NIST SP 800-53 IA-1 Policy and Procedures | Security Control Explorer

Requirements NIST SOURCE

1. 1.[one of: organization-level; mission/business process-level; system-level] identification and authentication policy that:
  1. (a)Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
  2. (b)Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
2. 2.Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;
Requirement Context
This element is part of IA-1 — Policy and Procedures. See the Assessment section below for the related SP 800-53A examine/interview/test procedures. No engineering interpretation has been authored for this control yet.
1. 1.Policy [frequency] and following [events] ; and
2. 2.Procedures [frequency] and following [events].
Requirement Context
This element is part of IA-1 — Policy and Procedures. See the Assessment section below for the related SP 800-53A examine/interview/test procedures. No engineering interpretation has been authored for this control yet.

Discussion (NIST Supplemental Guidance)

Identification and authentication policy and procedures address the controls in the IA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of identification and authentication policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to identification and authentication policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for IA-1 yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.

Assessment

NIST SP 800-53A REV 5.2.0

Assessment Objectives

personnel or roles to whom the identification and authentication policy is to be disseminated are defined;
personnel or roles to whom the identification and authentication procedures are to be disseminated is/are defined;
one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level};
an official to manage the identification and authentication policy and procedures is defined;
the frequency at which the current identification and authentication policy is reviewed and updated is defined;
events that would require the current identification and authentication policy to be reviewed and updated are defined;
the frequency at which the current identification and authentication procedures are reviewed and updated is defined;
events that would require identification and authentication procedures to be reviewed and updated are defined;
an identification and authentication policy is developed and documented;
the identification and authentication policy is disseminated to <IA-01_ODP[01] personnel or roles>;
identification and authentication procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls are developed and documented;
the identification and authentication procedures are disseminated to <IA-01_ODP[02] personnel or roles>;
the <IA-01_ODP[03] SELECTED PARAMETER VALUES> identification and authentication policy addresses purpose;
the <IA-01_ODP[03] SELECTED PARAMETER VALUES> identification and authentication policy addresses scope;
the <IA-01_ODP[03] SELECTED PARAMETER VALUES> identification and authentication policy addresses roles;
the <IA-01_ODP[03] SELECTED PARAMETER VALUES> identification and authentication policy addresses responsibilities;
the <IA-01_ODP[03] SELECTED PARAMETER VALUES> identification and authentication policy addresses management commitment;
the <IA-01_ODP[03] SELECTED PARAMETER VALUES> identification and authentication policy addresses coordination among organizational entities;
the <IA-01_ODP[03] SELECTED PARAMETER VALUES> identification and authentication policy addresses compliance;
the <IA-01_ODP[03] SELECTED PARAMETER VALUES> identification and authentication policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;
the <IA-01_ODP[04] official> is designated to manage the development, documentation, and dissemination of the identification and authentication policy and procedures;
the current identification and authentication policy is reviewed and updated <IA-01_ODP[05] frequency>;
the current identification and authentication policy is reviewed and updated following <IA-01_ODP[06] events>;
the current identification and authentication procedures are reviewed and updated <IA-01_ODP[07] frequency>;
the current identification and authentication procedures are reviewed and updated following <IA-01_ODP[08] events>.

Examine

[SELECT FROM: Identification and authentication policy and procedures; system security plan; privacy plan; risk management strategy documentation; list of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings); other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with identification and authentication responsibilities; organizational personnel with information security and privacy responsibilities].

Overlays

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

Base control: Included (matches standard baseline)

MODERATE

Base control: Included (matches standard baseline)

HIGH

Base control: Included (matches standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for IA-1. This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.

Learn more about STIG/CCI integration →

Evidence

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.

Policy

Identification and authentication policy and procedures
system security plan
privacy plan
risk management strategy documentation

Other Records

list of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings)
other relevant documents or records