ISO 27001:2022 Annex A 6.1 Checklist Guide •

ISO 27001:2022 Annex A 6.1 Checklist Guide

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By Max Edwards | Updated 15 August 2024

Using a checklist for A.6.1 Screening ensures thorough, consistent, and legally compliant background checks, thereby enhancing organisational security and integrity. Achieving compliance demonstrates a commitment to best practices in information security management, fostering trust and reliability.

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ISO 27001 A.6.1 Screening Checklist

Annex A.6.1 Screening in ISO/IEC 27001:2022 outlines the control measures and processes an organisation must implement to ensure that individuals considered for employment or already employed are suitable for the roles and responsibilities they will undertake. The objective of this control is to verify the trustworthiness and reliability of personnel to mitigate risks associated with human factors in information security.

This includes a comprehensive approach to background checks, policy development, documentation, periodic reviews, and ensuring consistency and fairness in the screening process.

Implementing Annex A.6.1 Screening effectively can be challenging. Below, we detail the key aspects, common challenges, practical solutions, and how ISMS.online features can support compliance.


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Why Should You Comply With Annex A.6.1? Key Aspects and Common Challenges

1. Background Checks

Organisations must conduct thorough background verification checks on all candidates for employment, particularly those who will have access to sensitive information or critical systems. These checks can include verifying identity, criminal records, education, previous employment, references, and any other relevant aspects to ascertain the integrity and reliability of the candidates.

Challenges:

  • Complexity of Verification: Different roles may require various types of background checks, and obtaining accurate and comprehensive information can be challenging.
  • Legal and Regulatory Compliance: Ensuring background checks comply with local and international laws and regulations can be complex, particularly for global organisations.

Solutions:

  • Utilise Specialised Background Check Services: Employ third-party services that specialise in background verification to ensure thorough and compliant checks.
  • Develop a Clear Verification Framework: Create a standardised process for conducting checks that outlines specific requirements for each role, ensuring consistency and thoroughness.

Compliance Checklist:

Establish a comprehensive background check policy.

Identify specific checks required for each role.

Ensure background checks are compliant with local and international laws.

Document the results of background checks securely.

Regularly review and update background check procedures.

Associated ISO 27001 Clauses:

  • Clause 7.1: Resources
  • Clause 7.2: Competence

2. Screening Policy

The organisation should establish and document a formal screening policy that outlines the types of checks to be performed, the criteria for passing the screening, and the roles for which screening is required. This policy must comply with relevant legal, regulatory, and contractual requirements.

Challenges:

  • Policy Development and Updates: Creating a comprehensive policy that addresses all potential risks and keeping it updated with changing regulations.
  • Stakeholder Buy-In: Ensuring all stakeholders understand and support the screening policy can be difficult, particularly in large organisations.

Solutions:

  • Engage Stakeholders in Policy Development: Include key stakeholders in the policy development process to ensure buy-in and address their concerns.
  • Continuous Monitoring of Legal Changes: Implement a system to monitor changes in relevant laws and regulations to keep the policy updated.

Compliance Checklist:

Develop a detailed screening policy.

Define criteria for passing the screening.

Align the policy with legal and regulatory requirements.

Communicate the policy to all relevant stakeholders.

Regularly review and update the screening policy.

Associated ISO 27001 Clauses:

  • Clause 5.2: Information Security Policy
  • Clause 7.5: Documented Information

3. Documentation and Confidentiality

All information obtained during the screening process should be handled with strict confidentiality and in compliance with data protection laws. Records of the screening process should be maintained securely and only accessible to authorised personnel.

Challenges:

  • Data Security: Protecting sensitive personal data from breaches and ensuring compliance with data protection regulations.
  • Access Control: Managing and monitoring access to confidential screening information to prevent unauthorised access.

Solutions:

  • Implement Advanced Security Measures: Use encryption and secure storage solutions for sensitive data.
  • Access Control Mechanisms: Employ role-based access controls to limit access to confidential information to authorised personnel only.

Compliance Checklist:

Implement secure storage solutions for screening records.

Ensure access to screening information is restricted to authorised personnel.

Establish data protection measures in line with relevant laws.

Conduct regular audits of access controls.

Maintain a log of who accesses screening information.

Associated ISO 27001 Clauses:

  • Clause 7.5: Documented Information
  • Clause 8.2: Risk Assessment

4. Periodic Review

Screening procedures and criteria should be reviewed periodically to ensure they remain effective and compliant with any changes in legal or regulatory requirements. Additionally, existing employees may be subject to re-screening under specific circumstances, such as changes in job role or responsibilities.

Challenges:

  • Consistency and Frequency: Establishing a consistent review process and determining the appropriate frequency for reviews.
  • Resource Allocation: Ensuring sufficient resources are allocated to conduct thorough reviews and re-screenings.

Solutions:

  • Automate Review Processes: Use automated tools to schedule and track periodic reviews.
  • Allocate Dedicated Resources: Assign dedicated personnel or teams to handle reviews and updates.

Compliance Checklist:

Schedule periodic reviews of screening procedures.

Define criteria for re-screening existing employees.

Allocate resources for regular reviews and updates.

Document changes and updates to screening procedures.

Ensure reviews are conducted consistently across all departments.

Associated ISO 27001 Clauses:

  • Clause 9.1: Monitoring, Measurement, Analysis and Evaluation
  • Clause 10.2: Nonconformity and Corrective Action

5. Consistency and Fairness

The screening process should be applied consistently across all candidates and employees to ensure fairness and non-discrimination. This helps in building a trustworthy workforce and maintaining organisational integrity.

Challenges:

  • Bias and Discrimination: Avoiding unconscious bias and ensuring a fair and non-discriminatory screening process.
  • Standardisation: Implementing a standardised approach that is consistently applied across all departments and locations.

Solutions:

  • Training and Awareness Programmes: Implement regular training programmes to educate HR personnel on avoiding bias.
  • Standardised Screening Protocols: Develop and enforce standardised protocols across all departments.

Compliance Checklist:

Develop standardised screening procedures.

Train HR personnel on avoiding bias in the screening process.

Monitor the screening process for consistency.

Regularly review and update training programmes.

Ensure all departments follow the same screening standards.

Associated ISO 27001 Clauses:

  • Clause 7.2: Competence
  • Clause 7.3: Awareness


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ISMS.online Features for Demonstrating Compliance with A.6.1

1. Policy Management

Policy Templates and Policy Pack: Provides customisable templates to develop comprehensive screening policies that are aligned with legal, regulatory, and organisational requirements, helping overcome the challenge of policy development and updates.

Version Control and Document Access: Ensures that all policies related to screening are up-to-date and accessible to relevant stakeholders for review and compliance purposes, addressing the challenge of keeping policies current and ensuring stakeholder buy-in.

2. Documentation Management

Document Control: Facilitates secure storage and controlled access to screening documents, ensuring confidentiality and compliance with data protection laws, mitigating data security and access control challenges.

Document Retention: Manages retention schedules for screening records, ensuring they are kept for the required period and securely disposed of thereafter, supporting data security and compliance.

3. User Management

Identity Management and Access Control: Manages and tracks user roles and access rights to ensure that only authorised personnel have access to sensitive screening information, addressing challenges in access control and data security.

Role Definition and Responsibility Assignment: Clearly defines and documents roles and responsibilities related to the screening process, ensuring consistency and accountability.

4. Training and Awareness

Training Modules and Training Tracking: Offers modules to train HR personnel on screening procedures and compliance requirements, and tracks completion of training, helping address the challenge of ensuring stakeholder understanding and support.

Awareness Programmes: Ensures all employees are aware of the importance of the screening process and their role in maintaining security, promoting a culture of security awareness.

5. Compliance Management

Regs Database and Alert System: Keeps track of relevant legal and regulatory requirements related to screening, providing alerts for any changes that may impact compliance, overcoming the complexity of staying compliant with regulations.

Compliance Monitoring and Reporting: Tracks compliance with screening policies and procedures, generating reports for management review and external audits, supporting the need for periodic reviews.

6. Incident Management

Incident Tracker and Workflow: Manages any incidents related to screening processes, ensuring they are recorded, investigated, and resolved in a structured manner, supporting the consistency and fairness of the process.

By leveraging these ISMS.online features, organisations can effectively implement and demonstrate compliance with Annex A.6.1 Screening, addressing common challenges and ensuring a robust and trustworthy workforce that supports overall information security.


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Every Annex A Control Checklist Table

ISO 27001 Annex A.5 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.5.1Policies for Information Security Checklist
Annex A.5.2Information Security Roles and Responsibilities Checklist
Annex A.5.3Segregation of Duties Checklist
Annex A.5.4Management Responsibilities Checklist
Annex A.5.5Contact With Authorities Checklist
Annex A.5.6Contact With Special Interest Groups Checklist
Annex A.5.7Threat Intelligence Checklist
Annex A.5.8Information Security in Project Management Checklist
Annex A.5.9Inventory of Information and Other Associated Assets Checklist
Annex A.5.10Acceptable Use of Information and Other Associated Assets Checklist
Annex A.5.11Return of Assets Checklist
Annex A.5.12Classification of Information Checklist
Annex A.5.13Labelling of Information Checklist
Annex A.5.14Information Transfer Checklist
Annex A.5.15Access Control Checklist
Annex A.5.16Identity Management Checklist
Annex A.5.17Authentication Information Checklist
Annex A.5.18Access Rights Checklist
Annex A.5.19Information Security in Supplier Relationships Checklist
Annex A.5.20Addressing Information Security Within Supplier Agreements Checklist
Annex A.5.21Managing Information Security in the ICT Supply Chain Checklist
Annex A.5.22Monitoring, Review and Change Management of Supplier Services Checklist
Annex A.5.23Information Security for Use of Cloud Services Checklist
Annex A.5.24Information Security Incident Management Planning and Preparation Checklist
Annex A.5.25Assessment and Decision on Information Security Events Checklist
Annex A.5.26Response to Information Security Incidents Checklist
Annex A.5.27Learning From Information Security Incidents Checklist
Annex A.5.28Collection of Evidence Checklist
Annex A.5.29Information Security During Disruption Checklist
Annex A.5.30ICT Readiness for Business Continuity Checklist
Annex A.5.31Legal, Statutory, Regulatory and Contractual Requirements Checklist
Annex A.5.32Intellectual Property Rights Checklist
Annex A.5.33Protection of Records Checklist
Annex A.5.34Privacy and Protection of PII Checklist
Annex A.5.35Independent Review of Information Security Checklist
Annex A.5.36Compliance With Policies, Rules, and Standards for Information Security Checklist
Annex A.5.37Documented Operating Procedures Checklist


ISO 27001 Annex A.6 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.6.1Screening Checklist
Annex A.6.2Terms and Conditions of Employment Checklist
Annex A.6.3Information Security Awareness, Education and Training Checklist
Annex A.6.4Disciplinary Process Checklist
Annex A.6.5Responsibilities After Termination or Change of Employment Checklist
Annex A.6.6Confidentiality or Non-Disclosure Agreements Checklist
Annex A.6.7Remote Working Checklist
Annex A.6.8Information Security Event Reporting Checklist


ISO 27001 Annex A.7 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.7.1Physical Security Perimeters Checklist
Annex A.7.2Physical Entry Checklist
Annex A.7.3Securing Offices, Rooms, and Facilities Checklist
Annex A.7.4Physical Security Monitoring Checklist
Annex A.7.5Protecting Against Physical and Environmental Threats Checklist
Annex A.7.6Working in Secure Areas Checklist
Annex A.7.7Clear Desk and Clear Screen Checklist
Annex A.7.8Equipment Siting and Protection Checklist
Annex A.7.9Security of Assets Off-Premises Checklist
Annex A.7.10Storage Media Checklist
Annex A.7.11Supporting Utilities Checklist
Annex A.7.12Cabling Security Checklist
Annex A.7.13Equipment Maintenance Checklist
Annex A.7.14Secure Disposal or Re-Use of Equipment Checklist


ISO 27001 Annex A.8 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.8.1User Endpoint Devices Checklist
Annex A.8.2Privileged Access Rights Checklist
Annex A.8.3Information Access Restriction Checklist
Annex A.8.4Access to Source Code Checklist
Annex A.8.5Secure Authentication Checklist
Annex A.8.6Capacity Management Checklist
Annex A.8.7Protection Against Malware Checklist
Annex A.8.8Management of Technical Vulnerabilities Checklist
Annex A.8.9Configuration Management Checklist
Annex A.8.10Information Deletion Checklist
Annex A.8.11Data Masking Checklist
Annex A.8.12Data Leakage Prevention Checklist
Annex A.8.13Information Backup Checklist
Annex A.8.14Redundancy of Information Processing Facilities Checklist
Annex A.8.15Logging Checklist
Annex A.8.16Monitoring Activities Checklist
Annex A.8.17Clock Synchronisation Checklist
Annex A.8.18Use of Privileged Utility Programs Checklist
Annex A.8.19Installation of Software on Operational Systems Checklist
Annex A.8.20Networks Security Checklist
Annex A.8.21Security of Network Services Checklist
Annex A.8.22Segregation of Networks Checklist
Annex A.8.23Web Filtering Checklist
Annex A.8.24Use of Cryptography Checklist
Annex A.8.25Secure Development Life Cycle Checklist
Annex A.8.26Application Security Requirements Checklist
Annex A.8.27Secure System Architecture and Engineering Principles Checklist
Annex A.8.28Secure Coding Checklist
Annex A.8.29Security Testing in Development and Acceptance Checklist
Annex A.8.30Outsourced Development Checklist
Annex A.8.31Separation of Development, Test and Production Environments Checklist
Annex A.8.32Change Management Checklist
Annex A.8.33Test Information Checklist
Annex A.8.34Protection of Information Systems During Audit Testing Checklist


How ISMS.online Help With A.6.1

Are you ready to strengthen your organisation’s information security framework and ensure compliance with ISO 27001:2022 Annex A.6.1 Screening?

Discover how ISMS.online can streamline your screening processes, enhance policy management, and support your overall ISMS implementation with its comprehensive suite of features.

Take the next step towards securing your workforce and mitigating risks. Contact ISMS.online today and book a demo to see firsthand how our platform can transform your approach to information security.

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