Active

Policy Document Metadata

Ensure policy documents include approval date, effective date, review date, version, and owner.

Requirement ID
POL-001-R006
Parent Control
POL-001
Domain Code
POL

Requirement Details & Guidance

POL-001-R006 · POL-001
Why This Requirement Exists

To make policy status, ownership, validity, and lifecycle information transparent and auditable.

Implementation Guidance

Define mandatory metadata such as owner, version, approval date, effective date, next review date, classification, and status; enforce metadata through templates or repository controls; validate completeness during policy reviews.

Practical Application & Audit Readiness

POL-001-R006 · 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(5) – Documentation, annual/periodic review and continuous improvement of ICT risk management framework Article 9(4)(a) – Information security policy protecting availability, authenticity, integrity and confidentiality
          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-IV – Review Frequency
          India
          Guideline
          		 vLatest View →
          ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 7.5.2 – Creating and updating; 7.5.3 – Control of documented information
          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