Screening Policy (HRS-001-R001) - HRS-001

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Requirement ID

HRS-001-R001

Parent Control

HRS-001

Domain Code

HRS

Requirement Details & Guidance

HRS-001-R001 · HRS-001

Why This Requirement Exists

This requirement exists to establish the personnel screening policy and requirements applicable before employment or engagement, ensuring personnel security obligations are consistently defined, understood, applied, and evidenced.

Implementation Guidance

Establish and document the process to establish the personnel screening policy and requirements applicable before employment or engagement. 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-R001 · 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
COBIT2019	COBIT COBIT is an enterprise governance and management f... Clause: 4.2 – Align, Plan and Organize (APO) > APO07 – Managed Human Resources > APO07.01 – Acquire and maintain adequate and appropriate staffing.	COBIT Governance Framework	v2019	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 →
IRDAI	IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §2.4-3.1 – Prior to Employment	India Guideline	vLatest	View →
ISO22301	ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 7.2 – Competence	ISO Standard	v2019	View →
ISO27001	ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for... Clause: 5.2 – Policy	ISO Standard	v2022	View →
ISO27002	ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 6.1 – Screening; 6.6 – Confidentiality or non-disclosure agreements	ISO Standard	v2022	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 →
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 →
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 →
NPCI-ISR	NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Governance Controls; Governance and Oversight Structure – Establishing clear policies	India Standard	vLatest	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 →
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 →
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. CC5.3 – Control Activities – COSO Principle 12: The entity deploys control activities through policies that establish what is expected and in procedures that put policies into action.	AICPA Audit Framework	vLatest	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.

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