# NIST SP 800-53 Rev. 5 IA-1 — Policy And Procedures - Source: https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/ia-1-policy-and-procedures - Section: [Compliance](https://support.icompaas.com/compliance) › [NIST SP 800-53 Rev. 5 Controls](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5) › IA — Identification and Authentication - Last updated: 2026-06-05 - Publisher: iCompaas, Inc. (https://www.icompaas.com) **NIST SP 800-53 Rev. 5**·Control `IA-1`·high·Component: **Identification and Authentication** ## What this control requires > Develop and disseminate an identification/authentication policy defining scope, roles, responsibilities, and compliance. Designate an official and review/update regularly. This control supports the Policy capability within the Identification and Authentication family. > > — NIST SP 800-53 Rev. 5, Control IA-1 ### In plain English Develop and disseminate an identification/authentication policy defining scope, roles, responsibilities, and compliance. In practice, this means you can prove you policy procedures-level controls on a defined cadence. ## Why it matters SP 800-53 is the catalogue every U.S. federal authorisation (FedRAMP, FISMA, CMMC) and most regulated industries point at. A missing control surfaces as a Plan of Action & Milestones (POA&M) item that an Authorizing Official must approve before the Authority To Operate is granted or renewed. This control is rated **high**. Auditors expect a named owner, a remediation SLA, and a tooling artefact that evidences continuous operation. ## What an auditor looks for A 3PAO (FedRAMP) or Independent Assessor (NIST RMF) tests against NIST SP 800-53A assessment procedures. For each control they expect a documented implementation that addresses every assessment objective (Examine, Interview, Test) and an implementation summary in the System Security Plan. Within **Identification and Authentication**, the assessor will trace your implementation back to the catalogue reference (Control IA-1) and look for objective evidence on the latest two assessment cycles. ## How to implement #### Policy Management **Docs.** Keep each policy in version-controlled Markdown alongside the code that implements it; ship a signed PDF snapshot at each annual review and link the SHA into the SoA. ### Operational checklist - **Policy.** Document the trigger, the owner and the cadence. - **Review.** Document the trigger, the owner and the cadence. - **Authentication.** Document the trigger, the owner and the cadence. - **Identity.** Document the trigger, the owner and the cadence. - **Control.** Document the trigger, the owner and the cadence. - **Scope:** procedures, management, authentication, identity, compliance, review, capability, identification authentication. ## Evidence to collect - **Policy Document.** A signed and version-controlled policy / standard / procedure document. Signed policy or standard documents the safeguard. Focus: Policy And Procedures. ## Common pitfalls - Policies that no engineer has read; the version in Confluence drifts from the version that's actually being enforced. ## How it maps to other frameworks Computed from shared tags, control component and key-operation subjects — handy when you are reconciling controls across an audit. - [**HIPAA (45 CFR Part 164) 164.312(d)** — Person or Entity Authentication](https://support.icompaas.com/compliance/hipaa/164-312-d-person-or-entity-authentication) - [**NIST SP 800-171 Rev. 3 3.5.11** — Authentication Feedback](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-5-11-authentication-feedback) - [**ISO/IEC 27001:2022 A.5.17** — Authentication information](https://support.icompaas.com/compliance/iso-27001-2022/a-5-17-authentication-information) - [**SOC 2 (2017 TSC) C1.1** — Confidential Information Identification and Maintenance](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/c1-1-confidential-information-identification-and-maintenance) ## Related controls in NIST SP 800-53 Rev. 5 - [**Control IA-8(4)** — Use Of Defined Profiles](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/ia-8-4-use-of-defined-profiles) - [**Control IA-5(15)** — Gsa-Approved Products And Services](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/ia-5-15-gsa-approved-products-and-services) - [**Control CP-1** — Policy And Procedures](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/cp-1-policy-and-procedures) - [**Control IA-12(6)** — Accept Externally-Proofed Identities](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/ia-12-6-accept-externally-proofed-identities) - [**Control SA-1** — Policy And Procedures](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/sa-1-policy-and-procedures) - [**Control IA-7** — Cryptographic Module Authentication](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/ia-7-cryptographic-module-authentication) ## References - [NIST Computer Security Resource Center — NIST SP 800-53 Rev. 5](https://csrc.nist.gov/Projects/risk-management/sp800-53-controls) - Catalogue identifier: `Control IA-1` Topics: governance riskidentity managementpatch managementpolicy management ## Related compliance guidance - [NIST SP 800-53 Rev. 5: a practical implementation guide for cloud teams](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5): Start with the full NIST SP 800-53 implementation guide — scope, roadmap, evidence and how the assessment runs. - [NIST SP 800-171 and CMMC: a practical guide to protecting CUI in the cloud](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3): If your obligation is protecting CUI in your own systems for a federal or defence contract, this derived subset — not the full catalogue — is the requirement. - [SOC 2 compliance: a practical implementation guide for cloud-native SaaS teams](https://support.icompaas.com/compliance/soc-2-trust-services-criteria): Most commercial SaaS already hold a SOC 2 Type 2, and FedRAMP 20x Class A is designed for providers that have one.