Disciplinary Process for Information Security Violations
Ensure staff understand consequences for breaking security rules to prevent violations.
Plain language
This control is about having a clear set of rules and consequences for when people in your organisation break information security policies. It's important because without it, employees might not take security seriously, potentially risking data breaches or other security incidents.
Framework
ISO/IEC 27001:2022
Control effect
Preventative
ISO 27001 domain
People controls
Classifications
N/A
Official last update
24 Oct 2022
Control Stack last updated
19 Mar 2026
Maturity levels
N/A
Official control statement
A disciplinary process shall be formalized and communicated to take actions against personnel and other relevant interested parties who have committed an information security policy violation.
Why it matters
Without a formal, communicated disciplinary process, security policy breaches repeat, weakening deterrence and increasing legal, financial and reputational risk.
Operational notes
Document and communicate disciplinary steps (warnings to termination/contract actions), align with HR/legal, keep breach evidence, apply consistently, and review outcomes after incidents.
Implementation tips
- The HR manager should develop a formal, written disciplinary process. This means creating a document that outlines exactly what happens if someone breaks the rules, considering factors like the severity of the breach and if it's a repeat offense.
- The executive team should ensure the disciplinary process is communicated to all staff. They can do this by having meetings or workshops where the rules and potential consequences are explained clearly, so everyone knows what's expected.
- The IT manager should work with HR to verify that any suspected violations are confirmed before disciplinary action is taken. This involves checking logs or reports that show what happened, ensuring it's not a misunderstanding.
- The board or senior management should ensure the process is fair and complies with relevant laws. They should review the disciplinary policy against the Privacy Act 1988 and consult legal experts to ensure that all actions are legally sound.
- HR and IT should work together to maintain records of training on security policies, as this can affect disciplinary decisions. They should track who has been trained and include this information when deciding on the appropriate level of disciplinary action.
Audit / evidence tips
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Askthe documented disciplinary process and policy
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Gooda comprehensive document that is easily understandable, legally compliant, and available to all staff
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Askrecords of training sessions where the disciplinary process was communicated
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Goodattendance records showing all staff have participated, and content that clearly outlines the disciplinary process
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Askreports or logs of past disciplinary actions taken for security policy violations
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Goodactions taken that align with the documented process and records of fair and consistent application
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Askevidence of regular reviews of the disciplinary policy
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Gooddocumented reviews conducted annually, with updates reflecting any new legal requirements or organisational changes
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Askprivacy protection measures related to disciplinary actions
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Goodclear guidelines and secure systems for handling and storing this information, in line with privacy laws
Cross-framework mappings
How Annex A 6.4 relates to controls across ISO/IEC 27001, Essential Eight, and ASD ISM.
ASD ISM
| Control | Notes | Details |
|---|---|---|
| handshake Supports (3) expand_less | ||
| ISM-0820 | Annex A 6.4 requires organisations to formalise and communicate disciplinary actions for information security policy violations | |
| ISM-1864 | Annex A 6.4 requires a formalised and communicated disciplinary process for handling information security policy violations | |
| ISM-1865 | Annex A 6.4 requires a formalised and communicated disciplinary process to take action when personnel or other relevant interested partie... | |
These mappings show relationships between controls across frameworks. They do not imply full equivalence or certification.