Peak Complyance

The 10 Documents an Assessor Asks For First

For defense suppliers that handle controlled unclassified information (CUI) under DFARS 252.204-7012 and need CMMC Level 2.

An assessor asks for these before testing a single control. If one is missing or more than a year old, start there. Requirement numbers are from NIST SP 800-171 Rev 2.

  1. System Security Plan

    How your company meets each of the 110 requirements, and where your CUI boundary is. The assessor reads it first and tests against it. 3.12.4

  2. Plan of Action and Milestones

    Every requirement you don't meet yet, the fix and the date. It has to match the score you posted in SPRS. 3.12.2

  3. Policies and Procedures

    A written policy and procedure for each of the 14 requirement families, approved and dated, that your people actually follow.

  4. Network and CUI Boundary Diagram

    Where CUI enters, where it's stored and where it leaves. It sets which systems and people are in scope for the assessment.

  5. Asset Inventory

    Every system, device and cloud service that stores, processes or sends CUI, with its owner and configuration. 3.4.1

  6. Access List

    Who can reach CUI, what they can do with it and why their job needs it. 3.1.1, 3.1.2

  7. Incident Response Plan and Last Test

    Who does what when something goes wrong, plus the record of the last time you tested the plan. 3.6.1, 3.6.3

  8. Security Training Records

    Proof that everyone in scope completed security awareness training, with dates. 3.2.1, 3.2.2

  9. Vulnerability Scans and Fixes

    Recent scan results and the record of what you fixed and when. 3.11.2, 3.11.3

  10. SPRS Submission and Signed Affirmation

    Your posted score and the affirmation a senior official signs. The assessor checks the score against your plan. DFARS 252.204-7019, 32 CFR 170.16

The 3 year rule: a self assessment in SPRS stays current for 3 years, and the affirmation has to be renewed every year. A prime has to confirm your status is current before it awards a subcontract that carries the CMMC clause.