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Question # 4

Which principles are included in defining the CMMC-AB Code of Professional Conduct?

A.

Objectivity, classification, and information accuracy

B.

Objectivity, confidentiality, and information integrity

C.

Responsibility, classification, and information accuracy

D.

Responsibility, confidentiality, and information integrity

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Question # 5

Which government agency are DoD contractors required to report breaches of CUI to?

A.

FBI

B.

NARA

C.

DoD Cyber Crime Center

D.

Under Secretary of Defense for Intelligence and Security

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Question # 6

Which NIST SP discusses protecting CUI in nonfederal systems and organizations?

A.

NIST SP 800-37

B.

NIST SP 800-53

C.

NIST SP 800-88

D.

NIST SP 800-171

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Question # 7

An assessor has been working with an OSC's point of contact to plan and prepare for their upcoming assessment. What is one of the MOST important things to remember when analyzing requirements for an assessment?

A.

Scoping an assessment is easy and worry-free.

B.

The initial plan cannot be changed once agreed upon.

C.

There is a determined amount of time that the OSC's point of contact has to submit evidence and rough order-of-magnitude.

D.

Assessors need to continuously review and update the requirements and plan for the assessment as information is gathered.

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Question # 8

When assessing SI.L2-3.14.6: Monitor communications for attack, the CCA interviews the person responsible for the intrusion detection system and examines relevant policies and procedures for monitoring organizational systems. What would be a possible next step the CCA could conduct to gather sufficient evidence?

A.

Conduct a penetration test

B.

Interview the intrusion detection system's supplier.

C.

Upload known malicious code and observe the system response.

D.

Review an artifact to check key references for the configuration of the IDS or IPS practice for additional guidance on intrusion detection and prevention systems.

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Question # 9

The Level 1 practice description in CMMC is Foundational. What is the Level 2 practice description?

A.

Expert

B.

Advanced

C.

Optimizing

D.

Continuously Improved

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Question # 10

A contractor has implemented IA.L2-3.5.3: Multifactor Authentication practice for their privileged users, however, during the assessment it was discovered that the OSC's standard users do not require MFA to access their endpoints and network resources. What would be the BEST finding?

A.

The process is running correctly.

B.

It is out of scope as this is a new acquisition.

C.

The new acquisition is considered Specialized Assets.

D.

Practice is NOT MET since the objective was not implemented.

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Question # 11

CMMC scoping covers the CUI environment encompassing the systems, applications, and services that focus on where CUI is:

A.

received and transferred.

B.

stored, processed, and transmitted.

C.

entered, edited, manipulated, printed, and viewed.

D.

located on electronic media, on system component memory, and on paper.

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Question # 12

An assessor is collecting affirmations. So far, the assessor has collected interviews, demonstrations, emails, messaging, and presentations. Are these appropriate approaches to collecting affirmations?

A.

No,emails are not appropriate affirmations.

B.

No, messaging is not an appropriate affirmation.

C.

Yes,the affirmations collected by the assessor are all appropriate.

D.

Yes,the affirmations collected by the assessor are all appropriate, as are screenshots.

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Question # 13

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?

A.

In scope

B.

Out of scope

C.

OSC point of contact

D.

Assessment Team Member

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Question # 14

While conducting a CMMC Assessment, an individual from the OSC provides documentation to the assessor for review. The documentation states an incident response capability is established and contains information on incident preparation, detection, analysis, containment, recovery, and user response activities. Which CMMC practice is this documentation attesting to?

A.

IR.L2-3.6.1: Incident Handling

B.

IR.L2-3.6.2: Incident Reporting

C.

IR.L2-3.6.3: Incident Response Testing

D.

IR.L2-3.6.4: Incident Spillage

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Question # 15

When are data and documents with legacy markings from or for the DoD required to be re-marked or redacted?

A.

When under the control of the DoD

B.

When the document is considered secret

C.

When a document is being shared outside of the organization

D.

When a derivative document's original information is not CUI

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Question # 16

Prior to conducting a CMMC Assessment, the contractor must specify the CMMC Assessment scope by categorizing all assets. Which two asset categories are always assessed against CMMC practices?

A.

CUI Assets and Specialized Assets

B.

Security Protection Assets and CUI Assets

C.

Specialized Assets and Contractor Risk Managed Assets

D.

Security Protection Assets and Contractor Risk Managed Assets

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Question # 17

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?

A.

CCP

B.

C3PAO

C.

Lead Assessor

D.

Advisory Board

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Question # 18

The director of sales, in a meeting, stated that the sales team received feedback on some emails that were sent, stating that the emails were not marked correctly. Which training should the director of sales refer the sales team to regarding information as to how to mark emails?

A.

FBI CUI Introduction to Marking

B.

NARA CUI Introduction to Marking

C.

C3PAO CUI Introduction to Marking

D.

CMMC-AB CUI Introduction to Marking

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Question # 19

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?

A.

Final Report

B.

Certification rating

C.

Summary-level findings

D.

All Daily Checkpoint logs

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Question # 20

In late September. CA.L2-3.12.1: Periodically assess the security controls in organizational systems to determine if the controls are effective in their application is assessed. Procedure specifies that a security control assessment shall be conducted quarterly. The Lead Assessor is only provided the first quarter assessment report because the person conducting the second quarter's assessment is currently out of the office and will return to the office in two hours. Based on this information, the Lead Assessor should determine that the evidence is;

A.

sufficient, and rate the audit finding as MET

B.

insufficient, and rate the audit finding as NOT MET.

C.

sufficient, and re-rate the audit finding after a quarter two assessment report is examined.

D.

insufficient, and re-rate the audit finding after a quarter two assessment report is examined.

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Question # 21

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?

A.

In scope, because it is an asset that stores FCI

B.

In scope, because it is part of the same physical location

C.

Out of scope, because they are all only paper documents

D.

Out of scope, because it does not process or transmit FCI

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Question # 22

When assessing an OSC for CMMC: the Lead Assessor should use the information from the Discussion and Further Discussion sections in each practice because it:

A.

is normative for an OSC to follow.

B.

contains examples that an OSC must implement.

C.

is mandatory and aligns with FAR Clause 52.204-21.

D.

provides additional information to facilitate the assessment of the practice.

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Question # 23

A client uses an external cloud-based service to store, process, or transmit data that is reasonably believed to qualify as CUI. According to DFARS clause 252.204-7012. what set of established security requirements MUST that cloud provider meet?

A.

FedRAMP Low

B.

FedRAMP Moderate

C.

FedRAMP High

D.

FedRAMP Secure

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Question # 24

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?

A.

loT

B.

Restricted IS

C.

Test equipment

D.

Operational technology

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Question # 25

What is DFARS clause 252.204-7012 required for?

A.

All DoD solicitations and contracts

B.

Solicitations and contracts that use FAR part 12 procedures

C.

Procurements solely for the acquisition of commercial off-the-shelf

D.

Commercial off-the-shelf sold in the marketplace without modifications

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Question # 26

An assessment is being conducted at a remote client site. For the duration of the assessment, the client has provided a designated hoteling space in their secure facility which consists of a desk with access to a shared printer. After noticing that the desk does not lock, a locked cabinet is requested but the client does not have one available. At the end of the day, the client provides a printout copy of an important network diagram. The diagram is clearly marked and contains CUI. What should be done NEXT to protect the document?

A.

Take it with them to review in the evening.

B.

Leave it on the desk for review the following day.

C.

Put it in the unlocked desk drawer for review the following morning.

D.

Take a picture with the personal phone before securely shredding it.

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Question # 27

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?

A.

Adequacy

B.

Capability

C.

Sufficiency

D.

Objectivity

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Question # 28

How many domains does the CMMC Model consist of?

A.

14 domains

B.

43 domains

C.

72 domains

D.

110 domains

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Question # 29

Which domains are a part of a Level 1 Self-Assessment?

A.

Access Control (AC), Risk Management

B.

Risk Management (RM). Access Control (AC), and Physical Protection (PE)

C.

Access Control (AC), Physical Protection (PE), and Identification and Authentication (IA)

D.

Risk Management (RM). Media Protection (MP), and Identification and Authentication (IA)

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Question # 30

What is a PRIMARY activity that is performed while conducting an assessment?

A.

Develop assessment plan.

B.

Collect and examine evidence.

C.

Verify readiness to conduct assessment.

D.

Deliver recommended assessment results.

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Question # 31

Validation of findings is an iterative process usually performed during the Daily Checkpoints throughout the entire assessment process. As a validation activity, why are the preliminary findings important?

A.

It allows the OSC to comment and provide additional evidence.

B.

It determines whether the OSC will be rated MET or NOT MET on their assessment.

C.

It confirms that the Assessment Team's findings are right and cannot be changed.

D.

It corroborates the Assessment Team's understanding of the CMMC practices and controls.

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Question # 32

The Assessment Team has completed Phase 2 of the Assessment Process. In conducting Phase 3 of the Assessment Process, the Assessment Team is reviewing evidence to address Limited Practice Deficiency Corrections. How should the team score practices in which the evidence shows the deficiencies have been corrected?

A.

MET

B.

POA&M

C.

NOT MET

D.

NOT APPLICABLE

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Question # 33

While conducting a CMMC Assessment, a Lead Assessor is given documentation attesting to Level 1 identification and authentication practices by the OSC. The Lead Assessor asks the CCP to review the documentation to determine if identification and authentication controls are met. Which documentation BEST satisfies the requirements of IA.L1-3.5.1: Identify system users. processes acting on behalf of users, and devices?

A.

Procedures for implementing access control lists

B.

List of unauthorized users that identifies their identities and roles

C.

User names associated with system accounts assigned to those individuals

D.

Physical access policy that states. "All non-employees must wear a special visitor pass or be escorted."

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Question # 34

Which words summarize categories of data disposal described in the NIST SP 800-88 Revision 1. Guidelines for Media Sanitation?

A.

Clear, purge, destroy

B.

Clear redact, destroy

C.

Clear, overwrite, purge

D.

Clear, overwrite, destroy

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Question # 35

An OSC lead has provided company information, identified that they are seeking CMMC Level 2, stated that they handle FCI. identified stakeholders, and provided assessment logistics. The OSC has provided the company's cyber hygiene practices that are posted on every workstation, visitor logs, and screenshots of the configuration of their FedRAMP-approved applications. The OSC has not won any DoD government contracts yet but is working on two proposals Based on this information, which statement BEST describes the CMMC Level 2 Assessment requirements?

A.

Ready because there is no need to certify this company until after they win a DoD contract.

B.

Not ready because the OSC is not on contract because they do not know the scope of FCI protection required by the contract.

C.

Not ready because the OSC still lacks artifacts that prove they have implemented all the CMMC Level 2 Assessment requirements.

D.

Ready because all DoD contractors are required to achieve CMMC Level 2; therefore, they are being proactive in seeking certification.

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Question # 36

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:

A.

process and transmit FCI.

B.

process and organize FCI.

C.

store, process, and transmit FCI.

D.

store, process, and organize FCI.

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Question # 37

A Level 2 Assessment of an OSC is winding down and the final results are being prepared to present to the OSC. When should the final results be delivered to the OSC?

A.

At the end of every day of the assessment

B.

Daily and during a final separately scheduled review

C.

Either at the final Daily Checkpoint, or during a separately scheduled findings and recommendation review

D.

Either after approval from the C3PAO. or during a separately scheduled final recommended findings review

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Question # 38

The Audit and Accountability (AU) domain has practices in:

A.

Level 1.

B.

Level 2.

C.

Levels 1 and 2.

D.

Levels 1 and 3.

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Question # 39

A C3PAO has completed a Limited Practice Deficiency Correction Evaluation following an assessment of an OSC. The Lead Assessor has recommended moving deficiencies to a POA&M. but the OSC will remain on an Interim Certification. What is the MINIMUM number of practices that must be scored as MET to initiate this course of action?

A.

80 practices

B.

88 practices

C.

100 practices

D.

110 practices

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Question # 40

There are 15 practices that are NOT MET for an OSC's Level 2 Assessment. All practices are applicable to the OSC. Which determination should be reached?

A.

The OSC may have 90 days for remediating NOT MET practices.

B.

The OSC is not eligible for an option to remediate NOT MET practices.

C.

The OSC may be eligible for an option to remediate NOT MET practices.

D.

The OSC is not eligible for an option to remediate after the assessment is canceled.

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Question # 41

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?

A.

FCI Assets

B.

Specialized Assets

C.

Out-of-Scope Assets

D.

Government-Issued Assets

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Question # 42

Which standard and regulation requirements are the CMMC Model 2.0 based on?

A.

NIST SP 800-171 and NIST SP 800-172

B.

DFARS, FIPS 100,and NIST SP 800-171

C.

DFARS, NIST, and Carnegie Mellon University

D.

DFARS, FIPS 100, NIST SP 800-171,and Carnegie Mellon University

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Question # 43

A company is working with a CCP from a contracted CMMC consulting company. The CCP is asked where the Host Unit is required to document FCI and CUI for a CMMC Assessment. How should the CCP respond?

A.

"In the SSP. within the asset inventory, and in the network diagranY'

B.

"Within the hardware inventory, data (low diagram, and in the network diagram"

C.

"Within the asset inventory, in the proposal response, and in the network diagram"

D.

"In the network diagram, in the SSP. within the base inventory, and in the proposal response'"

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Question # 44

According to the Configuration Management (CM) domain, which principle is the basis for defining essential system capabilities?

A.

Least privilege

B.

Essential concern

C.

Least functionality

D.

Separation of duties

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Question # 45

Which entity specifies the required CMMC Level in Requests for Information and Requests for Proposals?

A.

DoD

B.

NARA

C.

NIST

D.

Department of Homeland Security

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Question # 46

When assessing SI.L1-3.14.2: Provide protection from malicious code at appropriate locations within organizational information systems, evidence shows that all of the OSC's workstations and servers have antivirus software installed for malicious code protection. A centralized console for the antivirus software management is in place and records show that all devices have received the most updated antivirus patterns. What is the BEST determination that the Lead Assessor should reach regarding the evidence?

A.

It is sufficient, and the audit finding can be rated as MET.

B.

It is insufficient, and the audit finding can be rated NOT MET.

C.

It is sufficient, and the Lead Assessor should seek more evidence.

D.

It is insufficient, and the Lead Assessor should seek more evidence.

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Question # 47

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?

A.

FCI Assets

B.

Specialized Assets

C.

Out-of-Scope Assets

D.

Operational Technology Assets

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Question # 48

Within the CMMC Ecosystem which organization ultimately will manage and oversee the training, testing, authorization, and certification of candidate assessors and instructors?

A.

DoDOUSD

B.

DIB Collaborative Information Sharing Environment

C.

Committee on National Security Systems Instructions

D.

CMMC Assessors and Instructors Certification Organization

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Question # 49

An OSC has requested a C3PAO to conduct a Level 2 Assessment. The C3PAO has agreed, and the two organizations have collaborated to develop the Assessment Plan. Who agrees to and signs off on the Assessment Plan?

A.

OSC and Sponsor

B.

OSC and CMMC-AB

C.

Lead Assessor and C3PAO

D.

C3PAO and Assessment Official

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Question # 50

Which statement BEST describes the requirements for a C3PA0?

A.

An authorized C3PAO must meet some DoD and all ISO/IEC 17020 requirements.

B.

An accredited C3PAO must meet all DoD and some ISO/IEC 17020 requirements.

C.

AC3PAO must be accredited by DoD before being able to conduct assessments.

D.

A C3PAO must be authorized by CMMC-AB before being able to conduct assessments.

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Question # 51

Who is responsible for ensuring that subcontractors have a valid CMMC Certification?

A.

CMMC-AB

B.

OUSDA&S

C.

DoD agency or client

D.

Contractor organization

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