What this requirement asks
Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software.
This is a CMMC Level 2 requirement in the Configuration Management family, drawn from NIST SP 800-171 Rev. 2. An assessor evaluates it objective by objective — every objective below must be supported by evidence, not just described in a policy.
Assessment objectives (3)
- 3.4.8[a] — a policy specifying whether whitelisting or blacklisting is to be implemented is specified
- 3.4.8[b] — the software allowed to execute under whitelisting or denied use under blacklisting is specified
- 3.4.8[c] — whitelisting to allow the execution of authorized software or blacklisting to prevent the use of unauthorized software is implemented as specified
What an assessor examines
Examine:
- Configuration management policy
- procedures addressing least functionality in the system
- system security plan
- configuration management plan
- system design documentation
- system configuration settings and associated documentation
- list of software programs not authorized to execute on the system
- list of software programs authorized to execute on the system
- security configuration checklists
- review and update records associated with list of authorized or unauthorized software programs
- change control records
- system audit logs and records
- other relevant documents or records
Interview:
- Personnel with responsibilities for identifying software authorized or not authorized to execute on the system
- personnel with information security responsibilities
- system or network administrators
Test:
- Organizational process for identifying, reviewing, and updating programs authorized or not authorized to execute on the system
- process for implementing blacklisting or whitelisting
- mechanisms supporting or implementing blacklisting or whitelisting
Evidence that defends it
Show update workflow and scan closure
Check your readiness
Score this requirement against your own environment with the Level 2 self-assessment checklist, or estimate your SPRS score with the free CMMC compliance tool. Self-reported answers are planning signals only — they do not establish a verified or assessor-accepted result.