AT-3 AT · Awareness and Training

Role-based Training

✓ LOW ✓ MODERATE ✓ HIGH
4 Enhancements 1 Overlay 22 Related Controls
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Requirements NIST SOURCE

    1. 1.Before authorizing access to the system, information, or performing assigned duties, and [frequency] thereafter; and
    2. 2.When required by system changes;
Discussion (NIST Supplemental Guidance)

Organizations determine the content of training based on the assigned roles and responsibilities of individuals as well as the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include senior leaders or management officials (e.g., head of agency/chief executive officer, chief information officer, senior accountable official for risk management, senior agency information security officer, senior agency official for privacy), system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; software developers; systems security engineers; privacy engineers; system, network, and database administrators; auditors; personnel conducting configuration management activities; personnel performing verification and validation activities; personnel with access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel with access to personally identifiable information. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain risk management within the context of organizational security and privacy programs. Role-based training also applies to contractors who provide services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure that the content remains relevant and effective. Events that may precipitate an update to role-based training content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

Enhancements NIST SOURCE

AT-3(1) Environmental Controls LOW MODERATE HIGH

Provide [personnel or roles] with initial and [frequency] training in the employment and operation of environmental controls.

Discussion

Environmental controls include fire suppression and detection devices or systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature or humidity, heating, ventilation, air conditioning, and power within the facility.

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AT-3(2) Physical Security Controls LOW MODERATE HIGH

Provide [personnel or roles] with initial and [frequency] training in the employment and operation of physical security controls.

Discussion

Physical security controls include physical access control devices, physical intrusion and detection alarms, operating procedures for facility security guards, and monitoring or surveillance equipment.

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AT-3(3) Practical Exercises LOW MODERATE HIGH

Provide practical exercises in security and privacy training that reinforce training objectives.

Discussion

Practical exercises for security include training for software developers that addresses simulated attacks that exploit common software vulnerabilities or spear or whale phishing attacks targeted at senior leaders or executives. Practical exercises for privacy include modules with quizzes on identifying and processing personally identifiable information in various scenarios or scenarios on conducting privacy impact assessments.

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AT-3(4) Suspicious Communications and Anomalous System Behavior WITHDRAWN

Withdrawn from the catalog.

AT-3(5) Processing Personally Identifiable Information LOW MODERATE HIGH

Provide [personnel or roles] with initial and [frequency] training in the employment and operation of personally identifiable information processing and transparency controls.

Discussion

Personally identifiable information processing and transparency controls include the organization’s authority to process personally identifiable information and personally identifiable information processing purposes. Role-based training for federal agencies addresses the types of information that may constitute personally identifiable information and the risks, considerations, and obligations associated with its processing. Such training also considers the authority to process personally identifiable information documented in privacy policies and notices, system of records notices, computer matching agreements and notices, privacy impact assessments, PRIVACT statements, contracts, information sharing agreements, memoranda of understanding, and/or other documentation.

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Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for AT-3 yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.

Assessment

NIST SP 800-53A REV 5.2.0

Assessment Objectives

  1. roles and responsibilities for role-based security training are defined;
  2. roles and responsibilities for role-based privacy training are defined;
  3. the frequency at which to provide role-based security and privacy training to assigned personnel after initial training is defined;
  4. the frequency at which to update role-based training content is defined;
  5. events that require role-based training content to be updated are defined;
  6. role-based security training is provided to <AT-03_ODP[01] roles and responsibilities> before authorizing access to the system, information, or performing assigned duties;
  7. role-based privacy training is provided to <AT-03_ODP[02] roles and responsibilities> before authorizing access to the system, information, or performing assigned duties;
  8. role-based security training is provided to <AT-03_ODP[01] roles and responsibilities> <AT-03_ODP[03] frequency> thereafter;
  9. role-based privacy training is provided to <AT-03_ODP[02] roles and responsibilities> <AT-03_ODP[03] frequency> thereafter;
  10. role-based security training is provided to personnel with assigned security roles and responsibilities when required by system changes;
  11. role-based privacy training is provided to personnel with assigned security roles and responsibilities when required by system changes;
  12. role-based training content is updated <AT-03_ODP[04] frequency>;
  13. role-based training content is updated following <AT-03_ODP[05] events>;
  14. lessons learned from internal or external security incidents or breaches are incorporated into role-based training.

Examine

[SELECT FROM: System security plan; privacy plan; security and privacy awareness and training policy; procedures addressing security and privacy training implementation; codes of federal regulations; security and privacy training curriculum; security and privacy training materials; training records; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with responsibilities for role-based security and privacy training; organizational personnel with assigned system security and privacy roles and responsibilities].

Test

[SELECT FROM: Mechanisms managing role-based security and privacy training].

Overlays

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

  • Base control: Included (matches standard baseline)

MODERATE

  • Base control: Included (matches standard baseline)

HIGH

  • Base control: Included (matches standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for AT-3. This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.

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Evidence

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.

Policy

  • System security plan
  • privacy plan
  • security and privacy awareness and training policy

Testing

  • Mechanisms managing role-based security and privacy training

Other Records

  • procedures addressing security and privacy training implementation
  • codes of federal regulations
  • security and privacy training curriculum
  • security and privacy training materials
  • training records
  • other relevant documents or records