Policy Development Criteria (POL-001-R003) - POL-001

Requirement Details & Guidance

POL-001-R003 · POL-001

Why This Requirement Exists

To ensure policies address the organization's actual legal, regulatory, contractual, risk, and business requirements rather than being generic documents.

Implementation Guidance

Identify applicable laws, regulations, contracts, risk requirements, and business objectives; perform requirements analysis before drafting; map requirements to policy statements; obtain Legal and Compliance input where appropriate; document the basis for material requirements.

Practical Application & Audit Readiness

POL-001-R003 · Field Guidance

Business Examples

Common Audit Findings

Common Mistakes

Best Practices & Ownership

POL-001 · Recommended Approach

Recommended Practices

Typical Owner

Cross-Mapped Regulatory Frameworks

Harmonized Control Mappings

FRAMEWORK CODE	FRAMEWORK NAME & DETAILS	FAMILY / CATEGORY	VERSION	ACTION
COBIT2019	COBIT COBIT is an enterprise governance and management f... Clause: 4.2 – Align, Plan and Organize (APO) > APO01 – Managed I&T Management Framework > APO01.09 – Define and communicate policies and procedures.	COBIT Governance Framework	v2019	View →
DORA	Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 6(3) – Minimising ICT risk and providing ICT risk/framework information to competent authorities	EU Regulation	vCurrent	View →
GDPR	General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin... Clause: Article 24(2) – Data protection policies	EU Regulation	vCurrent	View →
HIPAA	Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement... Clause: § 164.316(a)(1) Policies and procedures documentation	US Law	vCurrent	View →
IRDAI	IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §1.5-II – Governing Board; §1.5-III – Ownership and interpretation	India Guideline	vLatest	View →
ISO22301	ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 5.2.1 – Establishing the business continuity policy	ISO Standard	v2019	View →
ISO27001	ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for... Clause: 5.2 – Policy	ISO Standard	v2022	View →
ISO27002	ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 5.1 – Policies for information security	ISO Standard	v2022	View →
NIS2	NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(a) – Policies on risk analysis and information system security	EU Directive	vCurrent	View →
NIST-CSF	NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: GV.PO – Policy \| GV.PO-01 – Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated and enforced	NIST Framework	v2	View →
NIST80053	NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.12 – PLANNING; PL-1 – POLICY AND PROCEDURES	NIST Control Catalog	vRev. 5	View →
NPCI-ISR	NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Governance Controls; Governance and Oversight Structure – Establishing clear policies	India Standard	vLatest	View →
PCI-DSS	PCI DSS PCI DSS is an industry security standard maintaine... Clause: 12.1.1 – An overall information security policy is:	PCI Standard	v4	View →
RBI-CSF	RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: Circular §3 – Need for a Board approved Cyber-security Policy; Circular §4 – Cyber Security Policy to be distinct from the broader IT/IS Security Policy	India Regulation	vLatest	View →
SEBI-CSCRF	SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 1.3 GV.PO: Policy	India Regulation	vLatest	View →
SOC2	SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC5.3 – Control Activities – COSO Principle 12: The entity deploys control activities through policies that establish what is expected and in procedures that put policies into action.	AICPA Audit Framework	vLatest	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

Parent Control Context

Control Baseline

Control Name:

Policy Management (POL-001)

Summary:

Establishes a governed lifecycle for creating, approving, maintaining, and retiring security, privacy, and compliance policies, standards, and procedures.

Business Description:

Define, maintain, and manage the lifecycle of security, privacy, and compliance policies, standards, and procedures.

View