6.4 Disciplinary process
Requires a formalised disciplinary process, communicated in advance, so that action can be taken where personnel or other relevant parties have breached information security policy.
5
artefacts
0
held by a system
4
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
- The formalised disciplinary process covering information security breaches, and evidence it was communicated in advance · HR system / LMS
- Evidence of the link from incident and compliance findings into the disciplinary route, including who decides to invoke it · HR system / LMS
- Records of cases where the process was invoked, with the assessment of the breach and the outcome · Document repository
- Evidence of consistency, showing similar breaches treated similarly regardless of seniority · Document repository
governing documentDocuments that govern the control
- Provisions for non employees, since a disciplinary process does not apply to a contractor · 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
- Process exists in the human resources handbook but was never communicated as applying to security breaches
- No trigger from the incident process, so identified breaches never reach a disciplinary decision
- Senior staff breaches handled informally while junior staff breaches are formalised
- Nothing equivalent defined for contractors and third parties, so there is no consequence at all
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 sheet6.3 Information security awareness, education and training · 6.5 Responsibilities after termination or change of employment