> For the complete documentation index, see [llms.txt](https://cortex-docs.paloaltonetworks.com/llms.txt). Markdown versions of documentation pages are available by appending `.md` to page URLs; this page is available as [Markdown](https://cortex-docs.paloaltonetworks.com/cortex-xpanse/reference/monitor-compliance-violations/cmmc-l1-l5-unevaluated-controls.md). # CMMC L1-L5 Unevaluated 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 CMMC L1-L5 controls, organized by control family, are unevaluated by the Cortex Xpanse **Attack Surface Compliance Violations Dashboard**. Table 2. 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. | Table 3. 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 | Table 4. 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. | Table 5. 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. | Table 6. 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. | Table 7. 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. | Table 8. 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. | Table 9. 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. | Table 10. 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. | Table 11. 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. | Table 12. 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. | Table 13. 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. | Table 14. 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. | Table 15. 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. | Table 16. Situational Awareness | | | | -------- | ----------------------------------------------------------------------------------------------------------- | | SA.4.173 | Design network and system security capabilities to leverage, integrate, and share indicators of compromise. | Table 17. 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. | --- # Agent Instructions This documentation is published with GitBook. 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