> This is the only issue we ended up having to seriously back-and-forth with our auditors about. We held the line on refusing to do background checks, and ultimately got out of it after tracking down another company our auditors had worked with, finding out what they did instead of background checks, stealing their process, and telling our auditors “do what you did for them”. This worked fine.
What process did that company use instead of background checks, that you ended up doing as well?
In Ireland there is no legal mechanism to do a background check unless you work with children or are in law enforcement. Even collecting and recording public information on individuals can be problematic with the data commission. Employee reference checks are acceptable for auditors in that case.
My company did adopt background checks, as part of our SOC-2 requirements and because my company works with health insurers (which generally impose this requirement via contract, regardless of SOC-2).
Like many people here, I didn't like the requirement. That being said
1) It's possible to configure background checks so you don't receive irrelevant information (e.g., if DUIs aren't relevant, then configure the check so you don't receive information about DUIs). In most cases, you'll just want to receive information about financial and privacy related offenses.
2) What you do with the information is up to you (unless your customers enforce certain actions). In general, the SOC-2 auditors will want to see a plan by which you acknowledge and manage the risk, which doesn't necessarily mean you can't hire the person.
IMHO _recent_ DUIs are more relevant then a lot of "not at all" recent much more serve things.
DUI is a sign of gross recklessness and apathy for the well being of others. Sure I won't blame a young adult for doing this mistake and there are situations where it's understandable (i.e. some kind of emergency making you DUI even through you generally are against it).
But still I would prefer to work with someone who in the youth due to poverty has committed robbery (but not anymore since 20 years), then someone who in their 40th who is frequently driving under influence of alcohol.
Anyway even if I had a company and it for whatever reason would do background checks I wouldn't want to know the outcome as long as whoever is responsible for it following some strict guidelines didn't judge it to be a problem (and no if it's not a car company it wouldn't contain DUI, and generally I don't like background checks).
I just realized that I had forgotten that in the US you often do not have the freedom of not taking the car but e.g. the public transportation. This makes things more complicated. But then doesn't really change how I feel about it.
If it helps, in the US you can get a taxi/uber/lyft to take you home from the bar. Some bars even offer free rides or can help arrange one if you need it. Calling a friend or relative to pick you up is also an option.
It's true that having shit public transportation and everything so far away that you need to drive complicates things, but there are always options. In Japan the public transportation is great, but the trains stop running long before the alcohol stops being served and it's not uncommon for drunk people to wait until morning even if it means waiting/sleeping outside all night. No reason folks here can't do the same.
> If it helps, in the US you can get a taxi/uber/lyft to take you home from the bar. Some bars even offer free rides or can help arrange one if you need it.
I was more thinking about people with an alcohol addiction still getting to/from their job on a daily basis then people going home from partying.
I certainly don't mean to endorse DUIs! And if a company has the viewpoint that a DUI indicates that a person shouldn't be employed in a specific role, then background checks are a good way to achieve that.
My perception is that some people who don't want to do background checks feel that way because they don't want to know embarrassing details about their employees and colleagues that aren't relevant to work. And the good news is that employers can generally set up background check reporting to simply not report issues that employers don't think are relevant. And that makes it easier to offer background checks, and easier to meet SOC-2 audit requirements.
In fact, what I think you'll find in a lot of SOC2 background check regimes is that they're pretty much just automatically filed away without any careful review. As long as you did the check, you'll be fine with the auditors. We could have just did that with our US employees; we were fine, in the audit, with not doing them for people in Europe. But that's stupid, and we're not going to do stupid stuff for SOC2.
Ironically work I dabble in the security automation space and I'd say this is the real "social ill" of all regulatory cultures. It is not the automation that's important is sharing and reusing agreed upon understanding of requirements and best practices (what and why we automate and the real goals not just cargo culting or copying). Most unintentionally hoard and others (auditors, special consultants) intentionally do with the belief this is their market differentiator. This is good but still falls short by not sharing and dropping hints. This is the default I see most of the time.
Most higher level attempts to meaningfully share and reduce toil and wasted effort are not incentivized in risk/governance/oversight culture, so we all get to lose.
Another issue I have here is that I want to be a little bit cagey about what our specific controls are, not because they're sensitive to us, but because there's a limit to how much we're supposed to talk publicly about the specific results of the audit (it's a Type I, people who know SOC2 know that means there are no unhappy surprises in it) --- the audit results are confidential, as a term of our engagement with the auditor.
(This is why there's a SOC3.)
Long story short: it's not complicated, and if you're currently doing a SOC2, like right now (or in the future) and you have reached the point where you're trying to get out of background checking everyone, shoot me a line and I'll tell you what we did and what we said (I may performatively NDA you in the process, because I like our auditors and don't want to irritate them).
What process did that company use instead of background checks, that you ended up doing as well?