Beyond CMMC Level 1
The free web app covers the 17 CMMC Level 1 practices. This requirement is part of the full NIST 800-171 set — get the desktop app to work on all 110 requirements with SPRS scoring. Previously saved data is shown read-only below, and your data always remains exportable in full.
Get the desktop appSecurity Requirements for 03.04.08 Application Execution Policy
The process used to identify software programs that are not authorized to execute on systems is commonly referred to as blacklisting. The process used to identify software programs that are authorized to execute on systems is commonly referred to as whitelisting. Whitelisting is the stronger of the two policies for restricting software program execution. In addition to whitelisting, organizations consider verifying the integrity of whitelisted software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of whitelisted software can occur either prior to execution or at system startup.[SP 800-167] provides guidance on application whitelisting.
Assessment GuidanceExamine 0/13
How an assessor determines this requirement is met. Source: CMMC Assessment Guide – Level 2, Version 2.13 (NIST SP 800-171 Rev. 2).
Discussion
Organizations should determine their blacklisting or whitelisting policy and configure the system to manage software that is allowed to run. Blacklisting or deny-by-exception allows all software to run except if on an unauthorized software list such as what is maintained in antivirus solutions. Whitelisting or permit-by-exception does not allow any software to run except if on an authorized software list. The stronger policy of the two is whitelisting.
This requirement, CM.L2-3.4.8, requires the implementation of allow-lists and deny-lists for application software. It leverages CM.L2-3.4.1, which requires the organization to establish and maintain software inventories. This requirement, CM.L2-3.4.8, also extends CM.L2-3.4.9, which only requires control and monitoring of any user installed software.
Examples
- Example 1
To improve your company’s protection from malware, you have decided to allow only designated programs to run. With additional research you identify a capability within the latest operating system that can control executables, scripts, libraries, or application installers run in your environment [c]. To ensure success you begin by authorizing digitally signed executables. Once they are deployed, you then plan to evaluate and deploy whitelisting for software libraries and scripts [c].
Assessment Methods
Not all of the evidence listed is required to meet this requirement — check the items your organization has collected.
- Personnel with responsibilities for identifying software authorized or not authorized to execute on the system
- Personnel with information security responsibilities
- System or network administrators
- Organizational process for identifying, reviewing, and updating programs authorized or not authorized to execute on the system
- Process for implementing blacklisting or whitelisting
- Mechanisms supporting or implementing blacklisting or whitelisting
Potential Assessment Considerations
- Is the information system configured to only allow authorized software to run [a, b, c]?
- Is the system configured to disallow running unauthorized software [a, b, c]?
- Is there a defined list of software programs authorized to execute on the system [b]?
- Is the authorization policy a deny-all, permit by exception for software allowed to execute on the system [a, b, c]?
- Are automated mechanisms used to prevent program execution in accordance with defined lists (e.g., whitelisting) [a, b, c]?