Control statement
- a.Provide role-based security and privacy training to personnel with the following roles and responsibilities: [Organization-defined: organization-defined roles and responsibilities]:
- 1.Before authorizing access to the system, information, or performing assigned duties, and [Organization-defined: frequency] thereafter; and
- 2.When required by system changes;
- b.Update role-based training content [Organization-defined: frequency] and following [Organization-defined: events] ; and
- c.Incorporate lessons learned from internal or external security incidents or breaches into role-based training.
Discussion
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.
Organization-defined parameters
These values must be resolved through the organization’s tailoring and governance process. Bracketed parameter references in the control text identify where a decision is required.
From control text to operational evidence
Use Role-based Training as a testable risk decision. Translate the official statement into accountable people, repeatable processes, configured technology, and evidence that demonstrates the outcome over time. In this family, pay particular attention to role-based knowledge, behavior, awareness, and measurable workforce readiness.
Implementation workflow
- Define the control boundary, responsible owner, inherited portions, and systems or processes in scope.
- Resolve each organization-defined parameter before declaring the control implemented.
- Document how the implementation satisfies every clause of the official control statement.
- Collect evidence as a normal byproduct of operation rather than only before an assessment.
- Review exceptions, changes, and monitoring results on a risk-based cadence.
Evidence examples
- training plans and role assignments
- completion and attendance records
- exercise results and lessons learned
- training-content approval records
Common failure patterns
- generic annual training with no role context
- completion treated as proof of competence
- contractors or privileged users omitted
- training content not updated after incidents
Questions practitioners should ask
- What risk decision is this control intended to support in this system?
- Which parts are implemented locally, inherited, shared, or not applicable—and what evidence supports that decision?
- Do the documented narrative, deployed configuration, operating process, and collected evidence agree?
- What event or threshold requires the implementation to be reviewed or changed?
Assessment objectives and methods
Show the assessment objective
- AT-03a.
- AT-03a.01
- AT-03a.01[01]role-based security training is provided to [Organization-defined: roles and responsibilities] before authorizing access to the system, information, or performing assigned duties;
- AT-03a.01[02]role-based privacy training is provided to [Organization-defined: roles and responsibilities] before authorizing access to the system, information, or performing assigned duties;
- AT-03a.01[03]role-based security training is provided to [Organization-defined: roles and responsibilities] [Organization-defined: frequency] thereafter;
- AT-03a.01[04]role-based privacy training is provided to [Organization-defined: roles and responsibilities] [Organization-defined: frequency] thereafter;
- AT-03a.02
- AT-03a.02[01]role-based security training is provided to personnel with assigned security roles and responsibilities when required by system changes;
- AT-03a.02[02]role-based privacy training is provided to personnel with assigned security roles and responsibilities when required by system changes;
- AT-03a.01
- AT-03b.
- AT-03b.[01]role-based training content is updated [Organization-defined: frequency];
- AT-03b.[02]role-based training content is updated following [Organization-defined: events];
- AT-03c.lessons learned from internal or external security incidents or breaches are incorporated into role-based training.
Examine
- 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
- Organizational personnel with responsibilities for role-based security and privacy training
- organizational personnel with assigned system security and privacy roles and responsibilities
Test
- Mechanisms managing role-based security and privacy training
Related controls
These relationships come from the official OSCAL catalog. They indicate useful dependencies or context, not automatic inheritance or equivalence.
Related NIST SP 800-171 requirements
These Rev. 3 requirements cite this base control or one of its enhancements as a source. The relationship does not by itself determine contractual applicability or complete implementation.
Control enhancements
Enhancements add specificity, strength, or scope to the base control. Baseline badges show explicit selections in the official SP 800-53B OSCAL profiles.
AT-3(1) — Environmental Controls
Provide [Organization-defined: personnel or roles] with initial and [Organization-defined: frequency] training in the employment and operation of environmental controls.
Official 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.
Organization-defined parameters (2)
Assessment objectives and methods
[Organization-defined: personnel or roles] are provided with initial and refresher training [Organization-defined: frequency] in the employment and operation of environmental controls.
Examine
- Security and privacy awareness and training policy
- procedures addressing security and privacy training implementation
- security and privacy training curriculum
- security and privacy training materials
- system security plan
- privacy plan
- training records
- other relevant documents or records
Interview
- Organizational personnel with responsibilities for role-based security and privacy training
- organizational personnel with responsibilities for employing and operating environmental controls
Related controls
AT-3(2) — Physical Security Controls
Provide [Organization-defined: personnel or roles] with initial and [Organization-defined: frequency] training in the employment and operation of physical security controls.
Official 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.
Organization-defined parameters (2)
Assessment objectives and methods
[Organization-defined: personnel or roles] is/are provided with initial and refresher training [Organization-defined: frequency] in the employment and operation of physical security controls.
Examine
- Security and privacy awareness and training policy
- procedures addressing security and privacy training implementation
- security and privacy training curriculum
- security and privacy training materials
- system security plan
- privacy plan
- training records
- other relevant documents or records
Interview
- Organizational personnel with responsibilities for role-based security and privacy training
- organizational personnel with responsibilities for employing and operating physical security controls
Related controls
AT-3(3) — Practical Exercises
Provide practical exercises in security and privacy training that reinforce training objectives.
Official 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.
Assessment objectives and methods
- AT-03(03)[01]practical exercises in security training that reinforce training objectives are provided;
- AT-03(03)[02]practical exercises in privacy training that reinforce training objectives are provided.
Examine
- Security and privacy awareness and training policy
- procedures addressing security and privacy awareness training implementation
- security and privacy awareness training curriculum
- security and privacy awareness training materials
- security and privacy awareness training reports and results
- system security plan
- privacy plan
- other relevant documents or records
Interview
- Organizational personnel with responsibilities for role-based security and privacy training
- organizational personnel who participate in security and privacy awareness training
AT-3(4) — Suspicious Communications and Anomalous System Behavior
This enhancement is marked withdrawn in the official OSCAL catalog. Related-control metadata below may identify where its intent was incorporated.
AT-3(5) — Processing Personally Identifiable Information
Provide [Organization-defined: personnel or roles] with initial and [Organization-defined: frequency] training in the employment and operation of personally identifiable information processing and transparency controls.
Official 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](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, contracts, information sharing agreements, memoranda of understanding, and/or other documentation.
Organization-defined parameters (2)
Assessment objectives and methods
[Organization-defined: personnel or roles] are provided with initial and refresher training [Organization-defined: frequency] in the employment and operation of personally identifiable information processing and transparency controls.
Examine
- Security and privacy awareness and training policy
- procedures addressing security and privacy awareness training implementation
- security and privacy awareness training curriculum
- security and privacy awareness training materials
- system security plan
- privacy plan
- organizational privacy notices
- organizational policies
- system of records notices
- Privacy Act statements
- computer matching agreements and notices
- privacy impact assessments
- information sharing agreements
- other relevant documents or records
Interview
- Organizational personnel with responsibilities for role-based security and privacy training
- organizational personnel who participate in security and privacy awareness training
Related controls
Authoritative sources
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