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 03.09.01 Screen Individuals

Personnel security screening (vetting) activities involve the evaluation/assessment of individual’s conduct, integrity, judgment, loyalty, reliability, and stability (i.e., the trustworthiness of the individual) prior to authorizing access to organizational systems containing CUI. The screening activities reflect applicable federal laws, Executive Orders, directives, policies, regulations, and specific criteria established for the level of access required for assigned positions.

Assessment GuidanceExamine 0/5

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

Discussion

Ensure all employees who need access to CUI undergo organization-defined screening before being granted access. Base the types of screening on the requirements for a given position and role.

The effective screening of personnel provided by this requirement, PS.L2-3.9.1, improves upon the effectiveness of authentication performed in IA.L2-3.5.2.

Examples

  1. Example 1

    You are in charge of security at your organization. You complete standard criminal background and credit checks of all individuals you hire before they can access CUI [a]. Your screening program follows appropriate laws, policies, regulations, and criteria for the level of access required for each position.

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 personnel security responsibilities
  • 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 personnel screening

Potential Assessment Considerations

  • Are appropriate background checks completed prior granting access to organizational systems containing CUI [a]?

Key References

NIST SP 800-171 Rev. 2 3.9.1

Evidence

  1. 03.09.01.a

    Individuals are screened prior to authorizing access to organizational systems containing cui