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 03.04.09 User-Installed Software

Users can install software in organizational systems if provided the necessary privileges. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation through policies. Permitted software installations include updates and security patches to existing software and applications from organization-approved “app stores.” Prohibited software installations may include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods, automated methods, or both.

Assessment GuidanceExamine 0/11

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

Discussion

Software that users have the ability to install is limited to items that the organization approves. When not controlled, users could install software that can create unnecessary risk. This risk applies both to the individual machine and to the larger operating environment. Policies and technical controls reduce risk to the organization by preventing users from installing unauthorized software.

Examples

  1. Example 1

    You are a system administrator. A user calls you for help installing a software package. They are receiving a message asking for a password because they do not have permission to install the software. You explain that the policy prohibits users from installing software without approval [a]. When you set up workstations for users, you do not provide administrative privileges. After the call, you redistribute the policy to all users ensuring everyone in the company is aware of the restrictions.

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 responsibilities for governing user-installed software
  • Personnel operating, using, or maintaining the system
  • Personnel monitoring compliance with user-installed software policy
  • Personnel with information security responsibilities
  • System or network administrators
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 governing user-installed software on the system
  • Mechanisms enforcing rules or methods for governing the installation of software by users
  • Mechanisms monitoring policy compliance

Potential Assessment Considerations

  • Are user controls in place to prohibit the installation of unauthorized software [a]?
  • Is all software in use on the information systems approved [b]?
  • Is there a mechanism in place to monitor the types of software a user is permitted to download (e.g., is there a whitelist of approved software) [c]?

Key References

NIST SP 800-171 Rev. 2 3.4.9

Evidence

  1. 03.04.09.a

    A policy for controlling the installation of software by users is established

  1. 03.04.09.b

    Installation of software by users is controlled based on the established policy

  1. 03.04.09.c

    Installation of software by users is monitored