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.
|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.
|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.|
|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’