |  Certified CMMC Assessor (CCA)

[b] password change of character requirements are defined. Document IA.L2-3.5.4 Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts. [a] replay-resistant authentication mechanisms are implemented for Screen Share network account access to privileged and non-privileged accounts. IA.L2-3.5.5 Prevent reuse of identifiers for a defined period. IA.L2-3.5.6 Disable identifiers after a defined period of inactivity. IA.L2-3.5.7 Enforce a minimum password complexity and change of characters when new passwords are created. [a] passwords are cryptographically protected in storage. Screen Share [b] passwords are cryptographically protected in transit. Screen Share [c] minimum password complexity requirements as defined are Screen Share enforced when new passwords are created. [d] minimum password change of character requirements as defined Screen Share are enforced when new passwords are created. IA.L2-3.5.8 Prohibit password reuse for a specified number of generations. [a] the number of generations during which a password cannot be Document reused is specified. [b] reuse of passwords is prohibited during the specified number of Screen Share generations. IA.L2-3.5.9 Allow temporary password use for system logons with an immediate change to a permanent password. [a] an immediate change to a permanent password is required when a Screen Share temporary password is used for system logon. IA.L2-3.5.10 Store and transmit only cryptographically-protected passwords. IA.L2-3.5.11 Obscure feedback of authentication information.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 | [a] an operational incident-handling capability is established. Document [b] the operational incident-handling capability includes preparation. Document [c] the operational incident-handling capability includes detection. Document [d] the operational incident-handling capability includes analysis. Document [e] the operational incident-handling capability includes containment. Document [f] the operational incident-handling capability includes recovery. Document CertifiedCMMCAssessor(CCA) | [a] incidents are tracked. Artifact [a] authentication information is obscured during the authentication Screen Share [b] incidents are documented. Artifact process. [c] authorities to whom incidents are to be reported are identified. Document [e] identified authorities are notified of incidents. Screen Share IR.L2-3.6.1 Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities. [f] identified organizational officials are notified of incidents. Artifact [a] the incident response capability is tested. Artifact [g] the operational incident-handling capability includes user response Document activities. [a] system maintenance is performed. Artifact IR.L2-3.6.2 Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization. [a] tools used to conduct system maintenance are controlled. Artifact [d] organizational officials to whom incidents are to be reported are Document identified. IR.L2-3.6.3 Test the organizational incident response capability. MA.L2-3.7.1 Perform maintenance on organizational systems. MA.L2-3.7.2 Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 | [b] techniques used to conduct system maintenance are controlled. Artifact [c] mechanisms used to conduct system maintenance are controlled. Artifact [d] personnel used to conduct system maintenance are controlled. Physical Review

 |  Certified CMMC Assessor (CCA)

MA.L2-3.7.3 Ensure equipment removed for off-site maintenance is sanitized of any CUI. [a] equipment to be removed from organizational spaces for off-site Artifact maintenance is sanitized of any CUI. MA.L2-3.7.4 Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems. [a] media containing diagnostic and test programs are checked for Artifact malicious code before being used in organizational systems that [a] paper media containing CUI is physically controlled. Document process, store, or transmit CUI. [b] digital media containing CUI is physically controlled. Document [c] paper media containing CUI is securely stored. Physical Review MA.L2-3.7.5 Require multifactor authentication to establish nonlocal maintenance sessions via [d] digital media containing CUI is securely stored. Physical Review external network connections and terminate such connections when nonlocal maintenance is complete. [a] multifactor authentication is used to establish nonlocal Screen Share [a] access to CUI on system media is limited to authorized users. Artifact maintenance sessions via external network connections. [b] nonlocal maintenance sessions established via external network Screen Share connections are terminated when nonlocal maintenance is complete. MA.L2-3.7.6 Supervise the maintenance activities of maintenance personnel without required access authorization. [a] maintenance personnel without required access authorization are Document supervised during maintenance activities. MP.L2-3.8.1 Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital. MP.L2-3.8.2 Limit access to CUI on system media to authorized users.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 | [a] media containing CUI is marked with applicable CUI markings. Physical Review [b] media containing CUI is marked with distribution limitations. Physical Review [a] access to media containing CUI is controlled. Document CertifiedCMMCAssessor(CCA) | MP.L1-3.8.3 Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse. [a] system media containing FCI is sanitized or destroyed before Document disposal. [b] system media containing FCI is sanitized before it is released for Document reuse. [a] the use of removable media on system components is controlled. Artifact MP.L2-3.8.4 Mark media with necessary CUI markings and distribution limitations. MP.L2-3.8.5 Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas. [a] the confidentiality of backup CUI is protected at storage locations. Artifact [b] accountability for media containing CUI is maintained during Artifact transport outside of controlled areas. MP.L2-3.8.6 Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards. [a] the confidentiality of CUI stored on digital media is protected Artifact during transport using cryptographic mechanisms or alternative physical safeguards. MP.L2-3.8.7 Control the use of removable media on system components. MP.L2-3.8.8 Prohibit the use of portable storage devices when such devices have no identifiable owner. [a] the use of portable storage devices is prohibited when such devices Artifact have no identifiable owner. MP.L2-3.8.9 Protect the confidentiality of backup CUI at storage locations.

PS.L2-3.9.1 Screen individuals prior to authorizing access to organizational systems containing CUI.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 | [c] the system is protected during and after personnel transfer actions. Artifact [a] authorized individuals allowed physical access are identified. Artifact

 |  Certified CMMC Assessor (CCA)

[c] physical access to equipment is limited to authorized individuals. Physical Review [a] individuals are screened prior to authorizing access to Artifact organizational systems containing CUI. PS.L2-3.9.2 Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers. [a] a policy and/or process for terminating system access and any Document credentials coincident with personnel actions is established. [b] the support infrastructure for organizational systems is protected. Physical Review [b] system access and credentials are terminated consistent with Artifact personnel actions such as termination or transfer. [d] the support infrastructure for organizational systems is monitored. Physical Review PE.L1-3.10.1 Limit physical access to organizational information systems, equipment, and the [a] visitors are escorted. Physical Review respective operating environments to authorized individuals. [b] visitor activity is monitored. Physical Review [b] physical access to organizational systems is limited to authorized Physical Review individuals. [a] audit logs of physical access are maintained. Artifact [d] physical access to operating environments is limited to authorized Physical Review individuals. PE.L2-3.10.2 Protect and monitor the physical facility and support infrastructure for organizational systems. [a] the physical facility where organizational systems reside is Physical Review protected. [c] the physical facility where organizational systems reside is Physical Review monitored. PE.L1-3.10.3 Escort visitors and monitor visitor activity. PE.L1-3.10.4 Maintain audit logs of physical access. PE.L1-3.10.5 Control and manage physical access devices.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 | [a] physical access devices are identified. Document [b] physical access devices are controlled. Physical Review [c] physical access devices are managed. Physical Review [a] safeguarding measures for CUI are defined for alternate work sites. Document CertifiedCMMCAssessor(CCA) | PE.L2-3.10.6 Enforce safeguarding measures for CUI at alternate work sites. [b] safeguarding measures for CUI are enforced for alternate work Artifact sites. RA.L2-3.11.1 Periodically assess the risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals, resulting from the operation of organizational systems and the associated processing, storage, or transmission of CUI. [a] the frequency to assess risk to organizational operations, Document organizational assets, and individuals is defined. [a] vulnerabilities are identified. Artifact [b] risk to organizational operations, organizational assets, and Artifact [b] vulnerabilities are remediated in accordance with risk assessments. Artifact individuals resulting from the operation of an organizational system that processes, stores, or transmits CUI is assessed with the defined frequency. RA.L2-3.11.2 Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified. [a] the frequency to scan for vulnerabilities in organizational systems Document and applications is defined. [b] vulnerability scans are performed on organizational systems with Screen Share the defined frequency. [c] vulnerability scans are performed on applications with the defined Screen Share frequency. [d] vulnerability scans are performed on organizational systems when Screen Share new vulnerabilities are identified. [e] vulnerability scans are performed on applications when new Screen Share vulnerabilities are identified. RA.L2-3.11.3 Remediate vulnerabilities in accordance with risk assessments.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 | [a] the frequency of security control assessments is defined. Document

 |  Certified CMMC Assessor (CCA)

CA.L2-3.12.1 Periodically assess the security controls in organizational systems to determine if thecontrols are effective in their application. [b] security controls are assessed with the defined frequency to Artifact [a] a system security plan is developed. Document determine if the controls are effective in their application. CA.L2-3.12.2 Develop and implement plans of action designed to correct deficiencies and reduceor eliminate vulnerabilities in organizational systems. [a] deficiencies and vulnerabilities to be addressed by the plan of Artifact action are identified. [b] a plan of action is developed to correct identified deficiencies and Artifact reduce or eliminate identified vulnerabilities. [c] the plan of action is implemented to correct identified deficiencies Artifact and reduce or eliminate identified vulnerabilities. [g] the frequency to update the system security plan is defined. Document CA.L2-3.12.3 Monitor security controls on an ongoing basis to ensure the continued effectiveness[h] system security plan is updated with the defined frequency. Document of the controls. [a] security controls are monitored on an ongoing basis to ensure the Artifact continued effectiveness of those controls. CA.L2-3.12.4 Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems.

[b] the system boundary is described and documented in the systemsecurity plan. Document

[c] the system environment of operation is described and documented Document in the system security plan. [d] the security requirements identified and approved by the Document designated authority as non-applicable are identified. [e] the method of security requirement implementation is described Document and documented in the system security plan. [f] the relationship with or connection to other systems is described Document and documented in the system security plan.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 |

[a] the external system boundary is defined. Document [b] key internal system boundaries are defined. Document [c] communications are monitored at the external system boundary. Screen Share [d] communications are monitored at key internal boundaries. Screen Share [e] communications are controlled at the external system boundary. Screen Share [f] communications are controlled at key internal boundaries. Screen Share [g] communications are protected at the external system boundary. Screen Share [h] communications are protected at key internal boundaries. Screen Share CertifiedCMMCAssessor(CCA) | SC.L1-3.13.1 Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems. [a] user functionality is identified. Document [b] system management functionality is identified. Document SC.L2-3.13.2 Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems. [a] architectural designs that promote effective information security Document are identified. [b] software development techniques that promote effective Document information security are identified. [c] systems engineering principles that promote effective information Document security are identified. [d] identified architectural designs that promote effective information Artifact security are employed. [e] identified software development techniques that promote effective Artifact information security are employed. [f] identified systems engineering principles that promote effective Artifact information security are employed. SC.L2-3.13.3 Separate user functionality from system management functionality. [c] user functionality is separated from system management Screen Share functionality. SC.L2-3.13.4 Prevent unauthorized and unintended information transfer via shared system resources. [a] unauthorized and unintended information transfer via shared Screen Share system resources is prevented.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 | [a] publicly accessible system components are identified. Document [a] network communications traffic is denied by default. Screen Share [b] network communications traffic is allowed by exception. Screen Share

 |  Certified CMMC Assessor (CCA)

SC.L1-3.13.5 Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks. [b] subnetworks for publicly accessible system components are Artifact physically or logically separated from internal networks. SC.L2-3.13.6 Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception). SC.L2-3.13.7 Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks (i.e., split tunneling). [a] remote devices are prevented from simultaneously establishing Screen Share non-remote connections with the system and communicating via some other connection to resources in external networks (i.e., split tunneling). SC.L2-3.13.8 Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards. [a] cryptographic mechanisms intended to prevent unauthorized Document disclosure of CUI are identified. [b] alternative physical safeguards intended to prevent unauthorized Document disclosure of CUI are identified. [c] either cryptographic mechanisms or alternative physical safeguards Artifact are implemented to prevent unauthorized disclosure of CUI during transmission. SC.L2-3.13.9 Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity. [a] a period of inactivity to terminate network connections associated Document with communications sessions is defined. [b] network connections associated with communications sessions are Screen Share terminated at the end of the sessions. [c] network connections associated with communications sessions are Screen Share terminated after the defined period of inactivity. SC.L2-3.13.10 Establish and manage cryptographic keys for cryptography employed in organizational systems.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 | [a] collaborative computing devices are identified. Document [c] remote activation of collaborative computing devices is prohibited. Artifact CertifiedCMMCAssessor(CCA) | [a] use of mobile code is controlled. Screen Share [a] cryptographic keys are established whenever cryptography is Artifact [b] use of mobile code is monitored. Screen Share employed. [b] cryptographic keys are managed whenever cryptography is Artifact employed. SC.L2-3.13.11 Employ FIPS-validated cryptography when used to protect the confidentiality of CUI. [a] FIPS-validated cryptography is employed to protect the Screen Share confidentiality of CUI. [a] the authenticity of communications sessions is protected. Screen Share SC.L2-3.13.12 Prohibit remote activation of collaborative computing devices and provide indication of devices in use to users present at the device. [b] collaborative computing devices provide indication to users of Physical Review [a] the confidentiality of CUI at rest is protected. Artifact devices in use SC.L2-3.13.13 Control and monitor the use of mobile code. [a] the time within which to identify system flaws is specified. Document SC.L2-3.13.14 Control and monitor the use of Voice over Internet Protocol (VoIP) technologies. [a] use of Voice over Internet Protocol (VoIP) technologies is Artifact controlled. [b] use of Voice over Internet Protocol (VoIP) technologies is Artifact monitored. SC.L2-3.13.15 Protect the authenticity of communications sessions. SC.L2-3.13.16 Protect the confidentiality of CUI at rest. SI.L1-3.14.1 Identify, report, and correct information and information system flaws in a timely manner.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 | [b] system flaws are identified within the specified time frame. Screen Share [c] the time within which to report system flaws is specified. Document [d] system flaws are reported within the specified time frame. Screen Share [e] the time within which to correct system flaws is specified. Document [f] system flaws are corrected within the specified time frame. Screen Share [a] designated locations for malicious code protection are identified. Document [b] protection from malicious code at designated locations is provided. Screen Share [b] system security alerts and advisories are monitored. Artifact

 |  Certified CMMC Assessor (CCA)

[a] the frequency for malicious code scans is defined. Document SI.L1-3.14.2 Provide protection from malicious code at appropriate locations within [b] malicious code scans are performed with the defined frequency. Screen Share organizational information systems. SI.L2-3.14.3 Monitor system security alerts and advisories and take action in response. [a] response actions to system security alerts and advisories are Document identified. [c] actions in response to system security alerts and advisories are Artifact taken. SI.L1-3.14.4 Update malicious code protection mechanisms when new releases are available.

[a] malicious code protection mechanisms are updated when newreleases are available. Screen Share

SI.L1-3.14.5 Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed. [c] real-time malicious code scans of files from external sources as files Screen Share are downloaded, opened, or executed are performed. SI.L2-3.14.6 Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks. [a] the system is monitored to detect attacks and indicators of Screen Share potential attacks. [b] inbound communications traffic is monitored to detect attacks and Screen Share indicators of potential attacks. [c] outbound communications traffic is monitored to detect attacks Screen Share and indicators of potential attacks.

Appendix A : Evidence Collection Approach for CMMC Practices Levels 1 and 2 |

[a] authorized use of the system is defined. Document [b] unauthorized use of the system is identified. Artifact CertifiedCMMCAssessor(CCA) | SI.L2-3.14.7 Identify unauthorized use of organizational systems.

Appendix A : Evidence Collection Approach for CMMCPracticesLevels1and2 |

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-|[e] system access is limited to processes acting on behalf of authorized users. || Screen Share
+| [c] devices (and other systems) authorized to connect to the system are identified. || Document
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