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Controls / Physical Protection / 3.10.1
3.10.1
PE.L1-3.10.1 · Level 1 + 2

Limit physical access to organizational systems, equipment, and the respective operating…

NIST SP 800-171 Rev 2 · §3.10.1

Limit physical access to organizational systems, equipment, and the respective operating environments to authorized individuals.

Assessment objectives

From NIST SP 800-171A · 4 objectives must be met to satisfy this control
3.10.1[a] authorized individuals allowed physical access are identified.
Examine
[SELECT FROM: Physical and environmental protection policy; procedures addressing physical access authorizations; security plan; authorized personnel access list; authorization credentials; physical access list reviews; physical access termination records and associated documentation; other relevant documents or records].
Interview
[SELECT FROM: Personnel with physical access authorization responsibilities; personnel with physical access to system facility; personnel with information security responsibilities].
Test
[SELECT FROM: Organizational processes for physical access authorizations; mechanisms supporting or implementing physical access authorizations].
3.10.1[b] physical access to organizational systems is limited to authorized individuals.
Examine
[SELECT FROM: Physical and environmental protection policy; procedures addressing physical access authorizations; security plan; authorized personnel access list; authorization credentials; physical access list reviews; physical access termination records and associated documentation; other relevant documents or records].
Interview
[SELECT FROM: Personnel with physical access authorization responsibilities; personnel with physical access to system facility; personnel with information security responsibilities].
Test
[SELECT FROM: Organizational processes for physical access authorizations; mechanisms supporting or implementing physical access authorizations].
3.10.1[c] physical access to equipment is limited to authorized individuals.
Examine
[SELECT FROM: Physical and environmental protection policy; procedures addressing physical access authorizations; security plan; authorized personnel access list; authorization credentials; physical access list reviews; physical access termination records and associated documentation; other relevant documents or records].
Interview
[SELECT FROM: Personnel with physical access authorization responsibilities; personnel with physical access to system facility; personnel with information security responsibilities].
Test
[SELECT FROM: Organizational processes for physical access authorizations; mechanisms supporting or implementing physical access authorizations].
3.10.1[d] physical access to operating environments is limited to authorized individuals.
Examine
[SELECT FROM: Physical and environmental protection policy; procedures addressing physical access authorizations; security plan; authorized personnel access list; authorization credentials; physical access list reviews; physical access termination records and associated documentation; other relevant documents or records].
Interview
[SELECT FROM: Personnel with physical access authorization responsibilities; personnel with physical access to system facility; personnel with information security responsibilities].
Test
[SELECT FROM: Organizational processes for physical access authorizations; mechanisms supporting or implementing physical access authorizations].

What we look for in practice

The following are placeholder notes that should be refined based on practice experience.

What assessors look for in practice. Documented evidence that this control is implemented across all CUI-handling systems within scope. Specific artifacts vary, but expect requests for written procedures, system configurations, and operational records demonstrating the control is active.

Common failure patterns. Typical issues include incomplete documentation, inconsistent implementation across systems, and missing periodic review records. Refine this section as your practice accumulates direct assessment experience.

Strong evidence looks like. Formal policy referencing this control, technical configurations demonstrating enforcement, periodic review logs with sign-off, and procedures for handling exceptions.

Scoring and POA&M context. 5-point control under the DoD Assessment Methodology. Highest scoring impact — treat as a foundational requirement. Not POA&M-eligible — must be implemented at assessment time.