HR-7 Disciplinary Process

What is this control about?

Good governance requires a process to reprimand or enforce corrective action in response to employee misconduct, rule violation, or poor performance.

Document what that process will look like since it can take on many different forms (verbal warning, written warning, escalation, etc..) and there is no formal or mandatory format to follow.

Available tools in the marketplace

Available templates

TrustCloud has a curated list of templates internally or externally sourced to help you get started. Click on the link for a downloadable version:

• Disciplinary action template available

Control implementation

In your Employee Handbook or Acceptable Use policy, document your organization disciplinary process. Ensure your documentation includes at a minimum the following:

• Examples of unacceptable behaviors that may result in a termination
• The different stages of disciplinary actions

Optional:

• Disciplinary action template to track any actions taken

What evidence do auditors look for?

Most auditors, at a minimum are looking for the below suggested action:

• Provide the policy that includes the disciplinary process

Optional:

• Provide the disciplinary action template

Evidence example

From the suggested action above, an example is provided below:

1. Provide the policy that includes the disciplinary process clauses.This is typically included in the Employee Handbook Policy, Acceptable Use or HR policy,In TrustCloud, the disciplinary process policy includes a high-level statement.