HR-04 Disciplinary measures
Apply a defined disciplinary policy when personnel breach security instructions or legal requirements, first establishing that a breach occurred and weighing its nature, severity and impact, tell personnel in advance wha
4
artefacts
0
held by a system
1
at each review
hard
to go live
Policy repository / GRC workspace
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Evidence that human resources and the security function jointly assess reported violations · Document repository
governing documentDocuments that govern the control
- Approved sanctions procedure describing the breach verification steps and the graduated measures · Policy repository / GRC workspace
- Communication issued to personnel explaining what consequences a security violation can carry · Policy repository / GRC workspace
- Case files for security related disciplinary matters showing investigation and outcome · HR system / LMS
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Measures applied inconsistently between employees and contracted personnel
- No record of the fact finding that preceded the measure taken
- Personnel were never told which behaviour attracts a sanction
- Reported violations settled informally by line managers with nothing written down
Do this for your whole sheet
Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.
Build my evidence sheetHR-03 Security training and awareness programme · HR-05 Responsibilities in the event of termination or change of employment