Shadow IT Policy Example – Technology and Software Policies

Shadow IT Policy Sample

In this article, we’ll look at the key elements that make up an example Shadow IT Policy. We’ve included some starter/boilerplate information to help you get started writing this policy for your company. If you’re looking for help in setting up your policies & procedures or employee manual/handbook, our team can assist.

Shadow IT Policy Template

The following are the main elements that should be included in your Shadow IT Policy:

1. Title Page

• Policy Title: Shadow IT Policy
• Company Name: The name of the organization implementing the policy.
• Policy Number (if applicable): For easy reference within the company’s policy structure.
• Version Control: Date of creation, last review, and version number.
• Effective Date: The date the policy becomes operational.
• Approval Authority: Name and title of the individual who approved the policy.

2. Purpose/Objective

• A brief statement explaining why the Shadow IT Policy exists. This section outlines the policy’s purpose in relation to the company’s goals, regulatory requirements, or ethical standards.
• Describe what problem or issue the policy addresses.
• Example Purpose/Objective:

The objective of this policy is to safeguard the company from security risks by prohibiting the use of unauthorized software or hardware. It aims to ensure that all technology and software used within the organization are approved and compliant with security standards. By doing so, the policy seeks to protect sensitive data, maintain system integrity, and prevent potential vulnerabilities that could arise from unvetted tools. This approach helps in maintaining a secure and efficient technological environment, aligning with the company’s overall security and operational goals

3. Scope

• A description of who the Shadow IT Policy applies to (e.g., employees, contractors, vendors).
• Specify any exceptions to the policy.
• Explain departments or roles affected, if necessary.
• Example Scope:

This policy applies to all employees, contractors, and third-party vendors who access the company’s network and data. It aims to prevent the use of unauthorized software or hardware, known as Shadow IT, which can introduce security vulnerabilities. By enforcing this policy, the company seeks to protect sensitive information and maintain compliance with regulatory standards. All technology resources must be approved and managed by the IT department to ensure they meet security and operational requirements. Violations may result in disciplinary action, including termination or legal consequences

4. Definitions

• Clarify any key terms or jargon used within the Shadow IT Policy to ensure understanding.
• Avoid assumptions about familiarity with industry-specific terminology.
• Example Definitions:

The Shadow IT Policy defines unauthorized software or hardware as any technology not approved by the company that could pose security risks. It emphasizes the importance of using only sanctioned tools to protect company data and systems. This policy falls under the broader category of Technology and Software Policies, aiming to safeguard the organization from potential vulnerabilities introduced by unapproved technological resources. Compliance ensures the integrity and security of the company’s digital environment

5. Policy Statement

• A detailed outline of the Shadow IT Policy itself, including all rules, expectations, and standards.
• It should be direct and clear so that it leaves no ambiguity about the company’s position or requirements.

6. Procedures

• Step-by-step instructions on how to implement or comply with the Shadow IT Policy.
• Include any forms, tools, or systems that employees must use.
• Describe the responsibilities of different roles in ensuring adherence to the policy.
• Example Procedures:

Employees must seek approval from the IT department before using any software or hardware not pre-approved by the company. Regular audits will be conducted to identify unauthorized technology. If unauthorized tools are discovered, they must be reported immediately and removed. Training sessions will be held to educate staff on the risks associated with shadow IT. Violations of this policy may result in disciplinary action, including termination. The IT department will maintain a list of approved technologies and update it regularly to accommodate necessary tools while ensuring security

7. Roles and Responsibilities

• List the roles responsible for enforcing or overseeing the Shadow IT Policy (e.g., managers, HR).
• Define who is accountable for reporting, monitoring, and updating the policy as needed.
• Example Roles and Responsibilities:

Employees must refrain from using unauthorized software or hardware to prevent security risks. IT departments are responsible for monitoring and identifying any unauthorized technology use. Managers should ensure their teams comply with the policy and report any violations. The security team must assess and mitigate risks associated with shadow IT. Regular training sessions should be conducted to educate staff about the dangers and implications of unauthorized technology. Compliance officers are tasked with auditing and enforcing adherence to the policy

8. Compliance and Disciplinary Measures

• Outline how compliance will be monitored or enforced.
• Describe any consequences or disciplinary actions for failing to follow the policy, including the escalation process.

9. References and Related Documents

• Include links or references to any laws, regulations, or company guidelines that support the Shadow IT Policy.
• Reference related company policies that connect or overlap with the document.

10. Review and Revision History

• State the review cycle (e.g., annually, biannually) and who is responsible for reviewing the Shadow IT Policy.
• A history section that lists all revisions made to the document, including dates and reasons for changes.

11. Approval Signatures

• Signature lines for key decision-makers who have authorized the policy (CEO, department head, HR manager).

12. Appendices or Attachments (if needed)

• Additional information, FAQs, or case examples to provide more context or clarify how the Shadow IT Policy applies in specific situations.
• Any relevant forms or templates employees need to complete.