Active

Disciplinary Process

The organization shall establish a disciplinary process for addressing violations of the code of conduct and organizational policies, including investigation, enforcement, and consequences. The process shall include investigation of violations, enforcement of consequences, and documentation of disciplinary actions, ensuring the process is fair, consistent, and documented.

Requirement ID
HRS-004-R008
Parent Control
HRS-004
Domain Code
HRS

Requirement Details & Guidance

HRS-004-R008 · HRS-004
Why This Requirement Exists

This requirement exists to investigate and address violations through a fair, consistent, documented disciplinary process, ensuring personnel security obligations are consistently defined, understood, applied, and evidenced.

Implementation Guidance

Establish and document the process to investigate and address violations through a fair, consistent, documented disciplinary process. Define accountable roles, applicable personnel or roles, required inputs and outputs, authorization or validation criteria, timing or triggers, exception handling, evidence and retention requirements, monitoring, reporting, review, and escalation. Apply the process consistently and in accordance with applicable legal and organizational requirements.

Practical Application & Audit Readiness

HRS-004-R008 · Field Guidance

Business Examples

    Common Audit Findings

      Common Mistakes

        Best Practices & Ownership

        HRS-004 · Recommended Approach

        Recommended Practices

          Typical Owner

          Cross-Mapped Regulatory Frameworks

          Harmonized Control Mappings
          FRAMEWORK CODE FRAMEWORK NAME & DETAILS FAMILY / CATEGORY VERSION ACTION
          IRDAI IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §2.4-3.2 – On-Boarding and During Employment
          India
          Guideline
          		 vLatest View →
          RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: 23) User / Employee/ Management Awareness – 23.1 Security/acceptable-use policies communicated to users, employees, vendors and partners with cybersecurity education
          India
          Regulation
          		 vLatest View →
          SEBI-CSCRF SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 1.2 GV.RR: Roles, Responsibilities and Authorities; 3.2 PR.AT: Awareness and Training
          India
          Regulation
          		 vLatest View →
          DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 13(6) – ICT security awareness and digital operational resilience training
          EU
          Regulation
          		 vCurrent View →
          ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 6.4 – Disciplinary process
          ISO
          Standard
          		 v2022 View →
          NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(i) – Human resources security, access control policies and asset management
          EU
          Directive
          		 vCurrent View →
          COBIT2019 COBIT COBIT is an enterprise governance and management f... Clause: 4.2 – Align, Plan and Organize (APO) > APO07 – Managed Human Resources > APO07.04 – Assess and recognize/reward employee job performance.
          COBIT
          Governance Framework
          		 v2019 View →
          NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: GV.RR – Roles, Responsibilities, and Authorities | GV.RR-04 – Cybersecurity is included in human resources practices
          NIST
          Framework
          		 v2 View →
          NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.14 – PERSONNEL SECURITY; PS-8 – PERSONNEL SANCTIONS, PS-1 – POLICY AND PROCEDURES
          NIST
          Control Catalog
          		 vRev. 5 View →
          SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC1.1 – Control Environment – COSO Principle 1: The entity demonstrates a commitment to integrity and ethical values. CC1.5 – Control Environment – COSO Principle 5: The entity holds individuals accountable for their internal control responsibilities in the pursuit of objectives.
          AICPA
          Audit Framework
          		 vLatest View →

          Parent Domain Context

          Governance Domain Baseline
          Domain Name:
          Human Resource Security (HRS)
          Purpose:
          To cultivate a security-conscious workforce and manage human-related risks.
          Scope:
          Enterprise
          View

          Parent Control Context

          Control Baseline
          Control Name:
          Employee Code of Conduct & Ethics (HRS-004)
          Summary:
          Establishes code of conduct including ethical behavior, security responsibilities, privacy responsibilities, acceptable behavior, policy compliance, violation reporting, disciplinary process, periodic review, and continuous improvement.
          Business Description:
          Establish, communicate, and enforce a code of conduct defining expected standards of ethical behavior, information security, privacy, acceptable use, and regulatory compliance for all personnel.
          View