03.09.01 Personnel Screening
Screen individuals prior to authorizing access to the system and CUI; rescreen at defined frequency.
3
artefacts
0
held by a system
1
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
- Completed background check records · HR system / LMS
governing documentDocuments that govern the control
- Background check policy · HR system / LMS
- Rescreen schedule · 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 not screened
- no rescreen for long tenure staff
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 sheet03.08.09 System Backup - Cryptographic Protection · 03.09.02 Personnel Termination and Transfer