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DOCUMENT CONTROL: Version: 9.2 Ratified by: Covid-19 Gold Command Date ratified: 7 April 2020 Name of originator/author: HR Transactional Manager/Assistant HR Advisor Name of responsible committee/individual: Executive Director of People and Organisational Development Unique Reference Number: 257 Date issued: 14 May 2020 Review date: February 2021 Target Audience Recruiting Managers, Purchasing Department and Volunteer Manager Description of Changes: Due to the Covid-19 Pandemic Gold Command agreed a review extension from August 2020 to February 2021 Appointment of Staff Policy
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Page 1: Appointment of Staff Policy · (a) Invite to Interview Letter Upon receipt of the short listing pro-forma from the recruiting manager indicating which applicants have been shortlisted,

DOCUMENT CONTROL:

Version: 9.2

Ratified by: Covid-19 Gold Command

Date ratified: 7 April 2020

Name of originator/author: HR Transactional Manager/Assistant HR Advisor

Name of responsible committee/individual:

Executive Director of People and Organisational Development

Unique Reference Number: 257

Date issued: 14 May 2020

Review date: February 2021

Target Audience Recruiting Managers, Purchasing Department and Volunteer Manager

Description of Changes: Due to the Covid-19 Pandemic Gold Command agreed a review extension from August 2020 to February 2021

Appointment of Staff Policy

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Section CONTENTS Page No

1. INTRODUCTION 4

2. PURPOSE 4

3. SCOPE 4

4. RESPONSIBILITIES, ACCOUNTABILITIES AND DUTIES 4

4.1 Duties 4

4.2 Directors 4

4.2.1 Lead Director 4

4.3 Recruiting Managers 4

4.4 Recruitment Team 5

4.5 Purchasing Department 5

5 PROCEDURE / IMPLEMENTATION 5

5.1 Establishment Control Process 5

5.2 Data Protection 5

5.3 Advertisement of Vacancy 6

a) Job Description/Person Specification 6

b) Placing the Advert 6

c) Genuine Occupational Requirement 6

5.4 Types of checks required and how the checks are made

Pre Interview Selection Stage

6

a) Equal Opportunities Monitoring Forms 6

b) Guarantee Interview Scheme 6

c) Alert Letters 6

5.5 Interview to Employment Offer Selection Stage 7

a) Invite to Interview Letter 7

b) Employment Check Consent Form 7

c) Verification of Identity (Including Agency Staff) 7

d) Entitlement to Work in the UK 8

e) Refugees and Asylum Seekers 8

f) Validation of Job Specific Qualifications 9

g) Language Competency 9

h) Professional Registration 10

i) Self Declaration Forms 10

j) Employment History 10

k) References 11

l) Screening of Criminal Convictions, Cautions and Charges 12

i) Disclosure and Barring Service (DBS) 12

ii) Levels of Disclosure 12

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Section CONTENTS Page No

5.6 Offer of Employment 14

a) Initial Conditional Offer Letter 14

b) Conditional Offer of Employment 14

c) Employment Work Health Assessment 15

d) Sponsorship Licence 15

e) Unconditional Offer of Employment 15

f) Fixed-Term Contracts 16

g) Probationary Contracts 16

5.7 Process for following up those who fail to satisfy the checking Arrangements

17

5.8 Commencement of Employment 18

a) Notification of commencement and Contract of Employment 18

b) Induction Arrangements 19

5.9 Use of Agency Workers and Volunteers 19

a) Agency Staff 19

b) Voluntary Staff 19

6 TRAINING IMPLICATIONS 20

7. MONITORING ARRANGEMENTS 20

8. EQUALITY IMPACT ASSESSMENT SCREENING 22

8.1 Privacy, dignity and respect 22

8.2 Mental Capacity Act 22

9. LINKS TO ANY ASSOCIATED DOCUMENTS 22

10. REFERENCES 22

11. Appendices 23

A - Recruitment Flowchart 24

B - Recruiting Managers Checklist 28

C - Documents for validation and identification purposes 30

D - Employment Check Consent Form 33

E - Preventing Illegal Working 34

F - Self Declaration Form 39

G - Declarations, Disclosures and Checks Required by Occupational Group

46

H - Policy and procedure on the recruitment of Ex-offenders 49

I - Main Conditions of Service 53

J - Establishment Control Form (Vacancies) 55

K – Unconditional Offer Letter Template 58

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1

INTRODUCTION

The successful recruitment and selection of staff is a key objective of the Trust to support the delivery of effective and high quality patient care. The Trust aim is to recruit high calibre staff possessing the skills and values consistent with the objectives and values of the Trust.

2. PURPOSE

This policy sets out the responsibilities and actions required to ensure that the recruitment of newly appointed members of staff (or staff who have moved within the Trust) is carried out in compliance with the standards set out by NHS Employers. These standards include checks, which are required by law, those that are Department of Health Policy and those that are included in the Care Quality Commissions annual regulatory framework.

3. SCOPE

This policy applies to the appointment of all directly employed staff to a post within the Trust and contains additional provisions relating to the engagement of agency workers and volunteers. For avoidance of doubt, persons given an “as and when” or “bank” contract by the Trust are deemed employees of the Trust.

4. RESPONSIBILITIES, ACCOUNTABILITIES AND DUTIES

4.1 Duties

4.2 Directors With the exception of Directors and Non-Executive Directors (for whom alternative appointment arrangements exist and which follow the Care Quality Commission Fit and Proper Person Requirements), the appointment of all members of staff to a post within the Trust is the delegated responsibility of the appropriate Director/Chief Operating Officer (COO). The Director of Care/COO may delegate the responsibility for the appointment of staff to their subordinate managers - who will thereafter be designated as recruiting managers.

4.2.1 Lead Director The Director of Workforce and Organisational Development has responsibility for the implementation of this policy and coordination of an appropriate communication / training strategy, together with ensuring that appropriate monitoring arrangements are in place.

4.3 Recruiting Managers Recruiting managers are responsible for ensuring that they follow the correct

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procedure in a timely manner (in line with the agreed Key Performance Indicators) and undertake the appropriate checks in relation to recruiting staff within their service area. Recruiting managers must ensure that they are up to date with current Trust recruitment practices and/or statutory/legal requirements. N.B. To assist with the recruitment process a flowchart and checklist of key actions has been devised by the recruitment team (see Appendix A and Appendix B). The checklist must be completed by the recruiting manager and a copy retained on the personal file of the employee appointed.

4.4 Recruitment Team The Recruitment Team are responsible for; o Training recruiting managers in the correct recruitment and selection

process as set out under this policy. o Updating recruiting managers in line with any legislative changes and/or

national guidance. o Providing advice to recruiting managers regarding the implementation of

this policy and process o Maintain the in-house Recruitment Tracker to ensure KPI’s are monitored

and measured o Undertaking an audit of new starters within the Trust on a bi-annual basis

to ensure all appropriate checks have been undertaken by the recruiting managers

4.5 Purchasing Department

It is the responsibility of the Purchasing Department to ensure that the recruitment agencies used by the Trust are registered on the appropriate framework agreements within the Government Procurement Services and that the associated agreement incorporates the mandatory NHS Employment Checks Standards.

5. PROCEDURE / IMPLEMENTATION

5.1 Establishment Control Process Staff may only be appointed within the funded establishment authorised for each Care Group / Corporate Service An Establishment Control Process operates within the Trust whereby permission to advertise and fill a post must be sought by completing an Establishment Control Form (Appendix J) Variations to the designation/band of posts or post holders may only be made through the Establishment Control Process.

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5.2 Data Protection All pre-appointment checks must be carried out in compliance with the Data Protection Act 1998. Checks should not be made routinely on every applicant and should not be used as a tool for short-listing candidates. Where information is requested prior to a provisional decision being made on the successful applicant, this must be justified, for example to protect patients or staff.

5.3 Advertising a Vacancy (a) Job Description / Person Specification All job descriptions and person specifications should be reviewed by the recruiting manager prior to advertising to ensure that they are still up to date and relevant. If a new role has been identified or significant changes have been made to an existing role, the job description and person specification must be submitted to an Agenda for Change panel for banding prior to the post being advertised. (b) Placing an advert All advertisements are processed centrally by the Recruitment Team. Adverts are checked and placed using the appropriate media by the Recruitment Team. Adverts will only be processed upon receipt of a job description, person specification and approved Establishment Control form. Recruiting managers should refer to the HR Recruitment Flowchart for more detailed information on the recruitment process and the responsibilities of both HR and the recruiting manager at each stage (c) Genuine Occupational Requirement Under the Equality Act 2010 the Trust is able to specify if a particular post requires a protected characteristic, which is exempt from claims of discrimination, as long as it is crucial to undertaking the duties of the role.

5.4 Types of checks required and how the checks are made Pre-Interview Selection Stage (a) Equal Opportunities Monitoring Forms Prior to short-listing the equal opportunities monitoring forms will be removed from any paper application forms. The information contained in the forms will be uploaded onto NHS Jobs by the Recruitment Team to assist in the Trust’s monitoring processes.

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(b) Guaranteed Interview Scheme

As part of its commitment to support applicants with a disability under the “Disability Confident” initiative, the Trust offers a guaranteed interview to an applicant with a disability who meets the minimum essential requirements on the person specification.

(c) Alert Letters NHS England issue a series of Alert Letters which advise Trusts to seek further information from other Trusts before proceeding with the appointment of the applicant who is the subject of the Alert Letter. The Trust maintains a database of alert letters which is checked by the Recruitment Team prior to an initial offer left being issued to prospective employees.

5.5 Interview to Employment Offer Selection Stage (a) Invite to Interview Letter Upon receipt of the short listing pro-forma from the recruiting manager indicating which applicants have been shortlisted, the recruitment team will send out a standard interview letter asking applicants to contact the manager to arrange an interview time, or a specified time is offered. The letter contains information on the documentation the candidate should bring to interview. (b) Employment Check Consent Form It is important to make it clear to prospective employees that any documentation relevant to the post applied for will be checked for authenticity, and that any appointment will be subject to the relevant checks being carried out. An Employment Check Consent form (see Appendix D), must be signed by each candidate on the day of the interview. The purpose of the form is to ensure that the applicant is clear about the checks being undertaken and also ensures that the signature of the applicant matches the signature on any documents submitted as proof of identity. (c) Verification of Identity (Including Agency Staff) It is vitally important that the identity of a prospective employee or agency worker is reliably verified before they commence any work with the Trust. If the candidate is unable to provide the required documents please seek further advice from the Recruitment Team. A list of acceptable identity documents can be found in Appendix C The responsibility for ensuring all appropriate documentation is checked rests with the recruiting manager. The relevant documentation should be photocopied, signed and dated and kept on file in a secure place. For more detailed guidance on the validation of documents please use the following link for up-to-date information from the home office

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https://www.gov.uk/check-an-employees-right-to-work-documents In line with the NHS Employment Check Standards recruiting managers must ensure that the identification of any agency staff are verified in the same way as permanent employees (See Appendix C for list of acceptable identity documents)

(d) Entitlement to work in the UK While checking an applicant’s identity, it is also important to make sure that they are legally entitled to work in the UK in line with the Immigration Act 2016. For every candidate interviewed, documents should be checked, validated, copied and retained to ensure the Trust is not employing illegal workers. See Appendix E for details of the type of documents to be checked and the procedure to be followed. An applicant who is not a British citizen or a citizen of one of the EEA countries, or whose passport does not currently allow them to work in the UK, may still be legally employed if the post falls into one of the shortage occupations which are formally declared on a national list available via NHS Employers. A list of all EEA countries can be found in Appendix E. However, any Non EU National shortlisted must have their required documentation validated at interview by a member of the recruitment team and from the 1 November 2008 a revised system has been in place for the employment of Non EU Nationals. The Trust holds a sponsorship licence and can act as a sponsor, issuing a certificate of sponsorship (CoS) to individual migrants for the purpose of employing them. The revised system has seen the removal of Work Permits (UK), as it is the employer who issues the CoS directly to the migrant. Advice on employing Non EEA nationals must be sought from the Recruitment Team. Recruiting managers who are unsure about the status of an applicant must contact the Recruitment Team for clarification. The responsibility for ensuring all appropriate documentation is checked rests with the recruiting manager in conjunction with the Recruitment Team. The relevant documentation should be photocopied, signed and dated and kept on file in a secure place both by the Recruiting Manager and the Recruitment Team in relation to non EEA nationals (e) Refugees and Asylum Seekers In the UK refugees have the right to work and are able to move and reside freely. Refugees will not normally have national passports and are unlikely to have copies of other official documents such as birth certificates or photocards. When granted leave to remain the UK a refugee will be issued with an immigration status document by the Home Office which will indicate

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their refugee status. Asylum seekers generally do not have the right to work in the UK but if they do it will state ‘employment permitted’ or ‘allowed to work’ on their Application Registration Card. The Recruitment Team will seek a Positive Verification Notice from the Home Office to confirm the right to work before any employment is confirmed. Advice must be sought from the Recruitment Team in relation to offering employment to either refugees or asylum seekers.

(f) Validation of Job Specific Qualifications The applicant must produce prior to commencement of employment, preferably at interview, original documentation to validate any qualifications that are material to the applicant’s appointment or to the terms and conditions relating to the offer of employment. The recruiting manager is responsible for the verification of this information prior to any unconditional offer of employment being made. Copies of the documents should be made and kept on file. Such qualifications may include educational, vocational and skill based qualifications e.g. typing certificates; current driving licence; national vocational qualification; degree certificates. If any qualifications have been obtained overseas the awarding body should be contacted by the recruiting manager to ensure that the qualification does exist, is at the level it is purported to be at and that the person in question does have the qualification. Where this is not possible advice should be sought from the Recruitment Team. Essential qualifications should also be checked with the awarding body for Band 5 positions and above that do not require registration with a professional body (i.e. non-clinical posts) or if the recruiting manager has any concerns about their validity. If original documentation cannot be produced by the candidate, for whatever reason, clarification should be sought from the awarding body, that the applicant does indeed hold the qualification. Confirmation of this should be obtained in writing, at the applicant’s expense if necessary. (g) Language Competency With effect from October 2016 in line with the Immigration Act 2016, all public facing roles within the NHS require a proportionate level of English language proficiency for written and verbal communication. Registration with a regulatory body alone does not guarantee that the applicant has the clinical or language skills to perform a particular role. Recruiting managers must ensure that applicants have the necessary

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linguistic skills to undertake the type of role they are appointing to. If recruiting managers have any concerns in relation to language competency they should contact the Recruitment Team.

(h) Professional Registration It should be confirmed that the Appointee is currently registered with the appropriate professional and/or regulatory body that governs access to the profession or occupation in question. Reference should be made to the Trust Policy for the verification of Employees Professional Registration.

(i) Self Declaration Forms Applicants who apply for any positions which are exempt from the Rehabilitation of Offenders Act 1974 will be required to complete a Self-Declaration Form (Appendix F). This is in addition to a completing a Disclosure and Barring Service (DBS) check. The Self Declaration form provides the Trust with information on whether any prospective employee of the Trust is currently the subject of a Fitness to Practice Investigation or proceedings by a licensing or regulatory body in the U.K. or in any other country and to clarify whether the prospective employee has been removed from the Register or conditions made on their registration by the Fitness to Practice Committee of a licensing or regulatory body in the U.K., or any other country. Such proceedings will not automatically preclude the appointment, but the Trust must ensure that it is in a position to make an informed judgement on the basis of the full facts. The recruiting manager must also confirm with the prospective employee that any information given prior to the date of commencement of employment remains a valid declaration at the date of commencement. NB. Completed Declaration forms must be forwarded to the Recruitment Team for appropriate storage. Declaration forms will be destroyed after six months. j) Employment History A full employment history and/or training history must be provided via an application form. Explanations must be sought during the interview stage in relation to any gaps in employment For the purposes of checking employment history, references must provide details on dates of employment and the position held as detailed below in section (k) If the applicant is already working within the NHS, additional checks regarding employment dates will be verified via the Electronic Staff Record (ESR), where available. If verification is not available via ESR this should be sought via the prospective employees HR Department within the organisation(s) where they were last employed.

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(k) References Satisfactory references must be obtained before an unconditional offer to appoint a successful applicant is made. References must be obtained from a person in a position of responsibility relative to the applicant, such as the person having managerial responsibility for the applicant. References for health professionals should be obtained from the applicant’s Clinical Line Manager, Medical Director or supervising consultant. Where this is not possible references should be obtained from their postgraduate dean, educational supervisor or other relevant professional lead. If an applicant is, or has previously been in employment, references should normally be obtained from the two most recent employers. Where an individual has been with one employer for three years or more, one reference may be sufficient. Depending on the individuals circumstances, other types of references may also be required if the applicant has:

Not worked before or for some considerable time In such cases, in addition to asking for a person statement from the applicant, managers should request a personal references from persons of some standing in their community who have known the applicant for at least two years in a professional or personal capacity and be able to confirm the identity of the individual e.g. GP, lawyer, MP, etc.)

Been in full time education in the last 3 years. In this case a reference should be obtained from the relevant school, college or university.

Served in the Armed Forces or Civil Service during the previous three years. In this case, a reference should be obtained from the relevant service or department.

Been self-employed. Evidence should be obtained (for example, from HMRC, Bankers, Accountants, Solicitors, etc) to confirm dates of employment, and any other information such as confirmation that the individuals business was properly conducted. In addition, it is recommended that one personal reference from a person of some standing in their community should also be sought.

Worked overseas for a continuous period of six months of more. Prospective employees will need to give a reasonable account of any significant periods of time spent overseas. The following documentation may be requested to seek additional assurance of time spent overseas:

Proof of overseas residency, such as a document for a landlord Overseas employer references or academic references/certificates Proof of itinerary Confirmation of travel from UK departments and agencies overseas

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e.g. FCO missions, British Council, Non-Government organisations and agencies.

If there are any difficulties obtaining references in line with the above guidance advice should be sought from the Recruitment Team. A standard reference letter and questionnaire is used by the recruitment team in order to obtain an objective opinion on the prospective employee’s suitability for the post. The questionnaire asks for information on conduct as well as details of any formal disciplinary action against the individual.

(l) Screening of Criminal Convictions, Cautions and Charges The Trust, through its recruiting managers, must satisfy itself that there are no issues of this nature - either past or current – which would compromise the applicant’s suitability for appointment. Where appropriate, this will include the applicant having been given clearance by the DBS.

(i) Disclosure and Barring Service (DBS)

For posts with regulated activities, the successful applicant will be required to complete a Disclosure and Barring Service (DBS) screening application and for the outcome of this screening to be known and considered prior to an offer of employment being confirmed. The Trust will administer the DBS checks for all job applicants and the cost of the DBS will be recovered from the salary over two months, once the employment commences. For employees who chose to subscribe to the Update Service (electronic DBS service) which they pay for, then there will be no deductions from the employee’s salary as the Trust is not required to pay for a further DBS check. Recruiting managers must also ensure that they are satisfied that any agency workers have the appropriate level of DBS check before commencing work in any service area.

(ii) Levels of Disclosure The DBS are able to provide three levels of disclosure, Standard, Enhanced check without barred list information and Enhanced check with barred list information.

The Standard disclosure contains details of both current spent and unspent convictions, including cautions, reprimands and final warnings held on Police National Computer. This level of check can no longer be used to obtain any information held on the barred lists for working with children and /or adults and cannot be used for any regulated activity involving working or volunteering with children and/or adults.

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An Enhanced disclosure contains the same information as a Standard disclosure but also includes any non-conviction information held by the police, where they consider it relevant to the post. There are two levels of enhanced disclosure checks available

o With barred list information for those staff who undertake

regulated activity o Without barred list information for those staff who are no longer

classified as undertaking regulated activity.

Where the position does not meet the criteria for a DBS check, but may still be regarded as a ‘position of trust’, only unspent convictions can be asked for via a standard DBS check and the Declaration form should be used as part of the application process.

See appendix G for the appropriate level of disclosure for each occupation group and service area.

No member of staff can be appointed to work with children until their clearance has been received. A regulated activity position working with children will require an additional check against the Children’s barred list (Previously known as POCA) (see appendix G).

For all positions in regulated activities with adults, the applicant’s name

should also be checked against the Adults barred list (Previously known as POVA) List (see appendix G).

An appointment to work with adults may only proceed prior to receipt of this clearance in exceptional circumstances, defined by written guidance issued through the Trust’s Human Resources department.

Previous disclosures from other organisations are not acceptable to the Trust. Any applicants who have spent a consecutive period of six months of more outside of the UK will need to provide evidence of a police certificate or Certificate of Good Conduct (also known as a certificate of clearance) from the relevant country/countries in addition to the normal DBS check. Any applicants who have declared that they have been serving in the military for a consecutive period of six months or more in the last five years will need to provide an extract from their military service record which includes any cautions, etc instead of requiring an overseas police certificate. A new DBS check will not normally be required where an existing member of staff moves jobs within the Trust and their roles and responsibilities and level of contact with that group has not significantly

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changed. The trigger for a new check is where: o They have never had a DBS/CRB check before and are moving into

regulated activity which requires an enhanced disclosure, which may also include a check against the Children’s List and/or Adults (as applicable)

o They have previously only had a standard level disclosure and are moving into regulated activity which requires them to have a higher level disclosure

o There has been a break of service for more than three months between leaving the old position and taking up the new position or in flexible retirement cases where the employee has not previously had a DBS/CRB check or a DBS/CRB check at the appropriate level.

o 3 years since last DBS/CRB check carried out by the Trust The individual will require a new DBS check where they are applying for a position within a regulated activity and they are moving into the Trust. Where there is a need to seek criminal record information for applicants living outside the UK advice should be sought from the Recruitment Team. There will be instances where periodic checks will be undertaken in line with contractual or governing body regulations.

Where it is declared that an applicant has been convicted of a criminal

offence, refer to appendix H for guidance on how to proceed with the selection process.

5.6 Offer of Employment

(a) Initial Conditional Offer Letter

Following interview the Recruitment Team will send the successful candidate an initial letter, provisionally offering them the post. This letter should specify that the offer at that point in time is “conditional” and detail the conditions under which the offer has been made.

(b) Conditional Offer of Employment There are only limited conditions under which a conditional offer of employment may be made: - subject to medical clearance - subject to satisfactory references - subject to DBS clearance – including barred lists as appropriate - subject to successful completion of training and associated achievement

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of required qualifications - subject to sponsorship licence and leave to remain (where applicable) - subject to continuing accuracy of declaration form No other form of conditional offer is permitted by the Trust without the explicit approval of the Trust’s Human Resources Team

(c) Employment Work Health Assessments The appointee must undergo an appropriate work health (Occupational Health) assessment and receive clearance prior to an unconditional offer of employment being confirmed. This assessment should establish that

The prospective employee have a health condition or disability that requires adjustments in the workplace to enable them to undertake the post offered or

The prospective employee have a health condition or disability that requires restrictions to their role

All checks must take into account the requirements of the Equality Act 2010 in relation to any declared impairment. If the assessment indicates that adjustments may be required to undertake a role, recruiting managers must contact HR for advice on the suitability of the adjustments/restrictions linked to the role. As part of the work health assessment, appointees will also be required to provide documentary evidence to the Occupational Health Department in relation to immunisations for positions which involve patient/service user contact.

(d) Sponsorship licence If the successful candidate requires additional documentation to work within the UK, the Trust may be required to issue a Certificate of Sponsorship (Cos). In this instance, advice must be sought from the Recruitment Team . The prospective employee will not legally be able to commence employment until the Certificate of Sponsorship and Leave to Remain/Enter the UK applications have been approved and authorised documentation validated. Certificates of Sponsorship are subject to review by the government and may be withdrawn at any time.

(e) Unconditional Offer of Employment Only when all checks stated in this policy have been made, and the terms of the conditional offer have been satisfied should an unconditional offer of employment be made by the recruiting manager. The unconditional offer letter template is in Appendix K.

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In the event that all of the checks have not been satisfied, the recruiting manager must not progress the appointment without agreeing next steps with their designated Human Resources Adviser. Once the above conditions are met, a letter should be sent to the successful candidate confirming the offer and stating the terms and conditions of employment, e.g. salary, hours, base etc.

(f) Fixed-Term Contracts Fixed term contracts should only be used where there are particular operational requirements that restrict the offer to fixed term for example

Cover extended absence from work such as maternity or sick leave

Management of organisational change

Time limited project

Short term funding

Any member of staff appointed on this basis must be kept informed about their contractual position, its reason and likely duration. Recruiting managers should undertake a careful review of the duration of fixed term contracts, on a regular basis to maintain a proper balance between the interests of the employer and those of the employee. Extensions to fixed term contracts must be agreed through the Establishment Control Process. It is not appropriate to use successive fixed term contracts unless there is a clear and justifiable reason for doing so and should only be issued for a maximum of 4 years. Where an employee has accrued 4 years continuity of service on fixed term contracts with the Trust or predecessor employers (where TUPE has applied) they will automatically acquire substantive status, unless there is an objectively justifiable reason that this should not be the case. In such instances advice must be sought from the Human Resources Department.

(g) Probationary Contracts Employment contracts for all new starters to the Trust must include the paragraph that confirms that the offer of employment is subject to a probationary period of six months. The probationary period paragraph should be removed for existing employees who are changing role within the Trust. During the probationary period the new employee is required to demonstrate capability/suitability for the position in which they are employed and as such should receive confirmation that their employment may be terminated if they do not reach the required standards. It should be noted that the definition of capability under employment legislation includes reference to health and

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competence. Guidance on the management of probationary contracts is available from the Human Resources Department.

5.7 Process for following up those who fail to satisfy the checking arrangements

Pre-employment check concerns Current employment check concerns

1. Identity Checks

Stop recruitment process o Consult with HR over possible

reference to police &/or NHS Counter Fraud Specialist , relevant Professional Registration Body etc.

Immediately suspend the employee from duty o Implement disciplinary

procedure and if necessary refer the issue to NHS Counter Fraud Specialist, Professional Registration Body based on HR advice.

2. Right to Work Checks

Stop recruitment process o Notify previous employer if

applicable and the UK Border Agency

Terminate the employee in accordance with the Trust Policy and Procedure for the Management of Disciplinary Matters. This should be done with the proviso that they will be reinstated if they can later prove the right to work in the UK. o Employees can work if they

prove that their visa application is being processed. Employees must provide evidence for corroboration by HR.

o If necessary refer the issue to NHS Counter Fraud Specialist, Professional Registration Body based on HR advice.

3. Registration and Qualification Checks

Stop recruitment process o Consult with HR over possible

reference to police &/or NHS Counter Fraud Specialist, relevant Professional Registration Body etc.

o Notify current employer if applicable.

Refer to the Trust Policy for the Verification of Employees Professional Registration Refer to the NHS Counter Fraud Specialist o Suspend employee

4. Employment History and Reference Checks

Employment History o Interview the candidate to

identify reasons for discrepancies and if there is no

Employment History: o Initially meet the employee

informally to explore the reasons for discrepancy

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satisfactory explanation then the individual’s application will not progress and they will not be employed by the Trust and if applicable current employer will be notified.

Reference Checks: o If not satisfactory, the manager

will need to take HR advice and this may lead to recruitment process stopping at that point.

o Conduct an investigation in accordance with the Trust Policy and Procedure for the Management of Disciplinary Matters

o Consider if the discrepancy would affect their employment status Reference Checks:

Refer to the NHS Counter Fraud Specialist o Not applicable

5. Work Health Assessments (Occupational Health Checks)

Full Work Health Assessment check should be undertaken. However, if the occupational health check identifies the individual as unable to work in the post then the individual must be notified and the recruitment process stops.

Refer to the Trusts Policy relating to the management of sickness absence

6. DBS Checks

If DBS check comes back with criminal conviction(s) confirmed, the information is provided to the line manager. o Line manager confirms whether

or not they were disclosed at the interview and if they were then whether or not they are serious enough and relevant or not to the post. The line manager, in consultation with HR, needs to decide on that basis if the individual is employed to the post/vacancy.

HR will follow up all adverse DBSs with employees and their line managers. They will take into consideration whether or not the employee previously disclosed incidents, the nature of the incident and the time elapsed since it took place. o Following preliminary

investigation, employees may be investigated under the disciplinary policy or may be permitted to work with a risk assessment in place.

5.8

Commencement of Employment (a) Notification of commencement and Contract of Employment Notification of commencement will be made by the recruiting manager using the new starter process. A contract of employment should be issued within eight weeks of the employee’s start date. The new employee should have access to or be provided with the Trust Employment Handbook and the Agenda for Change Terms and Conditions of Service Handbook which can be found on the Trust website

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(b) Induction Arrangements On completion of the selection process and once a start date for the employee has been confirmed, the recruiting manager must make the appropriate arrangements for the induction of the new employee. The Trust Policy for the Management of Local and Corporate Induction refers to this.

5.9 Use of Agency Workers and Volunteers (a) Agency Workers It is essential that persons whose services are hired by the Trust, and who are not employees of the Trust, are subject to checks that are no less rigorous than for substantive employees. It will be for the Trust in partnership with others to ensure either the Trust carries out these checks themselves, or takes action to satisfy itself that the other party carries out the necessary checks. It is the responsibility of the Purchasing Department to ensure that the recruitment agencies used by the Trust are registered on the Buying Solutions Framework Agreement and that the associated agreement incorporates the NHS Employment Checks Standards as detailed in Section 4.6. It is the responsibility of the line manager to request copies of relevant documentation for retaining on the individual’s personal file. Service Level Agreements (SLAs) will state this clearly that the agency must send reliable staff to the Trust and undertake employment checks according to the Trust requirements.

(b) Volunteers It is essential that persons whose services are recruited by the Trust on a voluntary basis are subject to checks that are no less rigorous than for substantive employees. Further information on volunteers is contained in the Volunteers Policy.

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6. TRAINING IMPLICATIONS

Policy for the Appointment of Staff

Staff groups

requiring training

How often should this

be undertaken

Length of training

Delivery method

Training delivered by

whom

Where are the records

of attendance

held?

Recruiting Manager

Once, with updates should there be a legislative change

Various

One-to-one recruitment and selection training and /or Briefings

On line supporting information

Recruitment Team

Electronic Staff Record

Human Resources Recruitment Team

On appointment and as changes to the standards occur

1 day

Local induction and coaching/ supervision

Recruitment Team

Electronic Staff Record

Staff Side / Recruiting Managers admin support staff

On appointment and as changes to the standards occur

Various

Briefings by the Recruitment Team on relevant procedures

Recruitment Team

Electronic Staff Record

7. MONITORING ARRANGEMENTS

Area for Monitoring How Who by Reported to Frequency

Duties under this policy Pre-employment checks carried out in line with policy

Recruitment Tracker

HR Manager

Quality Committee

Quarterly

Types of checks required Employee identity Checks

Recruitment Tracker

HR Manager

Quality Committee

Quarterly

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Area for Monitoring How Who by Reported to Frequency

Right to work checks Employment history and references checks Professional registration and qualifications checks Occupational health checks Disclosure and Barring Service and checks Fitness to practice declaration checks

How checks are made Recruitment Tracker

HR Manager

Quality Committee

Quarterly

How the organisation follows up for those staff who do not satisfy the checking arrangement

Recruitment Tracker

HR Manager Quality Committee

Quarterly

How the organisation makes sure that checks are being carried out by all external agencies used by the organisation in respect of all staff

Audit to ensure compliance with Section 4.6 of the policy

Head of Procurement and Purchasing

Quality Committee

Annually

How the organisation monitors compliance with the policy

Recruitment Tracker

HR Manager Quality Committee

Quarterly

Equality and diversity monitoring

Equality Diversity monitoring report via ESR and NHS jobs

Human Resources Development Manager

Quality Committee

Annually

The recruitment process and procedures follow the mandatory NHS Employment standards and Equality Act 2010. The checks are in compliance with the Data Protection Act 1998, Part V of the Police Act 1997, the Rehabilitation of Offenders Act 1974(Exceptions) Order 1975 (as amended) and the Protection of Freedoms Act 2012 (which amends the Safeguarding Vulnerable Groups Act (2006))

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8. EQUALITY AND DIVERSITY IMPACT ASSESSMENT SCREENING

The completed Equality Impact Assessment for this Policy has been published on this Policy’s webpage on the Trust website.

8.1 Privacy, Dignity and Respect

The NHS Constitution states that all patients should feel that their privacy and dignity are respected while they are in hospital. High Quality Care for All (2008), Lord Darzi’s review of the NHS, identifies the need to organise care around the individual, ‘not just clinically but in terms of dignity and respect’. As a consequence the Trust is required to articulate its intent to deliver care with privacy and dignity that treats all service users with respect. Therefore, all procedural documents will be considered, if relevant, to reflect the requirement to treat everyone with privacy, dignity and respect, (when appropriate this should also include how same sex accommodation is provided).

Indicate how this will be met

This policy does not apply to patients; it is an employment policy.

8.2 Mental Capacity Act

Central to any aspect of care delivered to adults and young people aged 16 years or over will be the consideration of the individuals capacity to participate in the decision making process. Consequently, no intervention should be carried out without either the individuals informed consent, or the powers included in a legal framework, or by order of the Court

Therefore, the Trust is required to make sure that all staff working with individuals who use our service are familiar with the provisions within the Mental Capacity Act. For this reason all procedural documents will be considered, if relevant to reflect the provisions of the Mental Capacity Act 2005 to ensure that the interests of an individual whose capacity is in question can continue to make as many decisions for themselves as possible.

Indicate How This Will Be Achieved.

All individuals involved in the implementation of this policy should do so in accordance with the Guiding Principles of the Mental Capacity Act 2005. (Section 1)

9. LINKS TO ASSOCIATED DOCUMENTS

Policy for the Verification of Employees Professional Registration Volunteers Policy Policy for the Management of Local and Corporate Induction

10. REFERENCES

Verification of identify checks – NHS Employers September 2017

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Right to work checks – NHS Employers September 2017 Employment history and reference checks – NHS Employers September 2017 Work Health Assessments - NHS Employers September 2017 Professional registration and qualification checks - NHS Employers September 2017 Equality Act 2010 Criminal Record and Barring Checks – NHS Employers September 2017 Identity Documents Act December 2010 Immigration Act 2016 Regulated Activity (Adults) – Department of Health August 2012 Protection of Freedoms Act 2012

11. APPENDICES

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Appendix A

Recruitment Flowchart (2017)

Recruiting Manager Responsibility

Post Becomes Vacant

Recruitment Team Responsibility

Advertising

Review Job Description and Person

Specification to ensure accurate and up

to date

If role redesigned, discuss with HR to

ensure Band of role is accurate

If new role, discuss with HR regarding

appropriate A4C Banding process.

Complete Establishment Control Form

(ECF)

Once all sections are completed and

signed, forward to the HR Recruitment

Inbox along with the JD and PS

NB: Failure to complete all sections including signatures will result in delay to advertising process

Check all relevant information and

signatures are contained in ECF and

present to the Establishment Control

weekly panel.

Following receipt of authorisation to recruit, email Recruitment Team with advert and advertising requirements i.e. internal or external. Email should include the Vacancy Row Number issued by Recruitment Team and the interview date (within 2 weeks of being notified)

If vacancy is to be placed on hold the recruitment team must be informed why so that the recruitment dashboard can be updated

NB: It is the Recruiting Managers responsibility to ensure that information provided is correct i.e. contact telephone numbers, etc.

Once ECF is returned from the weekly

panel check with the HR Team if any

vacancies need to be held for ‘At Risk’

Staff.

If vacancy NOT required for ‘at risk’ email

sent to Recruiting Manager confirming

authorisation of recruitment including a

Vacancy Row Number to allow tracking

on Vacancy Dashboard (within 1 day of

panel being held)

If vacancy is required for ‘at risk’ staff,

vacancy will be placed on NHS Jobs under

the restricted area for 1 week (this may be

extended due to annual leave of a suitable

at risk person)

(within 2 days of being notified)

Inform manager via email that their

vacancy has been advertised on NHS Jobs

for ‘at risk’ staff

Manager to liaise with HR Team in relation

to ‘at risk’ applicants

If no ‘at risk’ applicants on NHS Jobs email

manager and proceed with normal

advertising

(within 1 day of advert closing)

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Recruiting Manager Responsibility

Recruitment Team Responsibility

Advertise vacancy and email Recruiting

Manager confirming Vacancy Reference

Number and closing date

(within 2 days of all appropriate documentation being agreed and received)

Monitor number of applications and inform

manager if number exceeds 75

Check advert online and informs

Recruitment Team if any problems

identified.

Monitor progress of online applications by

logging onto www.jobs.nhs.uk/employers

(Username, password and security pin

required – issued by Recruitment Team.

Inform Recruitment Team if wish to close

vacancy due to very high numbers of

applicants

Shortlisting

Email manager to inform vacancy has

closed.

If vacancy has no applicants, agree with

manager next steps.

Email Applicant Interview Details form to

manager to complete

Forward any paper applications (minus

personal details section) to manager

Enter paper application details on NHS

Jobs to allow online shortlisting.

Log onto www.jobs.nhs.uk/employers and

review applications and shortlist online

If no applicants, agree with Recruitment

Team options and next steps.

Check to see if any applicants have ticked

the disabled box and ensure these are

shortlisted in line with the Guaranteed

Interview Scheme. (Discuss with

Recruitment Team if unsure)

Check to see if any applicants have

indicated that they have issues linked to

immigration regulations, i.e. work/study

visas. If yes, then discuss with the

Recruitment Team before progressing

the application.

Check immigration status and inform

manager regarding next steps.

Once online shortlisting is complete, fill in

all appropriate sections of the Interview

Details form and email to

[email protected]

.(within 2 weeks of vacancy closing)

Ensure sufficient notification time is

allowed for the applicant to attend for

interview (wherever possible two weeks)

NB Missing information on the form will result in delays. It is the responsibility of the manager to ensure that contact numbers are accurate

Check all details on form have been

completed and are appropriate

Send out invite to interview letters to

shortlisted candidates via NHS Jobs

(within 2 days of receiving pro forma)

Email manager with copy of letter and

candidate details.

The Trust KPI for recruitment (from ECF approval to interview date) is 8 weeks.

This will be monitored and reported on by the HR Transactional Manager

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Recruiting Manager Responsibility

Recruitment Team Responsibility

Interviewing

During interview:

Applicant to agree and sign Employment

Consent For

Check qualifications

Check professional registration (if required

for role)

Check identification documentation for

eligibility to work in the UK and Disclosure

and Barring Service purposes

Ensure candidate is fully aware of

requirement to disclose any cautions or

convictions (if required)

Check full employment history and ensure

all gaps are accounted for.

Ensure references are appropriate and

match to employment history

Ensure that Recruitment Team are

present at interview to check any Non

EU immigration documents

NB: All documentation must be checked, photocopied and retained by the Recruiting Manager

Once preferred candidate(s) have been

identified, email

[email protected] to

request references. Email must include

Vacancy Reference Number, Job Title and

candidate(s) name

If candidate has been with current

employer for more than 3 years – one

satisfactory reference from that employer

will be sufficient to offer employment. The

reference must cover the full 3 year period.

Initial offer letter can be sent first allowing

separate questions on sickness to be

asked on the reference questionnaire.

Send out reference request letter

and pro forma (within 3 days of

receipt of request)

Email Appointing Officer to confirm

references requests have been

issued

Initial Offer letter can be sent prior to

references – subject to OH, DBS and

references. Discuss with HR as

appropriate

Recruiting Managers are responsible for

chasing references for preferred

candidates, which can be done via email

(if provided) or telephone.

NB: Post can be offered subject to receipt of satisfactory references

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Recruiting Officer Responsibility

Recruitment Team Responsibility

Post Interview

Send Conditional Offer letter (within 2

days of receipt of request) to candidate

including:

Email link, username and password to

access online Occupational Health pre-

employment check.

OH requirements regarding evidence

of appropriate vaccinations (if

applicable)

Disclosure and Barring Service

application form

Declaration Form

Send copy of Offer letter to manager

Monitor online OH information to ensure

candidate completes pre-employment

check within 7 days.

Inform manager if OH check not

completed within 7 days.

Inform manager when OH clearance has

been received (within 2 days of

receiving clearance) and remind them

that if this is an internal candidate they

must obtain the personal file from the

previous manager

Complete manager section of Disclosure

and Barring Service application form

ensuring all appropriate documentation

has been checked.

Send completed Disclosure and Barring

Service form and the Disclosure form to

the Recruitment Team for processing,

storage and disposal.

Check Disclosure and Barring Scheme

form to ensure all sections completed

appropriately and process

Store Declaration Form E1/E2 for 6

months and destroy.

Please note that ONLY the candidate will receive a copy of the DBS certificate.

Ask candidate to bring in original DBS

certificate for checking

Certificates which contain any cautions or

convictions must be discussed with the

HR Team

Provide Recruitment Team with DBS

certificate number, date and status

Store unsuccessful applicant paperwork

for 12 months and destroy

Once all clearance received, send

Unconditional Offer letter to candidate

confirming position and salary details.

Liaise with candidate regarding a start

date

Book candidate on Corporate Induction

Complete New Starter Documentation and

forward to Pay Services

Send all paperwork relating to

unsuccessful candidates to Recruitment

Team for storage and disposal

Set up personal file or obtain personal file

from previous manager if internal

candidate (including secondments)

Recruitment team to enter DBS

information onto ESR for record and audit

purposes

IF, DURING THE RECRUITMENT PROCESS THE CANDIDATE WITHDRAWS, CAN THE

RECRUITMENT TEAM BE INFORMED AS SOON AS POSSIBLE TO AVOID WASTING RESOURCES

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Appendix B

Appointment of Staff: Recruiting Managers Checklist

This checklist must be completed and signed by the Recruiting Manager and a copy placed in the personal file of the employee appointed.

Name of Appointee: ……………………………………………………

Preliminary Steps:

Policy Section

Approval has been obtained for the post to be filled – ECF approved 5.1

Where appropriate, the recruitment approach has been agreed

Job description and person specification has been prepared 5.3(a)

Advert has been placed 5.3(b)

Pre-Interview:

Applicant’s eligibility for the Guaranteed Interview Scheme has been checked

5.4(b)

Pro-forma of interview details sent to HR 5.5(a)

At Interview:

The Employment Check Consent form has been signed by the applicant and witnessed (Copy to be kept on personal file)

5.5(b)

The identity of the applicant has been checked (Copies of documentation to be kept on personal file)

5.5(c)

Applicant is legally able to work in the UK (Copies of documentation to be kept on personal file) HR to attend interview of any Non EU National to validate appropriate documents

5.5(d/e)

Qualifications have been checked (Copies of qualifications to be kept on personal file)

5.5(f)

Check employment history and ensure any gaps are accounted for and a note is placed on the personal file

5.5(j)

Check that the references are appropriate (eg appropriate level of authority and cover the relevant years required)

5.5(k)

Post Interview to Pre-Offer of Appointment:

Receipt of satisfactory references (Copies to be kept on personal file – electronic references should be accompanied by a copy of the email from the Referee)

5.5(k)

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Current professional registration has been confirmed and revalidation date noted (where appropriate)

5.5(h)

DBS form has been checked and forwarded to HR Recruitment Team for processing.

Forward Completed Self Declaration Form to HR Recruitment Team for

storage and destruction

5.5(l)

Intial (Conditional) Offer of Employment

Written offer letter has been issued by HR (Copy to be kept on personal file)

5.6(a)

Receipt of satisfactory Occupational Health clearance (Copy of clearance to be kept on personal file)

Receipt of DBS clearance (Please note copies of the DBS form or

certificate MUST NOT be kept on the personal file)

5.6(c)

5.5(l)

Final (Unconditional) Offer of Employment

Issue final offer letter (Copy to be kept on personal file) 5.6(e)

Post-Appointment:

Following receipt of written confirmation of start date from candidate – complete New Starter Form and forward to Workforce Systems Team (Copy to be kept on personal file)

A contract of employment has been issued within 8 weeks to the appointee (Copy to be kept on personal file)

5.6(g)

Book Employee on the Trust Induction programme

Completion of local induction Induction Policy

I can confirm that all documents relevant for this employee have been

checked and placed on their personal file.

Recruiting Manager…………………………….. Date ………

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Appendix C

Documents for Validation and Identification Purposes Candidates are requested to bring evidence of the qualifications stated in their application and in order to check identification and eligibility to work in the UK candidates are to bring documentation in accordance with the list below, and in either of the following combinations;

a) Two forms of photographic personal ID and one document confirming current residing address.

OR

b) One form of photographic personal ID and two documents confirming current residing address.

All documents identified in the lists below must be

Original

from a trustworthy and reliable source

valid, dated and current

Contain the applicant’s full name, photograph and signature

Have required some form of identity check before being issued to the individual

and ideally one which would be difficult to forge. Where individuals genuinely cannot provide original documentation, you may only accept bank and utility documents which have been downloaded from the internet, where the applicant is able to access their internet account at a meeting with the recruiting manager. However, documents downloaded from the internet must not be accepted in isolation and the information provided will need to be cross referenced with other documentary evidence gathered as part of the recruitment process. If unsure with regard to internet documentation, please contact the Recruitment team for advice. At least one document must show the individual’s signature. Where a signature has not previously been provided, for example because of an e-application form, the individual should be asked to provide this via the Consent Form (Appendix D) Acceptable photographic identification is;

Full, signed UK (Channel Islands, Isle of Man or Irish) passport or EU/other nationalities passport

UK full or provisional photo card driving licence

EU/other nationalities full photo card driving licence (valid up to 12 months up to the date when the individual entered the UK and providing that the person checking is confident that non UK photo card driving licences are bona fide).

UK Biometric Residence Permit (BRP)) card

HM Armed Forces Identity Card (UK)

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ID cards carrying the PASS (Proof of Age Standards Scheme) accreditation logo (UK and Channel Islands)

If an individual genuinely cannot provide any form of acceptable photographic personal identification as outlined above, then the following combination of documentary evidence should be requested:

Two documents confirming their current residing address from the list below

Two forms of non-photographic personal identity (discuss with HR)and

A passport size photograph of themselves Each of the documents provided should be from a different source and photographs must be endorsed on the back with the signature of a person of some standing in the community eg magistrate, GP, Officer of the Armed Forces, teacher, lawyer, bank manager or civil servant who has known the applicant for at least 3 years. The photograph should be accompanied with a signed statement from that person, stating the period of time they have known the applicant.

Preferred acceptable confirmation of address documents are;

Utility bill (gas, water, electricity or land-line phone), or a certificate from a utility supplier confirming the arrangement to pay for the services on pre-payment terms at a fixed address. More than one utility bill may be accepted if these are from two separate suppliers and utility bills in joint names are also permissible*

Local Authority tax statement – for example, a Council Tax statement (UK and Channel Islands) **

UK full or provisional photo card drivers licence , or a full old style paper driving licence (if not already presented as a photographic ID document) Old style provisional driving licence are not acceptable

Most recent HM Revenue and Customs tax notification (ie tax assessment, statement of account, notice of coding)**

Financial statement for example, bank, building society, credit card statement (UK and EEA) Statements issued outside of the EEA must not be accepted*

Credit Union statement (UK)*

mortgage statement from a recognised lender (UK and EAA) Statements issued outside of the EEA must not be accepted**

Local council rent card or tenancy agreement*

Benefit statement, book or card, or original notification letter from Department of Work and Pensions (DWP) confirming the right to benefit (for example, child allowance, pension)**

Confirmation from electoral register service that a person of that name lives at the claimed address**.

*Documents must be dated within the last 6 months unless there is a good reason for it not to be. ** Documents must be dated within the last 12 months

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If an applicant has changed their name recently and cannot provide identity documents in this new name you must only accept identity documents in the applicant’s previous name where they are able to provide legitimate documentary evidence of the recent name change because of:

Marriage/civil partnership certificate

Divorce/civil partnership dissolution certificate

Deed poll certificate

A recognition certificate If an applicant cannot provide sufficient proof of their change of name then advice should be sought from HR When appointing someone who has recently left school or further education, you should ask for one piece of personal photographic evidence; or where this is genuinely not possible, a passport sized photograph which is endorsed by a person of some standing in the community as indicated above and a combination of two of the documents listed below

A grant or student loan agreement from a Local Education Authority (UK)

Full birth certificate (UK and Channel Islands) issued after the time of birth, including those issued by UK authorities overseas, such as Embassies, High Commissions and HM Forces.

Full birth certificate (UK and Channel Islands) issued after the time of birth by the General Registrar Office/relevant authority, for example Registrars.

National Insurance Number Card or proof of issue of an NI number (this will also be a HR requirement for employment)

A letter from their Head Teacher or College Principal can be requested, verifying their name and any other relevant information for example address or date of birth.

A document from a Local/Central Government Authority or Local Authority giving entitlement such as Employment Services, Job Centre, Social Security Services (UK and Channel Islands)*

A qualification certificate

Candidates are also requested to ensure that the documentation they provide proves their eligibility to work in the UK. A photocopy of each of the documents presented by the applicant should be obtained and placed on file. All photocopies or scanned copies should be certified by the Appointing Officer by signing and dating the copy. If you are recruiting a person who is homeless and who does not have access to the above documentation, then you can refer the individual to the Charity Crisis who will be to assist them to obtain a copy of their birth certificate or apply for a passport.

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Appendix D

EMPLOYMENT CHECK CONSENT FORM

Applicant Name:_________________________________________________ NHS Jobs Application Reference: AR__________________ Title of Post applied for:___________________________________________ Job Number __________________ Interview date: ___________________

Dear Applicant In order to further your application we are required to carry out certain checks, to verify your suitability for employment. Any appointment to the Trust is subject to the following checks being carried out

Verification of identity as detailed in your invite to interview letter

Eligibility to work in the UK

Verification of employment history

Satisfactory references in accordance with the policy

Occupational Health Check

Disclosure and Barring Service check (if applicable to this post)

Adults’ Barred List and/or Children’s Barred List check (if applicable to this post)

Qualification and Professional Registration check (if applicable to this post)

Completion of the appropriate Self Declaration form All checks will be carried out in accordance with the Data Protection Act 1998. Information will only be obtained which is essential to the recruitment process for the above post and will be kept in accordance with the Act. Declaration: I have read and understood the above and hereby consent to any necessary check being carried out, to proceed with my application for the above post. I understand that any information provided by myself on the application form, or otherwise may be checked. Signed _______________________________________ Date ____________

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Appendix E Preventing Illegal Working

Follow steps 1-3 for every new potential employee before they begin work.

Step 1 – ask for documents to be provided Ask all potential employees to provide:

one original document or a combination of documents specified in List A (page 31); OR

One of the documents or combinations of documents specified in List B (page 33).

The potential employee may be unable to provide a document from either list because they have an outstanding application for leave to remain in the UK. In this case advice must be sought from the recruitment team

Step 2 – check the validity of the documents provided

Check photographs, where available, to satisfy that they are consistent with the appearance of the individual

check dates of birth are consistent with the individual’s identity documents and the appearance of the applicant.

check that expiry dates of any limited leave to enter or remain in the UK are still valid

check any UK Government stamps or endorsements to see if the potential employee is able to do the kind of work we are offering

Check any discrepancy in names by asking for a further document such as a marriage certificate, divorce document, deed poll, adoption certificate or statutory declaration.

Dates must be cross-referenced with identity documents and work permits or confirmed by contacting appropriate embassies and consulates

Step 3 – copy and storing the documents provided All documents provided must be photocopied and retained on file to provide an ongoing defence against a penalty.

Copies must be made of the relevant page/pages of the document in a format that cannot be subsequently altered eg photocopy or scan. In the case of a passport or other travel document, the following parts must be photocopied or scanned:

For passports any page with the expiry date, nationality, date of birth, signature, leave expiry date, biometric details and photograph, and any page containing information indicating the holder has an entitlement to enter or remain in the UK and undertake the work in question.

All other documents – the document in full, both sides of a biometric residents permit.

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You should then keep a record of every document you have copied and a record of the date the check was made must be put on the copy. The copies of the documents should be kept securely for the duration of the individual’s employment and for a further 2 years after their employment has ceased. The person taking the copy must sign and date the copy to show it has been certified.

If after carrying out these checks you establish that the applicant is not permitted to work in the UK, then you must not allow the individual to commence employment. Step 4 – carry out follow-up checks if the document is from List B (Group 2) If a prospective employee provides one of the single documents, or a combination of documents from List B, it indicates that they only have limited leave to work in the UK. Therefore a further check must be undertaken by the recruitment team six months after the employment starts and a record of the date on which they carried out these checks will be made. If the employee is unable to provide the appropriate documentation from List B Group 1 when the permission expires or List B Group 2 at the six month check their contract of employment will be regarded as terminated. Where the employee provides a document or documents from List A, no further checks are required for the duration of their employment. The Recruitment Team will ensure that appropriate monitoring of employees with time limited or restricted right to work status is undertaken and necessary steps put in place to ensure that applications are processed in the timescales required

To avoid racial discrimination when preventing illegal working we must follow the above procedure for all interviewees.

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List A

A passport showing that the holder or a person named in the passport as the child of the holder is a British citizen, or has a right of abode in the UK.

A passport or national identity card showing that the holder, or a person named in the passport as the child of the holder, is a national of the European Area or Switzerland.

A registration certificate or document certifying permanent residence issued by the Home Office to a national of a European economic area country or Switzerland

A permanent resident card issued by the Home Office or the UKBA to the family member of a national of a European economic area country or Switzerland.

A current Biometric Immigration Document issued by the Home Office or the UKBA to the holder which indicates that the person is allowed to stay indefinitely to stay in the UK or has no time limit on their stay in the UK.

A current passport endorsed to show that the holder is exempt from immigration control, is allowed to stay indefinitely in the UK, has the right of abode in the UK, or has not time limit on their stay in the uk

A current immigration status document issued by the Home Office to the holder with an endorsement indicating that the named person is allowed to stay indefinitely in the UK or has no time limit on their stay in the UK, TOGETHER WITH an official document giving the persons permanent national insurance number and their name issued by a government agency or previous employer

A full birth or adoption certificate issued in the UK which includes the name(s) of at least one of the holders parents or adoptive parents, TOGETHER WITH an official document giving the persons permanent national insurance number and their name issued by a government agency or previous employer

A birth or adoption certificate issued in the Channel Islands, the Isle of Man or Ireland TOGETHER WITH an official document giving the persons permanent national insurance number and their name issued by a government agency or previous employer.

A certificate of registration or naturalisation as a British Citizen, together with an official document giving the persons permanent national insurance number and their name issued by a government agency or previous employer

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List B - A current passport endorsed to show that the holder is allowed to stay in the UK

and is currently allowed to do the type of work in question - A current biometric immigration document (Biometric Resident Permit) issued by

the Home Office to the holder which indicates that the named person can currently stay in the UK and is allowed to do the work in question

- A current resident card (including an Accession Residence Card or a Derivative Residence Card) issued by the Home Office to a non EEA national who is a family member of a national of a EEA country or Switzerland or who have a derivative right of residence

- A current immigration status document containing a photograph issued by the Home Office to the holder with a valid endorsement indicating that the named person may stay in the UK, and is allowed to do the type of work in question, TOGETHER WITH an official document giving the persons permanent national insurance number and their name issued by a government agency or a previous employer.

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European Economic Area Countries Nationals from EEA countries and Switzerland can enter the UK without any restrictions. However, they must produce a document showing their nationality. The legitimate documents are covered in List A. Nationals from the following EEA countries can enter and work freely in the UK without restriction. Their immediate family members are also able to work freely in the UK whilst their adult EEA family member is legally residing and working in the UK. However, documents should still be checked to demonstrate this entitlement. Austria* Belgium* Bulgaria*

Croatia**

Czech Republic* Cyprus* Denmark* Estonia* Finland* France* Germany* Greece* Hungary* Iceland Ireland* Italy* Latvia* Lichtenstein Lithuania* Luxembourg* Malta*

Netherlands* Norway Poland* Portugal* Romania*

Slovakia* Slovenia* Spain* Sweden* UK*

Nationals from Switzerland and their family members also have the same free movement and employment rights as EEA nationals.

* indicates that the country is also a member of the European Union

** indicates worker restrictions – speak to Recruitment Team

Employing Turkish Workers already residing in the UK The European Community Association Agreement (ECAA) with Turkey provides Turkish nationals who are already working legally in the UK with certain rights when they need to extend their stay in the UK. Further advice should be sought from the recruitment team when considering employment of a Turkish national. Advice must be sought from recruitment team prior to interviewing nationals from any of the above two countries.

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APPENDIX F

DECLARATION FORM

Guidance for applicants

The position you have applied for is exempt from the Rehabilitation of Offenders Act 1974 (as amended in England and Wales). When the Trust is assessing your character and suitability for any such appointment, it is legally permitted to ask for and consider any information relating to unspent (current) and spent (old) criminal convictions, police cautions, final warnings or reprimands which are not protected (or filtered out) by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (Amendment) (England and Wales) Order 2013. You are not legally obliged to declare any convictions or cautions which are protected under the Exceptions Order. Employers must not ask for, or consider any such information as part of their recruitment process. Before completing this form it will be important for you to read the useful guidance section on page two which provides additional advice about the type of criminal history information you must declare. Where relevant to the role, the organisation may also ask you to provide any information about any investigations and/or formal action taken against you by a regulatory or licencing body which may have had an impact on your professional registration and/or fitness to practise in your chosen profession. Any information you declare when completing this form will be verified by undertaking a follow-up check with the relevant body. It will also include carrying out a standard or enhanced disclosure through the Disclosure and Barring Services (known as a DBS check). Enhanced disclosures may also include other non-conviction information which may be held on central police databases, where this is regarded as relevant to the position you are applying for. If the position has, in addition, been identified as a ‘regulated activity’ under the Safeguarding Vulnerable Groups Act 2006 (as amended by the Protection of Freedom’s Act 2012), the enhanced disclosure will also include any information that may be held about you on the children’s and/or adults barred list(s).

Our fair recruitment promise The Trust aims to promote equality of opportunity and is committed to treating all applicants for positions fairly and on merit regardless of ethnicity, disability, age, gender or gender re-assignment, religion or belief, sexual orientation, pregnancy or maternity, marriage or civil partnership. The organisation does not discriminate unfairly against applicants on the basis of criminal conviction or other such information declared. If we believe that the information you have declared is relevant to the position you are applying for, we will discuss this with you prior to making our final recruitment decision. If information is not raised with you, this is because we do not believe that this should be taken into account. In any event, you remain free to discuss the matter with the recruiting manager or human resources department should you wish to do so. All information will be examined on a case-by-case basis alongside the full range of information we gain about you as part of our recruitment process. It is important to stress

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that answering yes to any of the questions in the attached form does not mean that you will be prevented from taking up an appointment in the NHS.

How will my information be used?

The information that you provide in this declaration form will be processed in accordance with the Data Protection Act 1998. It will only be used for the purpose of determining your application for this position. It will also be used for purposes of enquiries in relation to the prevention and detection of fraud. If you have declared any information relating to criminal convictions or other such offences, we will consider the following:

The relevancy of the conviction/offence to the position being applied for.

The seriousness of the offence(s).

Your age when you committed the offence(s).

The length of time since the offence(s) occurred.

If there is a pattern of offending behaviour.

The circumstances surrounding the offence(s).

Any evidence you provide to demonstrate that your circumstances have changed since the offending behaviour.

It is important to be aware, that the failure to disclose all spent and unspent convictions which you are legally obliged to declare (i.e. those that are not protected by Exceptions Order of the Rehabilitation of Offenders Act (as amended in England and Wales), could result in disciplinary proceedings or dismissal. Please ensure that you take the time to read the supplementary guidance that we sent to you with your application form. This provides you with detailed information about how we will process your application, the persons to whom information will be disclosed, and the range of checks that we will undertake as part of our recruitment process.

Useful guidance

If you have a criminal history, it will be important for you to refer to the easy to read guidance documents provided on the Unlock website. Unlock is a charity body that provides information and advice to individuals to help them gain a greater understanding about the type of information employers are likely to seek about their criminal history, which convictions and cautions are protected under the Exceptions Order (i.e. will never be disclosed as part of a DBS check and do not need to be declared when completing this form) and their rights.

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DECLARATION FORM

Before completing this form, it is important to note the following points: 1. You must answer all the questions in this form.

2. Before ticking yes or no, please ensure that you to read the explanatory notes which are

provided underneath each of the questions. These notes are intended to guide you in determining what additional information you will be required to provide to support your answers.

3. If you answer yes to any of the questions, please use the space provided to include any

relevant information about your suitability for the position you are applying for. 4. If you would like any additional supplementary evidence to support your application to

be considered, please ensure it is attached or uploaded with this form when you return it.

5. You are not required to disclose information about parking offences.

Applicant details

Full name (in block capitals)

Contact details

Role applied for

1. Are you currently bound over, or have you ever been convicted of any offence by a Court or Court-Martial in the United Kingdom or in any other country?

You should tick no, if any convictions are protected (or filtered out) by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (Amendment) (England and Wales) 2013. Please refer to information about protected convictions and cautions in the useful guidance section.

Yes No

If you have ticked yes, please provide details of the order binding you over and/or the nature of the offence, penalty, sentence or order of the Court, the date and place of the Court hearing.

2. Have you ever received a police caution, reprimand or final warning in the United Kingdom or in any other country?

You should tick no, if any cautions, reprimands or final warnings are protected (or filtered out) by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (Amendment) (England and Wales) 2013. Please refer to further information about protected convictions and cautions in the useful guidance section.

Yes No

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If you have ticked yes, please provide details of the caution, reprimand or final warning, including the date and reason administered.

3. Have you been charged with any offence in the United Kingdom or in any other country that has not yet been disposed of?

Please note that you must inform us immediately if you are charged with any offence in the United Kingdom or in any other country after you complete this form and before taking up any position offered to you.

Yes No

If you have ticked yes, please provide details of the nature of the offence with which you are charged, date on which you were charged, and details of any on-going proceedings by a prosecuting body.

4. Are you aware of any current investigations being undertaken by the police following allegations being made against you in the United Kingdom or in any other country?

Yes No

If you have ticked yes, please provide details of the nature of the allegations made against you and, if known to you, any action to be taken against you by the police.

Please note that we will only take into account any current investigations which might be relevant to the position you are applying for.

5. Have you ever been investigated by the NHS Business Services Authority (formerly NHS Counter Fraud and Security Management Services) or any other investigatory body resulting in a current or past conviction or any formal action being taken against you?

Yes No

If you have ticked yes, please provide details of the offence, including any dates.

Investigatory bodies may include:

HM Revenue & Customs, the Financial Services Authority, Department for Business, Energy and Industrial Strategy (formerly the Department of Trade & Industry), Department of Work and Pensions, Home Office, UK Visas and Immigration and local authorities.

This list is intended as a guide only, you must declare any investigation conducted by an investigatory body.

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6. Have you ever been dismissed by reason of misconduct from any employment, volunteering, office, or other position previously held by you?

Yes No

If you have ticked yes, please provide details of the employment, volunteering, office, or other position held, the date that you were dismissed and the nature of allegations of misconduct made against you.

7. Are you currently subject to a fitness to practise investigation and/or proceedings of any nature by a regulatory or licensing body in the UK or in any other country?

Yes No

If you have ticked yes, please provide the reasons given for the investigation and, where applicable, the details of any warnings, conditions or sanctions (including limitations, suspension or any other restrictions) that apply to your professional registration and, the name and address of the regulatory or licensing body concerned.

Please note that we will only take into account any current fitness to practise investigation or proceedings which might be relevant to the position you are applying for.

8. Have you ever been removed from the register, or have conditions or sanctions been placed on your registration, or have you been issued with a warning by a regulatory or licensing body in the UK or in any other country?

You should tick no, where any right to appeal has been upheld and where that appeal has resulted in your case being fully exonerated.

Yes No

If you have ticked yes, please provide details of any conditions or sanctions (including limitations, suspension or any other restrictions) that apply to your registration and/or any warnings issued, where relevant and, the name and address of the regulatory or licensing body concerned.

9. Are you subject to any other prohibition, limitation, or restriction that means we are/or may be unable to consider you for the position for which you are applying?

Yes No

If you have ticked yes, please include details of the nature of the prohibition, restriction or limitation and by whom it was made.

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Continuation sheet:

If you have answered yes to any of the questions above, please use the space below to provide any additional information you wish us to consider as part of your application. You may continue on a separate sheet or attach any additional evidence, if you wish to do so. Please clearly indicate the number of the question to which the information relates.

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Declaration IMPORTANT The Data Protection Act 1998 requires us to advise you that we will be processing your personal data. Processing includes: holding, obtaining, recording, using, sharing and deleting information. The Act defines ‘sensitive personal data’ as racial or ethnic origin, political opinions, religious or other beliefs, trade union membership, physical or mental health, sexual life, criminal offences, criminal convictions, criminal proceedings, disposal or sentence. The information that you provide in this declaration form will be processed in accordance with the Data Protection Act 1998. It will be used for the purpose of determining your application for this position. It will also be used for purposes of enquiries in relation to the prevention and detection of fraud. Once a decision has been made concerning your appointment, the Trust will not retain this declaration form any longer than is necessary - see further details in the supplementary guidance notes for applicants which we provided with your application form. This declaration will be kept securely and in confidence. Access to this information will be restricted to designated persons within the organisation who are authorised to view it as a necessary part of their work. In signing the declaration on this form, you are explicitly consenting for the data you provide to be processed in the manner described above.

I confirm that the information that I have provided in this declaration form is correct and complete. I understand and accept that if I knowingly withhold information, or provide false or misleading information, this may result in my application being rejected, or if I am appointed, in my dismissal, and I may be liable to prosecution. Please sign and date this form.

Full name (in block capitals)

Signature

Date

If you need any assistance or advice before returning this form to us, or you wish to withdraw your consent at any time after you have submitted this form, please contact the recruitment team on 01302 796712 All enquiries will be treated in strict confidence.

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Appendix G Declarations, Disclosures and Checks Required by Occupational Group Decisions on whether a disclosure is required for posts not falling within the defined categories below, should be discussed with an HR Advisor.

Occupational Group

Declaration at Appendix F

Standard DBS Disclosure

Enhanced DBS Disclosure

Children’s Barred List

Check (1)

Adults Barred List

Check (2)

Management and Administrative Staff in central Functions:

Central Management & Administrative staff

Administrative staff in clinical, scientific, therapeutic and technical functions:

Child and Adolescent Psychiatry F

Adult Mental Health/Psychological Therapy (For services were admin staff will have contact with under 18 client group ONLY)

F

Substance Misuse Services (For services were admin staff will have contact with under 18 client group ONLY)

F

Property and Estates Staff:

Non-clinical areas

Clinical areas where staff will have contact with under 18 client group ONLY) /

F

Porters, Catering and Domestic Staff:

Child & Adolescent Psychiatry F

Clinical areas F

Non-clinical areas

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Occupational Group Declaration at Appendix F

Standard DBS Disclosure

Enhanced DBS Disclosure

ISA CBL Check (1)

ISA ABL Check (2)

Medical Staff:

o Adult Mental Health/Psychological Therapies* F

o Older People’s Mental Health F

o Learning Disabilities F

o Child & Adolescent Psychiatry F

o Forensic F o Substance Misuse Services F

o Integrated Community Services F Nursing Staff (Qualified and un-Qualified):

o Adult Mental Health/Psychological Therapies* F

o Older People’s Mental Health F

o Learning Disabilities F

o Child & Adolescent Psychiatry F

o Forensic F

o Substance Misuse Services F

o Integrated Community Services F

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Occupational Group Declaration at Appendix F

Standard DBS Disclosure

Enhanced DBS Disclosure

ISA CBL Check(1)

ISA ABL Check(2)

Professions Allied to Medicine eg Occupational Therapy, Clinical Psychology, Pharmacy, Social Services Staff (Qualified and un-Qualified):

o Adult Mental Health/Psychological Therapies* F

o Older People’s Mental Health F

o Learning Disabilities F

o Child & Adolescent Psychiatry F

o Forensic F

o Substance Misuse Services F

o Integrated Community Services F Enhanced checks with Children’s and/or Adults’ Barred list check(s) – To be eligible to request a check of the Children’s or Adults’ Barred lists, the position must meet the new definition of Regulated Activity. * Services within this area working with under 18 client group who meet the new definition of Regulated Activity will be able to request a check of the Children’s Barred list.

Students who as part of their professional qualification, are required to carry out a clinical placement where they will undertake work that falls within Regulated Activity will require the appropriate level of disclosure and checks to the post and area of work All agency workers will require the appropriate level of disclosure and checks to the post and area of work All volunteers with access to clients will require an enhanced DBS disclosure

Negotiations with private contractors where work may enable access to clients, should include consideration of whether DBS disclosures should be sought

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Appendix H

POLICY AND PROCEDURE ON THE RECRUITMENT OF EX-OFFENDERS

Policy statement The Trust undertakes to treat all applicants for positions fairly and actively promotes equality of opportunity for all. Applications are welcomed from a wide range of candidates, including those with criminal records. Candidates are selected for interview and appointment based on their skills, qualifications, experience and the requirements of the post. Scope This policy and procedure applies to all prospective applicants for employment. It should be read as a part of the “Appointment of Staff” policy to which it is attached. Many posts within the Trust involve access to patients in the course of normal duties – these posts are exempt from the Rehabilitation of Offenders Act 1974 which means that applicants will be required to disclose all criminal convictions, whether ‘spent’ or ‘unspent’, at the application stage. If successful at interview, that information together with information on cautions, convictions; police investigations and/or fitness to practice investigations must be disclosed via the completion of a Trust declaration form. These posts will also be subject to Disclosure and Barring Service screening procedures and the successful applicant will be asked to complete a disclosure form for submission to the Disclosure and Barring Service. Applicants for posts that do not involve regulated and some controlled activities are covered by the Rehabilitation of Offenders Act 1974, and are therefore only required to declare criminal convictions that are not ‘spent’.

Principles Any decisions regarding the recruitment of staff will be guided by the following principles: 1. The Trust has a duty to protect the service users, clients and staff in its care. 2. Having a criminal record will not automatically bar you from working with the

Trust. 3. The Trust will make a balanced assessment of the relevance of any previous

conviction to the applicant’s suitability for employment. 4. A disclosure is only requested where it is relevant to the position concerned.

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Procedure 1. The Trust, in using the Disclosure and Barring Service (DBS) service to assess

applicants' suitability for positions of trust will comply with the DBS’s Code of Practice.

2. Every individual who is subject to a DBS Disclosure will be made aware of the existence of the DBS Code of Practice.

3. The existence of this policy on the recruitment of ex-offenders will be notified to all Disclosure applicants.

4. For those positions where a Disclosure is required, there will be a statement included with application forms that a Disclosure will be requested in the event of the individual being offered the position.

5. The resulting information received will inform the recruitment decision-making process in accordance with principles set out above.

6. Managers involved in the recruitment process will identify and assess the relevance and circumstances of any offences declared, as directed within the following guidance. Managers requiring additional guidance regarding the relevant legislation relating to the employment of ex-offenders, e.g. the Rehabilitation of Offenders Act 1974 should contact the Human Resources Department.

7. At interview, or separately, an open and measured discussion will take place on the subject of any offences declared or other matters that might be relevant to the position, in accordance with the following guidance.

8. Failure by the applicant to reveal information that is directly relevant to the position sought could lead to withdrawal of an offer of employment and/or, where employment has commenced, action under the Trust’s disciplinary procedures including dismissal.

9. The Trust undertakes to discuss any matter revealed in a Disclosure with the person seeking the position before withdrawing a conditional offer of employment.

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Guidance for Managers on the Recruitment and Selection of Ex-Offenders There are 4 stages during the recruitment and selection process where an applicant may disclose information regarding previous criminal offences: For all posts: 1. Application Form – the applicant is asked to declare if they have ever been found

guilty of a criminal offence 2. Interview – the applicant is questioned further about any offence(s) declared

For posts exempt from the Rehabilitation of Offenders Act 1974 i.e. posts requiring a DBS Check: 3. Declaration Form – the provisionally selected applicant is asked to complete and

sign a written declaration of any previous offence(s) 4. DBS Disclosure –information is received from the DBS detailing any previous

offences of the provisionally selected applicant At all four stages, the Recruiting Manager will need to make an assessment of the significance of any offence in relation to the post Objective assessments will: o Focus on a person’s abilities, experience and qualifications o Consider the nature of the conviction and its relevance to the job in question o Identify the risks to the organisation’s business, service users, clients and

employees o Recognise that having a criminal record does not always mean lack of skills,

qualifications and experience o Note that high-quality training, leading to qualifications, is available in many

prisons In some cases, the relationship between the offence and the post will be clear enough for the organisation to decide easily on the suitability of the applicant for the job. To some extent an organisation may be bound by legal constraints. Where there is no clear relationship between the offence and the post and the applicant meets all the essential criteria for the job, he/she should be short listed for interview, where the details of the offence(s) should be discussed in more detail. You will need to take these issues into account: o The seriousness of the offence and its relevance to the safety of other

employees, service users, clients or property o The length of time since the offence occurred o Any relevant information offered by the applicant about the circumstances which

led to the offence being committed, for example, the influence of domestic or financial difficulties

o Whether the offence was a one-off, or part of a history of offending o Whether the applicant’s circumstances have changed since the offence was

committed, making re-offending less likely

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o Whether the offence has been decriminalised by Parliament o The country in which the offence was committed. Some activities are offences in

Scotland and not in England and Wales, and vice versa o The degree of remorse, or otherwise, expressed by the applicant and their

motivation to change An assessment of an applicant’s skills, experience and conviction circumstances should be weighed up against the risk assessment criteria for the job: o Does the post involve regulated with children or other groups as employees,

service users or clients? o What level of supervision will the post holder receive? o Does the post involve any direct responsibility for finance or items of value? o Does the post involve direct contact with the public? o Will the nature of the post present any opportunities for the post holder to re-

offend in the course of work? Where a Recruiting Manager is satisfied that the details of an offence would not compromise the provisionally selected applicant’s suitability for the post, the applicant should be offered the job provisionally, with the condition that the DBS disclosure does not reveal any offences not previously mentioned by the applicant. Whilst waiting for the disclosure to come back, the provisionally selected applicant should be asked to complete the relevant declaration. There is a limit to the usefulness of information provided by a Standard or Enhanced Disclosure. Where information is revealed, the Disclosure will generally only provide the basic facts – the name and date of offences, for instance, and the sentence. It will not put them into context. There may therefore be a need for further discussions with the provisionally selected applicant.

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Appendix I MAIN CONDITIONS OF SERVICE

This sheet has been prepared to provide a summary of the current main conditions of service. The information listed does not constitute all aspects of the terms and conditions of employment. If further information is required applicants are asked to contact their line manager.

Salary The salary for the post will be within a set Band (pro rata for part time staff) (See advert). Salaries are reviewed on 1 April each year. Staff are paid monthly by credit transfer direct into a bank or building society account. Hours of Work The standard hours of all full time NHS staff covered by Agenda for Change are 37.5 hours per week, excluding meal breaks. The hours of work for this post can be found on the advert.

Entitlement to annual leave for full-time staff commences at 27 days per year, rising to 29 days after 5 years’ service and 33 days after 10 years’ service. In addition there are 8 Bank/Public holidays. Part-time staff have a proportionate entitlement to leave. The annual leave year runs from April to March and appointees beginning work part-way through a leave year will receive an entitlement proportionate to completed calendar months of service in that year. NHS Pension Scheme All new members of staff will automatically be enrolled into the NHS Pension Scheme*. Contributions are made both by the employer and the employee. A guidance booklet is available on appointment. Notice The appointment is terminable by the following amounts of notice: Band 1 4 Weeks Bands 2-5 4 weeks Bands 6-7 8 weeks Bands 8, 9 Medical Consultants and Directors 12 weeks

Medical Clearance Any appointment offered will be subject to satisfactory completion of a medical questionnaire and medical examination.

Annual Leave

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Disclosure from Disclosure and Barring Service Where appropriate, an offer of appointment may be subject to a satisfactory Disclosure from the Disclosure and Barring Service (DBS) confirming that the applicant has no cautions, convictions or pending proceedings which would compromise the appointment. Having a criminal record will not automatically bar you from working with the Trust. The Trust’s Appointment of Staff Policy which incorporates the Recruitment of Ex-Offenders Policy is accessible via the website: www.rdash.nhs.uk. The DBS Code of Practice is accessible at http://www.homeoffice.gov.uk/crime/vetting-barring-scheme/.

* Subject to NHS Pension Scheme eligibility criteria

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Appendix J

RDASH ESTABLISHMENT CONTROL FORM – VACANCIES

In order to manage and control recruitment costs and ‘at risk’ processes, this document must be completed in order to seek approval to fill all vacancies.

Forms that are not completed in full and are not appropriately signed WILL NOT be processed and WILL be returned to the originating manager. Section 1 – Information about the post. To be completed by the originating manager

Title of Post:

Position Number (Mandatory)

Directorate: Locality

Department/Team: Band:

Base/location

Direct Replacement

Revised Post

New Post (existing funding)

New Post (new funding)

If replacement, specify the date the post became vacant:

Name of previous post holder:

Does this position involve contact with children or vulnerable adults and involve teaching, training, care, supervision, advice, treatment or transport?

Professional Registration Required:

Name Registration Body:

Section 2 – Terms and Conditions of the post. To be completed by the originating manager

No of Hours per week: Total Whole Time Equivalent (WTE)

No of Hours per annum (annualised hours contract only)

Agenda for Change Band

Fixed Term Post Reason for Fixed Term Post

Duration of Fixed Term Post

Salary Range

Permanent Post

Section 3 – Impact of non-approval. To be completed by originating manager

Please explain why the post should be filled, include justification of continuation of post/band/hours.

Name of originating manager:

Date:

Signature of originating manager:

Contact number:

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Section 4 – Financial information. To be completed by originating manager/Head of

Department Will existing department

budget cover all costs? Yes/No

If no, how will this post be funded? Give details below?

Cost Code: Subjective Code:

I confirm and verify that the information above is correct and that the post is a necessary requirement to maintain service delivery.

Name of Head of Department:

Date:

Signature of Head of Department:

Contact number:

------------------------------------------------------------------------------------------------------------------------------ Section 5 – Authorisation to be completed by Assistant Director (or equivalent) Comments

Name of Assistant Director (nominee):

Date:

Signature of Assistant Director (nominee):

Contact number:

------------------------------------------------------------------------------------------------------------------------------ Section 6 – Authorisation to be completed by Finance Department I confirm this post is financially affordable

Comments

Name of Finance Manager:

Date:

Signature of Finance Manager:

Contact number:

------------------------------------------------------------------------------------------------------------------------------ Section 7 – Authorisation to be completed by HR Department I confirm this post has been agreed as part of the core structure

Comments

Could this post be considered for ‘at risk’ staff Yes/No

Name of HR practitioner:

Date:

Please add comments in support of or to add further detail to manager comments.

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Page 57 of 58

Signature of HR practitioner:

Contact number:

Section 8 – Authorisation to be completed by Approvals Panel

I confirm This post has been agreed to progress to recruitment

Further information is required before this post can progress to recruitment

Recruitment is supported but on a Fixed Term Contract basis rather than a permanent basis

Comments

Name of Panel signatory:

Date:

Signature of panel representative:

Contact number:

Please forward onto the Corporate Human Resources Team for processing via:

[email protected]

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Page 58 of 58

Appendix K Post of xxxxxx

Further to our recent telephone conversation, I have now received your medical and DBS clearance

and I am pleased to confirm the Trust’s offer of employment as a ….Post title...... with effect

from…date….. (insert the next available corporate induction date). Your first day will be attending

Corporate Induction, I would be grateful if you could please report to the reception at the RED Centre,

Tickhill Road Hospital, Weston Road, Doncaster, DN4 8QN at 9am on xxxxxxxxx

The appointment is in accordance with Agenda for Change terms and conditions of employment and

your salary will be in accordance with Agenda for Change band xx, ranging from £ xxxxx to £ xxxxx.

Your starting salary will be £ xxxxx per annum. Your hours of work will be xxx hours per week to be

worked flexibly over xxx days. The first 6 months of employment will be subjected to a probationary

period, detailed in your formal contract of employment.

Please find attached your programme for the first week of your employment. This includes the training

essential for your new role.

I have enclosed the Pay Services Bank Details Form, please complete the form and bring with you to

Corporate Induction and hand the form to the pay services representative in attendance.

As part of the Corporate Induction you will be required to have your photograph taken which will be

used for your identity badge and smartcard (if applicable).

In order to receive a smartcard please take with you 3 forms of Identity documents from the ID

checklist attached. A representative from the Workforce Systems Team will be in attendance to check

your ID and complete the RA documentation.

Your first day at your actual work base/location will be (insert date) Please report to XLocationX at

XLocationX and ask for xNamex.

To accept the offer of employment please confirm in writing to me at the address on the top right of

this letter. Upon receipt of your acceptance, a formal contract of employment will follow.

May I take this opportunity to welcome you to the Trust. I hope that your employment with us will be

both happy and rewarding. Should you have any queries or require any further information, please do

not hesitate to contact me.

Yours sincerely

Recruiting Manager


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