PS-8 Personnel sanctions
Requires a formal sanctions process for individuals who fail to comply with information security and privacy policies and procedures, and requires defined personnel to be notified within a defined period when the sanctio
4
artefacts
0
held by a system
3
at each review
hard
to go live
Document repository
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 the process is communicated to staff, for example in the rules of behaviour · Document repository
- Notification records to the defined personnel within the defined period · Document repository
- Records of sanctions applied, held with appropriate confidentiality · Document repository
governing documentDocuments that govern the control
- Documented sanctions process agreed with human resources and legal · 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
- Sanctions exist in a human resources handbook that never references security policy breaches
- No notification path, so security is unaware when a policy breach is being handled
- Process defined but never applied, including after repeat 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 sheetPS-7 External personnel security · PS-9 Position descriptions