What is the difference between a policy and a regulation?

A policy is a high-level document that establishes an organization's intent, expectations, and direction for security. It defines the goals and desired outcomes for a specific area, guiding decisions and ensuring compliance with organizational objectives. In contrast, a regulation is a mandatory requirement imposed by a governmental or regulatory body. Regulations are legally binding, and failure to comply can lead to fines, penalties, or legal action. Thus, policies are internal statements of intent, while regulations are external, legally enforceable rules.

A. Policies are high-level statements of intent, not specific step-by-step instructions; those are defined as procedures.

C. Regulations are mandatory, legally binding rules, not simply guides on how to achieve an outcome.

D. Regulations are laws and legal requirements, not step-by-step instructions (which are procedures).

1. National Institute of Standards and Technology (NIST). (2020). NIST Special Publication 800-53

Revision 5: Security and Privacy Controls for Information Systems and Organizations. Page 241

Appendix A. The glossary defines policy as: "The formal expression of the rules by which those who are subject to the policy must abide." This aligns with setting instructions for compliance.

2. National Institute of Standards and Technology (NIST). (2017). NIST Special Publication 800-12

Revision 1: An Introduction to Information Security. Section 4.1

"Policies

" Page 29. It states

"Policies are the documents that record management’s decisions and intentions... Policies are high-level documents..." This distinguishes them from procedures

which are "detailed

step-by-step instructions."

3. National Institute of Standards and Technology (NIST). (2019). NISTIR 7298

Revision 3: Glossary of Key Information Security Terms. Page 162. Defines "Regulation" as: "A rule or order issued by a government agency; usually has the force of law." This confirms their legally binding nature.