LLMResponse AC.L2-3.1.3.e

Ranking Evidence Types for Enforcement of CUI Flow Authorizations

For assessment objective [e] "approved authorizations for controlling the flow of CUI are enforced," here's my ranking of evidence types based on the CMMC assessment objects:

Evidence Type Ranking

1. **Technical Testing Evidence (Highest Priority)**

  - Results from testing mechanisms implementing information flow enforcement policy
  - Configuration screenshots of boundary protection devices
  - Audit logs showing enforcement of flow controls
  - Network traffic analysis showing blocked unauthorized attempts
  - System monitoring records demonstrating active enforcement

2. **Documentation (Medium-High Priority)**

  - System configuration settings and associated documentation
  - System audit logs and records showing enforcement actions
  - System baseline configuration showing enforcement mechanisms
  - Incident reports showing response to unauthorized flow attempts

3. **Interview Evidence (Supporting Priority)**

  - Information from system/network administrators about enforcement activities
  - Explanations from security personnel about how violations are handled
  - Examples of enforcement actions taken from relevant personnel

Assessment Approach Prioritization

For this objective, I recommend prioritizing assessment approaches as follows:

1. **Test (First)**: Unlike the previous objectives, testing should be your primary approach for demonstrating enforcement. This is because enforcement is an active function that can best be verified through technical validation of working mechanisms.

2. **Examine (Second)**: Documentation review provides supporting evidence of enforcement through logs, configuration files, and records of enforcement actions.

3. **Interview (Third)**: Interviews can provide context and explanations for how enforcement works in practice and how exceptions are handled.

This objective differs significantly from the previous ones because it focuses on the actual implementation and operation of controls rather than their definition. While documentation remains important, technical evidence showing that the mechanisms are actively enforcing the defined authorizations is most critical. This is why the "Test" approach takes precedence for this specific objective.