LLMResponse CM.L2-3.4.5.c

Assessment for Objective [c]: Physical access restrictions associated with changes to the system are approved

Evidence Types Ranking (Most to Least Valuable)

1. **Documents**: Primary evidence

  - Signed physical access approval forms
  - Authorized change request records with approval signatures
  - Configuration management approval documentation
  - System security plan with approval processes defined
  - Records of management authorization for physical access

2. **Artifacts**: Strong supporting evidence

  - Electronic approval workflows and records
  - Authorization databases showing approval status
  - Ticket systems with approval histories
  - Email threads documenting approvals

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

  - View approval workflows in change management systems
  - Observe authorization records in access control systems
  - See approval status indicators in management systems

4. **Physical Review**: Limited value for approval verification

  - Might observe approval documentation at physical control points
  - Generally less relevant for demonstrating approval processes

Assessment Approach Priority

1. **Examine** (Primary approach)

  - Review approval signatures on physical access documentation
  - Check authorization records for system changes requiring physical access
  - Verify approval chains are documented and followed
  - Ensure proper authorization exists for access to restricted areas
  - Look for evidence that approvals come from appropriate authority levels

2. **Interview** (Important complement)

  - Talk with approval authorities to understand their role
  - Interview security administrators about approval processes
  - Discuss with system administrators how approvals are obtained
  - Verify personnel understand approval requirements
  - Confirm managers understand their approval responsibilities

3. **Test** (Limited relevance)

  - Testing approval processes might be disruptive to operations
  - Could verify systems enforce approval requirements
  - Generally less efficient for verifying approvals exist

For this objective, you should focus primarily on examining documentation that demonstrates approvals have been properly obtained and recorded. Interviews with approval authorities and those seeking approvals provide important context and verification. Testing has more limited applicability for this specific objective since it focuses on approval rather than enforcement.