ISO 27001:2022 Annex A 6.4 Checklist Guide •

ISO 27001:2022 Annex A 6.4 Checklist Guide

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By Max Edwards | Updated 15 August 2024

Using a checklist for A.6.4 Disciplinary Process ensures a structured approach to compliance, fostering consistency, accountability, and continuous improvement in managing information security incidents. This method enhances transparency and mitigates risks, promoting a culture of responsibility and adherence to ISO 27001:2022 standards.

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ISO 27001 A.6.4 Disciplinary Process Checklist

Annex A.6.4 in ISO 27001:2022 refers to the Disciplinary Process control. This control ensures that there are established and communicated disciplinary processes in place for employees who have violated information security policies or procedures.

The objective is to enforce compliance with the organisation’s information security policies and procedures, maintaining high information security awareness and adherence among employees.

Effective implementation involves clear policy establishment, thorough communication, meticulous documentation, fair investigation, proportional response, corrective actions, and regular review and improvement.


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Why Should You Comply With Annex A.6.4? Key Aspects and Common Challenges

Policy Establishment

    Challenge: Ensuring the disciplinary policy is comprehensive, legally compliant, and aligns with organisational standards.

  • Solution:

    • Utilise pre-built policy templates to quickly establish a comprehensive disciplinary policy.
    • Track changes and updates to policies to ensure the latest version is always accessible and legally compliant.
    • Control who can view and edit policies to ensure only authorised personnel can make changes.
  • Related ISO 27001 Clauses: Policy, Documented Information

Compliance Checklist:

Develop a formal disciplinary policy using policy templates.

Ensure policy aligns with legal and regulatory requirements.

Use version control to track changes and updates to the policy.

Control document access to authorised personnel only.

Communication

    Challenge: Effectively communicating the disciplinary process to all employees and ensuring understanding and acknowledgment.

  • Solution:

    • Quickly communicate policy changes and important information regarding the disciplinary process through an alert system.
    • Ensure timely notifications are sent to relevant stakeholders.
    • Develop and deliver training programmes on the disciplinary process and information security policies.
    • Track employee acknowledgment of the disciplinary policy.
  • Related ISO 27001 Clauses: Awareness, Communication

Compliance Checklist:

Communicate the disciplinary policy through the alert system.

Ensure all employees receive notifications about the policy.

Include the policy in employee handbooks and training sessions.

Track acknowledgment of the policy by all employees.

Documentation

    Challenge: Accurately documenting all incidents, investigations, and outcomes to ensure transparency and accountability.

  • Solution:

    • Log and track all information security incidents, including details of investigations and outcomes.
    • Use templates to standardise documentation of incidents, investigations, and disciplinary actions.
    • Ensure all documentation is up-to-date and reflects the latest procedures and policies.
    • Maintain access control to ensure documentation is accessible to authorised personnel.
  • Related ISO 27001 Clauses: Documented Information, Operational Planning and Control

Compliance Checklist:

Log and track all information security incidents in the incident tracker.

Use standardised templates for documenting incidents and disciplinary actions.

Maintain up-to-date documentation reflecting the latest procedures and policies.

Ensure documentation is accessible to authorised personnel.

Investigation

    Challenge: Conducting thorough and fair investigations with authorised personnel and maintaining confidentiality.

  • Solution:

    • Manage the steps involved in the investigation process, ensuring thorough and consistent handling of incidents.
    • Define and manage the steps involved in the investigation process.
    • Facilitate collaboration among teams during investigations and policy updates while maintaining confidentiality.
  • Related ISO 27001 Clauses: Monitoring, Measurement, Analysis and Evaluation, Internal Audit

Compliance Checklist:

Define and manage investigation steps using the workflow feature.

Ensure authorised personnel conduct investigations.

Maintain confidentiality throughout the investigation process.

Collaborate using secure tools to facilitate investigations.

Proportional Response

    Challenge: Ensuring disciplinary actions are fair, consistent, and proportionate to the severity of the violation.

  • Solution:

    • Regularly review the effectiveness of the disciplinary process to ensure fairness and consistency.
    • Schedule and plan audits to monitor the process.
    • Track and document corrective actions taken in response to audit findings.
  • Related ISO 27001 Clauses: Nonconformity and Corrective Action, Management Review

Compliance Checklist:

Regularly review the effectiveness of the disciplinary process with audit templates.

Schedule and plan audits to monitor the process.

Track and document corrective actions in response to audit findings.

Ensure disciplinary actions are consistent and proportionate.

Corrective Actions

    Challenge: Implementing effective corrective actions and ensuring they address the root cause of the violation.

  • Solution:

    • Implement corrective actions to address the root cause of the violation and prevent future occurrences.
    • Use findings from disciplinary processes to improve information security policies and training programmes.
    • Track and document corrective actions taken and monitor their effectiveness.
  • Related ISO 27001 Clauses: Continual Improvement

Compliance Checklist:

Implement corrective actions to address root causes of violations.

Use training modules to improve policies and training programmes.

Track and document corrective actions taken.

Monitor the effectiveness of corrective actions.

Review and Improvement

    Challenge: Regularly reviewing and updating the disciplinary process to keep it effective and relevant.

  • Solution:

    • Regularly review and update the disciplinary process using audit management tools.
    • Schedule and plan regular reviews of the disciplinary process.
    • Use audit findings to enhance and improve the process continuously.
    • Implement practices for ongoing improvement based on feedback and audit results.
  • Related ISO 27001 Clauses: Continual Improvement

Compliance Checklist:

Regularly review the disciplinary process using audit management tools.

Schedule and plan regular reviews and updates.

Use findings from audits to enhance and improve the process.

Implement continuous improvement practices.

Benefits of Compliance

  • Deterrence: Establishing clear disciplinary processes acts as a deterrent to potential violators.
  • Consistency: Ensures consistent and fair treatment of all employees in case of information security breaches.
  • Accountability: Holds employees accountable for their actions, promoting a culture of responsibility and awareness.
  • Improvement: Provides opportunities to identify weaknesses in current policies and procedures, enabling continuous improvement.


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ISMS.online Features for Demonstrating Compliance with A.6.4

  • Policy Management:

    • Utilise pre-built policy templates to quickly establish a formal disciplinary policy.
    • Track changes and updates to policies, ensuring the latest version is always accessible.
    • Control who can view and edit policies, ensuring only authorised personnel can make changes.
  • Incident Management:

    • Log and track all information security incidents, including details of investigations and outcomes.
    • Define and manage the steps involved in the investigation process, ensuring thorough and consistent handling of incidents.
    • Set up automatic notifications to alert relevant personnel when an incident is reported or requires action.
  • Audit Management:

    • Use audit templates to regularly review the effectiveness of the disciplinary process.
    • Schedule and plan audits to ensure continuous monitoring and improvement.
    • Track and document corrective actions taken in response to audit findings.
  • Training Management:

    • Develop and deliver training programmes on the disciplinary process and information security policies.
    • Monitor employee participation in training sessions and ensure completion.
    • Conduct assessments to evaluate understanding and compliance with the disciplinary process.
  • Documentation:

    • Use templates to standardise documentation of incidents, investigations, and disciplinary actions.
    • Ensure all documentation is up-to-date and reflects the latest procedures and policies.
    • Facilitate collaboration among teams during investigations and policy updates.
  • Communication:

    • Quickly communicate policy changes and important information regarding the disciplinary process.
    • Ensure timely notifications are sent to relevant stakeholders during incidents and investigations.
    • Use collaboration tools to discuss and resolve incidents efficiently.

Detailed Annex A.6.4 Compliance Checklist

  • Policy Establishment:

    Develop a formal disciplinary policy using policy templates.

    Ensure policy aligns with legal and regulatory requirements.

    Use version control to track changes and updates to the policy.

    Control document access to authorised personnel only.
  • Communication:

    Communicate the disciplinary policy through the alert system.

    Ensure all employees receive notifications about the policy.

    Include the policy in employee handbooks and training sessions.

    Track acknowledgment of the policy by all employees.
  • Documentation:

    Log and track all information security incidents in the incident tracker.

    Use standardised templates for documenting incidents and disciplinary actions.

    Maintain up-to-date documentation reflecting the latest procedures and policies.

    Ensure documentation is accessible to authorised personnel.
  • Investigation:

    Define and manage investigation steps using the workflow feature.

    Ensure authorised personnel conduct investigations.

    Maintain confidentiality throughout the investigation process.

    Collaborate using secure tools to facilitate investigations.
  • Proportional Response:

    Regularly review the effectiveness of the disciplinary process with audit templates.

    Schedule and plan audits to monitor the process.

    Track and document corrective actions in response to audit findings.

    Ensure disciplinary actions are consistent and proportionate.
  • Corrective Actions:

    Implement corrective actions to address root causes of violations.

    Use training modules to improve policies and training programmes.

    Track and document corrective actions taken.

    Monitor the effectiveness of corrective actions.
  • Review and Improvement:

    Regularly review the disciplinary process using audit management tools.

    Schedule and plan regular reviews and updates.

    Use findings from audits to enhance and improve the process.

    Implement continuous improvement practices.


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Every Annex A Control Checklist Table

ISO 27001 Annex A.5 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.5.1Policies for Information Security Checklist
Annex A.5.2Information Security Roles and Responsibilities Checklist
Annex A.5.3Segregation of Duties Checklist
Annex A.5.4Management Responsibilities Checklist
Annex A.5.5Contact With Authorities Checklist
Annex A.5.6Contact With Special Interest Groups Checklist
Annex A.5.7Threat Intelligence Checklist
Annex A.5.8Information Security in Project Management Checklist
Annex A.5.9Inventory of Information and Other Associated Assets Checklist
Annex A.5.10Acceptable Use of Information and Other Associated Assets Checklist
Annex A.5.11Return of Assets Checklist
Annex A.5.12Classification of Information Checklist
Annex A.5.13Labelling of Information Checklist
Annex A.5.14Information Transfer Checklist
Annex A.5.15Access Control Checklist
Annex A.5.16Identity Management Checklist
Annex A.5.17Authentication Information Checklist
Annex A.5.18Access Rights Checklist
Annex A.5.19Information Security in Supplier Relationships Checklist
Annex A.5.20Addressing Information Security Within Supplier Agreements Checklist
Annex A.5.21Managing Information Security in the ICT Supply Chain Checklist
Annex A.5.22Monitoring, Review and Change Management of Supplier Services Checklist
Annex A.5.23Information Security for Use of Cloud Services Checklist
Annex A.5.24Information Security Incident Management Planning and Preparation Checklist
Annex A.5.25Assessment and Decision on Information Security Events Checklist
Annex A.5.26Response to Information Security Incidents Checklist
Annex A.5.27Learning From Information Security Incidents Checklist
Annex A.5.28Collection of Evidence Checklist
Annex A.5.29Information Security During Disruption Checklist
Annex A.5.30ICT Readiness for Business Continuity Checklist
Annex A.5.31Legal, Statutory, Regulatory and Contractual Requirements Checklist
Annex A.5.32Intellectual Property Rights Checklist
Annex A.5.33Protection of Records Checklist
Annex A.5.34Privacy and Protection of PII Checklist
Annex A.5.35Independent Review of Information Security Checklist
Annex A.5.36Compliance With Policies, Rules, and Standards for Information Security Checklist
Annex A.5.37Documented Operating Procedures Checklist


ISO 27001 Annex A.6 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.6.1Screening Checklist
Annex A.6.2Terms and Conditions of Employment Checklist
Annex A.6.3Information Security Awareness, Education and Training Checklist
Annex A.6.4Disciplinary Process Checklist
Annex A.6.5Responsibilities After Termination or Change of Employment Checklist
Annex A.6.6Confidentiality or Non-Disclosure Agreements Checklist
Annex A.6.7Remote Working Checklist
Annex A.6.8Information Security Event Reporting Checklist


ISO 27001 Annex A.7 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.7.1Physical Security Perimeters Checklist
Annex A.7.2Physical Entry Checklist
Annex A.7.3Securing Offices, Rooms, and Facilities Checklist
Annex A.7.4Physical Security Monitoring Checklist
Annex A.7.5Protecting Against Physical and Environmental Threats Checklist
Annex A.7.6Working in Secure Areas Checklist
Annex A.7.7Clear Desk and Clear Screen Checklist
Annex A.7.8Equipment Siting and Protection Checklist
Annex A.7.9Security of Assets Off-Premises Checklist
Annex A.7.10Storage Media Checklist
Annex A.7.11Supporting Utilities Checklist
Annex A.7.12Cabling Security Checklist
Annex A.7.13Equipment Maintenance Checklist
Annex A.7.14Secure Disposal or Re-Use of Equipment Checklist


ISO 27001 Annex A.8 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.8.1User Endpoint Devices Checklist
Annex A.8.2Privileged Access Rights Checklist
Annex A.8.3Information Access Restriction Checklist
Annex A.8.4Access to Source Code Checklist
Annex A.8.5Secure Authentication Checklist
Annex A.8.6Capacity Management Checklist
Annex A.8.7Protection Against Malware Checklist
Annex A.8.8Management of Technical Vulnerabilities Checklist
Annex A.8.9Configuration Management Checklist
Annex A.8.10Information Deletion Checklist
Annex A.8.11Data Masking Checklist
Annex A.8.12Data Leakage Prevention Checklist
Annex A.8.13Information Backup Checklist
Annex A.8.14Redundancy of Information Processing Facilities Checklist
Annex A.8.15Logging Checklist
Annex A.8.16Monitoring Activities Checklist
Annex A.8.17Clock Synchronisation Checklist
Annex A.8.18Use of Privileged Utility Programs Checklist
Annex A.8.19Installation of Software on Operational Systems Checklist
Annex A.8.20Networks Security Checklist
Annex A.8.21Security of Network Services Checklist
Annex A.8.22Segregation of Networks Checklist
Annex A.8.23Web Filtering Checklist
Annex A.8.24Use of Cryptography Checklist
Annex A.8.25Secure Development Life Cycle Checklist
Annex A.8.26Application Security Requirements Checklist
Annex A.8.27Secure System Architecture and Engineering Principles Checklist
Annex A.8.28Secure Coding Checklist
Annex A.8.29Security Testing in Development and Acceptance Checklist
Annex A.8.30Outsourced Development Checklist
Annex A.8.31Separation of Development, Test and Production Environments Checklist
Annex A.8.32Change Management Checklist
Annex A.8.33Test Information Checklist
Annex A.8.34Protection of Information Systems During Audit Testing Checklist


How ISMS.online Help With A.6.4

Ready to take your information security management to the next level? Ensure compliance with ISO 27001:2022 Annex A.6.4 and other critical controls with the powerful features of ISMS.online.

Experience firsthand how our platform can streamline your disciplinary processes, enhance policy management, and improve overall security posture.

Don’t miss out on the opportunity to transform your organisation’s information security practices. Contact ISMS.online today to book a demo and see how we can help you achieve and maintain ISO 27001:2022 compliance effortlessly.

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