Control statement
- a.Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and
- b.Retain individual training records for [Organization-defined: time period].
Discussion
Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies.
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 Training Records 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-04a.
- AT-04a.[01]information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are documented;
- AT-04a.[02]information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are monitored;
- AT-04b.individual training records are retained for [Organization-defined: time period].
Examine
- Security and privacy awareness and training policy
- procedures addressing security and privacy training records
- security and privacy awareness and training records
- system security plan
- privacy plan
- other relevant documents or records
Interview
- Organizational personnel with information security and privacy training record retention responsibilities
Test
- Mechanisms supporting the management of security and privacy training records
Related controls
These relationships come from the official OSCAL catalog. They indicate useful dependencies or context, not automatic inheritance or equivalence.
Authoritative sources
Bare Metal Cyber is an independent educational publisher and is not affiliated with or endorsed by NIST. Official control requirements and interpretations remain with NIST and the responsible authorizing organization.