ISO 27001 Annex A 6.4 Disciplinary process for information security violations
What it says
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.
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What it means
In plain EnglishEnsure staff understand consequences for breaking security rules to prevent violations.
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.
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Why it matters
Without a formal, communicated disciplinary process, security policy breaches repeat, weakening deterrence and increasing legal, financial and reputational risk.
How to implement
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 offence.
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.
Keep it running
Document and communicate disciplinary steps (warnings to termination/contract actions), align with HR/legal, keep breach evidence, apply consistently, and review outcomes after incidents.
Evidence and audit
- Check 1 of 5What an auditor asks for
Ask for
The documented disciplinary process and policy.
Look at
Its alignment with severity scales, repeat offences, and lawful considerations.
Good evidence
A comprehensive document that is easily understandable, legally compliant, and available to all staff.
- Check 2 of 5What an auditor asks for
Ask for
Records of training sessions where the disciplinary process was communicated.
Look at
The attendance and content details of these sessions.
Good evidence
Attendance records showing all staff have participated, and content that clearly outlines the disciplinary process.
- Check 3 of 5What an auditor asks for
Ask for
Reports or logs of past disciplinary actions taken for security policy violations.
Look at
These reports for proper adherence to policy, considering severity and recurrence of offences.
Good evidence
Actions taken that align with the documented process and records of fair and consistent application.
- Check 4 of 5What an auditor asks for
Ask for
Evidence of regular reviews of the disciplinary policy.
Look at
Dates and findings from these reviews, and any updates made.
Good evidence
Documented reviews conducted annually, with updates reflecting any new legal requirements or organisational changes.
- Check 5 of 5What an auditor asks for
Ask for
Privacy protection measures related to disciplinary actions.
Look at
Policies and systems in place to protect personal information of individuals involved.
Good evidence
Clear guidelines and secure systems for handling and storing this information, in line with privacy laws.
Mappings
Closest match in ASD Information Security Manual: ISM-0661, Holding human users accountable for data transfers they perform, which this control supports.
ASD Information Security Manual: 2 mappings
This control supports ISM-0661.
ISM-0661 requires that individuals who transfer data can be held answerable for those actions, presuming consequences for violations. ISO/IEC 27001:2022 Annex A 6.4 supports this by formalising a disciplinary process for information security violations, enabling enforcement when a user performs an unauthorised or improper data transfer.
This control supports ISM-1864.
Annex A 6.4 requires a formalised and communicated disciplinary process for handling information security policy violations. ISM-1864 establishes and enforces a system usage policy, which defines expected behaviour and creates the basis for determining when a violation has occurred and when Annex A 6.4 should be invoked. ISM-1864 does not require disciplinary actions or procedures, while Annex A 6.4 focuses on consequences and process once a breach is identified.
Mappings show how controls relate across frameworks. They do not imply full equivalence or certification.
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