CMMC L1-L5 Unevaluated Controls - User Guide - 2 - Cortex XPANSE - Cortex - Security Operations

Cortex Xpanse Expander User Guide

Product
Cortex XPANSE
Version
2
Creation date
2024-03-28
Last date published
2024-05-24
Category
User Guide
Solution
Cloud
Abstract

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 CMMC L1-L5 controls, organized by control family, are unevaluated by the Cortex Xpanse Attack Surface Compliance Violations Dashboard.

Table 3. 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 4. 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 5. 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 6. 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 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. 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 9. 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 10. 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 11. 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 12. 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 13. 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 14. 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 15. 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 16. 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 17. Situational Awareness

SA.4.173

Design network and system security capabilities to leverage, integrate, and share indicators of compromise.


Table 18. 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.