LLMResponse CM.L2-3.4.9.a

Evidence Prioritization for CM.L2-3.4.9, Objective A

Based on the CMMC Level 2 Assessment Guide and your requirements, I'll provide guidance on how to prioritize evidence types and assessment approaches for demonstrating compliance with assessment objective "[a] a policy for controlling the installation of software by users is established."

Evidence Type Ranking

From most valuable to least valuable for this specific assessment objective:

1. **Documents** - This would be your highest priority evidence type because a formal policy document is the most direct evidence that "a policy is established." A well-documented software installation policy would clearly demonstrate compliance with this objective.

2. **Artifacts** - Supporting materials that demonstrate the policy exists and has been distributed, such as email notifications to users about the policy, acknowledgment records, or training materials referencing the policy.

3. **Screen Share** - Showing where the policy is stored, how it's accessed by users, or demonstrating a system that references or enforces the policy could support your case.

4. **Physical Review** - While potentially useful for examining physical policy manuals or posted notices, this is less critical for demonstrating a software installation policy exists.

Assessment Approach Prioritization

1. **Examine** - This should be your primary approach because it directly aligns with verifying a documented policy exists. Key documents to examine include:

  - Configuration management policy
  - Procedures addressing user-installed software
  - System security plan sections covering software installation
  - List of rules governing user-installed software

2. **Interview** - This would be your secondary approach to verify awareness and understanding of the policy. Consider interviewing:

  - Personnel with responsibilities for governing user-installed software
  - Personnel with information security responsibilities
  - System or network administrators

3. **Test** - While important for objectives [b] and [c], testing is less critical for objective [a], which focuses on policy establishment rather than enforcement or monitoring. However, you might demonstrate the organizational processes governing user-installed software to show how the policy is implemented.

Implementation Recommendation

1. Start by collecting and examining your formal policy documentation that explicitly states how software installation by users is controlled.

2. Follow up with interviews of key personnel to confirm their awareness of the policy and understanding of their responsibilities.

3. Use screen sharing or physical review as supplementary evidence to show where and how the policy is maintained and accessed.

Remember that objective [a] is specifically focused on establishing that a policy exists, while objectives [b] and [c] will require more emphasis on testing to demonstrate control and monitoring capabilities.