HR-7 Disciplinary Process

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What is HR-7 Disciplinary Process Control about?

Good governance requires a process to address and enforce corrective action in response to employee misconduct, rule violations, or poor performance. The HR-7 Disciplinary Process makes sure of the appeal and enforces corrective actions. 

You need to document how that process will look since it can take different forms (verbal warning, written warning, escalation, etc.), and there is no formal or mandatory format to follow.

Available tools in the marketplace

 Disciplinary Tools
No tool recommendation is made for this section

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. 

  1. Disciplinary action template

Control implementation

To implement disciplinary action, document your organization’s disciplinary process in your Employee Handbook or Acceptable Use policy. Ensure the following documentation is taken into account:

  1. Examples of unacceptable behavior that may result in termination
  2. The different stages of disciplinary actions


  • 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:

  1. Provide a policy that includes the disciplinary process.


  1. Provide the disciplinary action template.

Evidence example

For the suggested action, 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 policy or HR policy.
    TrustCloud’s disciplinary process policy includes a high-level statement.
    HR 7 Disciplinary Process 01

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