What evidence do auditors commonly ask for on HRS-01 Background Screening Policy and Procedures?

Screening policy with a matrix linking role or data classification tier to the checks required (identity, right to work, criminal, credit, references); HR onboarding tickets for a sample of recent hires, contractors and third-party staff showing the screening request and the vendor's completion confirmation; Register of legal and contractual screening constraints per hiring country, with the date it was last checked; Exception log for failed or incomplete checks with the approver and the decision taken; Policy version history showing the yearly review and any review after a significant change.

What is the most common gap auditors find on HRS-01?

Contractors and third-party staff onboarded through procurement with no screening at all

CSA CCM v4.1 · HRS - Human Resources

`HRS-01` Background Screening Policy and Procedures

Keep an approved, communicated and operated set of rules for screening every new hire before engagement, covering remote staff, contractors and third parties. Screening depth follows local law, regulation, ethics and contract terms and is scaled to the classification of data the person will reach, the business need and accepted risk; the rules are reviewed every year and again whenever a significant change occurs.

Source: CSA CCM v4.1, HRS-01. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open CSA CCM v4.1 in the compliance library.

Version 4.1 adds 11 controls (among them API security, log sanitisation and a service bill of materials) and renumbers several domains. CSA accepts v4.0.x during its transition; if your STAR assessment is still on v4.0.1, check the numbering against it.

artefacts

held by a system

at each review

easy

to go live

Ticketing / ITSM

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

HR onboarding tickets for a sample of recent hires, contractors and third-party staff showing the screening request and the vendor's completion confirmation · Ticketing / ITSM
Exception log for failed or incomplete checks with the approver and the decision taken · SIEM / log platform
Policy version history showing the yearly review and any review after a significant change · Policy repository / GRC workspace

periodic reviewEvidence produced at each review

none for this control

governing documentDocuments that govern the control

Screening policy with a matrix linking role or data classification tier to the checks required (identity, right to work, criminal, credit, references) · Policy repository / GRC workspace
Register of legal and contractual screening constraints per hiring country, with the date it was last checked · HR system / LMS

First move

Automate the pull from your Ticketing / ITSM. The ticket itself, with approver, timestamps and linked change or incident, exported on a schedule.

Common gaps auditors find

Contractors and third-party staff onboarded through procurement with no screening at all
One screening level applied to every role regardless of the data it can reach
Hires granted system access before the screening result came back

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

GRC-08 Special Interest Groups · HRS-02 Acceptable Use of Technology Policy and Procedures