What this policy is
Documents who is responsible, accountable, consulted and informed (RACI) for each major function of the security and privacy programmes.
Why every organization needs one
Ambiguous ownership is the root cause of dropped controls. The policy turns 'someone should…' into 'X owns this; Y consults; Z is informed'.
What a competent Roles And Responsibilities Policy typically contains
- Purpose and scope
- Roles and responsibilities
- Definitions
- RACI matrix for security functions
- Authority delegation
- Segregation-of-duties for sensitive functions
- Backup / alternate for each role
- Review cadence (typically annual) and version control
- Approval, sign-off and effective date
How iCompaas tracks this policy
The icompaas policy-doc producer manages this document through an 8-state lifecycle: draft → generated → internal_qa → customer_review → in_review → approved → signed (with rejected as a terminal side-state). The producer publishes a policy_doc_roles_and_responsibilities_policy_signed compliance finding once at least one document of this kind reaches the signed state for the account being assessed; the finding then rolls up into every compliance framework that references this policy (see the table below).
Compliance frameworks that reference this policy
The icompaas compliance controls library links every policy document to the controls in each framework that require, evidence, or otherwise rely on it. Below: every control across every framework in the iCompaas catalogue that names this policy as part of its evidence base. Each control links to its own dedicated page with auditor-view content + implementation guidance.
| Framework | Control | Title | Component |
|---|---|---|---|
| ISO/IEC 27001:2022 | A.5.2 | Information security roles and responsibilities | Organizational controls |
| ISO/IEC 27001:2022 | A.5.3 | Segregation of duties | Organizational controls |
| ISO/IEC 27701:2025 | A.1.2.8 | Joint PII controller | Conditions for collection and processing |
| ISO/IEC 27701:2025 | A.1.5.5 | Records of disclosures | PII sharing, transfer & disclosure |
| ISO/IEC 27701:2025 | A.2.3.2 | Comply with obligations | Obligations to PII principals (processors) |
| ISO/IEC 27701:2025 | A.2.5.4 | Records of PII disclosures | PII sharing, transfer & disclosure (processors) |
| ISO/IEC 27701:2025 | A.3.4 | Information security roles & responsibilities | Security considerations |
| ISO/IEC 27701:2025 | A.3.11 | Incident management planning | Security considerations |
| ISO/IEC 27701:2025 | A.3.16 | Compliance with policies | Security considerations |
| ISO/IEC 42001:2023 | A.2.3 | Alignment with other organizational policies | Organizational controls |
| ISO/IEC 42001:2023 | A.3.2 | AI roles and responsibilities | Organizational controls |
| ISO/IEC 42001:2023 | A.4.6 | Human resources | Organizational controls |
| ISO/IEC 42001:2023 | A.6.1.2 | Objectives for responsible development of AI systems | Technological controls |
| ISO/IEC 42001:2023 | A.6.2.6 | Data provenance | Technological controls |
| ISO/IEC 42001:2023 | A.7.5 | Data provenance | Technological controls |
| ISO/IEC 42001:2023 | A.9.3 | Objectives for responsible use of AI systems | Organizational controls |
| ISO/IEC 42001:2023 | A.10.2 | Allocation of responsibilities | Organizational controls |
| ISO/IEC 42001:2023 | A.10.4 | Customers | Organizational controls |
18 controls across 3 frameworks reference this policy.
About this page
This article is part of the iCompaas Policy Documents library — one page per signed-document type the icompaas policy-doc producer tracks for customer accounts. The article is intentionally framework-agnostic: a customer signing a policy of this kind gets the same regulatory benefit across every framework that references it.