Level 2 · Configuration Management
CM.L2-3.4.8
Application Execution Policy
Application execution control requires an explicit policy and evidence that execution follows it.
Official reference
The requirement
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.
DoD CMMC Assessment Guide, Level 2, version 2.13. CM.L2-3.4.8; requirement and objectives, printed page 108 ↗
Assessment objectives
What must be established
Determine if each applicable objective is satisfied. The labels below follow the cited DoD assessment guide.
- [a]
a policy specifying whether whitelisting or blacklisting is to be implemented is specified;
- [b]
the software allowed to execute under whitelisting or denied use under blacklisting is specified; and
- [c]
whitelisting to allow the execution of authorized software or blacklisting to prevent the use of unauthorized software is implemented as specified.
MET requires evidence that all applicable objectives are satisfied. Final, approved evidence is needed. A NOT APPLICABLE determination needs a scope-based basis and is equivalent to MET for scoring. Enduring exceptions and temporary deficiencies have specific conditions under 32 CFR 170.24; they are not a general permission to defer implementation.
GAVII Cybersecurity assessment approach
Connect the objective to the evidence
The requirement permits deny-by-exception or deny-all/permit-by-exception approaches. Assess the selected approach, its maintenance, and its enforcement rather than assuming a product name proves compliance.
Assessment focus: objectives [a], [b], [c]. Use the methods together; a single example does not establish every objective.
Examine
Inspect the execution-control policy, allowed or blocked software rules, change approvals, and enforcement records.
Interview
Who approves a rule change, and how are unknown or newly introduced applications handled?
Demonstrate or test
Use harmless test software to demonstrate an allowed execution and a blocked execution under the chosen policy.
Evidence gaps to look for
- Inventorying software is mistaken for controlling execution.
- Rules are in audit-only mode without enforcing the stated policy.
GAVII Cybersecurity’s examples illustrate ways to examine, interview, and test. They are not a mandatory artifact list or a guarantee of an assessment result. Combine methods and address every applicable objective in the actual scope.
Assessment constraints
Scoring and POA&M eligibility
Score: 5
If this requirement is NOT MET, deduct 5 points from the Level 2 maximum of 110. The deduction applies to the requirement, not separately to each objective.
Scoring rule ↗POA&M: Not eligible
This requirement has a deduction greater than 1 point and does not qualify for the limited encryption exception. It cannot be deferred on the POA&M used for Conditional Level 2 status.
POA&M rule ↗Conditional Level 2 requires a score of at least 88 out of 110 and satisfaction of every eligibility condition. A 1-point requirement is not automatically eligible. The permitted POA&M must be closed through the appropriate closeout assessment within 180 days of the Conditional CMMC Status Date. An operational remediation plan does not confer Conditional Status.
Assessment planning
Location and observation
Not specifically listed in CAP P.11
This requirement is not specifically listed in CAP P.11. That does not establish that remote assessment is sufficient: the Lead CCA and C3PAO determine an adequate approach for the actual scope and evidence.
CAP §P.11, pages 10–11 ↗Check the source
References and related requirements
- DoD CMMC Assessment Guide, Level 2 ↗CM.L2-3.4.8; requirement and objectives, printed page 108. 2.13, September 2024.
- 32 CFR 170.24: Assessment findings and scoring ↗170.24(b) and (c)(2). Current electronic Code of Federal Regulations.
- 32 CFR 170.21: POA&M eligibility and closeout ↗170.21(a)(2) and (b). Current electronic Code of Federal Regulations.
- NIST SP 800-171 Rev. 2 ↗Requirement 3.4.8. February 2020, updated January 2021.
- NIST SP 800-171A ↗Assessment procedure 3.4.8. June 2018.
- Cyber AB CMMC Assessment Process (CAP) ↗P.11, printed pages 10-11; Level 2 certification assessment-location planning. 2.0, December 2024.
Program timing and contract applicability can change independently of these requirements. Check current DoD program notices and your solicitation or contract before making a compliance decision. Open the official DoD resource hub.