Overview
Background Check Process is the procedure used to verify a new hire’s identity, employment history, and criminal background before granting system access. It supports SOC 2 Control Environment requirements by ensuring the organization hires trustworthy personnel and documents due diligence.
Step-by-Step Process
Initiate background check request
The HR Manager initiates a background check after a candidate has accepted a written offer. The request includes the candidate’s full legal name, email address, and role, and is submitted in the approved screening tool. The output is a pending background check request tied to the candidate record.
Role: HR Manager
Obtain candidate consent
The system sends an automated disclosure and authorization form to the candidate. The candidate must electronically sign the consent before screening can begin. The output is a timestamped consent record stored in the tool.
Role: Candidate
Run required screenings
The HR Manager ensures the standard screening package (e.g., identity, criminal, employment verification) is applied based on role risk. The background check provider runs the screenings and updates status in the tool. The output is a completed background check report.
Role: HR Manager
Review background check results
The HR Manager reviews the completed report for discrepancies or flagged results. Any adverse findings are evaluated against the company’s hiring policy. The output is a documented hiring decision.
Role: HR Manager
Resolve adverse findings if applicable
If adverse information is identified, the HR Manager follows the adverse action process, including pre-adverse notice if required by law. Decisions and communications are documented in the tool or HR system. The output is a final adjudication record.
Role: HR Manager
Approve hire and retain evidence
Once the background check is cleared, HR approves the hire and notifies IT to proceed with onboarding. All reports and consent records are retained per the retention policy. The output is an approved hire with archived evidence.
Role: HR Manager
What You Need Before Starting
- Signed employment offer letter
- Candidate full legal name and contact information
- Access to approved background check tool (Checkr, Sterling, or GoodHire)
- Defined screening package by role
- Documented hiring and adverse action policy
Evidence Your Auditor Expects
- Background check report PDF showing completion date and candidate name
- Electronic consent and disclosure record with timestamp
- Screenshot of tool dashboard showing status "Complete" and decision date
- Hiring decision record or approval email dated prior to start date
How This Looks In Your Tools
Checkr
Log in to Checkr and navigate to Dashboard > Candidates. Click “Invite Candidate” and enter the candidate’s name, email, and select the appropriate screening package.
After the candidate completes consent, monitor progress under Dashboard > Reports. Click the completed report to review results and download the PDF for evidence retention.
Sterling
Log in to Sterling and go to Order Management > Create Order. Select the candidate, assign the background screening package, and submit the order.
Track status under Order Management > Order List. Open the completed order to review results and export the final report with completion date.
GoodHire
Log in to GoodHire and navigate to Candidates > Add Candidate. Enter candidate details and choose the appropriate background check package.
Once the candidate provides consent, monitor progress under Candidates. Open the completed report to review findings and download the report for audit evidence.
Common Audit Findings
- Background check completed after start date
- This occurs when hiring timelines are rushed and checks are not tracked. Prevent it by requiring a completed status in the tool before IT onboarding approval.
- Missing candidate consent documentation
- Auditors flag missing consent when records are not retained. Ensure electronic consent is mandatory and retained with the report.
- Inconsistent screening packages by role
- This happens when HR applies checks ad hoc. Maintain a documented matrix mapping roles to required screenings.
- No documented review of results
- Auditors expect evidence that results were reviewed, not just run. Document the hiring decision or approval date tied to the report.