What is ISO 27001 Annex A 6.4 in ISO 27001?
Annex A 6.4 defines the formal process following an information security breach. Organisations must document this within their standard HR tools. This ensures staff understand the consequences of security violations. It links personnel management directly to the security policy. Effective management requires manual records.
Auditor’s Eye: The Shortcut Trap
Relying on automated SaaS dashboards for disciplinary compliance is risky. These platforms often fail to show human oversight. Auditors want to see internal records. We check for investigation notes in SharePoint. We look for Jira tickets linked to HR actions. Automated green ticks do not prove a culture of accountability. Black box SaaS tools often isolate security from daily HR operations. Auditors prefer seeing the audit trail in your own SharePoint environment. This proves that the management team owns the process.
| 2013 Control Reference | 2022 Control Reference | Primary Requirement |
|---|---|---|
| A.7.2.3 Disciplinary process | A.6.4 Disciplinary process | Formalise a process to take action against staff committing security breaches. |
How to Implement ISO 27001 Annex A 6.4 (Step-by-Step)
Implement Annex A 6.4 by documenting a formal disciplinary procedure within your existing HR manuals. This ensures security rules carry legal weight during employment. Use internal business tools to maintain this process. This approach integrates security into your organisational culture. It avoids the need for external compliance software.
- Review HR Policies: Update your SharePoint HR handbook to include security-specific violations.
- Categorise Breaches: Use Confluence to list examples of minor, serious, and gross misconduct.
- Define Investigations: Set up a Jira workflow for investigating potential security breaches.
- Communicate Rules: Request staff to sign the updated policy via your internal wiki.
- Log Actions: Maintain a confidential record of all disciplinary outcomes in secure folders.
ISO 27001 Annex A 6.4 Audit Evidence Checklist
Auditors look for manual records and internal document versions. These prove human oversight and intent. Focus on the following evidence.
- A formal disciplinary policy with version control in SharePoint.
- Meeting minutes between HR and the Information Security Manager.
- Anonymised logs of disciplinary actions taken following breaches.
- Staff induction records showing acknowledgement of the disciplinary process.
- Jira audit logs for security incident investigations.
Relational Mapping
- Clause 5.1: Leadership and management commitment.
- Annex A 5.1: Policies for information security.
- Annex A 6.1: Screening of personnel.
- Annex A 6.3: Security awareness and training.
Auditor Interview
Auditor: How do you notify staff about the consequences of a breach?
Manager: We document the disciplinary process in our staff handbook. Every employee reviews this on our internal SharePoint site.
Auditor: Can you show me an investigation trail for a recent incident?
Manager: Yes. We track the investigation steps and HR’s final decision in our secure Jira project.
Common Non-Conformities
| Failure Mode | Auditor Observation | Remediation Action |
|---|---|---|
| Automated Complacency | A SaaS platform shows compliance but staff are unaware of the policy. | Relocate the policy to SharePoint and conduct internal briefings. |
| Informal Actions | Breaches are handled verbally without a documented record. | Formalise all incident responses using Jira investigation tickets. |
| Missing HR Link | The security team investigates but HR is not informed. | Create a shared workflow between HR and Security in Confluence. |
Frequently Asked Questions
What is the goal of ISO 27001 Annex A 6.4?
The core goal of the disciplinary process is to provide a formal deterrent against security breaches. It ensures that employees and contractors understand that security violations lead to specific consequences. Documentation must reside in your internal HR systems.
Where should we document disciplinary actions?
Document actions in secure internal repositories like SharePoint or Jira. This provides a clear audit trail. It proves to the auditor that you manage your own risks. Avoid using third-party software that hides the detail of the process.
How does this differ from general HR discipline?
This process specifically addresses violations of the information security policy. It requires a link between the security incident and the HR response. You should map security breach types to your existing disciplinary levels in Confluence.