Authority to Process Personally Identifiable Information (PT-2) requires organizations to establish and document legal, regulatory, and policy bases for collecting and using PII. For exam readiness, understand that PT-2 ensures that all PII processing is traceable to an approved authority—such as consent, statute, contract, or mission necessity—and that systems operate only within those defined bounds. The control mandates evidence of authorization, privacy impact assessments, and

System Security and Privacy Plans (PL-2) define how security and privacy controls are implemented, documented, and maintained for each system. For exam purposes, understand that PL-2 serves as the cornerstone of authorization and continuous monitoring, describing the control environment, inheritance, roles, and connections. The plan must explain how controls satisfy requirements, include system boundaries, and provide rationale for tailoring decisions. Privacy plans parallel security plans,

Risk Management Strategy (PM-9) defines how an organization articulates risk appetite, tolerance, priorities, and decision rules so that security and privacy controls are selected and operated with intent. For exam readiness, understand that PM-9 sits above system-level decisions and provides the compass for categorization, tailoring, exception handling, and investment tradeoffs. A credible strategy describes what kinds of loss the organization is willing to accept, which scenarios are

Physical Access Control (PE-3) translates least privilege into the built environment by governing who may enter facilities, rooms, and cages that host systems, media, and network infrastructure. For the exam, recognize that PE-3 requires identity-backed credentials, authorization rules tied to roles and need-to-know, and enforcement points—badge readers, biometric devices, mantraps, and locks—that prevent tailgating and unauthorized movement between zones. It mandates auditable processes

Component Authenticity (SR-11) focuses on verifying that hardware, software, and firmware components are genuine, unaltered, and obtained from trusted sources. For the exam, understand that SR-11 mitigates the risk of counterfeit or tampered components entering the system supply chain. This control requires traceability from manufacturer to deployment, authentication of components through digital signatures or serial number validation, and documented custody through delivery and

Supply Chain Risk Management Plan (SR-2) establishes how organizations identify, assess, and mitigate risks arising from suppliers, service providers, and dependencies. For exam purposes, understand that SR-2 formalizes governance: roles, risk criteria, review cadence, escalation procedures, and reporting. The plan must define integration points with procurement, asset management, and incident response. It outlines processes for tiering suppliers by criticality, assigning control

Awareness Training (AT-2) ensures that personnel understand security and privacy responsibilities commensurate with their roles and the organization’s risk environment. For exam readiness, recognize that AT-2 mandates periodic, measurable training that translates policy into behavior. The program must cover acceptable use, data handling, incident reporting, and emerging threats, emphasizing why compliance matters rather than just what rules exist. The objective is to make security awareness

Controlled Maintenance (MA-2) ensures that all maintenance activities—routine, preventive, or emergency—are performed under defined, authorized, and auditable conditions. For exam readiness, understand that MA-2 governs both internal and external maintenance, including work performed by contractors or vendors. It requires documented procedures, approval processes, supervision, and recordkeeping to protect systems from accidental damage or malicious modification during servicing. The

Plan of Action and Milestones (CA-5) is the enterprise ledger for weaknesses, corrective actions, and accountability. For the exam, understand that CA-5 transforms assessment and monitoring results into a managed backlog of remediation tasks with owners, budgets, milestones, and due dates. Entries must trace to specific controls, systems, and risks; they include interim compensating measures when full fixes require longer cycles. CA-5 also records risk acceptances with documented

Continuous Monitoring (CA-7) sustains assurance between assessments by collecting, analyzing, and acting on security-relevant data with defined cadence and triggers. For exam purposes, CA-7 requires a monitoring strategy that specifies what information to gather (vulnerabilities, configurations, incidents, asset changes), how often to refresh it, and how results influence risk posture and authorization status. The objective is a living understanding of control effectiveness rather than

Authorization (CA-6) is the formal, risk-based decision that a system may operate within defined conditions, made by an authorizing official who accepts residual risk backed by evidence. For exam readiness, know that CA-6 is not a rubber stamp; it relies on credible inputs—assessment results, POA&M status, continuous monitoring strategy, system documentation, and risk analyses. The decision letter should state the authorization type (initial, ongoing, interim), duration, terms, and any

Supply Chain Controls and Processes (SR-3) ensure that products and services acquired or integrated into an organization’s environment meet established security and privacy requirements throughout their lifecycle. For exam purposes, understand that SR-3 requires identifying supply chain risks early—before acquisition—and embedding security criteria into procurement, contracting, and performance management. This includes defining control requirements for vendors, verifying the integrity of

Supplier Assessments (SR-6) verify that external vendors and service providers meet security and privacy requirements before and during their engagement. For exam readiness, recognize that SR-6 mandates ongoing evaluation of supplier practices through questionnaires, audits, testing, and performance reviews. It aligns with risk tolerance and contract obligations, ensuring suppliers deliver evidence of control implementation and maintain transparency about incidents or material changes. The

Contingency Plan (CP-2) requires organizations to establish, maintain, and test documented procedures for restoring essential operations following disruption. For exam purposes, recognize that CP-2 goes beyond IT recovery—it ensures mission continuity by defining recovery priorities, roles, communication paths, and restoration timelines. The control mandates that contingency plans align with business continuity, disaster recovery, and incident response frameworks. The plan must identify

System Backup (CP-9) ensures that critical information, configurations, and software are copied and stored securely to enable rapid recovery after data loss or corruption. For exam purposes, understand that CP-9 defines what data must be backed up, how often, where it resides, and how it is protected. The control mandates that backup media be encrypted, labeled, tested for restorability, and retained according to policy. It also emphasizes segregation between production and backup storage,

Contingency Plan Testing (CP-4) ensures that the organization’s recovery strategies and procedures are validated through realistic, periodic exercises. For exam readiness, understand that CP-4 transforms written plans into actionable assurance by testing people, processes, and technologies under controlled conditions. The control requires a range of tests—from simple walkthroughs to full operational failovers—conducted at defined intervals and after significant changes. The results must

System Recovery and Reconstitution (CP-10) ensures that after a disruption—malware outbreak, data corruption, hardware failure, or site loss—systems are restored to a known good state and returned to normal operations in a controlled, auditable manner. For exam purposes, understand that CP-10 bridges contingency plans with technical execution: recovery procedures must be preapproved, version-controlled, and mapped to specific platforms, data sets, and dependencies. The control expects you

Control Assessments (CA-2) verify that implemented safeguards function as intended and achieve their stated objectives. For exam readiness, recognize that CA-2 requires assessment plans with defined methods, coverage, and success criteria, executed by qualified and sufficiently independent assessors. The control spans design evaluation, implementation testing, and operational effectiveness checks, producing findings with evidence and severity ratings. CA-2 closes the loop between

Information Input Validation (SI-10) requires systems to verify that all incoming data is correct, complete, and in the expected format before processing. For exam purposes, know that this control protects against injection attacks, buffer overflows, and data corruption by enforcing strict rules for length, type, range, and syntax. Input validation applies to user interfaces, APIs, network protocols, and background processes. The goal is to ensure that untrusted or malformed data cannot

Malicious Code Protection (SI-3) ensures that organizations deploy, update, and monitor mechanisms designed to detect, prevent, and remediate malware infections across systems and endpoints. For exam readiness, understand that SI-3 covers antivirus software, sandboxing, behavior-based detection, and secure web and email gateways. The control requires layered protection that operates at network, endpoint, and application levels, including scanning of removable media and downloaded content