Why are policies important for compliance?
Policies are incredibly important for compliance because they provide formal documentation of how your business addresses risk, manages security controls, and meets the requirements outlined by specific standards. We've collated a list of the reasons policies are important below:
Documented intent - Policies show that your organisation has made intentional decisions about how to manage security, and the processes in place to ensure security. For example, an Access Control Policy outlines how user permissions are granted, reviewed, and revoked, which aligns directly with the access control requirements required by multiple standards.
Control implementation - Many technical and administrative controls must be backed by a policy, essentially as a form, of evidence. For instance, a Patch Management Policy supports your vulnerability management process by defining patch timeframes (e.g. critical patches within 14 days), which auditors use to confirm that you’re applying controls consistently.
Audit traceability - Policies provide a baseline that auditors or assessors can reference to verify whether your organisation’s practices match what’s written. They’ll often check that the policy exists, is appropriately scoped, and that procedures or logs demonstrate compliance with it. It's crucial that your business either follows the outlined policy process, or updates the policy to match any changes to internal process.
Staff guidance and accountability - Policies clarify expectations for employees, such as acceptable use of devices, secure password creation, or how to report incidents. Many standards will require evidence that these policies are not only created, but also communicated, acknowledged, and reviewed on a regular basis.
Support for governance and risk management - Frameworks like ISO 27001 expect organisations to take a risk-based approach to security. Policies help formalise how risks are assessed and mitigated, often linking directly to your organisation’s risk treatment plan or statement of applicability.
To summarise, policies are much more than just paperwork. They represent an integral part of the compliance journey. They provide structure, consistency, and clarification around how your organisation secures its systems and data.
Documented intent - Policies show that your organisation has made intentional decisions about how to manage security, and the processes in place to ensure security. For example, an Access Control Policy outlines how user permissions are granted, reviewed, and revoked, which aligns directly with the access control requirements required by multiple standards.
Control implementation - Many technical and administrative controls must be backed by a policy, essentially as a form, of evidence. For instance, a Patch Management Policy supports your vulnerability management process by defining patch timeframes (e.g. critical patches within 14 days), which auditors use to confirm that you’re applying controls consistently.
Audit traceability - Policies provide a baseline that auditors or assessors can reference to verify whether your organisation’s practices match what’s written. They’ll often check that the policy exists, is appropriately scoped, and that procedures or logs demonstrate compliance with it. It's crucial that your business either follows the outlined policy process, or updates the policy to match any changes to internal process.
Staff guidance and accountability - Policies clarify expectations for employees, such as acceptable use of devices, secure password creation, or how to report incidents. Many standards will require evidence that these policies are not only created, but also communicated, acknowledged, and reviewed on a regular basis.
Support for governance and risk management - Frameworks like ISO 27001 expect organisations to take a risk-based approach to security. Policies help formalise how risks are assessed and mitigated, often linking directly to your organisation’s risk treatment plan or statement of applicability.
To summarise, policies are much more than just paperwork. They represent an integral part of the compliance journey. They provide structure, consistency, and clarification around how your organisation secures its systems and data.
Updated on: 21/03/2025
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