LLMResponse AC.L2-3.1.1.d

Evidence Types and Assessment Approaches for AC.L2-3.1.1 Assessment Objective [d]

Ranking of Evidence Types for Assessment Objective [d]

For the assessment objective "[d] system access is limited to authorized users," I recommend prioritizing evidence types in this order:

1. **Artifacts**: These provide the strongest evidence for this control-focused objective, including:

  - System login attempt logs showing rejected unauthorized access attempts
  - Access control lists (ACLs) and permission settings
  - User account status reports showing disabled unauthorized accounts
  - Authentication system configurations
  - System-generated reports of access restrictions

2. **Screen Share**: Direct observation provides compelling evidence of access controls in action:

  - Demonstrations of authentication mechanisms rejecting unauthorized users
  - Administrative interfaces showing access control implementations
  - Real-time observation of access management systems
  - Failed login attempt demonstrations

3. **Documents**: Supporting policies and procedures:

  - Access control policies defining access limitation requirements
  - System security plans documenting access control mechanisms
  - Standard operating procedures for account management
  - Access authorization workflows and approvals

4. **Physical Review**: Limited value for this objective but might include:

  - Observation of physical access controls that complement logical controls
  - Physical access tokens or cards tied to system authentication

Prioritizing Assessment Approaches

For assessment objective [d], I recommend prioritizing the three assessment approaches as follows:

1. **Test**: This should be your primary approach as it directly verifies that access controls function as intended:

  - Test authentication mechanisms to confirm they reject unauthorized users
  - Attempt to access systems using unauthorized credentials
  - Verify that deactivated accounts cannot gain system access
  - Test account lockout procedures after failed attempts
  - Confirm that system boundaries enforce access limitations

2. **Examine**: Follow with examination of supporting evidence:

  - Review access control configurations in system settings
  - Examine audit logs showing rejected access attempts
  - Check account management records for proper access limitations
  - Review authentication system configurations
  - Examine system security architecture documentation

3. **Interview**: Complete your assessment with contextual interviews:

  - Speak with system administrators who implement access controls
  - Interview security personnel about access limitation strategies
  - Discuss account management procedures with IT staff
  - Verify understanding of access control policies with implementers

This prioritization focuses on operational effectiveness by testing the actual implementation of access controls first, then validating that the underlying configurations and documentation support those controls, and finally confirming understanding through interviews with relevant personnel.