What evidence do auditors commonly ask for on AT-3(2) Role-based Training | Physical Security Controls?

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.

What is the most common gap auditors find on AT-3(2)?

Personnel operating physical security controls such as badge systems received no initial role-based training

NIST SP 800-53 Rev 5 · AT - Awareness and Training

`AT-3(2)` Role-based Training | 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.

Source: NIST SP 800-53 Rev 5, AT-3(2). The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open NIST SP 800-53 Rev 5 in the compliance library.

Base controls and their enhancements. Which apply follows the baseline you are assessed against (for example FedRAMP Moderate or High, or the low, moderate and high baselines of SP 800-53B). Text in square brackets is a parameter your organisation sets.

artefacts

held by a system

at each review

hard

to go live

HR system / LMS

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

none for this control

periodic reviewEvidence produced at each review

Training records · HR system / LMS

governing documentDocuments that govern the control

Security and privacy awareness and training policy · HR system / LMS
Procedures addressing security and privacy training implementation · HR system / LMS
Security and privacy training curriculum · HR system / LMS
Security and privacy training materials · HR system / LMS
System security plan · HR system / LMS
Privacy plan · HR system / LMS

First move

No system holds this evidence for you: it is people and documents. Reminders and routing to the owner still save time. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date.

Common gaps auditors find

Personnel operating physical security controls such as badge systems received no initial role-based training
Physical security control training is not repeated at the defined frequency for the defined roles

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

AT-3(1) Role-based Training | Environmental Controls · AT-3(3) Role-based Training | Practical Exercises