IA-1 Policy and Procedures

Guidance: draftPolicy clause: draftWhat these mean

Baselines	Implementation level	Enhancements
Low, Moderate, High	Organization	None

Related controls: AC-1, PM-9, PS-8, SI-12

Control statement

• a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
  • 1. [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy that:
    • (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
    • (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
  • 2. Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;
• b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and
• c. Review and update the current identification and authentication:
  • 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events] ; and
  • 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].

NIST discussion

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.

Assessment objectives (SP 800-53A)

Objectives and methods for IA-1

Determine if:

• IA-01a.
  • IA-01a.[01] an identification and authentication policy is developed and documented;
  • IA-01a.[02] the identification and authentication policy is disseminated to [Assignment: organization-defined personnel or roles];
  • IA-01a.[03] identification and authentication procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls are developed and documented;
  • IA-01a.[04] the identification and authentication procedures are disseminated to [Assignment: organization-defined personnel or roles];
  • IA-01a.01
    • IA-01a.01(a)
      • IA-01a.01(a)[01] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses purpose;
      • IA-01a.01(a)[02] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses scope;
      • IA-01a.01(a)[03] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses roles;
      • IA-01a.01(a)[04] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses responsibilities;
      • IA-01a.01(a)[05] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses management commitment;
      • IA-01a.01(a)[06] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses coordination among organizational entities;
      • IA-01a.01(a)[07] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses compliance;
    • IA-01a.01(b) the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;
• IA-01b. the [Assignment: organization-defined official] is designated to manage the development, documentation, and dissemination of the identification and authentication policy and procedures;
• IA-01c.
  • IA-01c.01
    • IA-01c.01[01] the current identification and authentication policy is reviewed and updated [Assignment: organization-defined frequency];
    • IA-01c.01[02] the current identification and authentication policy is reviewed and updated following [Assignment: organization-defined events];
  • IA-01c.02
    • IA-01c.02[01] the current identification and authentication procedures are reviewed and updated [Assignment: organization-defined frequency];
    • IA-01c.02[02] the current identification and authentication procedures are reviewed and updated following [Assignment: organization-defined events].

Examine: 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: Organizational personnel with identification and authentication responsibilities; organizational personnel with information security and privacy responsibilities.

Policy statement

IA-1 is met by the sections every family policy shares: purpose, scope, roles and responsibilities, management commitment, coordination, compliance, procedures, dissemination, and review and update. Each statement there cites the IA-1 item it meets. See the Identification and Authentication Policy.

How to apply it

IA-1 asks for a written identification and authentication policy, procedures that carry it out, an official who manages both, and a set review cycle. The Identification and Authentication policy template meets the policy half through the sections every family policy shares. The procedures are yours to write.

How the policy template meets each element. The shared sections come before and after the policy statements, and each statement cites the IA-1 item it meets:

IA-1 element	Where the policy template meets it
Policy at the selected level (a.1)	Scope: the policy applies at the level you select, to every system and every person with access
Purpose, scope, roles, responsibilities, management commitment, coordination and compliance (a.1(a))	The Purpose, Scope, Roles and responsibilities, Management commitment, Coordination and Compliance sections, one for each
Consistent with applicable laws and guidance (a.1(b))	Compliance: the first statement, where you list the laws, regulations and standards that apply; the federal block adds FISMA and OMB Circular A-130
Procedures (a.2)	Procedures: the managing official ensures documented procedures exist
Dissemination of policy and procedures (a)	Dissemination: one statement for the policy and one for the procedures, each to the roles you name
Designated official (b)	Roles and responsibilities: the official who manages the policy and procedures
Review and update (c.1, c.2)	Review and update: a frequency and trigger events for the policy, and again for the procedures

Common implementations. One organization-level policy, approved by a senior leader and published in the policy library. Procedures written as runbooks for the work IA-2 to IA-12 describe: issuing identifiers and accounts, identity proofing at enrollment, issuing and resetting authenticators, enrolling device certificates, and onboarding external identity providers. Procedures can sit in the system security plan or in separate documents. The identification and authentication standard sets the values those procedures apply: assurance levels, approved authenticators, password rules and the authenticator life cycle.

Organization-defined parameters. The shared sections leave these as fields to fill. Typical values, which your organization may set differently:

Parameter	Typical value
Who receives the policy (a)	Everyone within its scope, through the policy library
Who receives the procedures (a)	The people who carry them out, and the system owners
Policy level (a.1)	Organization-level
Official who manages the policy and procedures (b)	The Chief Information Security Officer
Policy review frequency (c.1)	Annually
Events that trigger a policy review (c.1)	Assessment or audit findings, security incidents or breaches, and changes in applicable laws, executive orders, directives, regulations, policies, standards or guidelines
Procedure review frequency (c.2)	Annually
Events that trigger a procedure review (c.2)	The same events as the policy, and changes to the systems, tools or services the procedures describe

The trigger events follow NIST’s IA-1 discussion. For IA, the people who carry out the procedures are, for example, account managers, the help desk and system administrators. The Chief Information Security Officer often delegates the day-to-day management to an identity and access management lead. A new revision of NIST SP 800-63 is a typical change in standards, and a change of identity provider, authenticator type or proofing service a typical procedure trigger.

Evidence assessors ask for.

• The approved policy, with the approver, the approval date and the version history
• The procedures, and who owns each one
• The record naming the official who manages the policy and procedures
• Records showing dissemination, such as the policy library page or acknowledgment records
• Evidence of the last review of the policy and of each procedure, with the changes made

Inheritance. IA-1 is usually a common control, provided once for the organization. A system inherits the organization’s policy and records that in its security plan. It adds its own procedures only where it handles identification or authentication differently, for example with local accounts.

Common findings.

• A policy that restates the IA controls but has no procedures behind it. NIST’s discussion of IA-1 says restating controls is not a policy or procedure.
• The policy or procedures not reviewed within the stated period, or not updated after an incident or finding.
• Procedures that contradict the policy, such as help desk scripts that still require periodic password changes.
• No evidence that the procedures reached the people who follow them.

Enhancements in the Moderate baseline. IA-1 has no enhancements.

Federal systems (as of September 2026). OMB M-19-17 (May 21, 2019), Enabling Mission Delivery through Improved Identity, Credential, and Access Management, requires each agency to “define and maintain a single comprehensive ICAM policy, process, and technology solution roadmap” (Section IV, Governance, item 2). Write a system’s IA policy and procedures to fit within that agency-wide policy. OMB M-26-18 (August 31, 2026) lists M-19-17 as existing OMB policy and supersedes only its Section V.5.

Artifacts

• Identification and Authentication Decision Worksheet
• Identification and Authentication Policy
• Information Security and Privacy Policy