The following table shows control principles on which our audit focused. They cover a number of practices and controls related to verifying employee identity and credentials which are also recommended in Australian Standard 4811-2006 ‘Employment Screening’. They are not intended to be an exhaustive list.
| Verifying employee identity and credentials | Focus Area | What we expected to see |
| Policy | Policies and procedures | · Policy is in place which covers the verification process for all potential employees and the monitoring process for existing employees. |
| Risk Assessment | · Entities have assessed the risk associated with each position and determined whether a criminal background or working with children check is required.
· Position description forms clearly document the requirements of each position including any essential qualifications, licences and memberships and whether any criminal background or working with children checks are required. |
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| Recruitment and Appointment | Qualifications | · Entities verify essential qualifications, licences and memberships during the recruitment process. |
| Past Work History | · Referee/reference reports are obtained and reviewed as part of the selection process. | |
| Identity and Right to Work | · Entities check the identity of successful applicants using a 100-point identification check.
· Entities confirm successful applicants’ right to work in Australia by reviewing passports, visas and/or birth certificates. |
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| Criminal Background checking | · Criminal background or working with children checks are obtained (where required) and reviewed by the entity. | |
| Recordkeeping | · Entities retain documentation to demonstrate that they verified the potential employee’s qualifications, past work history, identity, right to work in Australia and criminal background prior to the start date. | |
| Monitoring of Existing Employees | Declarations | · Employees provide an annual declaration to advise whether there has been a significant change in their circumstance which could impact their employment. |
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Review | · Entities monitor the expiry date of essential qualifications/licences and follow up with employees close to the expiry date.
· Where criminal background checks are required for the position, they are re-performed on a periodic basis. |
Source: OAG based on Australian Standard AS 4811-2016 ‘Employment Screening’