LLMResponse CM.L2-3.4.6.a

Ranking of Evidence Types and Assessment Approaches for CM.L2-3.4.6

Based on the CMMC Level 2 Assessment Guide and the information you've provided, I'll rank the evidence types and prioritize assessment approaches for assessment objective "[a] essential system capabilities are defined based on the principle of least functionality."

Evidence Type Ranking

1. **Documents** - This would be your highest priority evidence type as it demonstrates formal definition of essential system capabilities. Examples include:

  - System security plans that define essential capabilities
  - Configuration standards that specify required functionality
  - Baseline documentation that identifies necessary services and applications
  - Policy documents that outline the principle of least functionality

2. **Artifacts** - These provide tangible proof that essential capabilities are defined:

  - Configuration files showing enabled/disabled services
  - System inventory lists with categorized essential/non-essential components
  - Change management records showing removal of unnecessary functionality
  - Software approval lists that document essential capabilities

3. **Screen Share** - This allows real-time observation of:

  - Configuration management tools showing defined system capabilities
  - System documentation that outlines essential functions
  - Asset inventory systems that categorize essential capabilities

4. **Physical Review** - This is typically less relevant for this particular assessment objective, but could include:

  - On-premise observation of posted configuration standards
  - Review of physical documents or servers with configuration labels

Assessment Approach Prioritization

1. **Examine**

  This should be your primary approach since the assessment objective focuses on definitions and documentation. Examine configuration management policies, security plans, and system design documentation to verify that essential capabilities are formally defined.

  The most important assessment objects would be:
  - System security plan that documents essential capabilities
  - Configuration management plan with defined baseline functionality
  - System design documentation that specifies required functions
  - Procedures addressing least functionality implementation

2. **Interview**

  Use interviews as your secondary approach to validate that the documented essential capabilities align with organizational understanding. Key personnel to interview would be:
  - System administrators who implement least functionality
  - Security personnel who define security requirements
  - IT managers who approve essential capabilities

3. **Test**

  While testing would be more critical for assessment objective [b], it can provide supporting evidence for objective [a] by confirming that essential capabilities are not only defined but implementable. This would be your tertiary approach.

  Testing might involve:
  - Reviewing automated tools that enforce restrictions on functionality
  - Examining system scanning reports that identify essential/non-essential functions
  - Verifying configuration management systems that track essential capabilities

By prioritizing these evidence types and assessment approaches, you'll be able to efficiently assess whether your organization has properly defined essential system capabilities based on the principle of least functionality as required by CM.L2-3.4.6.