What evidence do auditors commonly ask for on HR-04 Disciplinary measures?

Approved sanctions procedure describing the breach verification steps and the graduated measures; Communication issued to personnel explaining what consequences a security violation can carry; Case files for security related disciplinary matters showing investigation and outcome; Evidence that human resources and the security function jointly assess reported violations.

What is the most common gap auditors find on HR-04?

Measures applied inconsistently between employees and contracted personnel

BSI C5 (121-criteria catalogue) · C5: Human Resources

`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 what sanctions are possible, and document each case appropriately.

Source: BSI C5 (121-criteria catalogue), HR-04. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open BSI C5 (121-criteria catalogue) in the compliance library.

The edition of the catalogue is not stamped here; check the edition your attestation is issued against.

artefacts

held by a system

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. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

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

No system holds this evidence for you: it is people and documents. Reminders and routing to the owner still save time. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date.

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 sheet

HR-03 Security training and awareness programme · HR-05 Responsibilities in the event of termination or change of employment