CMMC L1-L5 Unevaluated Controls

Cortex® Xpanse™ does not make a determination regarding compliance with the listed CMMC L1-L5 controls.
Not all compliance violations can be detected from our scan data. Cortex® Xpanse™ provides an external view of your attack surface. The controls listed below would require data from internal scans or checks against internal controls and processes where Xpanse does not have visibility. Therefore, Xpanse cannot make a determination regarding compliance with these specific controls.
The following controls, organized by control family, are unevaluated by the Expander
Compliance Assessment > CMMC L1-L5
dashboard.
Access Control
AC.1.004
Control CUI posted or processed on publicly accessible systems.
AC.3.019
Terminate (automatically) a user session after a defined condition.
AC.3.020
Control connection of mobile devices.
AC.3.021
Authorize remote execution of privileged commands and remote access to security-relevant information.
AC.3.022
Encrypt CUI on mobile devices.
AC.4.032
Restrict remote network access based on organizationally defined risk factors such as time of day, location of access, physical location, network connection state, and measured properties of the current user and role.
AC.5.024
Identify and mitigate risk associated with unidentified wireless access points connected to the network.
Asset Management
AM.4.226
Employ a capability to discover and identify systems with specific component attributes (e.g., firmware level, OS type) within your inventory
Awareness and Training
AT.2.056
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.
AT.2.057
Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities.
AT.3.058
Provide security awareness training on recognizing and reporting potential indicators of insider threat.
Audit and Accountability
AU.2.041
Ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions.
AU.2.042
Create, protect, and retain information system audit records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful unauthorized system activity.
AU.2.043
Provide system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records.
AU.3.045
Review and update events.
AU.3.046
Alert in the event of an audit process failure.
AU.3.048
Collect audit information (e.g., logs) into one or more central repositories.
AU.3.049
Protect audit information and audit tools from unauthorized access, modification, and deletion.
AU.3.050
Limit management of audit functionality to a subset of privileged users.
AU.3.051
Correlate audit review, analysis, and reporting processes for investigation and response to indications of suspicious, or unusual activity.
AU.3.052
Provide audit reduction and report generation to support on-demand analysis and reporting.
AU.5.055
Identify assets not reporting audit logs and assure appropriate organizationally defined systems are logging.
Configuration Management
CM.2.063
Control and monitor user-installed software.
CM.2.065
Track, review, approve/ or disapprove, and audit log changes to organizational systems.
CM.2.066
Analyze the security impact of changes prior to implementation.
CM.3.067
Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.
CM.3.068
Restrict, disable, prevent the use of nonessential programs, functions, ports, protocols, and services.
CM.3.069
Apply deny-by-exception (block list) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (allow list) policy to allow the execution of authorized software.
CM.4.073
Employ an application allow list and an application vetting process for systems identified by the organization.
Configuration Management
CM.2.063
Control and monitor user-installed software.
CM.2.065
Track, review, approve/ or disapprove, and audit log changes to organizational systems.
CM.2.066
Analyze the security impact of changes prior to implementation.
CM.3.067
Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.
CM.3.068
Restrict, disable, prevent the use of nonessential programs, functions, ports, protocols, and services.
CM.3.069
Apply deny-by-exception (block list) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (allow list) policy to allow the execution of authorized software.
CM.4.073
Employ an application allow list and an application vetting process for systems identified by the organization.
Identification and Authentication
IA.1.076
Identify system users, processes acting on behalf of users, devices.
IA.3.083
Use multi-factor authentication for local and network access to privileged accounts and for network access to non-privileged accounts.
IA.3.084
Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts.
IA.3.085
Prevent reuse of identifiers for a defined period.
IA.3.086
Disable identifiers after a defined period of inactivity.
Incident Response
IR.2.092
Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities.
IR.3.098
Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization.
IR.3.099
Test the organizational incident response capability.
IR.4.100
Use knowledge of attacker tactics, techniques, and procedures in incident response planning and execution.
IR.5.108
Establish and maintain a Cyber Incident Response Team (CIRT) that can investigate an issue physically or virtually at any location within 24 hours.
IR.5.110
Perform unannounced operational exercises to demonstrate technical and procedural responses.
Maintenance
MA.2.111
Perform maintenance on organizational systems.
MA.2.112
Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.
MA.2.113
Require multi-factor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete.
MA.2.114
Supervise the maintenance activities of maintenance personnel without required access authorization.
MA.3.115
Ensure equipment removed for off-site maintenance is sanitized of any CUI.
MA.3.116
Check media containing diagnostic and test programs for malicious code before the media are used in the organizational systems.
Media Protection
MP.1.118
Sanitize or destroy information system media containing CUI before disposal or release for reuse.
MP.2.119
Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital.
MP.2.120
Limit access to CUI on information system media to authorized users.
MP.2.121
Control the use of removable media on system components.
MP.3.122
Mark media with necessary CUI markings and distribution limitations.
MP.3.123
Prohibit the use of portable storage devices when such devices have no identifiable owner.
MP.3.124
Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas.
MP.3.125
Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards.
Physical Protection
PE.1.133
Maintain audit logs of physical access.
PE.2.135
Protect and monitor the physical facility and support infrastructure for organizational systems.
PE.3.136
Enforce safeguarding measures for CUI at alternate work sites.
Recovery
RE.3.139
Regularly perform complete, comprehensive and resilient data backups as organizationally-defined.
RE.5.140
Ensure information processing facilities meet organizationally-defined information security continuity, redundancy and availability requirements.
Risk Management
RM.3.144
Periodically perform risk assessments to identify and prioritize risks according to the defined risk categories, risk sources and risk measurement criteria.
Security Assessment
CA.2.157
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.
CA.2.158
Periodically assess the security controls in organizational systems to determine if the controls are effective in their application.
CA.2.159
Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems.
CA.3.161
Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls.
CA.4.164
Conduct penetration testing periodically, leveraging automated scanning tools and ad hoc tests using human experts.
Situational Awareness
SA.4.173
Design network and system security capabilities to leverage, integrate, and share indicators of compromise.
System and Communication Protection
SC.3.177
Employ FIPS-validated cryptography when used to protect the confidentiality of CUI.
SC.3.180
Employ architectural designs, software development techniques and systems engineering principles that promote effective information security within organizational systems.
SC.3.181
Separate user functionality from information system management functionality.
SC.3.182
Prevent unauthorized and unintended information transfer via shared system resources.
SC.3.183
Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception).
SC.3.184
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).
SC.3.185
Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards.
SC.3.186
Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity.
SC.3.188
Control and monitor the use of mobile code.
SC.3.189
Control and monitor the use of Voice over Internet Protocol (VoIP) technologies.
SC.3.190
Protect the authenticity of communications sessions.
SC.3.191
Protect the confidentiality of CUI at rest.

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