Active

Background Verification

The organization shall conduct background verifications for all personnel prior to employment or engagement, in accordance with the screening policy and applicable legal requirements. Verifications shall include checks of identity, employment history, educational credentials, professional certifications, and criminal records as appropriate for the role, conducted consistently with results documented.

Requirement ID
HRS-001-R002
Parent Control
HRS-001
Domain Code
HRS

Requirement Details & Guidance

HRS-001-R002 · HRS-001
Why This Requirement Exists

This requirement exists to conduct and document appropriate background verification before personnel are engaged, ensuring personnel security obligations are consistently defined, understood, applied, and evidenced.

Implementation Guidance

Establish and document the process to conduct and document appropriate background verification before personnel are engaged. Define accountable roles, applicable personnel or roles, required inputs and outputs, authorization or validation criteria, timing or triggers, exception handling, evidence and retention requirements, monitoring, reporting, review, and escalation. Apply the process consistently and in accordance with applicable legal and organizational requirements.

Practical Application & Audit Readiness

HRS-001-R002 · Field Guidance

Business Examples

    Common Audit Findings

      Common Mistakes

        Best Practices & Ownership

        HRS-001 · Recommended Approach

        Recommended Practices

          Typical Owner

          Cross-Mapped Regulatory Frameworks

          Harmonized Control Mappings
          FRAMEWORK CODE FRAMEWORK NAME & DETAILS FAMILY / CATEGORY VERSION ACTION
          IRDAI IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §2.4-3.1 – Prior to Employment
          India
          Guideline
          		 vLatest View →
          SEBI-CSCRF SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 3.1 PR.AA: Identity Management, Authentication, and Access Control
          India
          Regulation
          		 vLatest View →
          DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 13(6) – ICT security awareness and digital operational resilience training Article 5(2)(g) – Appropriate budget, ICT security awareness and digital operational resilience training
          EU
          Regulation
          		 vCurrent View →
          HIPAA Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement... Clause: § 164.308(a)(9) Standard: Workforce security; § 164.308(a)(9)(ii)(B) Workforce clearance procedure
          US
          Law
          		 vCurrent View →
          ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 6.1 – Screening; 6.3 – Information security awareness, education and training
          ISO
          Standard
          		 v2022 View →
          NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(i) – Human resources security, access control policies and asset management
          EU
          Directive
          		 vCurrent View →
          PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine... Clause: 12.7.1 – Potential personnel who will have access to
          PCI
          Standard
          		 v4 View →
          NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: GV.RR – Roles, Responsibilities, and Authorities | GV.RR-04 – Cybersecurity is included in human resources practices
          NIST
          Framework
          		 v2 View →
          NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.14 – PERSONNEL SECURITY; PS-3 – PERSONNEL SCREENING
          NIST
          Control Catalog
          		 vRev. 5 View →
          SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC1.4 – Control Environment – COSO Principle 4: The entity demonstrates a commitment to attract, develop, and retain competent individuals in alignment with objectives.
          AICPA
          Audit Framework
          		 vLatest View →
          ISO27701 ISO/IEC 27701 ISO/IEC 27701 provides requirements and guidance f... Clause: 6.3.1.1; 6.3.1.1 – Screening (privacy)
          ISO
          Privacy Standard
          		 v2019 View →

          Parent Domain Context

          Governance Domain Baseline
          Domain Name:
          Human Resource Security (HRS)
          Purpose:
          To cultivate a security-conscious workforce and manage human-related risks.
          Scope:
          Enterprise
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          Parent Control Context

          Control Baseline
          Control Name:
          Personnel Screening & Verification (HRS-001)
          Summary:
          Establishes personnel screening including screening policy, background verification, identity verification, employment eligibility, screening approval, re-screening, exception management, documentation, review, and continuous improvement.
          Business Description:
          Establish and maintain processes for pre-employment screening, background verification, identity validation, and personnel suitability assessments in accordance with legal, regulatory, and organizational requirements.
          View