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R4.1 DISCHARGE DISCIPLINE
Discipline individuals for noncompliance.


Individuals should be appropriately and consistently disciplined for violating company policy, or otherwise violating rules or law.  This process and criteria should be periodically updated to reflect new risks to the entity and values that the entity wishes to promote.
Standards & Guidance
Core Practices
    R4.1.101
  • Define a procedure and criteria for consistent discipline given type of misconduct
    R4.1.102
  • Track discipline decisions and include in personnel files
    R4.1.103
  • Periodically report to the board on material disciplinary measures taken (and underlying facts and circumstances)
Additional Practices
    R4.1.201
  • Periodically review past disciplinary actions to ensure consistency
GUIDELINE DETAILS
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