ISO 27001 Annex A 6.4: Disciplinary process

What auditors look for

Auditors check that 6.4 is either justified as not applicable in your Statement of Applicability or implemented and working. Typical evidence includes:

• Disciplinary policy referencing security
• Communication of the process to staff
• Case records handled by HR

How to implement 6.4 in practice

1. Agree the process with HR
2. Separate honest mistakes from wilful breaches
3. Keep reporting safe so people disclose errors
4. Name an owner for 6.4, decide how often it runs and file evidence each time, so the control is audit-ready all year.

Recording 6.4 in the Statement of Applicability

List 6.4 with whether it applies, the reason (usually the risks it treats or a legal or contractual requirement), its implementation status and where the evidence lives. If you exclude it, explain why none of your risks or obligations require it.

Free resources

• ISO 27001 and GDPR readiness assessment
• 10 steps to implement ISO 27001
• Remote ISO 27001 consultant

More people controls

• 6.1 Screening
• 6.2 Terms and conditions of employment
• 6.3 Information security awareness, education and training
• 6.5 Responsibilities after termination or change of employment
• 6.6 Confidentiality or non-disclosure agreements
• 6.7 Remote working
• 6.8 Information security event reporting