Assessment Objective

Determine if:

• PS-08a. a formal sanctions process is employed for individuals failing to comply with established information security and privacy policies and procedures;
• PS-08b. [Assignment: personnel or roles] is/are notified within [Assignment: time period] when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

Assessment Methods

Examine

• Personnel security policy
• personnel security procedures
• procedures addressing personnel sanctions
• access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements)
• list of personnel or roles to be notified of formal employee sanctions
• records or notifications of formal employee sanctions
• system security plan
• privacy plan
• personally identifiable information processing policy
• other relevant documents or records

Interview

• Organizational personnel with personnel security responsibilities
• legal counsel
• organizational personnel with information security and privacy responsibilities

Test

• Organizational processes for managing formal employee sanctions
• mechanisms supporting and/or implementing formal employee sanctions notifications

Linked Issues

• NIST -

  EN: Publications of the National Institute of Standards and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/, from their electronic versions (OSCAL; SP 800-63-4 from its HTML version, https://pages.nist.gov/800-63-4/). Works of NIST employees are not subject to copyright protection in the United States (17 U.S.C. § 105); the OSCAL content is dedicated to the public domain worldwide (CC0 1.0); outside the United States NIST grants the right to reprint its technical series publications in all formats (NIST copyright statement). Republished courtesy of the National Institute of Standards and Technology; each document names its citation. Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by NIST are authoritative.

  DE: Veröffentlichungen des National Institute of Standards and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/, aus ihren elektronischen Fassungen (OSCAL; SP 800-63-4 aus ihrer HTML-Fassung, https://pages.nist.gov/800-63-4/). Werke von NIST-Beschäftigten sind in den USA urheberrechtlich nicht geschützt (17 U.S.C. § 105); die OSCAL-Inhalte sind weltweit gemeinfrei gestellt (CC0 1.0); außerhalb der USA räumt das NIST das Recht ein, seine Technical-Series-Publikationen in allen Formaten neu zu veröffentlichen (Copyright-Hinweis des NIST). „Republished courtesy of the National Institute of Standards and Technology“; jedes Dokument nennt seine Zitierangabe. In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die vom NIST veröffentlichten Fassungen.