Overview
  1. 03.01: Access Control
  2. 03.02: Awareness and Training
  3. 03.03: Audit and Accountability
  4. 03.04: Configuration Management
  5. 03.05: Identification and Authentication
  6. 03.06: Incident Response
  7. 03.07: Maintenance
  8. 03.08: Media Protection
  9. 03.09: Personnel Security
  10. 03.10: Physical Protection
  11. 03.11: Risk Assessment
  12. 03.12: Security Assessment
  13. 03.13: System and Communications Protection
  14. 03.14: System and Information Integrity

Security Requirements for 03.01.01 Authorized Access Control

Access control policies (e.g., identity- or role-based policies, control matrices, and cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, and domains) in systems. Access enforcement mechanisms can be employed at the application and service level to provide increased information security. Other systems include systems internal and external to the organization. This requirement focuses on account management for systems and applications. The definition of and enforcement of access authorizations, other than those determined by account type (e.g., privileged verses non-privileged) are addressed in requirement 03.01.02.

Assessment GuidanceExamine 0/15

How an assessor determines this requirement is met. Source: CMMC Assessment Guide – Level 2, Version 2.13 (NIST SP 800-171 Rev. 2).

Discussion

Identify users, processes, and devices that are allowed to use company computers and can log on to the company network. Automated updates and other automatic processes should be associated with the user who initiated (authorized) the process. Limit the devices (e.g., printers) that can be accessed by company computers. Set up your system so that only authorized users, processes, and devices can access the company network.

This requirement, AC.L2-3.1.1, controls system access based on user, process, or device identity. AC.L2-3.1.1 leverages IA.L2-3.5.1 which provides a vetted and trusted identity for access control.

Examples

  1. Example 1

    Your company maintains a list of all personnel authorized to use company information systems, including those that store, process, and transmit CUI [a]. This list is used to support identification and authentication activities conducted by IT when authorizing access to systems [a, d].

  2. Example 2

    A coworker wants to buy a new multi-function printer/scanner/fax device and make it available on the company network within the CUI enclave. You explain that the company controls system and device access to the network and will prevent network access by unauthorized systems and devices [c]. You help the coworker submit a ticket that asks for the printer to be granted access to the network, and appropriate leadership approves the device [f].

Assessment Methods

Examine
The process of reviewing, inspecting, observing, studying, or analyzing assessment objects (e.g., policies, procedures, plans, system designs, mechanisms) to facilitate understanding, achieve clarification, or obtain evidence.Example: An assessor reads the access control policy and inspects system configuration settings to confirm they match.

Not all of the evidence listed is required to meet this requirement — check the items your organization has collected.

Interview
The process of holding discussions with individuals or groups within an organization to facilitate understanding, achieve clarification, or identify the location of evidence.Example: An assessor asks a system administrator to describe how user accounts are approved, reviewed, and disabled.
  • Personnel with account management responsibilities
  • System or network administrators
  • Personnel with information security responsibilities
Test
The process of exercising assessment objects (e.g., activities, mechanisms) under specified conditions to compare actual behavior with expected behavior.Example: An assessor attempts to sign in with a disabled account to confirm that access is denied.
  • Organizational processes for managing system accounts
  • Mechanisms for implementing account management

Potential Assessment Considerations

  • Is a list of authorized users maintained that defines their identities and roles [a]?
  • Are account requests authorized before system access is granted [d, e, f]?

Key References

NIST SP 800-171 Rev. 2 3.1.1FAR Clause 52.204-21 b.1.i

Evidence

  1. 03.01.01.a

    Authorized users are identified

  1. 03.01.01.b

    Processes acting on behalf of authorized users are identified

  1. 03.01.01.c

    Devices (and other systems) authorized to connect to the system are identified

  1. 03.01.01.d

    System access is limited to authorized users

  1. 03.01.01.e

    System access is limited to processes acting on behalf of authorized users

  1. 03.01.01.f

    System access is limited to authorized devices (including other systems)