HRS-01 Background Screening Policy and Procedures
Keep approved background verification procedures for all new employees, contractors and third parties, scaled to the data they will access, the business requirement and accepted risk, and consistent with local law. Revie
4
artefacts
0
held by a system
3
at each review
hard
to go live
HR system / LMS
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Screening records for recent hires, contractors and third party staff · HR system / LMS
- Evidence of legal constraints considered per jurisdiction · Document repository
- Annual review record · Document repository
governing documentDocuments that govern the control
- The background screening procedure with the scaling criteria · HR system / LMS
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Contractors and third party staff excluded from screening
- One screening depth applied regardless of data access
- Screening completed after access was granted
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 sheetGRC-08 Special Interest Groups · HRS-02 Acceptable Use of Technology Policy and Procedures