LLMResponse CM.L2-3.4.2.a

Ranking Evidence Types and Assessment Approaches for CM.L2-3.4.2

Based on the CMMC Level 2 Assessment Guide and the information you've provided about assessment objective [a], I'll rank the evidence types and prioritize the assessment approaches for effectively demonstrating compliance.

Evidence Types Ranking

For assessment objective [a] "security configuration settings for information technology products employed in the system are established and included in the baseline configuration":

1. **Documents** - Highest priority evidence type

  - Configuration management documentation
  - Baseline configuration documents
  - Security configuration checklists/guides
  - System security plans describing configuration settings
  - Documented secure configuration benchmarks
  - Change control documentation showing implementation of settings

2. **Artifacts** - Second priority

  - Actual configuration files
  - Screenshots of implemented settings
  - System-generated reports showing configured settings
  - Tool outputs confirming baseline configurations
  - Security scan reports validating configuration compliance

3. **Screen Share** - Third priority

  - Live demonstration of how configuration settings are established
  - Display of configuration management systems or tools
  - Navigating through documentation systems showing settings
  - Showing how baseline configurations are maintained

4. **Physical Review** - Lowest priority for this objective

  - On-site observation of configuration management processes
  - Physical review of devices to confirm configuration settings
  - Observation of physical security controls related to configuration management

Assessment Approach Prioritization

1. **Examine** - Highest priority approach

  - This approach is most effective for reviewing documentation that shows established security configuration settings
  - Review configuration management policy, baseline configurations, security checklists
  - Examine system security plans and design documentation
  - Check for evidence of approved deviations from standard configurations
  - Verify configuration settings are properly documented in baseline configurations

2. **Test** - Second priority

  - Verify that the established security settings actually exist in systems
  - Test configuration management processes to ensure they're functioning
  - Use tools to identify deviations from established configurations
  - Test mechanisms that support baseline configuration management

3. **Interview** - Third priority

  - Interview personnel responsible for security configuration management
  - Discuss with system administrators how configurations are established
  - Talk with security personnel about how settings are determined
  - Gather context about why specific configurations were chosen

This prioritization aligns with the nature of assessment objective [a], which focuses on establishing and documenting security configuration settings rather than their enforcement (which is covered in objective [b]). Documents and examined artifacts provide the most direct evidence that security settings have been formally established and incorporated into baseline configurations.

When presenting your evidence to assessors, I recommend organizing it to clearly demonstrate how security configuration settings are established for each technology product type in your environment, how they align with industry standards, and how they are formally incorporated into your baseline configurations.