A.6.4 Disciplinary process
Have a formal, communicated disciplinary process for security policy violations.
15
artefacts
0
held by a system
3
at each review
hard
to go live
HR system / LMS
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
- Board approval minutes for sanctions · SIEM / log platform
- Signed employee acknowledgment forms · HR system / LMS
- Periodic re-acknowledgment records · HR system / LMS
governing documentDocuments that govern the control
- Documented disciplinary policy · HR system / LMS
- Policy change log · Policy repository / GRC workspace
- Policy distribution list · HR system / LMS
- Security incident report forms · Policy repository / GRC workspace
- Violation investigation reports · Document repository
- Root cause analysis summaries · Document repository
- Sanction register · Policy repository / GRC workspace
- Correspondence notifying employees of sanctions · Policy repository / GRC workspace
- HR onboarding checklist with policy acknowledgment · HR system / LMS
- Appeal procedure document · Policy repository / GRC workspace
- Appeal case files · Document repository
- Appeal decision letters · Document repository
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
- Policy exists but not communicated to staff
- No documented evidence of sanctions applied
- Lack of formal appeal mechanism
- Inconsistent record-keeping of violations
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 sheetA.6.3 Information security awareness, education and training · A.6.5 Responsibilities after termination or change of employment