LLMResponse CM.L2-3.4.5.e

Assessment for Objective [e]: Logical access restrictions associated with changes to the system are defined

Evidence Types Ranking (Most to Least Valuable)

1. **Documents**: Primary evidence

  - Configuration management policy
  - System security plan
  - Access control policies for system changes
  - Role-based access definitions
  - Change management procedures

2. **Artifacts**: Strong supporting evidence

  - Configuration files
  - Access control matrices
  - Role definition files
  - System permission templates
  - Change management workflows

3. **Screen Share**: Useful but secondary

  - View system configurations for access controls
  - Observe permission settings in management systems
  - See how logical access restrictions are structured

4. **Physical Review**: Limited value for logical definitions

  - Generally not applicable for logical access definitions
  - Might observe posted procedures or documentation

Assessment Approach Priority

1. **Examine** (Primary approach)

  - Review configuration management policy
  - Check system security plan for logical access definitions
  - Verify system documentation defines who can make changes
  - Look for defined role-based access controls
  - Check for documentation of required privilege levels for changes

2. **Interview** (Important supplement)

  - Talk with system administrators about logical access definitions
  - Interview security personnel about access restriction criteria
  - Discuss with IT management how change authority is defined
  - Verify understanding of access definitions among responsible staff

3. **Test** (Limited value for definitions)

  - Testing is less relevant for verifying definitions exist
  - More valuable for testing enforcement than definition
  - Could validate that defined restrictions align with system capabilities

For this objective focusing on definitions of logical access restrictions, prioritize examination of formal documentation and policies, supported by interviews with key personnel. Testing provides less value for confirming definitions exist but would be more valuable when assessing the enforcement of these definitions.