Criticality Medium Active

Acceptable Use Policy (AUP)

Establishes and enforces an Acceptable Use Policy defining permitted and prohibited uses of organizational technology, data, and resources, with documented user acknowledgment.

Control ID
POL-004
Domain Code
POL
Control Nature
Preventive
Business Owner
HR / General Counsel
Category
Administrative
Compensating Control
No

Control Overview

POL-004 · Full Control Profile
Business Description

Define and enforce an acceptable use policy for technology and data.

Business Objective

To establish clear expectations for appropriate and inappropriate behavior regarding technology use.

Business Benefits

    Business Risks if Missing

      Stakeholders, Industries & Technologies

      POL-004 · Operating Context

      Primary Stakeholders

      Applicable Industries

      Applicable Technologies

      Mapped Regulatory & Industry Frameworks

      Harmonized Framework Mappings

      The following compliance and regulatory frameworks map directly to this control's governance scope.

      FRAMEWORK CODE FRAMEWORK NAME & DESCRIPTION FAMILY / CATEGORY VERSION ACTION
      CIS-V8 CIS Controls CIS Controls are a prioritized set of cybersecurit...
      CIS
      Best Practice
      		 vv8 View →
      COBIT2019 COBIT COBIT is an enterprise governance and management f...
      COBIT
      Governance Framework
      		 v2019 View →
      DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis...
      EU
      Regulation
      		 vCurrent View →
      GDPR General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin...
      EU
      Regulation
      		 vCurrent View →
      HIPAA Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement...
      US
      Law
      		 vCurrent View →
      IRDAI IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements...
      India
      Guideline
      		 vLatest View →
      ISO27001 ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for...
      ISO
      Standard
      		 v2022 View →
      NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri...
      EU
      Directive
      		 vCurrent View →
      NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev...
      NIST
      Framework
      		 v2 View →
      NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i...
      NIST
      Control Catalog
      		 vRev. 5 View →
      NPCI-ISR NPCI Information Security Requirements NPCI information-security requirements define cont...
      India
      Standard
      		 vLatest View →
      PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine...
      PCI
      Standard
      		 v4 View →
      RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set...
      India
      Regulation
      		 vLatest View →
      SEBI-CSCRF SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor...
      India
      Regulation
      		 vLatest View →
      SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting...
      AICPA
      Audit Framework
      		 vLatest View →
      ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co...
      ISO
      Standard
      		 v2019 View →
      ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a...
      ISO
      Standard
      		 v2022 View →

      Parent Domain Context

      Governance Domain Baseline
      Domain Name:
      Policy & Document Management (POL)
      Purpose:
      To create, maintain, and manage the lifecycle of security and compliance policies, standards, and procedures.
      Scope:
      Enterprise
      View

      Compliance Requirements & Audit Crosswalk

      8 Specific Audit Clauses

      The following requirements dictate specific audit evidence criteria and testing steps mapped directly under this control.

      REQUIREMENT ID REQUIREMENT TITLE & DETAILS MAPPED CONTROL TYPICAL OWNER ACTION
      POL-004-R001 Acceptable Use Requirements Define acceptable use requirements for o... POL-004 Acceptable Use Policy (AUP) Policy Owner, CISO, HR, Legal, IT View ↗
      POL-004-R002 Prohibited Activities Specify prohibited activities involving... POL-004 Acceptable Use Policy (AUP) CISO, Policy Owner, Legal, HR, IT Security View ↗
      POL-004-R003 User Security Responsibilities Define user responsibilities for protect... POL-004 Acceptable Use Policy (AUP) Policy Owner, CISO, HR, Security Awareness, Business Unit Managers View ↗
      POL-004-R004 Acceptable Use Acknowledgement Require users to acknowledge the Accepta... POL-004 Acceptable Use Policy (AUP) HR, IAM, Policy Owner, IT Access Management View ↗
      POL-004-R005 Remote Work and BYOD Requirements Include requirements for remote work, BY... POL-004 Acceptable Use Policy (AUP) Policy Owner, CISO, HR, Legal, Endpoint/IAM Teams View ↗
      POL-004-R006 Policy Violation Management Define consequences for policy violation... POL-004 Acceptable Use Policy (AUP) HR, Policy Owner, Legal, CISO, Employee Relations View ↗
      POL-004-R007 Acceptable Use Policy Review Periodically review and update the AUP t... POL-004 Acceptable Use Policy (AUP) Policy Owner, CISO, IT, HR, Legal, Compliance View ↗
      POL-004-R008 Acceptable Use Compliance Monitoring Monitor compliance with acceptable use r... POL-004 Acceptable Use Policy (AUP) CISO, Security Operations, Privacy Officer, Legal, HR View ↗