A.6.1 Audit Checklist

When to use this

Use this checklist during an internal audit of personnel screening controls.

Related controls

• A.6.1 Screening
• A.6.1 Audit Evidence Pack
• Personnel Screening Register

Audit checklist

• Confirm the organization has a documented screening procedure.
• Confirm screening applies to employees, contractors, temporary staff, and third-party users in ISMS scope.
• Confirm screening depth is risk-based and proportional.
• Sample personnel files and verify checks were completed before joining or sensitive access.
• Check whether candidate-provided documents were independently verified where permitted.
• Check whether employment gaps or irregularities were documented and followed up.
• Interview HR, recruitment staff, and hiring managers on responsibilities.
• Confirm screening evidence is protected as personal data.
• Check whether rescreening or updated checks occur for higher-risk role changes where justified.
• Record nonconformities, observations, and improvement actions.

Findings table