## Internal Audit Report 2017-18 Onboarding Process June 2018

 

To:  
Interim Assistant Chief Executive 
 
Strategic HR Lead Operations Director (CSG) Strategic HR Director (CSG) Operations Director (CSG) Business Manager (CSG) Service Analyst (CSG) Inspection and Improvement Lead, Family Services 


From:  
Senior Audit Executive  
 
 
We would like to thank management and staff of CSG & LBB for their time and co-operation during the course of the internal audit. 

 

## Cross Council Assurance Service Executive Summary

|          |      |        | Assurance level     | Number of recommendations by risk category     |
|----------|------|--------|---------------------|------------------------------------------------|
| Critical | High | Medium | Low                 | Advisory                                       |
| Limited  |      |        |                     |                                                |
| -        | 1    | 3      | -                   | 1                                              |

## Scope

Onboarding is the process by which the most suitable new starters are recruited and integrated into the established culture and operations of the Council to optimise the achievement of the Council's objectives. As part of the Ofsted Improvement Plan the target timescale for recruitment within Family Services (FS) is 60 working days from conditional offer to employee start date. This review will focus on the assessment of control processes from the decision to recruit until the induction of new Council starters. 

## Summary Of Findings

Pre-employment checks for starters are undertaken on a timely basis. There is also a sound system in place to ensure that all starters commence their employment with the Council within 60 days of Conditional Offer Letter being sent. FS Recruitment adheres to a controlled and centralised process, that is driven by performance management. All information gathered during the various stages of FS recruitment are retained in a clear and concise manner by CSG HR. We identified the following issues as part of the audit: 

- 
New Starter Induction (Finding 1, High) -  We were unable to confirm attendance at Induction training for 14/19 (74%) of our sample of new starters. Nonattendance for induction sessions is not alerted to the responsible line managers. A 'Site Welcome Pack' for new starters, prepared by the Estates Facilities Management team and covering key areas including fire emergency health and safety procedures, is not communicated to new starters. 
- 
Interview and Selection Process (Finding 2, Medium) - Declaration forms are not always signed and sent to HR, as per the Recruitment and Selection Policy. 
Evaluation forms are not regularly completed during interviews and sent to HR for retention.     
- 
Evaluation: Performance Management (Finding 3, Medium) - Key dates for various stages of the evaluation process are not always recorded by HR. 
Performance measurement of the timeliness of the evaluation process is currently not in place outside of Family Services. 
- 
Pre-employment checks (Finding 4, Medium)- Documents retained by the Council are not always date/time stamped to confirm that originals were seen.  

## Advisory Finding:

We were unable to verify that all new starters within our sample had their IT needs met upon their start date. We suggest that management: 

- 
Request data relating to IT set-up from new starters, i.e. whether IT set-up had been achieved for starters at start date. 
- 
Communicate negative trends where applicable to CSG IT colleagues to drive improvements in the IT set-up process within the recruitment process.  

## 2. Findings, Recommendations And Action Plan

|      |         |       |
|------|---------|-------|
| Ref  | Finding | Risks |
| Risk |         |       |

## 1. New Starter Induction (Operating Effectiveness):

If starters are not inducted properly within set timeframes **then** there is a risk that the starter may not 

All new starters are invited to attend Corporate Starter Induction (CSI) training by the CSG Learning and Development (LD) Officer once they have started.    

understand and comply with the Council's policies, processes and practices and statutory requirements thereby failing to become fully We selected 15 Council starters (both FS and non-FS) and 4 Family Services new starters (recruited as part of the campaign) from January-December 2017 to ensure that they had attended CSI training. 

competent in their jobs and the working environment at the earliest stage.  
If new starters are not properly inducted **then** this could give rise to underperformance resulting in dismissals or capability processes which can be time consuming, costly and have a negative impact on service delivery.  
We were unable to confirm attendance for 10/15 (67%) new starters, and 4/4 (100%) new starters in Family Services (FS). 

The names could not be located on attendance sheets provided by the CSG LD Officer for our review. CSG LD indicated that there was no monitoring of attendance beyond the initial invites and recording on attendance sheets, so non-attendance would not be escalated/alerted to the relevant Council line managers to ensure that starters attended CSI training later. Attendance sheets for 2017-18 CSI training sessions were not retained consistently, in line with the Council's retention policy. Our review has also found that a 'Site Welcome Pack' for new starters is available on the Intranet. This pack is customised for different sites, for instance NLBP and Barnet House and has been created by the Facilities Management Team to induct starters on key areas such as Display Screen Equipment and fire emergency health and safety procedures, recycling processes, the escalation of building issues and IT contact details. The Pack is currently not being circulated to new starters as line managers were unaware that the documentation was available. 

Note 1: Since the start of the audit, the Learning and Development team have returned to the Council as an in-house team and are no longer part of CSG.  

category 
Agreed action 
High 
Corporate Induction Training: 
a) Induction training attendance records 
will be retained for referral in line with the Council's Records Retention and Disposal Policy [updated June 2014], 2 years in terms of paragraph 3.6.18  

b) A protocol will be agreed between 
CSG HR and LBB so that HR BPs will follow up non-attendance. The data will be provided by LBB LDO. 

## Recruitment And Selection Training:

c) The Learning and Development Officer 

will build a segment into the quarterly 
Managerial recruitment & selection 
training which specifies that managers 
are responsible for ensuring that 
employees 
              attend 
                       the 
                             corporate 

induction 
             and 
                     should 
                               monitor attendance.  

## Welcome Site Pack:

d) LBB 
will 
agree 
a 
protocol 
in 
conjunction with CSG for ensuring that new employees are made aware of the relevant Site Welcome Pack (created and managed by CSG Estates- Facilities 
Management) 
when 
commencing their employment with the Council 

## Responsible Officer:

 HR Consultant Learning and Development Officer 

|      |              |       |
|------|--------------|-------|
| Ref  | Finding      | Risks |
| Risk |              |       |
|      | Target date: |       |

## 2. Interview And Selection Process (Operating Effectiveness) Recruitment Declaration Form

The Recruitment and Selection Policy (March 2016) states that if a member of staff is a close relative, a friend, an acquaintance, a Councillor or have had any form of relationship either present or past with a job candidate, the relationship must be declared to the relevant Assistant Director or Director and the member of staff must not be involved in any related recruitment and selection decisions, for example interview and evaluation processes.  
All members of the interview panel are required to complete a "Recruitment Declaration Form" (RDF) to state that there is no close family relationship between them and the applicants. The form should be sent to CSG HR.  
We selected 15 Council starters from January-December 2017 to ensure that RDF had been completed consistently. We found that: 

If the interview and selection process is biased, **then** the process will fail to 
identify the most suitable candidate, thereby selecting a candidate with sub-optimal skill sets for the role.  
If the candidate evaluation process is not objective, **then** there could be a 
risk of discrimination leading to reputational damage and financial penalties associated with failure to 
comply with statutory requirements. 
If the candidate evaluation process is not undertaken, **then** there could be 
a risk of discrimination leading to reputational damage and financial penalties associated with failure to comply with statutory requirements or the recruitment of the sub-optimum candidate. 
- 
For 9/15 (60%) cases, HR confirmed that managers on the interview panel did not sign and send them a declaration form prior to conducting the interview.  

- 
For 6/15 (40%) cases, RDF documentation had not been provided to us for review at the date of the draft report, including the 4/4 cases in Family Services.   
We tested a further 4 starters in FS who were employed as part of the Recruitment Campaign called Bouncebackability, a specific campaign running from October 2017 until March 2018 to drive recruitment in FS as part of the OFSTED improvement plan.  We found that none (0/4) RDF had been sent to HR by recruiting managers, confirming a lack of awareness of the relevant policy. We also found that there was no process for CSG HR to proactively prompt recruiting managers to submit RDFs.   
Note 2: Following the transfer of the L&D function back to LBB, the recruitment and selection training is being redesigned to 

category 
Agreed action 
31 July 2018 
Medium 
a) LBB will update and simplify the policy 
and guidance framework in relation to recruitment and onboarding.  
Responsible officer: 
Strategic HR Lead  
Target date: 20 September 2018 

 
b) As part of action a) the Recruitment 
and Selection Policy will be reviewed 
and 
          updated. 
                             LBB 
                                        will 
                                                  update 

Paragraph 5.2 to emphasize that all 
officers and panel members involved 
in a specific recruitment and selection 
process 
         should 
                 formally 
                           declare/ 

confirm the existence or absence of 
any close/family relationships, as 
defined, 
            by 
                  completing 
                                  the 

Recruitment Declaration Form in full. 
The Policy will also make reference to 
the Interview Assessment Form to 
encourage a consistent approach 
across the Council. 

## Responsible Officer: Strategic Hr Lead Target Date: 20 September 2018

 
c) A recruitment process map, defining 
the roles and responsibilities between 
CSG HR and LBB will be developed 
and communicated to those involved in 
a recruitment process. For example, 

|                                                                   |         |       |
|-------------------------------------------------------------------|---------|-------|
| Ref                                                               | Finding | Risks |
| Risk                                                              |         |       |
| ensure it best meets the needs of recruiting managers and will be |         |       |
| reinstated during Q2.                                             |         |       |
|                                                                   |         |       |

## Candidate Evaluation Forms Sheets (Operating Effectiveness):

The TAS Shortlisting and Interview Guidance states that evaluations for candidates processed through TAS - the E- recruitment system used by CSG HR to manage recruitment exercises -  must be recorded in TAS by the recruiting manager and interview panel members. Interview questions are created in the system and panel members score interview responses to arrive at a recruitment decision. 

Apprentice and Family Service recruitments are currently not managed through TAS. For all recruitment undertaken outside of TAS candidate evaluations should therefore be retained and sent to the appropriate HR Business Partner by the recruiting manager. We selected 15 Council starters from January-December 2017 to ensure that evaluation forms had been completed We found that: 

- 
8/15 (60%): Candidate evaluation forms had not been provided for our review at the date of the draft report  
- 
1/15 (7%): Candidate evaluation forms were completed by the interview panel however had not been sent to HR for their records.  
We also selected a further 4 starters within Family Services who were employed as part of the Recruitment Campaign. We found that 3/4 (75%) candidate evaluation was completed and sent to HR as expected. However:  

- 
1/4 (25%): Evaluation forms had not been provided for our review at the date of the draft report so Internal Audit were unable to confirm whether candidate evaluation forms were completed for this FS starter  

category 
Agreed action 

the process map will define the 
responsibility for the completion of the 
recruitment declaration form and the 
retention of the documentation relating 
to the evaluation and scoring (for 
instance, the candidates' evaluation 
forms). This is part of the Vacancy 
Filler 
          recruitment 
                         system 

implementation which is underway and 
is due to be completed at the end of 
August. However, managers will still 
be 
      responsible 
                     for 
                            retaining 

recruitment documentation. 

## Responsible Officer: Strategic Hr Director, Csg Target Date: End Of September 2018 Recruitment And Selection Training:

 
d) The Learning and Development Officer 
will build a segment into the quarterly Managerial recruitment & selection training to reiterate that all officers and panel members involved in a specific recruitment and selection process should formally declare/ confirm the absence 
of 
any 
close/family 
relationships.  
e) Managers will not be involved in any 
stage of the recruitment and selection process if they do not attend the Recruitment and Selection training.  

 
 
| Ref                                                                |
|--------------------------------------------------------------------|
| Risk                                                               |
| We also identified that there were no controls in HR to prompt the |
| recruiting manager to submit the completed candidate evaluation/   |
| scoring sheets where applicable.                                   |
|                                                                    |

## Policies And Procedures

There is an Interview Assessment Form available on the Intranet for referral to guide recruiting managers on scoring and assessment of interview candidates. Recruiting managers interviewed however were not aware of the form and the form was 
not used widely. The Council's "Recruitment and Selection" policy 
available on the Intranet also did not specifically refer to the 
Interview Assessment Form as we would have expected. 

## General:

Council management noted the need to consolidate, update and simplify the policy and guidance framework in relation to 
recruitment and onboarding, currently available on the Council's 
intranet.  
3 
Evaluation: 
Performance 
Management 
(Operating 
Effectiveness):  
If evaluation processes are not undertaken on a timely basis **then** 
there is a risk of lost opportunities to recruit 
the 
most 
suitable 
and 
Non-Family Services (NFS) There were no formal targets for NFS recruitment. Evaluation Process timescale: We tested a combined total of 19 starters to identify the total amount of days it took from closing date of advert/ shortlisting date to the date conditional offer letter was sent to the new starter.  
competent candidates as they may secure employment elsewhere, of current and future substandard or sub-optimum service delivery and thus, a negative candidate experience leading to LBB not being perceived as 
an employer of choice.  
Out of the 19 starters, we were able to retrieve information for only 10 and the results were as follows: 
Advert 
closing/ 
Number 
of 
Sampl e ref 
shortlisting date 
Date conditional 
days 
category 
Agreed action 
Responsible officer: 
Strategic HR Lead 
Target date: 
20 September 2018 
 
 
Medium 
a) CSG HR will capture performance data 
covering the end to end onboarding process 
for 
Non-Family 
Services 
recruitments 
and 
measure 
actual 
performance for a sample of starters to identify trends and take action where necessary.  
 
Note: We understand that this will be introduced alongside the introduction of the new e-recruitment system 'Vacancy Filler'. 
b) Onboarding performance measures 

for the KPI 'Time to Hire', e.g. target 
timescales for each stage of the 
process, 
will 
be 
introduced 
and 

| Ref                                                                   | Finding     | Risks      |
|-----------------------------------------------------------------------|-------------|------------|
| Risk                                                                  |             |            |
| category                                                              |             |            |
| Agreed action                                                         |             |            |
| offer                                                                 | letter      |            |
| monitored to improve the recruitment                                  |             |            |
| process, end to end.                                                  |             |            |
| sent                                                                  |             |            |
| Responsible officer:                                                  |             |            |
| 1                                                                     | 31/10/2016  | 30/11/2016 |
| Strategic HR Director                                                 |             |            |
| 2                                                                     | 23/10/2017  | 01/11/2017 |
|                                                                       |             |            |
| Target date:                                                          |             |            |
| 3                                                                     | 21/10/2016  | 09/01/2017 |
| TBC- depends on contract negotiations                                 |             |            |
|                                                                       |             |            |
| 4                                                                     | 04/06/2017  | 26/07/2017 |
| 5                                                                     | 30/05/2017  | 29/06/2017 |
| 6                                                                     | 04/11/2016  | 02/12/2016 |
| 7                                                                     | 09/10/2017  | 31/10/2017 |
| 8                                                                     | 09/10/2017  | 10/11/2017 |
| 9                                                                     | 05/10/2017  | 20/10/2017 |
| 10                                                                    | 10/10/2017  | 08/12/2017 |
| In accordance with the Non- Standard Indicator, derived from the      |             |            |
| Recruitment Project Brief used by Family Services, an average of      |             |            |
| 8 days should be taken from advert closing/ shortlisting date to the  |             |            |
| day conditional offer (evaluation process) is sent.  Only 1 (10%) out |             |            |
| of the 10 starters' evaluation process met this criterion.            |             |            |

While delays may be attributable to areas of the HR process which are the responsibility of Council staff, Internal Audit's view is that CSG has some responsibility for ensuring the smooth running of the HR process end to end and that introduction of related performance measures may support improvements in the recruitment process, end to end. 

The latest outturn (Q2 of 17/18) of the HR Output Specification 'All HR KPI 19' - *'User satisfaction with HR Service'* had failed, 

|      |         |       |
|------|---------|-------|
| Ref  | Finding | Risks |
| Risk |         |       |

confirming in our view the need to strengthen the performance management of the HR service.  

## 4. Pre- Employment Checks (Operating Effectiveness)

If retained copies of documents are 
not individually date/ time stamped by 
a staff member of HR, **then** there is a 
risk that the he/ she did not see the original documents, leading to the possibility 
of 
candidates 
using 

Once a candidate is selected, a Conditional/Provisional Offer letter is sent to them. The offer is subject to the receipt of various preemployment checks that are relevant to their job role, so according to the Council's Pre-employment check and references policy, checks include: 

| fraudulent                            | documents                                                 |
|---------------------------------------|-----------------------------------------------------------|
| -                                     | Disclosure and Barring Service (DBS)                      |
| qualification certificates) to secure |                                                           |
| employment at the Council.            |                                                           |
| -                                     | Right to Work                                             |
| -                                     | Identity (ID)                                             |
| -                                     | Health and Mental Fitness                                 |
| -                                     | Eligibility                                               |
| -                                     | References                                                |
| -                                     | Qualifications (such as Health & Care Professions Council |
| registration for social workers)      |                                                           |

The Council is required to see original documents and retain copies of various documents such as photo IDs and proof of address. Copies of each document should be signed and dated by the relevant HR staff member to state that originals were seen. This audit specifically focused on ID checks, DBS and reference checks. We selected 15 Council starters from January - December 2017 to ensure that the above pre-employment checks had been completed. We found that: 

| -                                                   |
|-----------------------------------------------------|
| were retained by HR however confirmation of having  |
| inspected original documents and the date inspected |
| were not recorded.                                  |

- 
For 2/15 (13%) starters: Proof of ID Checks and references has not been provided for our review at the date of the draft report.  

category 
Agreed action 
Medium 
a) CSG HR will instruct staff to sign and 
date 
starter 
identification 
documentation to confirm that the original 
documents 
had 
been 
inspected 
and 
the 
date 
of 
the 
inspection 
for 
referral 
where 
necessary. 
b) CSG HR will confirm that the proof of 
identification checks and references have been completed for the 2 starters that had not been provided at the date of the draft report.  

## Responsible Officer: Strategic Hr Director Target Date:

We believe we have already implemented this but will follow up and confirm by Mid July 

| Ref           |
|---------------|
| Risk          |
| category      |
| Agreed action |

## Performance Measures:  Timeliness Of Pre-Employment Checks:

We calculated the time it took from Conditional offer to start date for 15 non-Family Services starters. We found that: 

| -                                                       |
|---------------------------------------------------------|
| conditional offer was sent even when all the pre-       |
| employment checks were undertaken on time. This         |
| exceeds the 60-day target required for Family Services  |
| starters. This example was where an individual was on 3 |
| months' notice.                                         |

- 
3/15 (20%) starters: Data to calculate the actual timeframes from conditional offer to start was not available 
for calculation. 
Our checks for Family Services timeframes confirmed that the 60- day target was achieved for 4/4 (100%) starters. Monthly reports in regards with CSG HR meeting the 60- day recruitment target criterion is sent by Lucy Bailey (CSG HR Operations Director) to Yogita Popat (Quality Improvement Manager), to claim the £250 fee, per new starter in FS.  

## Appendix 1: Definition Of Risk Categories And Assurance Levels In The Executive Summary

Risk rating 
Immediate and significant action required. A finding that could cause:  
Critical 

 
- 
Life threatening or multiple serious injuries or prolonged work place stress. Severe impact on morale & service performance (e.g. mass strike actions); or 
 
- 
Critical impact on the reputation or brand of the organisation which could threaten its future viability. Intense political and media scrutiny (i.e. front-page headlines, TV). 
Possible criminal or high profile civil action against the Council, members or officers; or 
- 
Cessation of core activities, strategies not consistent with government's agenda, trends show service is degraded.  Failure of major projects, elected Members & Senior Directors are required to intervene; or 
- 
Major financial loss, significant, material increase on project budget/cost. Statutory intervention triggered. Impact the whole Council. Critical breach in laws and regulations 
that could result in material fines or consequences. 

Action required promptly and to commence as soon as practicable where significant changes are necessary. A finding that could cause: 
High 

 
- 
Serious injuries or stressful experience requiring medical many workdays lost. Major impact on morale & performance of staff; or 
 
- 
Significant impact on the reputation or brand of the organisation. Scrutiny required by external agencies, inspectorates, regulators etc. Unfavourable external media coverage. Noticeable impact on public opinion; or 
- 
Significant disruption of core activities. Key targets missed, some services compromised. Management action required to overcome medium-term difficulties; or 
- 
High financial loss, significant increase on project budget/cost. Service budgets exceeded. Significant breach in laws and regulations resulting in significant fines and consequences. 

A finding that could cause: 
Medium 

 
- 
Injuries or stress level requiring some medical treatment, potentially some workdays lost. Some impact on morale & performance of staff; or 
 
- 
Moderate impact on the reputation or brand of the organisation. Scrutiny required by internal committees or internal audit to prevent escalation. Probable limited unfavourable media coverage; or 
- 
Significant short-term disruption of non-core activities. Standing orders occasionally not complied with, or services do not fully meet needs. Service action will be required; or 
- 
Medium financial loss, small increase on project budget/cost. Handled within the team. Moderate breach in laws and regulations resulting in fines and consequences. 

A finding that could cause: 
Low 
 
- 
Minor injuries or stress with no workdays lost or minimal medical treatment, no impact on staff morale; or 
- 
Minor impact on the reputation of the organisation; or 
 
- 
Minor errors in systems/operations or processes requiring action or minor delay without impact on overall schedule; or 
- 
Handled within normal day to day routines; or 
- 
Minimal financial loss, minimal effect on project budget/cost. 

## Level Of Assurance

Substantial 
There is a sound control environment with risks to key service objectives being reasonably managed. Any deficiencies identified are not cause for major concern. Recommendations will normally only be Advice and Best Practice. 
 
 
Reasonable 
 
An adequate control framework is in place but there are weaknesses which may put some service objectives at risk. There are Medium priority recommendations indicating weaknesses but these do not undermine the system's overall integrity. Any Critical recommendation will prevent this assessment, and any High recommendations would need to be mitigated by significant strengths elsewhere. 
 
Limited 
There are a number of significant control weaknesses which could put the achievement of key service objectives at risk and result in error, fraud, loss or reputational damage. There are High recommendations indicating significant failings. Any Critical recommendations would need to be mitigated by significant strengths elsewhere. 
 
No 
 
There are fundamental weaknesses in the control environment which jeopardise the achievement of key service objectives and could lead to significant risk of error, fraud, loss or 
reputational damage being suffered. 
 

## Appendix 2 - Analysis Of Findings

| Critical                                 | High    | Medium    | Low    | Total    |
|------------------------------------------|---------|-----------|--------|----------|
| Area                                     |         |           |        |          |
| D                                        | OE      | D         | OE     | D        |
| Role definition and publication          |         |           |        |          |
|                                          |         |           |        |          |
| -                                        | -       | -         | -      | -        |
| -                                        |         |           |        |          |
| Evaluation process                       |         |           |        |          |
|                                          |         |           |        |          |
| -                                        | -       | -         | -      |          |
| -                                        |         |           |        |          |
|                                          |         |           |        |          |
| 1                                        | -       | -         |        |          |
| 1                                        |         |           |        |          |
| Pre- employment and role specific checks |         |           |        |          |
|                                          |         |           |        |          |
| -                                        | -       | -         | -      |          |
| -                                        |         |           |        |          |
|                                          |         |           |        |          |
| 1                                        | -       | -         |        |          |
| 1                                        |         |           |        |          |
| New starter set up                       |         |           |        |          |
|                                          |         |           |        |          |
| -                                        | -       | -         | -      |          |
| -                                        |         |           |        |          |
|                                          |         |           |        |          |
| -                                        |         |           |        |          |
| -                                        |         |           |        |          |
|                                          |         |           |        |          |
| -                                        |         |           |        |          |
|                                          |         |           |        |          |
| -                                        |         |           |        |          |
| New starter induction                    |         |           |        |          |
| -                                        | -       | -         | 1      |          |
| -                                        |         |           |        |          |
|                                          |         |           |        |          |
| -                                        | -       | -         |        |          |
| 1                                        |         |           |        |          |
| Performance management                   |         |           |        |          |
|                                          |         |           |        | -        |
| 1                                        |         |           |        |          |
| Total                                    | -       | -         | -      | 1        |
|                                          |         |           |        |          |

## Key:

- 
Control Design Issue (D) - There is no control in place or the design of the control in place is not sufficient to mitigate the potential risks in this area. 
- 
Operating Effectiveness Issue (OE) - Control design is adequate; however, the control is not operating as intended resulting in potential risks arising in this area. 

## 

Timetable Terms of reference agreed:  
Fieldwork commenced: 
Fieldwork completed: 
Draft report issued: 
Management comments received: 
Final report issued: 
26th January 2018 
5th February 2018 
30 May 2018;  
26 April 2018 
6 July 2018 
22 June 2018 and 3 July 2018 
18 June 2018 

## Appendix 3 - Identified Controls

| Area                                                              | Objective     |
|-------------------------------------------------------------------|---------------|
|                                                                   |               |
| 1. For council staff - when the department identifies a need      |               |
|                                                                   |               |
| Role definition                                                   |               |
| and                                                               |               |
| publication                                                       |               |
| for hiring for a role, the manager will liaise with CSG HR.       |               |
| The manager will ensure that there is a job description           |               |
| that is up to date (when needed, HR can assist with this).        |               |
|                                                                   |               |
| 2. The recruiting manager uses the TAS system to fill in          |               |
| various fields relating to the vacancy. Once all details          |               |
| regarding the advertisement of the vacancy is inputted by         |               |
| TAS, it will have to be approved by the:                          |               |
| Senior Management                                                 |               |
| Finance                                                           |               |
| Human Resources                                                   |               |
|                                                                   |               |
| The role requirements are                                         |               |
| correctly defined and the                                         |               |
| appropriate channels for                                          |               |
| vacancy marketing are                                             |               |
| used to ensure optimum                                            |               |
| outreach to increase the                                          |               |
| response rates from the                                           |               |
| most suitable potential                                           |               |
| candidates. Role definition                                       |               |
| and publication are                                               |               |
| undertaken within defined /                                       |               |
| agreed time scales to                                             |               |
| expedite completion of the                                        |               |
| recruitment process.                                              |               |
|                                                                   |               |
| And in that specific order as the approval from one, triggers the |               |
| workflow to the next. Where TAS is not used, the S.M / Finance    |               |
| approval is received prior to completing the starter form to HR.  |               |
|                                                                   |               |
| 3. Family Services previously used TAS, however, they now         |               |
| advertise through their own Family Services website. FS           |               |
| Team liaise with HR who work alongside.                           |               |
|                                                                   |               |
| 4. CSR HR advertises the vacancy on a variety of websites-        |               |
| also with the help of TMP (advertisement company) and             |               |
| other specialist recruitment agencies.                            |               |
|                                                                   |               |
|                                                                   |               |
|                                                                   |               |
| If                                                                |               |
| the council fails to:                                             |               |
|                                                                   |               |
| - identify the role                                               |               |
| requirements correctly                                            |               |
|                                                                   |               |
| - advertise the role via the                                      |               |
| most appropriate and                                              |               |
| relevant channels                                                 |               |
|                                                                   |               |
| then                                                              |               |
| there is a risk that the                                          |               |
| most suitable candidate                                           |               |
| may not be attracted and                                          |               |
| recruited leading to sub-                                         |               |
| optimal delivery and                                              |               |
| potential over reliance on                                        |               |
| temporary staff and                                               |               |
| financial loss.                                                   |               |
| If                                                                |               |
| key recruitments tasks                                            |               |
| are not completed in a                                            |               |
| timely fashion                                                    |               |
| then                                                              |               |
| there is                                                          |               |
| a risk of on-going                                                |               |
| substandard/sub-optimum                                           |               |
| service delivery and general                                      |               |
| management                                                        |               |
| frustration/discontent while                                      |               |
| the post remains vacant.                                          |               |
If the interview and selection 
process is biased, **then** the 
process will fail to identify the most 
suitable 
candidate, 
1. 
For Non-FS, all applications are received by HR Belfast 
and forwarded to managers to shortlist. Once shortlisted, the candidates are invited to the interview. For FS, all applications are received by HR Barnet via a mailbox. The managers are sent the applications to shortlist. 
 
thereby selecting a candidate 
with sub-optimal skill sets for the role. 
Evaluation 
There is an independent 
process. All conflicts of interest during interviews/selection are declared and taken into account to avoid bias. Council 
management undertakes the evaluation of candidates promptly in line with agreed timescales to expedite completion of the recruitment process 
2. 
The interview panel members are required to sign a recruitment declaration form to state that they have no form of relationship either past or present, or is a close relative, friend or acquaintance of the candidate. 
3. 
During the interview, candidate evaluation forms are completed. The candidates are evaluated on a scoring basis. The candidate with the highest score is selected. This is then uploaded onto TAS, and where TAS is not used, it is 
sent to CSG HR to be retained. (Of 7/15 cases tested, evaluation 
forms 
had 
been 
completed 
and 
were 
retained/held in TAS) 
4. 
A Recruitment and New starter process document is available for FS to ensure that all processes are undertaken within set timelines.  
 
 
1. Conditional offer letter is sent to the candidate, stating that 
All required role specific preemployment 
checks 
are 
the offer is subject to pre-employment checks 
Preemployment and 
role 
2. Information on medical checks are sent along with the 
undertaken, for example, DBS and 
HCPC 
checks 
where 
specific checks 
conditional offer letter, along with list of documentation the candidate needs to present before the Council. 
3. Certain documents are copied and retained after HR 
If pre-employment and role 
specific checks are not 
undertaken, **then** there is a 
risk that the most competent staff will not be recruited leading to sub-optimal delivery, non- adherence to policies and procedures, harm, and financial loss.  
necessary as well as reference checks. Any delays in response of these checks are followed up by responsible members of HR staff. 
Related 
checks 
are 
identifies the originals. 
completed 
in 
agreed 
 
4. Copies are signed and dated to confirm that originals were 
timeframes.  
seen by the HR member of staff. 
5. All relevant documents are copied and relevant prior to 
applying for a DBS check. 
6. DBS checks are undertaken either in standard or 
enhanced form, depending on the level required for the 
role. 
7. Requests for references are sent to two previous 
employers. 
8. All HCPC certificates are identified. Checks are also done 
via the HCPC website to ensure that the registration status is valid. 
 
1. Manager logs a call on the IT self-service system to set up 
New starters are given the appropriate 
access 
to 
the 
If new starters are not set-up 
promptly 
in 
line 
with 
New starter set up 
required equipment and log ins for the starter. 
Council 
resources 
promptly, 
2. Manager ensures that any delays are followed up 
timeframes and correctly in their 
working 
environment, 
including systems and physical access, 
for 
example 
the 
then there is a risk: 
appropriately. 
3. On the first day, starter has all equipment and log ins set 
required information relating to laptop, telephone, system log in and 
building 
access 
is 
- 
Of delayed and suboptimal service delivery and financial loss due to inefficiency.  
up and ready to use. 
communicated to appropriate personnel/department 
(via 
a 
There are set-up performance measures for Family Services to drive timely IT set-up. 
single point of coordination). Defined contractual timeframes for new starter set up are achieved. 
Of loss of capable staff and in the long term of Barnet Council not being considered 
an 'employer of choice' 
compromising future recruitment exercises through not being regarded as professional in their approach 
to recruitment. 
1. Information of all new starters are effectively passed onto 
New 
starter 
induction 
the training provider. 
2. Training provider ensures that all starters are invited to 
All starters are inducted 
correctly and promptly into the organisation by line managers. Starters attend the appropriate corporate training.  
attend induction.  
 
3. Attendance sheets are present on the day for attendees to 
Local and corporate induction training attendance is recorded and 
monitored 
and 
nonsign. 
4. Attendance sheets are examined to identify nonattendance is followed up by the line manager 
If starters are not inducted 
properly within set timeframes 
then there is a risk that the 
starter may not understand 
and comply with the Council's 
policies, processes and practices, statutory requirements thereby failing to become fully competent in to their jobs and the working environment at the earliest stage.  
attendance. This is later alerted to the relevant line managers. 
5. Line managers ensure that starters attended induction 
If new starters are not properly inducted then this could give rise 
to 
underperformance 
without delay.  
resulting 
in 
dismissals 
or 
capability processes which can be time consuming, costly and have a negative impact on 
service delivery.  

## Appendix 4 - Internal Audit Roles And Responsibilities

Limitations inherent to the internal auditor's work We have undertaken the review of *Onboarding Process,* subject to the limitations outlined below. 

## Internal Control

Internal control systems, no matter how well designed and operated, are affected by inherent limitations. These include the possibility of poor judgment in decision-making, human error, control processes being deliberately circumvented by employees and others, management overriding controls and the occurrence of unforeseeable circumstances. Specifically, we will not: The audit will not cover the onboarding process for new starters at Schools nor will it review arrangements relating to the implementation of the new recruitment system which is due to be introduced in early 2018/19. Our assessment of controls is for the period specified only.  Historic evaluation of effectiveness is not relevant to future periods due to the risk that: 

- 
the design of controls may become inadequate because of changes in operating environment, law, regulation or other; or 
- 
the degree of compliance with policies and procedures may deteriorate. 
Responsibilities of management and internal auditors It is management's responsibility to develop and maintain sound systems of risk management, internal control and governance and for the prevention and detection of irregularities and fraud. Internal audit work should not be seen as a substitute for management's responsibilities for the design and operation of these systems. We endeavour to plan our work so that we have a reasonable expectation of detecting significant control weaknesses and, if detected, we shall carry out additional work directed towards identification of consequent fraud or other irregularities. However, internal audit procedures alone, even when carried out with due professional care, do not guarantee that fraud will be detected. Accordingly, our examinations as internal auditors should not be relied upon solely to disclose fraud, defalcations or other irregularities which may exist.