What evidence do auditors commonly ask for on CA.L2-3.12.1 Security Control Assessment?

Assessment plan defining scope, method and frequency; Completed assessment results per control; Evidence assessments cover effectiveness and not just presence.

What is the most common gap auditors find on CA.L2-3.12.1?

Assessment confirms a control exists without testing whether it works

CMMC 2.0 · Security Assessment

`CA.L2-3.12.1` Security Control Assessment

Assess the security controls in place periodically to determine whether they are effective as implemented.

Source: CMMC 2.0, CA.L2-3.12.1. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open CMMC 2.0 in the compliance library.

artefacts

held by a system

at each review

hard

to go live

Document repository

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

none for this control

periodic reviewEvidence produced at each review

Assessment plan defining scope, method and frequency · Policy repository / GRC workspace
Completed assessment results per control · Document repository
Evidence assessments cover effectiveness and not just presence · Document repository

governing documentDocuments that govern the control

none for this control

First move

No system holds this evidence for you: it is people and documents. Reminders and routing to the owner still save time. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date.

Common gaps auditors find

Assessment confirms a control exists without testing whether it works
Scope excludes parts of the CUI environment
No defined periodicity so assessments lapse

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

AU.L2-3.3.9 Audit Management · CA.L2-3.12.2 Plan of Action