TMPL-012: Plantilla de registro de background check

Campo	Valor
ID	TMPL-012
Versión	1.0
Fecha de emisión	2026-06-16
PCI DSS	Req 12.7
Retención	7 años + duración del empleo

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Formulario

BACKGROUND CHECK RECORD — TMPL-012
─────────────────────────────────────────────────────────
Record ID:           BGC-YYYY-NNN
Subject:             [NOMBRE COMPLETO]
Role at hire:        [CARGO]
Hire date:           YYYY-MM-DD
Background ordered by: HR / CISO
Background executor: [Third-party agency name]

─────────────────────────────────────────────────────────
1. IDENTITY VERIFICATION                    [ ] PASS / [ ] FAIL
   Document type:     ☐ Cédula  ☐ Pasaporte
   Doc number:        ___________________
   Verified date:     ___________________
   Verifier:          ___________________
─────────────────────────────────────────────────────────
2. CRIMINAL RECORD CHECK                    [ ] PASS / [ ] FAIL
   Certificate ID:    ___________________
   Issued by:         ___________________
   Issue date:        ___________________
   Validity end:      ___________________
   Findings:          ___________________
─────────────────────────────────────────────────────────
3. REFERENCE VERIFICATION                   [ ] PASS / [ ] FAIL
   Ref 1:  ___________________  ☐ Positive ☐ Neutral ☐ Negative
   Ref 2:  ___________________  ☐ Positive ☐ Neutral ☐ Negative
   Ref 3:  ___________________  ☐ Positive ☐ Neutral ☐ Negative
   Notes:  ___________________
─────────────────────────────────────────────────────────
4. EDUCATIONAL VERIFICATION                 [ ] PASS / [ ] FAIL
   Institution:       ___________________
   Degree:            ___________________
   Year graduated:    ___________________
   Verifier:          ___________________
─────────────────────────────────────────────────────────
5. EMPLOYMENT HISTORY                       [ ] PASS / [ ] FAIL
   Last employer:     ___________________ (dates: ___ to ___)
   2nd last:          ___________________ (dates: ___ to ___)
   3rd last:          ___________________ (dates: ___ to ___)
   Discrepancies:     ___________________
─────────────────────────────────────────────────────────
6. CREDIT HISTORY                  [ ] PASS / [ ] FAIL / [ ] N/A
   Required for role: ☐ Yes ☐ No
   Report ID:         ___________________
   Score / findings:  ___________________
─────────────────────────────────────────────────────────
7. DRUG SCREEN                     [ ] PASS / [ ] FAIL / [ ] N/A
   Required for role: ☐ Yes ☐ No
   Lab:               ___________________
   Test date:         ___________________
   Substances:        ___________________
─────────────────────────────────────────────────────────
8. SIGN-OFF
   CISO signature:    ___________________ Date: ___________
   HR signature:      ___________________ Date: ___________
   Final decision:    ☐ HIRED ☐ NOT HIRED ☐ CONDITIONAL
─────────────────────────────────────────────────────────
9. RETENTION
   Retain until:      YYYY-MM-DD (employment_end + 7y)
   Storage path:      s3://fintrix-compliance-archive/bgc/BGC-YYYY-NNN.json
   Encrypted:         AES-256 + KMS
   Hash SHA-256:      ___________________
─────────────────────────────────────────────────────────

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Workflow

1. Offer signed → HR orders background check
2. Subject completa autorizaciones + provide docs
3. 3rd-party agency ejecuta checks (typically 10-15 días)
4. HR + CISO sign-off
5. Records archived in pci_compliance.background_checks table
6. Access granted to CDE solo tras pass
7. Annual re-verification for staff con privileged access

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Storage schema

CREATE TABLE pci_compliance.background_checks (
  record_id          text PRIMARY KEY,         -- BGC-YYYY-NNN
  subject_user_id    uuid NOT NULL,
  role_at_hire       text NOT NULL,
  hire_date          date NOT NULL,
  identity_verified  boolean NOT NULL,
  criminal_check_id  text,
  criminal_expires   date,
  references_passed  integer,                  -- count of positive
  education_verified boolean NOT NULL,
  employment_verified boolean NOT NULL,
  credit_check_id    text,                     -- null if N/A
  drug_screen_id     text,                     -- null if N/A
  ciso_signoff       text NOT NULL,
  ciso_signoff_at    timestamptz NOT NULL,
  hr_signoff         text NOT NULL,
  hr_signoff_at      timestamptz NOT NULL,
  final_decision     text NOT NULL CHECK (final_decision IN ('hired','not_hired','conditional')),
  retention_until    date NOT NULL,
  storage_path       text NOT NULL,
  encrypted          boolean NOT NULL DEFAULT true,
  record_hash_sha256 text NOT NULL,
  created_at         timestamptz NOT NULL DEFAULT now()
);

REVOKE UPDATE, DELETE ON pci_compliance.background_checks FROM PUBLIC;

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Vínculos

• POL-013 Acceptable Use §3
• POL-008 Third-Party Management
• Q89 — Background Checks
• PCI DSS v4.0 Req 12.7