ISO 27001A.6 — Disciplinary process
A.6.4
Disciplinary process
ISO 27001 · ISO/IEC 27001:2022 · Last verified July 2026
Objective
Take formal disciplinary action against personnel who commit information security policy violations.
Points of focus
- Define scope and requirements for disciplinary process
- Assign ownership and operating cadence
- Integrate with risk treatment and SoA status
- Retain dated records proving operation
Implementation notes
Document a fair process with HR; ensure policy acknowledgements exist so expectations were communicated before enforcement. Tie the SoA implementation summary to the systems of record engineers already use, and keep dated samples ready for Stage 2 sampling.
Audit tip: Present the SoA line for A.6.4, the current procedure, and one recent dated operating sample with a named owner.
Evidence auditors typically request:
- HR / people-ops procedure with version control
- Completion records (training, screening, acknowledgements)
- Sample personnel file checklist (redacted) with dates
- Acknowledgement or attestation artifacts
Common gaps
- SoA marks disciplinary process applicable without dated operating samples
- Procedure exists but interviews describe a different tribal process
- Owner unclear or last review older than the stated cadence
Cross-Framework Mapping
| Framework | Requirement | Implementation note |
|---|---|---|
| ISO 27001 | A.6.4 | This control |
Primary sources
- ISO/IEC 27001:2022 Annex A: ISO/IEC 27001:2022 Annex A (A.6.4)
Frequently Asked Questions
Applicability depends on risk and scope. Many cloud-native SoAs still include organizational and technological controls; physical themes may be partially inherited from providers with documented shared responsibility.
Applicability decision, brief implementation summary, and justification if excluded. Vague 'N/A — cloud' without rationale is a common Stage 1 finding.
Name the owner, the system of record, and the cadence. Auditors sample reality — tickets, configs, and interviews — not synonym-rewritten ISO text.