The Lead Assessor is presenting the Final Findings Presentation to the OSC. During the presentation, the Assessment Sponsor and OSC staff inform the assessor that they do not agree with the assessment results. Who has the final authority for the assessment results?
C3PAO
CMMC-AB
Assessment Team
Assessment Sponsor
Who Has the Final Authority Over Assessment Results?During aCMMC Level 2 assessment, theCertified Third-Party Assessment Organization (C3PAO)is responsible for conducting and finalizing the assessment results.
Key Responsibilities of a C3PAO✅Leads the assessmentand ensures it follows the CMMC Assessment Process (CAP).
✅Validates compliancewith CMMC Level 2 requirements based onNIST SP 800-171controls.
✅Finalizes the assessment resultsand submits them to theCMMC-ABand theDoD.
✅Handles disagreementsfrom the OSC but hasfinal decision-making authorityon results.
The C3PAO has final authority over the assessment resultsafter considering all evidence and findings.
TheCMMC-AB (Option B) does not finalize assessments—it accredits C3PAOs and manages the certification ecosystem.
TheAssessment Team (Option C) supports the C3PAO but does not have final decision authority.
TheAssessment Sponsor (Option D) is a representative from the OSC and does not control the results.
Why "C3PAO" is Correct?Breakdown of Answer ChoicesOption
Description
Correct?
A. C3PAO
✅Correct – C3PAOs finalize and submit assessment results.
B. CMMC-AB
❌Incorrect–The CMMC-AB accredits C3PAOs but doesnot finalize results.
C. Assessment Team
❌Incorrect–They conduct the assessment, but the C3PAO makes final decisions.
D. Assessment Sponsor
❌Incorrect–This is arepresentative of the OSC, not the assessment authority.
CMMC Assessment Process Guide (CAP)– DefinesC3PAO authorityover final assessment results.
Official References from CMMC 2.0 DocumentationFinal Verification and ConclusionThe correct answer isA. C3PAO, as theC3PAO has final decision-making authority over CMMC assessment results.
What is a PRIMARY activity that is performed while conducting an assessment?
Develop assessment plan.
Collect and examine evidence.
Verify readiness to conduct assessment.
Deliver recommended assessment results.
Step 1: Understand the Assessment Phases (CAP v1.0)TheCMMC Assessment Process (CAP)outlines a structured lifecycle for assessments, including:
Plan and Prepare Phase– Develop the assessment plan (before the assessment starts).
Conduct Assessment Phase– Execute the actual assessment activities.
Report Results Phase– Finalize and deliver the assessment outcomes.
CAP v1.0 – Section 3.5 (Conduct Assessment):
“The assessment team collects, examines, and evaluates evidence to determine if practices are MET or NOT MET.”
During the“Conduct Assessment” phase, the main activity is to:
Collect evidence(documentation, interviews, testing),
Validate adequacy and sufficiency,
Score practicesas MET/NOT MET.
✅Step 2: Why “Collect and Examine Evidence” Is the Primary ActivityThis is thecore responsibilityof assessorswhile conductingan assessment.
A. Develop assessment plan✘ This occurs in thePlan and Preparephasebeforeconducting the assessment.
C. Verify readiness to conduct assessment✘ Readiness verification is part ofpre-assessment activities, not during the assessment itself.
D. Deliver recommended assessment results✘ This is done during theReport Resultsphase after the assessment has been conducted.
❌Why the Other Options Are Incorrect
Theprimary activity performed during the actual executionof a CMMC assessment iscollecting and examining evidenceto determine compliance with practices.
Which term describes the process of granting or denying specific requests to obtain and use information, related information processing services, and enter specific physical facilities?
Access control
Physical access control
Mandatory access control
Discretionary access control
Understanding Access Control in CMMCAccess control refers to the process ofgranting or denyingspecific requests to:
Obtain and use information
Access information processing services
Enter specific physical locations
TheAccess Control (AC) domain in CMMCis based onNIST SP 800-171 (3.1 Access Control family)and includes requirements to:
✅Implement policies for granting and revoking access.
✅Restrict access to authorized personnel only.
✅Protect physical and digital assets from unauthorized access.
Since the questionbroadly asks about the process of granting or denying access to information, services, and physical locations, the correct answer isA. Access Control.
B. Physical access control❌Incorrect.Physical access controlis asubsetof access control that only applies tophysical locations(e.g., keycards, security guards, biometrics). The question includesinformation and services, makinggeneral access controlthe correct choice.
C. Mandatory access control (MAC)❌Incorrect.MAC is a specific type of access controlwhere access is strictly enforced based onsecurity classifications(e.g., Top Secret, Secret, Confidential). The questiondoes not specify MAC, so this is incorrect.
D. Discretionary access control (DAC)❌Incorrect.DAC is another specific type of access control, whereownersof data decide who can access it. The question asksgenerallyabout granting/denying access, makingaccess control (A)the best answer.
Why the Other Answers Are Incorrect
CMMC 2.0 Model - AC.L2-3.1.1 to AC.L2-3.1.22– Covers access control requirements, includingcontrolling access to information, services, and physical spaces.
NIST SP 800-171 (3.1 - Access Control Family)– Defines the general principles of access control.
CMMC Official ReferencesThus,option A (Access Control) is the correct answer, as it best aligns withCMMC access control requirements.
A CMMC Assessment Team arrives at an OSC to begin a CMMC Level 2 Assessment. The team checks in at the front desk and lets the receptionist know that they are here to conduct the assessment. The receptionist is aware that the team is arriving today and points down a hallway where the conference room is. The receptionist tells the Lead Assessor to wait in the conference room. as someone will be there shortly. The receptionist fails to check for credentials and fails to escort the team. The receptionist's actions are in direct violation of which CMMC practice?
PE.L1-3.10.3: Escort visitors and monitor visitor activity
PE.L1-3.10.5: Control and manage physical access devices
PS.L2-3.9.1; Screen individuals prior to authorizing access to organizational systems containing CUI
PS.L2-3 9.2: Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers
ThePhysical Protection (PE) domaininCMMC 2.0 Level 1includes the requirementPE.L1-3.10.3, which mandates that organizationsescort visitors and monitor their activity.
TheCMMC Assessment Teamarrives at the OSC.
Thereceptionist acknowledges their arrival but does not verify credentials or escort themto the appropriate location.
Failing to verify visitor identity and failing to escort them is a violation of PE.L1-3.10.3.
A. PE.L1-3.10.3: Escort visitors and monitor visitor activity→✅Correct
This requirement ensures that visitorsdo not have unsupervised access to sensitive areas.
The receptionistshould have checked credentials and escorted the assessment team.
B. PE.L1-3.10.5: Control and manage physical access devices→❌Incorrect
This requirement refers to managingkeys, access badges, and security devices, which isnot the issue in this scenario.
C. PS.L2-3.9.1: Screen individuals prior to authorizing access to organizational systems containing CUI→❌Incorrect
This control applies to personnel screeningsbefore granting access to CUI systems, not physical visitor access.
D. PS.L2-3.9.2: Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers→❌Incorrect
This requirement deals withoffboarding employees and ensuring they no longer have system access. It isnot relevant to visitor escorting.
CMMC 2.0 Level 1 - PE.L1-3.10.3 (Physical Protection)
Requires organizations toescort visitors and monitor visitor activityat facilities containingFCI or CUI.
NIST SP 800-171 Rev. 2, Control 3.10.3
States thatvisitors must be escorted and monitored at all timesto prevent unauthorized access.
Breaking Down the Scenario:Analysis of the Given Options:Official References Supporting the Correct Answer:Conclusion:Since the receptionist failed to verify credentials and escort the visitors, this violatesPE.L1-3.10.3.
✅Correct Answer: A. PE.L1-3.10.3: Escort visitors and monitor visitor activity
Which statement BEST describes a LTP?
Creates DoD-licensed training
Instructs a curriculum approved by CMMC-AB
May market itself as a CMMC-AB Licensed Provider for testing
Delivers training using some CMMC body of knowledge objectives
Understanding Licensed Training Providers (LTPs) in CMMCALicensed Training Provider (LTP)is an entity that is authorized by theCybersecurity Maturity Model Certification Accreditation Body (CMMC-AB)todeliver CMMC trainingbased on anapproved curriculum.
Provides CMMC-AB-approved training programsfor individuals seeking CMMC certifications.
Uses an official CMMC curriculumthat aligns with theCMMC Body of Knowledge (BoK)and other CMMC-AB guidance.
Prepares students for CMMC roles, such asCertified CMMC Assessors (CCA) and Certified CMMC Professionals (CCP).
Key Responsibilities of an LTP:
A. Creates DoD-licensed training → Incorrect
TheCMMC-AB, not the DoD, manages LTP licensing. LTPsdo not create new training contentbut mustfollow an approved curriculum.
B. Instructs a curriculum approved by CMMC-AB → Correct
LTPsteacha curriculum that has beenapproved by the CMMC-AB, ensuring consistency in CMMC training.
C. May market itself as a CMMC-AB Licensed Provider for testing → Incorrect
LTPs provide training, not testing. Testing is handled byLicensed Partner Publishers (LPPs)and exam bodies.
D. Delivers training using some CMMC body of knowledge objectives → Incorrect
LTPs mustfully adhereto theCMMC-AB-approved curriculum, not just "some" objectives.
Why is the Correct Answer "Instructs a curriculum approved by CMMC-AB" (B)?
CMMC-AB Licensed Training Provider (LTP) Program Guidelines
Defines LTPs as entities thatdeliver CMMC-AB-approved training programs.
CMMC Body of Knowledge (BoK)
Specifies that training must follow theCMMC-AB-approved curriculumto ensure standardization.
CMMC-AB Training & Certification Framework
Requires LTPs todeliver structured training that meets CMMC-AB guidelines.
CMMC 2.0 References Supporting This Answer:
Final Answer:✔B. Instructs a curriculum approved by CMMC-AB
In scoping a CMMC Level 1 Self-Assessment, all of the computers and digital assets that handle FCI are identified. A file cabinet that contains paper FCI is also identified. What can this file cabinet BEST be determined to be?
In scope, because it is an asset that stores FCI
In scope, because it is part of the same physical location
Out of scope, because they are all only paper documents
Out of scope, because it does not process or transmit FCI
Does a File Cabinet Containing Paper FCI Fall Within CMMC Scope?CMMConly applies to digital systems and assetsthatprocess, store, or transmitFederal Contract Information (FCI)andControlled Unclassified Information (CUI).Physical storage (such as paper documents) is not included in CMMC scoping.
Step-by-Step Breakdown:✅1. CMMC Scope Covers Only Digital Systems and Assets
According to theCMMC Scoping Guide (Level 1),only digital assetsthat handleFCIarein scopefor aLevel 1 Self-Assessment.
Afile cabinetisnot a digital system; therefore, it isnot in scopefor CMMC compliance.
✅2. Why the Other Answer Choices Are Incorrect:
(A) In scope, because it is an asset that stores FCI❌
Incorrect:While the file cabinetdoes store FCI,CMMC only applies to digital systems.
(B) In scope, because it is part of the same physical location❌
Incorrect:CMMCdoes notconsiderphysical proximitywhen determining scope—only digital data handling matters.
(D) Out of scope, because it does not process or transmit FCI❌
Partially correct, but incomplete: Themain reasonit is out of scope is that itcontains only paper documents, not that it doesn’t process/transmit data.
TheCMMC Level 1 Scoping Guideexplicitly states thatpaper-based storage of FCI does not fall within scope.
Final Validation from CMMC Documentation:Thus, the correct answer is:
✅C. Out of scope, because they are all only paper documents.
As defined in the CMMC-AB Code of Professional Conduct, what term describes any contract between two legal entities?
Union
Accord
Alliance
Agreement
Understanding the Definition of an Agreement in the CMMC-AB Code of Professional ConductTheCMMC-AB Code of Professional Conductdefines anagreementasany contract between two legal entities. This includes:
✔Contracts between an OSC and a C3PAOfor CMMC assessments.
✔Service agreements between cybersecurity providers and defense contractors.
✔Any formal, legally binding arrangement related to CMMC compliance.
A. Union → Incorrect
Auniontypically refers to anorganization representing workersand is not used to describe acontractual relationship.
B. Accord → Incorrect
While anaccordcan mean an agreement, it isnot the standard legal term for a binding contractin CMMC documentation.
C. Alliance → Incorrect
Analliancerefers to astrategic partnership, but does not necessarily imply alegally binding contract.
D. Agreement → Correct
TheCMMC-AB Code of Professional Conductdefines anagreementas anylegally binding contract between two entities.
Why is the Correct Answer "D. Agreement"?
CMMC-AB Code of Professional Conduct
Defines"Agreement"as alegally binding contract between two parties.
CMMC-AB Licensed Training and Assessment Provider Guidelines
Requires that all engagementsbe governed by a formal agreement (contract) between the parties.
DFARS and CMMC Certification Contracts
States thatOSC-C3PAO relationships must be formalized through a legal agreement.
CMMC 2.0 References Supporting This Answer:
In preparation for a CMMC Level 1 Self-Assessment, the IT manager for a DIB organization is documenting asset types in the company's SSP The manager determines that identified machine controllers and assembly machines should be documented as Specialized Assets. Which type of Specialized Assets has the manager identified and documented?
loT
Restricted IS
Test equipment
Operational technology
Understanding Specialized Assets in a CMMC Self-AssessmentDuringCMMC Level 1 Self-Assessments, organizations must classify theirassetsin theSystem Security Plan (SSP).
Operational Technology (OT)includesmachine controllers, industrial control systems (ICS), and assembly machines.
Thesesystems control physical processesin manufacturing, energy, and industrial environments.
OT assets are distinct from traditional IT systemsbecause they haveunique security considerations(e.g., real-time control, legacy system constraints).
Specialized Asset Type: Operational Technology (OT)
A. IoT (Internet of Things) → Incorrect
IoT devicesinclude smart home systems, connected sensors, and networked appliances, butmachine controllers and assembly machines fall under OT, not IoT.
B. Restricted IS → Incorrect
Restricted Information Systems (IS) refer to classified or highly controlled systems, whichdoes not apply to standard industrial machines.
C. Test Equipment → Incorrect
Test equipment includes diagnostic tools or measurement devicesused forquality assurance, not industrial machine controllers.
D. Operational Technology → Correct
Machine controllers and assembly machinesare part ofindustrial automation and control systems, which are classified asOperational Technology (OT).
Why is the Correct Answer "D. Operational Technology"?
CMMC Scoping Guidance for Level 1 & Level 2 Assessments
DefinesOperational Technology (OT) as a category of Specialized Assetsthat requirespecific security considerations.
NIST SP 800-82 (Guide to Industrial Control Systems Security)
Identifiesmachine controllers and assembly machinesas part ofOperational Technology (OT).
CMMC 2.0 Asset Classification Guidelines
Specifies thatOT systems should be documented separately in an organization's SSP.
CMMC 2.0 References Supporting This Answer:
An assessor is collecting affirmations. So far, the assessor has collected interviews, demonstrations, emails, messaging, and presentations. Are these appropriate approaches to collecting affirmations?
No, emails are not appropriate affirmations.
No, messaging is not an appropriate affirmation.
Yes, the affirmations collected by the assessor are all appropriate.
Yes, the affirmations collected by the assessor are all appropriate, as are screenshots.
Understanding Affirmations in a CMMC AssessmentAffirmations are a type ofevidencecollected during aCMMC assessmentto confirm compliance with required practices. Affirmations are typically collected from:
✅Interviews– Conversations with personnel implementing security practices.
✅Demonstrations– Observing the practice in action.
✅Emails and Messaging– Written communications confirming compliance efforts.
✅Presentations– Documents or briefings explaining security implementations.
✅Screenshots–Visual evidenceof system configurations and security measures.
TheCMMC Assessment Process (CAP) Guidestates that assessors may collectaffirmations via various communication methods, including emails, messaging, and presentations.
Screenshotsare an additional valid form ofobjective evidenceto confirm compliance.
Options A and B are incorrectbecause emails and messaging are explicitlyallowedforms of affirmation.
Option C is incompletebecause it does not mention screenshots, which are also considered valid evidence.
Why "Yes, the affirmations collected by the assessor are all appropriate, as are screenshots" is Correct?Breakdown of Answer ChoicesOption
Description
Correct?
A. No, emails are not appropriate affirmations.
❌Incorrect–Emailsarea valid affirmation method.
B. No, messaging is not an appropriate affirmation.
❌Incorrect–Messagingisallowed for collecting affirmations.
C. Yes, the affirmations collected by the assessor are all appropriate.
❌Incorrect–Screenshots should also be considered valid evidence.
D. Yes, the affirmations collected by the assessor are all appropriate, as are screenshots.
✅Correct – Screenshots are also a valid form of affirmation.
CMMC Assessment Process Guide (CAP)– Defines allowable evidence collection methods, including affirmations through written communication.
Official References from CMMC 2.0 DocumentationFinal Verification and ConclusionThe correct answer isD. Yes, the affirmations collected by the assessor are all appropriate, as are screenshots.This aligns withCMMC 2.0 assessment proceduresfor collecting affirmations.
The facilities manager for a company has procured a Wi-Fi enabled, mobile application-controlled thermostat for the server room, citing concerns over the inability to remotely gauge and control the temperature of the room. Because the thermostat is connected to the company's FCI network, should it be assessed as part of the CMMC Level 1 Self-Assessment Scope?
No, because it is OT
No, because it is an loT device
Yes. because it is a restricted IS
Yes, because it is government property
CMMC Level 1applies toFederal Contract Information (FCI)systems.
Any system or device that is connected to an FCI-handling network is within the assessment scopebecause it canintroduce vulnerabilitiesinto the environment.
TheWi-Fi-enabled thermostat is connected to the FCI network, meaning it haspotential accessto sensitive contract-related data.
PerCMMC Scoping Guidance, this type of device is classified as aRestricted Information System (Restricted IS)—devices that do not store, process, or transmit FCI but areconnected to networks that do.
Restricted IS must be accounted for in the self-assessment scope to ensure they do not compromise security controls.
An Assessment Team is conducting a Level 2 Assessment at the request of an OSC. The team has begun to score practices based on the evidence provided. At a MINIMUM what is required of the Assessment Team to determine if a practice is scored as MET?
All three types of evidence are documented for every control.
Examine and accept evidence from one of the three evidence types.
Complete one of the following; examine two artifacts, either observe a satisfactory demonstration of one control or receive one affirmation from the OSC personnel.
Complete two of the following: examine one artifact, either observe a satisfactory demonstration of one control or receive one affirmation from the OSC personnel.
This question pertains to theminimum evidence requirementsneeded by a CMMCAssessment Teamto score a practice asMETduring aLevel 2 Assessment.
The CMMC Level 2 assessment must align withNIST SP 800-171and follow the procedures outlined in theCMMC Assessment Process (CAP) Guide v1.0, particularly aroundevidence collection and scoring methodology.
✅Step 1: Refer to the CMMC Assessment Process (CAP) Guide v1.0CAP v1.0 – Section 3.5.4: Evaluate Evidence and Score Practices“To assign a MET determination, the Assessment Team must collect and corroborate at least two types of objective evidence: either through examination of artifacts, interviews (affirmation), or testing (demonstration).”
This meansat least two typesof the following evidence are required:
Examine(documentation/artifacts),
Interview(affirmation from personnel),
Test(demonstration of implementation).
✅Step 2: Clarify the Official Minimum Standard for a Practice to be Scored METThe CAP explicitly states:
“A practice can only be scored MET when a minimum oftwo types of evidencefrom the E-I-T (Examine, Interview, Test) triad are successfully collected and evaluated.”
Theevidence types must come from two different categories, for example:
An artifact(Examine)+ an interview affirmation(Interview),
A demonstration(Test)+ an interview(Interview),
Etc.
This cross-validation ensures that the control isimplemented, documented, and understoodby personnel — a core principle in assessing effective cybersecurity implementation.
❌Why the Other Options Are IncorrectA. All three types of evidence are documented for every control✘Incorrect:While collecting all three types (E-I-T) strengthens the assessment, theminimum requirementis onlytwo. Collecting all three isnot requiredfor a practice to be scoredMET.
B. Examine and accept evidence from one of the three evidence types✘Incorrect:This fails to meet theminimum two-evidence-type requirementset by the CAP. Single-source evidence is not sufficient to score a practice as MET.
C. Complete one of the following; examine two artifacts, observe one demonstration, or receive one affirmation✘Incorrect:Even if two artifacts are examined,this is still only one type of evidence(Examine). The CAP requires twotypes— not two instances of the same type.
✅Why D is CorrectD. Complete two of the following: examine one artifact, either observe a satisfactory demonstration of one control or receive one affirmation from the OSC personnel.
✔ This directly reflects theCAP’s requirement for collecting two different types of objective evidenceto determine a practice is MET.
BLUF (Bottom Line Up Front):To score a CMMC Level 2 practice asMET, the Assessment Team must collecta minimum of two distinct types of evidence— from theExamine, Interview, Test (E-I-T)categories. This requirement is clearly stated in the CMMC Assessment Process (CAP) v1.0.
The IT manager is scoping the company's CMMC Level 1 Self-Assessment. The manager considers which servers, laptops. databases, and applications are used to store, process, or transmit FCI. Which asset type is being considered by the IT manager?
ESP
People
Facilities
Technology
Understanding Asset Types in CMMC 2.0In CMMC 2.0, assets are categorized based on their role in handlingFederal Contract Information (FCI)orControlled Unclassified Information (CUI). TheCybersecurity Maturity Model Certification (CMMC) Scoping GuidanceforLevel 1andLevel 2provides asset definitions to help organizations identify what needs protection.
According toCMMC Scoping Guidance, there are five primary asset types:
Security Protection Assets (ESP - External Service Providers & Security Systems)
People (Personnel who interact with FCI/CUI)
Facilities (Physical locations housing FCI/CUI)
Technology (Hardware, software, and networks that store, process, or transmit FCI/CUI)
CUI Assets (For Level 2 assessments, assets specifically storing CUI)
Why "Technology" Is the Correct AnswerThe IT manager is evaluatingservers, laptops, databases, and applications—all of which aretechnology assetsused to store, process, or transmit FCI.
According toCMMC Scoping Guidance,Technology assetsinclude:
✅Endpoints(Laptops, Workstations, Mobile Devices)
✅Servers(On-premise or cloud-based)
✅Networking Devices(Routers, Firewalls, Switches)
✅Applications(Software, Cloud-based tools)
✅Databases(Storage of FCI or CUI)
Since the IT manager is focusing on these components, the correct asset category isTechnology (Option D).
A. ESP (Security Protection Assets)❌Incorrect. ESPs refer tosecurity-related assets(e.g., firewalls, monitoring tools, managed security services) thathelp protectFCI/CUI but do notstore, process, or transmitit directly.
B. People❌Incorrect. While employees play a role in handling FCI, the question focuses onhardware and software—which falls underTechnology, not People.
C. Facilities❌Incorrect. Facilities refer tophysical buildingsor secured areas where FCI/CUI is stored or processed. The question explicitly mentionsservers, laptops, and applications, which arenot physical facilities.
Why the Other Answers Are Incorrect
CMMC Level 1 Scoping Guide (CMMC-AB)– Defines asset categories, including Technology.
CMMC 2.0 Scoping Guidance for Assessors– Provides clarification on FCI assets.
CMMC Official ReferencesThus,option D (Technology) is the most correct choiceas per official CMMC 2.0 guidance.
In the CMMC Model, how many practices are included in Level 2?
17 practices
72 practices
110 practices
180 practices
CMMC Level 2is designed to alignfullywithNIST SP 800-171, which consists of110 security controls (practices).
This meansall 110 practicesfrom NIST SP 800-171 are required for aCMMC Level 2 certification.
How Many Practices Are Included in CMMC Level 2?Breakdown of Practices in CMMC 2.0CMMC Level
Number of Practices
Level 1
17 practices(Basic Cyber Hygiene)
Level 2
110 practices(Aligned with NIST SP 800-171)
Level 3
Not yet finalized but expected to exceed 110
Since CMMC Level 2 mandatesall 110 NIST SP 800-171 practices, the correct answer isC. 110 practices.
A. 17 practices❌Incorrect.17 practicesapply only toCMMC Level 1, not Level 2.
B. 72 practices❌Incorrect. There is no CMMC level with72 practices.
D. 180 practices❌Incorrect. CMMC Level 2only requires 110 practices, not 180.
Why the Other Answers Are Incorrect
CMMC 2.0 Model– Confirms thatLevel 2 includes 110 practicesaligned withNIST SP 800-171.
NIST SP 800-171 Rev. 2– Outlines the110 security controlsrequired for handlingControlled Unclassified Information (CUI).
CMMC Official ReferencesThus,option C (110 practices) is the correct answer, as per official CMMC guidance.
Evidence gathered from an OSC is being reviewed. Based on the assessment and organizational scope, the Lead Assessor requests the Assessment Team to verify that the coverage by domain, practice. Host Unit. Supporting Organization/Unit, and enclaves are comprehensive enough to rate against each practice. Which criteria is the assessor referring to?
Adequacy
Capability
Sufficiency
Objectivity
Step 1: Understand the Definitions of Evidence Evaluation CriteriaTheCMMC Assessment Process (CAP)introduces two key criteria for evaluating evidence:
Adequacy– Does the evidencealign with the practice?
Sufficiency– Is the evidencecomprehensive enoughin terms ofcoverage across systems, users, and scope?
CAP v1.0 – Section 3.5.4:
“Evidence must be evaluated for bothadequacy(is it the right evidence?) andsufficiency(is there enough of it across all in-scope assets and areas?) to score a practice as MET.”
✅Step 2: Applying to the ScenarioIn the question, the Lead Assessor is asking the team toverify that evidence is sufficient across:
Domains
Practices
Host Units
Supporting Organizations
Enclaves
➡️ This is adirect reference to sufficiency, which evaluates whether thebreadth and depthof evidence is enough to make an informed judgment that the control is truly implemented across theentire assessed environment.
A. Adequacy✘ Adequacy refers to therelevanceof the evidence to the specific practice — not itscoverageacross scope.
B. Capability✘ Not a term used in evidence validation within CMMC CAP documentation.
D. Objectivity✘ While objectivity is important, it refers to theunbiased nature of assessment activities, not to theextent of evidence coverage.
❌Why the Other Options Are Incorrect
When an assessor evaluates whether the evidence is broad enough across all necessary systems, units, and enclaves to score a practice as MET, they are evaluatingsufficiency— one of the two core criteria for evidence validity in a CMMC assessment.
A Lead Assessor is presenting an assessment kickoff and opening briefing. What topic MUST be included?
Gathering evidence
Review of the OSC's SSP
Overview of the assessment process
Examination of the artifacts for sufficiency
What is Required in the CMMC Assessment Kickoff and Opening Briefing?Before starting aCMMC assessment, theLead Assessormust present anopening briefingto ensure that theOrganization Seeking Certification (OSC)understands the assessment process.
Step-by-Step Breakdown:✅1. Overview of the Assessment Process
The Lead Assessormust explain the CMMC assessment methodology, including:
Theassessment objectives and scope
How theassessment team will review security controls
What to expectduring interviews, testing, and document review
This ensurestransparency and alignmentbetween the assessors and the OSC.
✅2. Why the Other Answer Choices Are Incorrect:
(A) Gathering Evidence❌
Evidence collection is part of the assessment butnot the primary topic of the opening briefing.
(B) Review of the OSC's SSP❌
While theSSP is a key document, reviewing it is part of the assessment,not the kickoff briefing.
(D) Examination of the artifacts for sufficiency❌
Artifact review happens laterin the assessment process,not during the kickoff.
TheCMMC Assessment Process Guidestates that theopening briefing must include an overview of the assessment process, ensuring the OSC understands the expectations and methodology.
Final Validation from CMMC Documentation:Thus, the correct answer is:
✅C. Overview of the assessment process.
Which principles are included in defining the CMMC-AB Code of Professional Conduct?
Objectivity, classification, and information accuracy
Objectivity, confidentiality, and information integrity
Responsibility, classification, and information accuracy
Responsibility, confidentiality, and information integrity
Understanding the CMMC-AB Code of Professional ConductTheCybersecurity Maturity Model Certification Accreditation Body (CMMC-AB), now referred to asThe Cyber AB, establishes aCode of Professional Conduct (CoPC)for all individuals involved in CMMC assessments, includingCertified Assessors (CAs), Certified Professionals (CPs), and C3PAOs (Certified Third-Party Assessment Organizations).
Thecore principlesoutlined in theCMMC-AB Code of Professional Conductinclude:
Responsibility
CMMC professionals must takefull accountabilityfor their actions, ensuring that assessments are conducted withintegrity and professionalism.
They mustadhere to all ethical and regulatory requirementsestablished by The Cyber AB and the DoD.
Confidentiality
CMMC professionals mustprotect sensitive information, includingControlled Unclassified Information (CUI)andFederal Contract Information (FCI).
They are required toadhere to non-disclosure agreements (NDAs)and avoid improper information sharing.
Information Integrity
All reports, findings, and recommendations in CMMC assessments must beaccurate, unbiased, and truthful.
Assessors mustavoid conflicts of interestand ensure that all data provided in an assessment isverifiable and free from misrepresentation.
Answer A (Incorrect): "Classification" is not a primary principle of the CMMC-AB CoPC. The focus is on protectingCUI and FCI, not on classification procedures.
Answer B (Incorrect): "Objectivity" is important, but it is not explicitly listed as one of the three core principles in theCMMC-AB Code of Professional Conduct.
Answer C (Incorrect): "Classification" is not a guiding principle in the CoPC.
Answer D (Correct):The Code of Professional Conduct explicitly emphasizes responsibility, confidentiality, and information integrity.
The correct answer isD. Responsibility, Confidentiality, and Information Integrity.
These principlesensure that all CMMC professionals maintain ethical standards and uphold the integrity of the certification process.
An organization's sales representative is tasked with entering FCI data into various fields within a spreadsheet on a company-issued laptop. This laptop is an FCI Asset being used to:
process and transmit FCI.
process and organize FCI.
store, process, and transmit FCI.
store, process, and organize FCI.
Understanding FCI and Asset CategorizationFederal Contract Information (FCI)is any informationnot intended for public releasethat is provided by or generated for thegovernmentunder aDoD contract.
Acompany-issued laptopused by a sales representative to enter FCI into aspreadsheetis considered anFCI assetbecause it:
✅Stores FCI– The spreadsheet contains sensitive information.
✅Processes FCI– The representative is entering data into the spreadsheet.
✅Organizes FCI– The spreadsheet helps structure and manage FCI data.
Processing (Option B and C)is occurring, but since the laptop is primarily being used toorganize data,Option D is the most comprehensive.
Transmission (Option A and C)is not explicitly mentioned, soOption D is the best fit.
Why "Store, Process, and Organize FCI" is Correct?Breakdown of Answer ChoicesOption
Description
Correct?
A. Process and transmit FCI.
❌Incorrect–No indication oftransmissionis provided.
B. Process and organize FCI.
❌Incorrect–Storage is also a key function of the laptop.
C. Store, process, and transmit FCI.
❌Incorrect–Transmission is not confirmed in the scenario.
D. Store, process, and organize FCI.
✅Correct – The laptop is used to store, process, and organize FCI in a spreadsheet.
CMMC Asset Categorization Guidelines– DefinesFCI assetsbased onstorage, processing, and organization functions.
Official References from CMMC 2.0 DocumentationFinal Verification and ConclusionThe correct answer isD. Store, process, and organize FCI, as the laptop is used tostore information, enter (process) data, and structure (organize) FCI within a spreadsheet.
Which domain has a practice requiring an organization to restrict, disable, or prevent the use of nonessential programs?
Access Control (AC)
Media Protection (MP)
Asset Management (AM)
Configuration Management (CM)
Understanding the Role of Configuration Management (CM) in CMMC 2.0TheConfiguration Management (CM) domainin CMMC 2.0 ensures that systems aresecurely configured and maintainedto prevent unauthorized or unnecessary changes that could introduce vulnerabilities. One key requirement in CM is torestrict, disable, or prevent the use of nonessential programsto reduce security risks.
Relevant CMMC 2.0 Practice:CM.L2-3.4.1 – Establish and enforce security configuration settings for information technology products employed in organizational systems.
This practicerequires organizations to control system configurations, including the removal or restriction ofnonessential programs, functions, ports, and servicestoreduce attack surfaces.
The goal is tominimize exposure to cyber threatsby ensuring only necessary and approved software is running on the system.
A. Access Control (AC) → Incorrect
Access Control (AC) focuses onmanaging user permissions and accessto systems and data, not restricting programs.
B. Media Protection (MP) → Incorrect
Media Protection (MP) deals withprotecting and controlling removable media(e.g., USBs, hard drives) rather than software or system configurations.
C. Asset Management (AM) → Incorrect
Asset Management (AM) is aboutidentifying and tracking IT assets, not configuring or restricting software.
D. Configuration Management (CM) → Correct
CM explicitly coverssecuring system configurationsbyrestricting nonessential programs, ports, services, and functions, making it the correct answer.
Why is the Correct Answer CM (D)?
CMMC 2.0 Practice CM.L2-3.4.1(Security Configuration Management)
Requires organizations toenforce security configuration settingsandremove unnecessary programsto protect systems.
NIST SP 800-171 Requirement 3.4.1
Supportssecure configuration settingsandrestricting unauthorized applicationsto prevent security risks.
CMMC 2.0 Level 2 Requirement
This practice is aLevel 2 (Advanced) requirement, meaningorganizations handling Controlled Unclassified Information (CUI)must comply with it.
CMMC 2.0 References Supporting this Answer:
In performing scoping, what should the assessor ensure that the scope of the assessment covers?
All assets documented in the business plan
All assets regardless if they do or do not process, store, or transmit FCI/CUI
All entities, regardless of the line of business, associated with the organization
All assets processing, storing, or transmitting FCI/CUI and security protection assets
Scoping Requirements in CMMC AssessmentsTheCMMC 2.0 Scoping GuideandCMMC Assessment Process (CAP) Documentclearly define what should be included in the scope of an assessment.
The assessment scope must cover:
All assets that process, store, or transmit FCI/CUI
Security Protection Assets (ESP)– these assets help protect FCI/CUI, such as firewalls, endpoint detection systems, and encryption mechanisms.
Thus, thecorrect scope includes both:
✅FCI/CUI Assets(Data storage, processing, or transmission assets)
✅Security Protection Assets (ESP)(Firewalls, security tools, etc.)
A. All assets documented in the business plan❌Incorrect.Business plans may include assets unrelated to FCI/CUI, making this scopetoo broad. Only assets relevant to FCI/CUI should be assessed.
B. All assets regardless if they do or do not process, store, or transmit FCI/CUI❌Incorrect. CMMC doesnotrequire organizations to include assets thathave no connection to FCI/CUI.
C. All entities, regardless of the line of business, associated with the organization❌Incorrect.Only the assets relevant to FCI/CUI or security protection should be assessed. Unrelated business divisions (like a non-federal commercial division) areout-of-scope.
Why the Other Answers Are Incorrect
CMMC 2.0 Scoping Guide – Level 1 & Level 2
CMMC Assessment Process (CAP) Document
CMMC Official ReferencesThus,option D (All assets processing, storing, or transmitting FCI/CUI and security protection assets) is the correct answeras per official CMMC assessment scoping requirements.
An assessor needs to get the most accurate answers from an OSC's team members. What is the BEST method to ensure that the OSC's team members are able to describe team member responsibilities?
Interview groups of people to get collective answers.
Understand that testing is more important that interviews.
Ensure confidentiality and non-attribution of team members.
Let team members know the questions prior to the assessment.
During aCMMC assessment, assessors rely on interviews to validate the implementation of cybersecurity practices within anOrganization Seeking Certification (OSC). Ensuringconfidentiality and non-attributionallows employees to speak freely without fear of retaliation or bias, leading to more accurate and candid responses.
CMMC Assessment Process and the Role of Interviews
TheCMMC Assessment Guide(Level 2) states thatinterviews are a key methodto verify compliance with security controls.
Employees may hesitate to provide truthful information if they fear negative consequences.
To obtain accurate information, assessors must create an environment where team members feel safe.
Ensuring Non-Attribution for Accurate Responses
DoD Assessment Methodologyhighlights thatinterviewees should remain anonymousin reports.
Non-attribution reduces the risk of OSC leadership influencing responses or retaliating against employees.
Employees are more likely to provideaccurateandhonestdescriptions of their responsibilities when confidentiality is guaranteed.
Why the Other Answer Choices Are Incorrect:
(A) Interview groups of people to get collective answers:
Group interviews may limit honest responses due topeer pressure or management presence.
Employees mayhesitate to contradictsupervisors or peers in a group setting.
(B) Understand that testing is more important than interviews:
While testing (e.g., reviewing logs, configurations, and security settings) is crucial, interviews providecontexton how security practices are implemented and followed.
Interviewscomplementtesting rather than being less important.
(D) Let team members know the questions prior to the assessment:
Advanced notice may allow employees toprepare rehearsed answers, which might not reflect actual practices.
This couldreduce the effectivenessof the interview process.
Step-by-Step Breakdown:Final Validation from CMMC Documentation:TheCMMC Assessment Process Guideand DoDAssessment Methodologyemphasize the importance of confidentiality in interviews to ensure accuracy.Non-attribution protects employees and ensures assessors get honest, unfiltered answers.
Thus, the correct answer is:
C. Ensure confidentiality and non-attribution of team members.
A CMMC Level 1 Self-Assessment identified an asset in the OSC's facility that does not process, store, or transmit FCI. Which type of asset is this considered?
FCI Assets
Specialized Assets
Out-of-Scope Assets
Government-Issued Assets
The Cybersecurity Maturity Model Certification (CMMC) 2.0 framework categorizes assets based on their interaction with Federal Contract Information (FCI) and Controlled Unclassified Information (CUI). In a CMMC Level 1 self-assessment, assets are classified based on whether they process, store, or transmit FCI.
FCI Assets– These assets process, store, or transmit FCI and must meet CMMC Level 1 security requirements (17 practices from FAR 52.204-21).
CUI Assets– These assets handle Controlled Unclassified Information (CUI) and are subject to CMMC Level 2 requirements, aligned with NIST SP 800-171.
Specialized Assets– Includes IoT devices, Operational Technology (OT), Government-Furnished Equipment (GFE), and test equipment. These are often categorized separately due to their specific cybersecurity requirements.
Out-of-Scope Assets– Assets that do not process, store, or transmit FCI or CUI. These do not require compliance with CMMC practices.
Government-Issued Assets– These are assets provided by the government for contract-specific purposes, often requiring compliance based on government policies.
The question specifies that the identified assetdoes not process, store, or transmit FCI.
According to CMMC 2.0 guidelines,only assets that handle FCI or CUI are subject to security controls.
Assets that are physically located within an OSC’s facility but do not interact with FCI or CUI fall into the"Out-of-Scope Assets"category.
These assets do not require CMMC-specific cybersecurity controls, as they have no impact on the security of FCI or CUI.
CMMC Scoping Guide (Nov 2021)– Definesout-of-scope assetsas those that are within an OSC’s environment but have no interaction with FCI or CUI.
CMMC 2.0 Level 1 Guide– Only requires security controls on FCI assets, meaning assets that do not process, store, or transmit FCI are out of scope.
CMMC Assessment Process (CAP) Guide– Identifies the classification of assets in an OSC’s environment to determine compliance requirements.
Asset Categories as per CMMC 2.0:Why the Correct Answer is C. Out-of-Scope Assets?Relevant CMMC 2.0 References:Final Justification:Since the assetdoes not process, store, or transmit FCI, it does not fall under "FCI Assets" or "Specialized Assets." It is also not a government-issued asset. Therefore, the correct classification under CMMC 2.0 isOut-of-Scope Assets (C).
What service is the MOST comprehensive that the RPO provides?
Training services
Education services
Consulting services
Assessment services
Understanding the Role of a Registered Provider Organization (RPO)ARegistered Provider Organization (RPO)is an entity recognized by theCMMC Accreditation Body (CMMC-AB)to provideconsulting servicesto organizations seekingCMMC certification.
Key Functions of an RPO✅Consulting servicesto help companies prepare for CMMC assessments.
✅Guidance on security controlsrequired for compliance.
✅Assistance with documentation, policy development, and gap analysis.
✅Preparation for third-party CMMC assessmentsbutdoes not conduct official CMMC assessments(this is the role of a C3PAO).
Consulting servicesare thebroadest and most comprehensivefunction of an RPO.
RPOs do not conduct assessments(eliminating option D).
Training and educationmay be part of consulting but arenot the primary function(eliminating A and B).
Consulting includes training, guidance, documentation assistance, and security readiness, making it themost comprehensive service offered.
Why "Consulting Services" is the Correct Answer?Breakdown of Answer ChoicesOption
Description
Correct?
A. Training services
❌Incorrect–RPOs may provide training, but this isnot their primary function.
B. Education services
❌Incorrect–Similar to training, butnot the most comprehensive service.
C. Consulting services
✅Correct – The core function of an RPO is consulting, which includes various readiness services.
D. Assessment services
❌Incorrect–Only aC3PAO (Certified Third-Party Assessment Organization)can conductofficial CMMC assessments.
TheCMMC-AB RPO Programdefines an RPO as aconsulting organization that assists companies in preparing for CMMC certificationbutdoes not perform assessments.
Official References from CMMC 2.0 DocumentationFinal Verification and ConclusionThe correct answer isC. Consulting services, asRPOs primarily provide advisory and readiness supportto organizations preparing forCMMC compliance.
Which authority leads the CMMC direction, standards, best practices, and knowledge framework for how to map the controls and processes across different Levels that range from basic cyber hygiene to advanced cyber practices?
NIST
DoD CIO office
Federal CIO office
Defense Federal Acquisition Regulation Council
Understanding the Role of the DoD CIO Office in CMMCTheDepartment of Defense (DoD) Chief Information Officer (CIO) officeis theprimary authorityresponsible for leading the direction, standards, and best practices of theCybersecurity Maturity Model Certification (CMMC)framework.
The DoD CIO Oversees CMMC Policy and Implementation
TheDoD CIO Office is responsible for the governance and strategic direction of CMMC.
It ensures thatCMMC aligns with DoD cybersecurity policies, such asDoD Instruction 5200.48 (Controlled Unclassified Information)andNIST SP 800-171.
CMMC Development and Evolution
TheDoD CIO played a critical role in launching CMMCto improve cybersecurity across theDefense Industrial Base (DIB).
The CIO office leadspolicy development and updates to the CMMC framework, including the transition fromCMMC 1.0 to CMMC 2.0.
Alignment of CMMC with Federal Cybersecurity Strategy
The DoD CIO ensures that CMMCintegrates with federal cybersecurity policiesandNIST frameworks.
It provides oversight formapping CMMC Levels (1-2-3) to existing cybersecurity standards and controls.
A. NIST (Incorrect)
TheNational Institute of Standards and Technology (NIST)provides thetechnical framework (NIST SP 800-171, SP 800-172), butNIST does not lead the CMMC program.
C. Federal CIO Office (Incorrect)
TheFederal CIO focuses on broader government IT policiesandnot specifically on DoD cybersecurity requirementslike CMMC.
D. Defense Federal Acquisition Regulation Council (Incorrect)
TheDFARS Counciloverseescontracting regulationsrelated to CMMC (e.g.,DFARS 252.204-7012, 7019, 7020, 7021), but it doesnot lead CMMC standards and best practices.
The correct answer isB. DoD CIO Office, as it isthe lead authority guiding the CMMC framework, standards, and implementation across the Defense Industrial Base (DIB).
Prior to initiating an OSC's CMMC Assessment, the Lead Assessor briefed the team on the most important requirements of the assessment. The assessor also insisted that the same results of the findings summary, practice ratings, and Level recommendations must be submitted to the C3PAO for initial processes and review. After several weeks of assessment, the C3PAO completes the internal review, the recommended results are then submitted through the C3PAO for final quality review and rating approval. Which document stipulates these reporting requirements?
CMMC Assessment reporting requirements
DFARS 52.204-21 assessment reporting requirements
NISTSP 800-171 Revision 2 assessment reporting requirements
DFARS clause 252.204-7012 assessment reporting requirements
The correct answer isA. CMMC Assessment Reporting Requirementsbecause this document specifically outlines thestructured processthat Certified Third-Party Assessment Organizations (C3PAOs) must follow when conducting and reporting CMMC assessments.
Understanding the CMMC Assessment Process
TheLead Assessorbriefs the team on theassessment requirementsand theevaluation criteriabefore the assessment begins.
Throughout the assessment,findings summaries, practice ratings, and level recommendationsare documented and reported.
These findings are internally reviewed by theC3PAObefore they are formally submitted forquality review and final rating approval.
Key Document Stipulating Reporting Requirements: CMMC Assessment Reporting Requirements
This documentspecifically details how assessments must be reportedwithin theCMMC ecosystem.
It describes the structured process for assessment submission, internalC3PAO reviews, andquality checks by the CMMC-ABbefore an organization can receive a final certification decision.
It ensures thatresults are consistent, transparent, and aligned with DoD cybersecurity compliance expectations.
Why Other Options Are Incorrect:
B. DFARS 52.204-21 Assessment Reporting Requirements
This clause only specifiesbasic safeguardingof Federal Contract Information (FCI) but doesnotdictate the reporting process for CMMC assessments.
C. NIST SP 800-171 Revision 2 Assessment Reporting Requirements
WhileNIST SP 800-171 Rev. 2outlines security controls, it doesnotdefine how CMMC assessments must be conducted and reported.
D. DFARS Clause 252.204-7012 Assessment Reporting Requirements
This DFARS clause focuses onincident reportingandcyber incident response requirementsbut does not detail theCMMC assessment reporting process.
CMMC Assessment Reporting Requirements, issued byThe Cyber ABandDoD, governs how C3PAOs must report assessment results.
CMMC Assessment Process (CAP)also outlines reporting workflows for certification.
Step-by-Step Breakdown:Official Reference:Thus, theCMMC Assessment Reporting Requirementsdocument is the authoritative source that dictates the reporting procedures for CMMC assessments.
Which code or clause requires that a contractor is meeting the basic safeguarding requirements for FCI during a Level 1 Self-Assessment?
FAR 52.204-21
22CFR 120-130
DFARS 252.204-7011
DFARS 252.204-7021
1. Understanding Basic Safeguarding Requirements for FCI in CMMC Level 1
Federal Contract Information (FCI) is defined as information provided by or generated for the government under a contract that isnot intended for public release.
CMMCLevel 1is designed to ensurebasic safeguardingof FCI, aligning with15 security requirementsfound inFAR 52.204-21 (Basic Safeguarding of Covered Contractor Information Systems).
Contractors handlingonly FCImust meetCMMC Level 1, which alignsdirectlywith the safeguarding requirements set inFAR 52.204-21.
2. FAR 52.204-21 and Its Role in CMMC Level 1 Compliance
FAR 52.204-21establishes the baseline cybersecurity controls that contractors must implement to protectFCI.
The15 basic safeguarding requirementsinclude:
Limiting information accessto authorized users.
Identifying and authenticating usersbefore allowing system access.
Protecting transmitted FCIfrom unauthorized disclosure.
Monitoring and controlling connectionsto external systems.
Applying boundary protectionand cybersecurity measures.
Sanitizing mediabefore disposal.
Updating security configurationsto reduce vulnerabilities.
Providing physical securityprotections.
Controlling physical accessto systems that process FCI.
Enforcing multi-factor authentication (MFA) where applicable.
Patching vulnerabilitiesin software and hardware.
Limiting the use of removable media.
Creating and retaining system audit logs.
Performing risk-based security assessments.
Developing an incident response plan.
These 15 practices form thefoundationof CMMCLevel 1 Self-Assessment, ensuring contractorsmeet minimum cybersecurity expectationsfor handling FCI.
3. Why the Other Options Are Incorrect
B. 22 CFR 120-130:
This refers toInternational Traffic in Arms Regulations (ITAR), which controls the export of defense-related articles and services,notFCI safeguarding requirements.
C. DFARS 252.204-7011:
This clause refers toalternative line item structuresand does not pertain to cybersecurity or safeguarding FCI.
D. DFARS 252.204-7021:
This clause enforcesCMMC requirementsbut doesnot definebasic safeguarding controls. It requires compliance with CMMC but does not specify the foundational requirements (which come fromFAR 52.204-21for Level 1).
4. Official CMMC 2.0 Reference & Study Guide Alignment
TheCMMC 2.0 model documentationconfirms that Level 1 is focused on the15 practices from FAR 52.204-21.
TheDoD’s official CMMC Assessment Guidefor Level 1 explicitly states that meeting FAR 52.204-21 is therequirement for passing a Level 1 Self-Assessment.
TheCMMC 2.0 Scoping Guideclarifies that contractors handling onlyFCIand seekingLevel 1 certificationmust implementonly FAR 52.204-21security controls.
Final Confirmation:The correct answer isA. FAR 52.204-21, as it directly governs the basic safeguarding ofFCIand is the foundational requirement for aLevel 1 Self-Assessmentin CMMC 2.0.
When are data and documents with legacy markings from or for the DoD required to be re-marked or redacted?
When under the control of the DoD
When the document is considered secret
When a document is being shared outside of the organization
When a derivative document's original information is not CUI
Background on Legacy Markings and CUI
Legacy markings refer to classification labels used before the implementation of theControlled Unclassified Information (CUI) ProgramunderDoD Instruction 5200.48.
Documents with legacy markings (such as “For Official Use Only” (FOUO) or “Sensitive But Unclassified” (SBU)) must be reviewed for re-marking or redaction to align withCUI requirements.
When Must Legacy Markings Be Updated?
If the document is retained internally (Answer A - Incorrect): Documents under DoD control do not require immediate re-marking unless they are being shared externally.
If the document is classified as Secret (Answer B - Incorrect): This question is aboutCUI, not classified information. Secret-level documents follow different marking rules underDoD Manual 5200.01.
If a document is being shared externally (Answer C - Correct):
According toDoD Instruction 5200.48, Section 3.6(a), organizations mustreview legacy markings before sharing documents outside the organization.
The document must bere-markedin compliance with the CUI Program before dissemination.
If the original document does not contain CUI (Answer D - Incorrect): The original source document's status does not affect the requirement to re-mark a derivative document if it contains CUI.
Conclusion
The correct answer isC: Documents with legacy markings must bere-marked or redacted when being shared outside the organizationto comply with DoD CUI guidelines.
A C3PAO is conducting High Level Scoping for an OSC that requested an assessment Which term describes the people, processes, and technology that will be applied to the contract who are requesting a CMMC Level assessment?
Host Unit
Branch Office
Coordinating Unit
Supporting Organization/Units
Understanding High-Level Scoping in a CMMC AssessmentDuringHigh-Level Scoping, aCertified Third-Party Assessment Organization (C3PAO)determines thepeople, processes, and technologythat are within scope for theCMMC Level 1 or Level 2 assessment.
Supporting Organization/Unitsrefer to thespecific groups, departments, or teamsthat handleControlled Unclassified Information (CUI)orFederal Contract Information (FCI)and are responsible for applyingCMMC security practices.
These units aredirectly involved in the contract's executionand are included in the CMMC assessment scope.
Key Term: Supporting Organization/Units
A. Host Unit → Incorrect
This term is not used inCMMC assessment scoping.
B. Branch Office → Incorrect
Abranch officemay or may not be in scope; scoping is based onwhether the unit handles CUI or FCI, not its physical location.
C. Coordinating Unit → Incorrect
No official CMMC term refers to a "Coordinating Unit."
D. Supporting Organization/Units → Correct
This termcorrectly describes the entities that apply security controls for the contract and are within the CMMC assessment scope.
Why is the Correct Answer "D. Supporting Organization/Units"?
CMMC Scoping Guidance for Level 1 & Level 2 Assessments
DefinesSupporting Organization/Unitsasin-scope entities responsible for implementing cybersecurity controls.
CMMC Assessment Process (CAP) Document
Specifies that theC3PAO must identify and document the units responsible for security compliance.
DoD CMMC 2.0 Guidance on Scoping
Requires theassessment team to define the people, processes, and technology that fall within the scopeof the assessment.
CMMC 2.0 References Supporting This Answer:
What is DFARS clause 252.204-7012 required for?
All DoD solicitations and contracts
Solicitations and contracts that use FAR part 12 procedures
Procurements solely for the acquisition of commercial off-the-shelf
Commercial off-the-shelf sold in the marketplace without modifications
How are the Final Recommended Assessment Findings BEST presented?
Using the CMMC Findings Brief template
Using a C3PAO-provided template that is preferred by the OSC
Using a C3PAO-branded version of the CMMC Findings Brief template
Using the proprietary template created by the Lead Assessor after approval from the C3PAO
In the Cybersecurity Maturity Model Certification (CMMC) assessment process, the presentation of the Final Recommended Assessment Findings is a critical step. According to the CMMC Assessment Process guidelines, the Lead Assessor is responsible for compiling and presenting these findings. The prescribed method for this presentation is the utilization of the standardized CMMC Findings Brief template.
Step-by-Step Explanation:
Responsibility of the Lead Assessor:
The Lead Assessor oversees the assessment process and is tasked with compiling the Final Recommended Assessment Findings.
Utilization of the CMMC Findings Brief Template:
To ensure consistency and adherence to CMMC standards, the Lead Assessor must use the official CMMC Findings Brief template when presenting the assessment findings.
Presentation of Findings:
The findings, documented in the CMMC Findings Brief template, are then presented to the Organization Seeking Certification (OSC). This presentation ensures that the OSC receives a clear and standardized report of the assessment outcomes.
A C3PAO is near completion of a Level 2 Assessment for an OSC. The CMMC Findings Brief and CMMC Assessment Results documents have been developed. The Final Recommended Assessment Results are being generated. When generating these results, what MUST be included?
An updated Assessment Plan
Recorded and final updated Daily Checkpoint
Fully executed CMMC Assessment contract between the C3PAO and the OSC
Review documentation for the CMMC Quality Assurance Professional (CQAP)
AC3PAO (Certified Third-Party Assessment Organization)is responsible for conductingCMMC Level 2 assessments.
After completing theassessment, theC3PAO generates the Final Recommended Assessment Results, which include key documentation reviewed by theCMMC Quality Assurance Professional (CQAP)for quality control.
What is the primary intent of the verify evidence and record gaps activity?
Map test and demonstration responses to CMMC practices.
Conduct interviews to test process implementation knowledge.
Determine the one-to-one relationship between a practice and an assessment object.
Identify and describe differences between what the Assessment Team required and the evidence collected.
Understanding the “Verify Evidence and Record Gaps” Activity in a CMMC AssessmentDuring aCMMC Level 2 Assessment, theAssessment Teamfollows a structured methodology toverify evidenceand determine whether theOrganization Seeking Certification (OSC)has met all required practices. One of the key activities in this process is"Verify Evidence and Record Gaps", which ensures that the assessment findings accurately reflect any missing or inadequate compliance evidence.
Step-by-Step Breakdown:✅1. Primary Intent: Identifying Gaps Between Required and Collected Evidence
TheAssessment Teamcompares the evidence provided by the OSC against theCMMC practice requirements.
If evidence ismissing, insufficient, or inconsistent, assessors mustdocument the gapand describe what is lacking.
This ensures that compliance deficiencies are clearly identified, allowing the OSC to understand what must be corrected.
✅2. How This Process Works in a CMMC Assessment
Assessorsreview collected documentation, system configurations, policies, and interview responses.
They verify that the evidencematches the expected implementationof a practice.
If gaps exist, they arerecordedfor discussion and potential remediation before assessment completion.
✅3. Why the Other Answer Choices Are Incorrect:
(A) Map test and demonstration responses to CMMC practices.❌
Incorrect:While mapping evidence to CMMC practices is part of the assessment, theprimary intentof the "Verify Evidence and Record Gaps" step is toidentify deficiencies, not just mapping responses.
(B) Conduct interviews to test process implementation knowledge.❌
Incorrect:Interviews are a method used during evidence collection, but they arenot the primary focusof the verification and gap analysis step.
(C) Determine the one-to-one relationship between a practice and an assessment object.❌
Incorrect:The assessment teamreviews multiple sources of evidencefor each practice, and some practices require multiple assessment objects. The goal isnot a strict one-to-one mappingbut rathera holistic validation of compliance.
Final Validation from CMMC Documentation:TheCMMC Assessment Process Guidestates that"Verify Evidence and Record Gaps"is the step where assessorscompare expected evidence against what has been provided and document discrepancies. This ensurestransparent assessment findings and remediation planning.
Thus, the correct answer is:
D. Identify and describe differences between what the Assessment Team required and the evidence collected.
An assessment procedure consists of an assessment objective, potential assessment methods, and assessment objects. Which statement is part of an assessment objective?
Specifications and mechanisms
Examination, interviews, and testing
Determination statement related to the practice
Exercising assessment objects under specified conditions
Understanding CMMC Assessment ProceduresACMMC assessment procedureconsists of:
Assessment Objective– Defines what is being evaluated and the expected outcome.
Assessment Methods– Specifies how the evaluation is conducted (e.g.,examination, interviews, testing).
Assessment Objects– Identifies what is being evaluated, such as policies, systems, or people.
Assessment Objectivesincludedetermination statementsthat describe the expected outcome for each CMMC security practice.
These statements define whether a practice has beenadequately implementedbased ondocumented evidence and assessment findings.
TheCMMC Assessment Process (CAP) GuideandNIST SP 800-171Aspecify that each practice has a determination statement guiding assessment decisions.
A. Specifications and mechanisms→Incorrect
These belong toassessment objects, which refer to the systems, policies, and mechanisms being evaluated.
B. Examination, interviews, and testing→Incorrect
These areassessment methods, which describe how assessorsverifycompliance (e.g., through interviews or testing).
D. Exercising assessment objects under specified conditions→Incorrect
This refers toassessment testing, which is a method, not an assessment objective.
CMMC Assessment Process (CAP) Guide– Describes determination statements as the core of assessment objectives.
NIST SP 800-171A– Defines determination statements as a key element of evaluating security controls.
Why the Correct Answer is "C"?Why Not the Other Options?Relevant CMMC 2.0 References:Final Justification:Since anassessment objectiveincludes adetermination statementthat describes whether a practice is implemented properly, the correct answer isC.
During a CMMC readiness review, the OSC proposes that an associated enclave should not be applicable in the scope. Who is responsible for verifying this request?
CCP
C3PAO
Lead Assessor
Advisory Board
During aCMMC readiness review, anOrganization Seeking Certification (OSC)may argue that a specificenclave (network segment or system) is out of scopefor assessment. TheLead Assessor is responsible for verifying and approving this request.
Certified CMMC Professional (CCP)
A CCP supports OSCs inpreparing for assessmentsbutdoes not make final scope determinations.
Certified Third-Party Assessment Organization (C3PAO)
The C3PAOoversees the assessmentbut doesnot personally verify scope exclusions—that falls under theLead Assessor’s role.
Lead Assessor (Correct Answer)
TheLead Assessor has the authorityto determine if anenclave is out of scopebased on OSC-provided evidence.
The Lead Assessor followsCMMC Assessment Process (CAP) guidelinesto ensure proper scoping.
Advisory Board
TheCMMC-AB (Advisory Board) does not make scope determinations. It focuses onprogram oversightandcertification processes.
CMMC Assessment Process (CAP) v1.0
TheLead Assessor is responsible for confirming the assessment scopeand determining enclave applicability.
CMMC Scoping Guidance for Level 2 Assessments
Requires theLead Assessor to review and approve any enclave exclusionsbefore finalizing the assessment scope.
Roles and Responsibilities in CMMC Assessments:Official References Supporting the Correct Answer:Conclusion:TheLead Assessoris the correct answer because they have the authority to verify scope determinations during the assessment.
✅Correct Answer: C. Lead Assessor
What is the MOST common purpose of assessment procedures?
Obtain evidence.
Define level of effort.
Determine information flow.
Determine value of hardware and software.
Theprimary goal of CMMC assessment proceduresis to determine whether anOrganization Seeking Certification (OSC)complies with the cybersecurity controls required for its certification level. Themost common purpose of assessment procedures is to obtain evidencethat verifies an organization has properly implemented security practices.
CMMC Assessments Require Evidence Collection
TheCMMC Assessment Process (CAP) Guideoutlines that assessors must use three methods to verify compliance:
Examine– Reviewing documentation, policies, and system configurations.
Interview– Speaking with personnel to confirm understanding and execution.
Test– Validating controls through operational or technical tests.
All these methods involve obtaining evidenceto support whether a security requirement has been met.
Alignment with NIST SP 800-171A
CMMC Level 2 assessments follow NIST SP 800-171A, which is designed for evidence-based verification.
Assessors rely on documented artifacts, system logs, configurations, and personnel testimony as evidence of compliance.
B. Define level of effort (Incorrect)
Thelevel of effortrefers to the time and resources needed for an assessment, but this is aplanningactivity, not the primary goal of an assessment.
C. Determine information flow (Incorrect)
While understandinginformation flowis important for security controls likedata protection and access control, themain purpose of an assessment is to gather evidence—not to determine information flow itself.
D. Determine value of hardware and software (Incorrect)
Asset valuation may be part of an organization’s risk management process, but CMMC assessmentsdo not focus on determining hardware or software value.
The correct answer isA. Obtain evidence, as theCMMC assessment process is evidence-drivento verify compliance with security controls.
Recording evidence as adequate is defined as the criteria needed to:
verify, based on an assessment and organizational scope.
verify, based on an assessment and organizational practice.
determine if a given artifact, interview response, demonstration, or test meets the CMMC scope.
determine if a given artifact, interview response, demonstration, or test meets the CMMC practice.
Understanding "Adequate Evidence" in the CMMC Assessment ProcessIn aCMMC assessment,adequate evidencerefers to the proof required to demonstrate that a specific cybersecurity practice has been implemented correctly. Evidence can come from:
Artifacts(e.g., security policies, system configurations, logs).
Interview responses(e.g., verbal confirmation from personnel about their responsibilities).
Demonstrations(e.g., showing how a security control is implemented in real time).
Testing(e.g., verifying technical security mechanisms such as multi-factor authentication).
Thegoalof evidence collection is to determinewhether a CMMC practice is met—not just whether the organization operates within the assessment scope.
A. Verify, based on an assessment and organizational scope → Incorrect
Theassessment scopedefineswhat is evaluated, but adequacy of evidence is based oncompliance with specific CMMC practices.
B. Verify, based on an assessment and organizational practice → Incorrect
CMMC assessments focus on cybersecurity practices defined in the CMMC framework, not just general organizational practices.
C. Determine if a given artifact, interview response, demonstration, or test meets the CMMC scope → Incorrect
Thescopedefines the assessment boundaries, but theassessment team's job is to confirm whether CMMC practices are satisfied.
D. Determine if a given artifact, interview response, demonstration, or test meets the CMMC practice → Correct
TheCMMC assessment process focuses on ensuring that required practices are implemented, making this the correct answer.
Why is the Correct Answer "Determine if a given artifact, interview response, demonstration, or test meets the CMMC practice" (D)?
CMMC Assessment Process (CAP) Document
Defines "adequate evidence" asproof that a CMMC practice has been correctly implemented.
CMMC 2.0 Assessment Criteria
Specifies that evidence must beevaluated against specific cybersecurity practices.
NIST SP 800-171A (Assessment Procedures for NIST SP 800-171)
Provides guidance on evaluating artifacts, interviews, demonstrations, and testing to confirm compliance with required practices.
CMMC 2.0 References Supporting this Answer:
Final Answer:✔D. Determine if a given artifact, interview response, demonstration, or test meets the CMMC practice.
After completing a Level 2 Assessment, a C3PAO is preparing to upload the Assessment Results Package to Enterprise Mission Assurance Support Service. Which document MUST be included as part of the final assessment results package?
Final Report
Certification rating
Summary-level findings
All Daily Checkpoint logs
Understanding the Assessment Results Package SubmissionAfter completing aCMMC Level 2 Assessment, theCertified Third-Party Assessment Organization (C3PAO)mustsubmit the final assessment results packageto theEnterprise Mission Assurance Support Service (eMASS)system.
TheFinal Reportis themandatory documentthatcontains all assessment details, findings, and scoring.
It serves as theofficial record of the assessmentanddetermines certification eligibility.
Key Required Document: Final Report
A. Final Report → Correct
TheFinal Report is requiredin the submission package todocument assessment results officially.
It includes asummary of findings, scoring, and recommendations.
B. Certification rating → Incorrect
The C3PAO does not issue certification ratings—theDoDandCMMC-ABdetermine certification status after reviewing the Final Report.
C. Summary-level findings → Incorrect
While the Final Reportincludessummary findings, astandalone summary-level findings document is not a required upload.
D. All Daily Checkpoint logs → Incorrect
Checkpoint logsare part of the internal assessment process butare not required in the final eMASS submission.
Why is the Correct Answer "Final Report" (A)?
CMMC Assessment Process (CAP) Document
Specifies that theFinal Report must be submitted to eMASSafter a Level 2 assessment.
CMMC-AB Guidelines for C3PAOs
States that theFinal Report is the key document used to determine certification status.
DFARS 252.204-7021 (CMMC Requirements Clause)
Requires the assessment results to be documented in an official report and submitted via eMASS.
CMMC 2.0 References Supporting This Answer:
Final Answer:✔A. Final Report
The evidence needed for each practice and/or process is weight for:
adequacy and sufficiency.
adequacy and thoroughness.
sufficiency and thoroughness.
sufficiency and appropriateness.
During aCMMC assessment, organizations must provide evidence to demonstrate compliance with requiredpractices and processes. Assessors evaluate this evidence based on two key criteria:
Adequacy– Does the evidence meet the intent of the security requirement?
Sufficiency– Is there enough evidence to reasonably conclude that the practice/process is effectively implemented?
These principles are outlined in theCMMC Assessment Process Guide, which provides a structured approach for evaluating compliance.
Step-by-Step Breakdown:✅1. Adequacy – Does the evidence fully meet the requirement?
Adequacyrefers to whether the evidence properly demonstrates that the security practice has been implemented as required.
Example: If an organization claims to enforceMulti-Factor Authentication (MFA), an assessor would checksystem configurations, login policies, and user authentication logsto confirm that MFA is actually in use.
✅2. Sufficiency – Is there enough evidence to support the claim?
Sufficiencymeans that there isenough supporting evidenceto prove compliance.
Example: If an organization providesonly one screenshot of an MFA login screen, that alone may not besufficient—additional logs, policies, and user records would help strengthen the case.
(B) Adequacy and Thoroughness❌
Thoroughnessis not a defined metric in CMMC evidence evaluation.
The focus is onwhether the evidence meets the requirement (adequacy)and if there isenough of it (sufficiency).
(C) Sufficiency and Thoroughness❌
Thoroughnessis not a recognized term in CMMC compliance validation.
Evidence must beadequate and sufficient, not just thorough.
(D) Sufficiency and Appropriateness❌
Appropriatenessis not a CMMC-defined criterion.
Thecorrect terms used in CMMC assessmentsareAdequacy(Does it meet the requirement?) andSufficiency(Is there enough proof?).
Why the Other Answer Choices Are Incorrect:
CMMC Assessment Process Guideexplicitly states that evidence must be evaluated based onadequacyandsufficiencyto confirm compliance with security practices.
Final Validation from CMMC Documentation:
A Lead Assessor is performing a CMMC readiness review. The Lead Assessor has already recorded the assessment risk status and the overall assessment feasibility. At MINIMUM, what remaining readiness review criteria should be verified?
Determine the practice pass/fail results.
Determine the preliminary recommended findings.
Determine the initial model practice ratings and record them.
Determine the logistics. Assessment Team, and the evidence readiness.
Understanding the CMMC Readiness Review ProcessALead Assessorconducting aCMMC Readiness Reviewevaluates whether anOrganization Seeking Certification (OSC)is prepared for a formal assessment.
After recording theassessment risk statusandoverall assessment feasibility, theminimum remaining criteriato be verified include:
Logistics Planning– Ensuring that the assessment timeline, locations, and necessary resources are in place.
Assessment Team Preparation– Confirming that assessors and required personnel are available and briefed.
Evidence Readiness– Ensuring the OSC has gathered all required artifacts and documentation for review.
Breakdown of Answer ChoicesOption
Description
Correct?
A. Determine the practice pass/fail results.
Happensduringthe formal assessment, not the readiness review.
❌Incorrect
B. Determine the preliminary recommended findings.
Findings are only madeafterthe full assessment.
❌Incorrect
C. Determine the initial model practice ratings and record them.
Ratings are assigned during theassessment, not readiness review.
❌Incorrect
D. Determine the logistics, Assessment Team, and the evidence readiness.
✅Essential readiness criteria that must be confirmedbeforeassessment starts.
✅Correct
TheCMMC Assessment Process Guide (CAP)states that readiness review ensureslogistics, assessment team availability, and evidence readinessare verified.
Official Reference from CMMC 2.0 DocumentationFinal Verification and ConclusionThe correct answer isD. Determine the logistics, Assessment Team, and the evidence readiness.This aligns withCMMC readiness review requirements.
Which phase of the CMMC Assessment Process includes the task to identify, obtain inventory, and verify evidence?
Phase 1: Plan and Prepare Assessment
Phase 2: Conduct Assessment
Phase 3: Report Recommended Assessment Results
Phase 4: Remediation of Outstanding Assessment Issues
Understanding the CMMC Assessment ProcessTheCMMC Assessment Process (CAP)consists offour phases, each with specific tasks and objectives.
Phase 1: Plan and Prepare Assessment– Planning, scheduling, and preparing for the assessment.
Phase 2: Conduct Assessment–Gathering and verifying evidence, conducting interviews, and evaluating compliance.
Phase 3: Report Recommended Assessment Results– Documenting findings and reporting results.
Phase 4: Remediation of Outstanding Assessment Issues– Allowing the organization to address any deficiencies.
Why "Phase 2: Conduct Assessment" is Correct?DuringPhase 2: Conduct Assessment, theAssessment Teamperforms key activities, including:
✅Identifying required evidencefor compliance verification.
✅Obtaining and reviewing artifacts(e.g., security policies, configurations, logs).
✅Verifying the sufficiency of evidenceagainst CMMC practice requirements.
✅Interviewing key personneland observing cybersecurity implementations.
Since the question specifically mentions"identify, obtain inventory, and verify evidence,"this task directly falls underPhase 2: Conduct Assessment.
Breakdown of Answer ChoicesOption
Description
Correct?
A. Phase 1: Plan and Prepare Assessment
❌Incorrect–This phase focuses onscheduling, logistics, and planning, not evidence collection.
B. Phase 2: Conduct Assessment
✅Correct – This phase involves gathering, verifying, and reviewing evidence.
C. Phase 3: Report Recommended Assessment Results
❌Incorrect–This phasedocumentsresults but doesnotcollect evidence.
D. Phase 4: Remediation of Outstanding Assessment Issues
❌Incorrect–This phase focuses oncorrective actions, not evidence collection.
CMMC Assessment Process Guide (CAP)–Phase 2: Conduct Assessmentexplicitly includes tasks such asgathering and verifying evidence.
Official References from CMMC 2.0 DocumentationFinal Verification and ConclusionThe correct answer isB. Phase 2: Conduct Assessment, as this phase includesidentifying, obtaining, and verifying evidence, which is critical for determining CMMC compliance.
Who is responsible for ensuring that subcontractors have a valid CMMC Certification?
CMMC-AB
OUSDA&S
DoD agency or client
Contractor organization
The prime contractor (contractor organization)is responsible for ensuring thatits subcontractorshave the requiredCMMC certification levelbefore engaging them inDoD contracts that involve FCI or CUI.
This requirement is enforced throughflow-down clausesinDFARS 252.204-7021, which mandates that subcontractors handlingCUImeet the necessaryCMMC Level 2 or Level 3 requirements.
What is objectivity as it applies to activities with the CMMC-AB?
Ensuring full disclosure
Reporting results of CMMC services completely
Avoiding the appearance of or actual, conflicts of interest
Demonstrating integrity in the use of materials as described in policy
nderstanding Objectivity in CMMC-AB ActivitiesObjectivityin CMMC-AB activities refers to therequirement that assessors and C3PAOs remain impartial, unbiased, and free from conflicts of interestwhile conducting assessments and providing CMMC-related services.
Key Aspects of Objectivity in CMMC Assessments:✔No conflicts of interest—Assessors must not assess organizations they havefinancial, professional, or personal ties to.
✔Unbiased reporting—Findings must bebased solely on evidence, with no external influence.
✔Avoiding even the appearance of a conflict—If there isany perception of bias, it must be addressed.
A. Ensuring full disclosure → Incorrect
Full disclosure is importantbut doesnot define objectivity. Objectivity meansremaining neutral and free from conflicts.
B. Reporting results of CMMC services completely → Incorrect
Whileaccurate reporting is required,objectivity focuses on impartiality, not just completeness.
C. Avoiding the appearance of or actual, conflicts of interest → Correct
Objectivity in CMMC-AB activities is primarily about preventing bias and ensuring fair assessments.
Avoiding conflicts of interest ensures thatassessments are credible and trustworthy.
D. Demonstrating integrity in the use of materials as described in policy → Incorrect
Integrity is important, butobjectivity is specifically about avoiding bias and conflicts of interest.
Why is the Correct Answer "C. Avoiding the appearance of or actual, conflicts of interest"?
CMMC-AB Code of Professional Conduct
Requiresassessors and C3PAOs to avoid conflicts of interestand maintainimpartiality.
CMMC Assessment Process (CAP) Document
Emphasizes that assessments must befree from external influence and conflicts of interest.
ISO/IEC 17020 Requirements for Inspection Bodies
Definesobjectivity as avoiding conflicts of interest in the assessment process.
CMMC 2.0 References Supporting This Answer:
Which NIST SP defines the Assessment Procedure leveraged by the CMMC?
NIST SP 800-53
NISTSP800-53a
NIST SP 800-171
NISTSP800-171a
Which NIST SP Defines the Assessment Procedures for CMMC?CMMC Level 2 isdirectly based on NIST SP 800-171, and the assessment procedures used in CMMC assessments are derived fromNIST SP 800-171A.
Step-by-Step Breakdown:✅1. NIST SP 800-171A Defines Assessment Procedures
NIST SP 800-171Ais titled"Assessing Security Requirements for Controlled Unclassified Information (CUI)".
It providesdetailed assessment objectives and test proceduresfor evaluating compliance withNIST SP 800-171 security requirements, whichCMMC Level 2 is fully aligned with.
CMMC Assessors use 800-171Aas abaseline for assessing the effectiveness of security controls.
✅2. Why the Other Answer Choices Are Incorrect:
(A) NIST SP 800-53❌
800-53 defines security controlsfor federal information systems, but it doesnot provide assessment procedures specific to CMMC.
(B) NIST SP 800-53A❌
800-53A provides assessment procedures for 800-53 controls, butCMMC is based on NIST SP 800-171, not 800-53.
(C) NIST SP 800-171❌
800-171 defines security requirements, butit does not provide assessment procedures. Theassessment proceduresare in800-171A.
TheCMMC Assessment Guide (Level 2)explicitly states that assessment procedures are derived fromNIST SP 800-171A.
Final Validation from CMMC Documentation:Thus, the correct answer is:
The Audit and Accountability (AU) domain has practices in:
Level 1.
Level 2.
Levels 1 and 2.
Levels 1 and 3.
TheAudit and Accountability (AU) domainis one of the14 familiesof security requirements inNIST SP 800-171 Rev. 2, which is fully adopted byCMMC 2.0 Level 2.
A. Level 1→Incorrect
CMMCLevel 1only includes17 basic FAR 52.204-21 safeguarding requirementsand does not coverAudit and Accountability (AU)practices.
B. Level 2→Correct
TheAU domain is required at Level 2, which aligns withNIST SP 800-171.
CMMC 2.0 Level 2includes110 security controls, among whichAU-related controlsfocus on logging, monitoring, and accountability.
C. Levels 1 and 2→Incorrect
Level 1 does not requireaudit and accountability practices.
D. Levels 1 and 3→Incorrect
CMMC 2.0 only has Levels 1, 2, and 3, andAU is present in Level 2, making Level 3 irrelevant for this answer.
NIST SP 800-171 Rev. 2 (Audit and Accountability - Family 3.3)
TheAU domainconsists of security controls3.3.1 – 3.3.8, focusing on audit log generation, retention, and accountability.
CMMC 2.0 Level 2 Practices (Aligned with NIST SP 800-171)
AU practices (Audit and Accountability) are only required at Level 2.
Analysis of the Given Options:Official References Supporting the Correct Answer:Conclusion:TheAU domain applies only to CMMC 2.0 Level 2, making the correct answer:
✅B. Level 2.
The practices in CMMC Level 2 consists of the security requirements specified in:
NISTSP 800-53.
NISTSP 800-171.
48 CFR 52.204-21.
DFARS 252.204-7012.
The Cybersecurity Maturity Model Certification (CMMC) Level 2 is designed to ensure that organizations can adequately protect Controlled Unclassified Information (CUI). To achieve this, CMMC Level 2 incorporates specific security requirements.
Step-by-Step Explanation:
Alignment with NIST SP 800-171:
CMMC Level 2 aligns directly with the security requirements outlined in the National Institute of Standards and Technology Special Publication 800-171 (NIST SP 800-171). This publication, titled "Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations," provides a comprehensive framework for safeguarding CUI.
Incorporation of Security Requirements:
The practices required for CMMC Level 2 certification encompass all 110 security requirements specified in NIST SP 800-171. These requirements are organized into 14 families, each addressing different aspects of cybersecurity, such as access control, incident response, and risk assessment.
Purpose of Alignment:
By integrating the NIST SP 800-171 requirements, CMMC Level 2 aims to standardize the implementation of cybersecurity practices across organizations handling CUI, ensuring a consistent and robust approach to protecting sensitive information.
In scoping a CMMC Level 1 Self-Assessment, it is determined that an ESP employee has access to FCI. What is the ESP employee considered?
In scope
Out of scope
OSC point of contact
Assessment Team Member
Federal Contract Information (FCI)is any informationnot intended for public releasethat is provided or generated under aU.S. Government contracttodevelop or deliver a product or service.
Enhanced Security Personnel (ESP)refers to employees, contractors, or third parties whohave access to FCIwithin anOrganization Seeking Certification (OSC).
UnderCMMC 2.0 Scoping Guidance, anypersonnel, system, or asset with access to FCI is considered in scopefor a CMMC Level 1 assessment.
Since theESP employee has access to FCI, theymustbe included in the assessment scope.
Option B (Out of scope)is incorrect because anyone with access to FCI is automatically considered part of theCMMC Level 1 boundary.
Option C (OSC point of contact)is incorrect because thepoint of contactis typically an administrative or compliance representative, not necessarily someone with FCI access.
Option D (Assessment Team Member)is incorrect because anESP employee is not part of the assessment team but rather a subject of the assessment.
CMMC Level 1 Scoping Guide, Section 2 – Defining Scope for FCI
CMMC Assessment Process (CAP) Guide – Roles and Responsibilities
Federal Acquisition Regulation (FAR) 52.204-21(Basic Safeguarding of FCI)
Understanding Scoping in CMMC Level 1 Self-AssessmentsWhy Option A (In scope) is CorrectOfficial CMMC Documentation ReferencesFinal VerificationSince theESP employee has access to FCI, they are consideredin scopefor the CMMC Level 1 self-assessment, makingOption A the correct answer.
During Phase 4 of the Assessment process, what MUST the Lead Assessor determine and recommend to the C3PAO concerning the OSC?
Ability
Eligibility
Capability
Suitability
What Happens in Phase 4 of the CMMC Assessment Process?Phase 4 of theCMMC Assessment Process (CAP)is theFinal Reporting and Decision Phase. During this phase, theLead Assessormust:
Review all assessment findings
Determine the Organization Seeking Certification’s (OSC) eligibility for certification
Make a recommendation to the C3PAO (Certified Third-Party Assessment Organization)
Ensure that the OSC hasmet the required practices and processes.
Confirm that anydeficiencieshave been corrected or appropriately documented.
Recommendwhether the OSC is eligible for certificationbased on assessment results.
Key Responsibilities of the Lead Assessor in Phase 4:Since theLead Assessor must determine and recommend the OSC’s eligibilityto the C3PAO, the correct answer isB. Eligibility.
A. Ability❌Incorrect. While assessing an OSC’s ability to meet CMMC requirements is part of the process, the final determination in Phase 4 is abouteligibilityfor certification.
C. Capability❌Incorrect. Capability refers to an organization'stechnical and operational readiness. The Lead Assessor is making a recommendation oneligibility, not just capability.
D. Suitability❌Incorrect. Suitability is not a defined term in theCMMC CAP processfor final assessment recommendations. The correct term iseligibility.
Why the Other Answers Are Incorrect
CMMC Assessment Process (CAP) Document– Specifies that the Lead Assessor must determine and recommend theeligibilityof the OSC in Phase 4.
CMMC 2.0 Model– Defines the assessment process, including certification decision-making.
CMMC Official ReferencesThus,option B (Eligibility) is the correct answer, as per official CMMC guidance.
The results package for a Level 2 Assessment is being submitted. What MUST a Final Report. CMMC Assessment Results include?
Affirmation for each practice or control
Documented rationale for each failed practice
Suggested improvements for each failed practice
Gaps or deltas due to any reciprocity model are recorded as met
Understanding the CMMC Level 2 Final Report RequirementsFor aCMMC Level 2 Assessment, theFinal CMMC Assessment Results Reportmust include:
Assessment findings for each practice
Final ratings (MET or NOT MET) for each practice
A detailed rationale for each practice rated as NOT MET
The CMMC Assessment Process (CAP) Guidestates that if a practice is markedNOT MET, theassessors must provide a rationale explaining why it failed.
This rationale helps theOSC understand what needs remediationand, if applicable, whether the deficiency can be addressed via aPlan of Action & Milestones (POA&M).
TheFinal Report serves as an official recordand must be submitted as part of theresults package.
A. Affirmation for each practice or control (Incorrect)
While the report includes aMET/NOT MET ratingfor each practice,affirmation is not a required component.
C. Suggested improvements for each failed practice (Incorrect)
Assessors do not provide recommendations for improvement—they only document findings and rationale.
Providing suggestions would create aconflict of interestperCMMC-AB Code of Professional Conduct.
D. Gaps or deltas due to any reciprocity model are recorded as met (Incorrect)
If an organization isleveraging reciprocity (e.g., FedRAMP, Joint Surveillance Voluntary Assessments), gapsmust still be documented—not automatically marked as "MET."
The correct answer isB. Documented rationale for each failed practice, as this is amandatory requirement in the Final CMMC Assessment Results Report.
Which statement BEST describes the requirements for a C3PA0?
An authorized C3PAO must meet some DoD and all ISO/IEC 17020 requirements.
An accredited C3PAO must meet all DoD and some ISO/IEC 17020 requirements.
AC3PAO must be accredited by DoD before being able to conduct assessments.
A C3PAO must be authorized by CMMC-AB before being able to conduct assessments.
Understanding C3PAO RequirementsACertified Third-Party Assessment Organization (C3PAO)is an entityauthorized by the CMMC Accreditation Body (CMMC-AB)to conductCMMC Level 2 Assessmentsfor organizations handlingControlled Unclassified Information (CUI).
Key Requirements for a C3PAO to Conduct Assessments:✔Must be authorized by CMMC-AB before conducting assessments.
✔Must meet CMMC-AB and DoD cybersecurity and process requirements.
✔Must comply with ISO/IEC 17020 standards for inspection bodies.
✔Must undergo a rigorous vetting process, including cybersecurity verification.
A. An authorized C3PAO must meet some DoD and all ISO/IEC 17020 requirements → Incorrect
C3PAOs must comply with CMMC-AB authorization requirementsbefore performing assessments.
While they must align withISO/IEC 17020, they donotnecessarily meet all requirements upfront.
B. An accredited C3PAO must meet all DoD and some ISO/IEC 17020 requirements → Incorrect
C3PAOs are not accredited by DoD; they areauthorized by CMMC-ABto perform assessments.
Accreditation follows full compliance with CMMC-AB and ISO/IEC 17020 requirements.
C. A C3PAO must be accredited by DoD before being able to conduct assessments → Incorrect
The DoD does not directly accredit C3PAOs—CMMC-AB is responsible forauthorization and oversight.
D. A C3PAO must be authorized by CMMC-AB before being able to conduct assessments → Correct
CMMC-AB grants authorization to C3PAOs, allowing them to perform assessmentsonly after meeting specific requirements.
Why is the Correct Answer "D" (A C3PAO must be authorized by CMMC-AB before being able to conduct assessments)?
CMMC-AB Certified Third-Party Assessment Organization (C3PAO) Guidelines
States thatC3PAOs must receive CMMC-AB authorization before conducting assessments.
CMMC 2.0 Assessment Process (CAP) Document
Specifies that onlyC3PAOs authorized by CMMC-AB can conduct official CMMC assessments.
ISO/IEC 17020 Compliance for C3PAOs
Defines theinspection body requirements for C3PAOs, which must be met for accreditation.
CMMC 2.0 References Supporting This Answer:
A company has a government services division and a commercial services division. The government services division interacts exclusively with federal clients and regularly receives FCI. The commercial services division interacts exclusively with non-federal clients and processes only publicly available information. For this company's CMMC Level 1 Self-Assessment, how should the assets supporting the commercial services division be categorized?
FCI Assets
Specialized Assets
Out-of-Scope Assets
Operational Technology Assets
Understanding CMMC Asset CategorizationTheCMMC 2.0 Scoping Guidedefines how assets are categorized based on their involvement withFederal Contract Information (FCI)andControlled Unclassified Information (CUI).
In this scenario:
Thegovernment services divisioninteracts withfederal clientsandreceives FCI, making its assetsin-scopefor CMMC Level 1.
Thecommercial services divisioninteractsonly with non-federal clientsanddoes not handle FCI—this means its assets arenot subject to CMMC Level 1 requirementsand should be classified asOut-of-Scope Assets.
CMMC 2.0 Definition of Out-of-Scope AssetsAs per theCMMC Scoping Guide, assets that:
✅Do not store, process, or transmit FCI/CUI
✅Do not directly impact the security of in-scope assets
✅Are completely segregated from the FCI/CUI environment
are classified asOut-of-Scope Assets.
Since thecommercial services divisiononly processespublicly available information and has no interaction with FCI, its assets areout-of-scopefor CMMC Level 1 assessment.
A. FCI Assets❌Incorrect. FCI assets areonly those that store, process, or transmit FCI. The commercial services division doesnothandle FCI, so its assets donotqualify.
B. Specialized Assets❌Incorrect. Specialized assets refer toInternet of Things (IoT), Operational Technology (OT), and test equipment. These donot applyto a general commercial services division.
D. Operational Technology Assets❌Incorrect.Operational Technology (OT) Assetsinvolveindustrial control systems, SCADA, and manufacturing equipment—which are not relevant to this scenario.
Why the Other Answers Are Incorrect
CMMC 2.0 Scoping Guide – Level 1 & Level 2
CMMC Assessment Process (CAP) Document
CMMC Official ReferencesThus,option C (Out-of-Scope Assets) is the correct answerbased on official CMMC scoping guidance.
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