Recruitment and Selection Policy and Procedure Docum… · Kamini Chouhan, Recruitment Manager ....

Recruitment and Selection Policy and Procedure

Approved By: Policy & Guideline Committee

Date of Original Approval:

16 November 2009

Trust Reference: B43/2009 Version: V6

Supersedes: V5 (April 2016 - Policy and Guideline Ccommittee)

Trust Lead: Kamini Chouhan, Recruitment Manager

Lead Board Director: Louise Tibbert, Director of Workforce and Organisational Development

Date of Latest Approval

26 January 2018 – PGC

Next Review Date: January 2021

UHL Recruitment and Selection Policy of 22 V6 Approved by Policy and Guideline Committee on 26 January 2018 Trust Ref: B43/2009 Next Review: January 2021

NB: Paper copies of this document may not be most recent version. The definitive version is held on INsite Documents

CONTENTS

Section Page 1 Introduction and Overview 3 2 Policy Scope 3 3 Definitions and/or Abbreviations. 3 4 Roles and Responsibilities 4 5 The Recruitment and Selection Process

5.1 Enhanced Recruitment Control Board 5.2 Advertising 5.3 Applications 5.4 Shortlisting Process 5.5 Interview Process 5.6 Offer and Confirmation of Appointment 5.7 Induction 5.8 Performance Review of New Employees

5

6 Education and Training 7 7 Process for Monitoring Compliance 7 8 Equality Impact Assessment 7 9 Supporting References, Evidence Base and Related Policies 7 10 Process for Version Control, Document Archiving and Review 8

Appendices: Page 1. Recruitment and Selection Procedure 9 2. Recruitment and Selection Flow Chart 18 3. Senior Recruitment - Touchpoints 20 4. Recruiting Managers Checklist 22

REVIEW DATES AND DETAILS OF CHANGES MADE DURING THE REVIEW

2016 – This Policy was revised in June 2016

2017- This policy has been updated to include the revised Recruitment Process now that TRAC (Applicant Tracking system has been implemented) and also to ensure that all external and local links to additional information are up to date and accurate. In addition to this a seprate detailed recruitment procedure has been created and included in Appendix 1.

4.6- Conflicts of interests section has been incorporated into the policy

KEY WORDS

Recruitment and Selection

Pre-employment Checks

Recruitment Process

PAGL NHS Employment Standards Legislation UHL Recruitment and Selection Policy of 22 V6 Approved by Policy and Guideline Committee on 26 January 2018 Trust Ref: B43/2009 Next Review: January 2021


1 INTRODUCTION AND OVERVIEW

1.1 University Hospitals of Leicester NHS Trust recognises that their staff is the most

precious resource. The purpose of this policy is to ensure the Trust is best placed to enhance and sustain its aim of being an employer of choice and recruits the right staff in the right numbers with the best skills, knowledge and experience to deliver excellent services to our patients.

1.2 The document describes the Trust’s legal responsibilities and procedures to ensure that no unlawful discrimination occurs in the Recruitment and Selection process. The policy aims to set a minimum standard for safe and best practice recruitment.

1.3 The policy outlines the general principles for recruitment and associated processes including pre-employment checks, recruitment of ex-offenders and arranagements for secondments. The policy aims to achieve this by:

• Ensuring that all recruitment activity meets the Trust responsibility as an Equal Opportunities employer and selection decisions comply with legal and NHS requirements.

• Describing the core principles for the recruitment process and associated processes for employment.

• Describing the process for ensuring the 6 pre-employment checks are undertaken for all staff (temporary and permanent)

The policy should be read in conjunction with:

• The UHL Disclosure and Barring Policy- B2/2006

• The UHL Professional Registration Policy- B64/2008

2 POLICY SCOPE- WHO THIS POLICY APPLIES TO AND ANY SPECIFIC EXCLUSIONS

2.1 This Policy applies to all UHL staff members involved in the recruitment and selection process staff directly employed by the Trust. Seprate processs exists for Consultant and other Medical staff, however all of the principles of this policy, particularly in relation to section 5 apply. All staff are responsible for following Trust policy and guidance documents. The reason and justification for any deviation needs to be clearly documented. Failure to do this may lead to disciplinary proceedings being invoked.

2.2 Adhering to the Trust recruitment and selection policy will ensure compliance with the NHS Employment Check Standards, published by NHS Employers. The standards include those checks that are required by law, those that are required by Department of Health policy and those that are required for access to the NHS Care Record Service. The standards are mandatory for all applicants to all NHS positions and staff in ongoing NHS employment.

3 DEFINITIONS AND ABBREVIATIONS- IN ALPHABETICAL ORDER

3.1 CQC:Care Quality Commission- is the independent regulator of health and adult social care in England

3.2 Candidate- A candidate is a person who has applied for a role with the Trust. They may be an existing Trust employee or external. The individual is known as a candidate until they commence employment with the Trust, when they become an employee.



3.3 Equality Act 2010- this act replaced the previous anti discrimination laws such as the Race Relations Act 1976 and the Disability Discrimination Act 1985) with a single Act. It simplifies the law, removed inconsistencies and made it easier for employers to understand and comply with. It also strengthens the law in important ways to help tackle discrimination and inequality.

3.4 Interview Panel- The interview panel is the group who assess the candidates suitability

against the person specification. 3.5 Recruiting Manager – is the manager of the vacant role who has taken responsibility for

recruiting to the role. It maybe the line manager or another senior manager (such as the senior sister or service manager) The person leaving the role should not be the recruiting manager (e.g. if someone is retiring, they should not recruit their replacement.)

3.6 Resident Labour Market Test- is the advertising of the role for a set period of time to

determine whether a suitable candidate can be sourced from the existing settled labour market (those who already have the right to work in the UK). This must be evidenced in order to appoint a candidate who does not already have the right to work in the UK.

4. ROLES – WHO IS RESPONSIBLE FOR WHAT

4.1 Director of Workforce and Organisational Development The Chief Executive has nominated the Director of Workforce and Organisational

Development as having lead responsibility for Recruitment and Selection within the Trust:

• Ensuring the provision of appropriate publicity of the policy

• Ensuring the consistency of application throughout the Trust

• Ensuring the provision of training and advice to managers and staff on the operation of the policy.

4.2 Resourcing Lead

4.2.1 Has responsibility for ensuring that the systems and resources described above are designed, updated, monitored and audited to ensure compliance. They are responsible for ensuring, with the Recruitment Services Team Managers that all relevant Recruitment Services staff are trained and instructed in relevant employment check procedures and recruitment best practice and that they co-operate with the required monitoring and audit processes.

4.3 Recruitment Services Team (hereafter referred to as RS) 4.3.1 The Recruitment team are responsible for:

• Advertising vacancies which have been approved at Enhanced Recruitment Control Board (ERCB)

• Supporting and advising managers on the recruitment and selection process

• Sending conditional offer letters to successful candidates

• Notifying the recruiting manager if checks are outstanding to enable them to risk assess the situation appropriately

• Producing contracts for new employees

• Processing and evidencing all pre-employment checks in line with the NHS Employer Standards



• Entering employee information, accurately, onto ESR

• Sending information regarding start dates to Induction team so new starters can be booked onto corporate induction.

• Storing and destroying interview paperwork in line with data protection and NHS information governance guidelines.

4.4 Recruiting Managers 4.4.1 have responsibility for ensuring that they comply with the policy and the required

checking, monitoring or audit processes required for staff within their sphere of responsibility. Managers also have responsibility for ensuring that staff that are required to hold particular qualifications or professional registration maintain these during the course of their employment with the Trust and take appropriate action where necessary.

4.4.2 All new recruits, on commencement of employment, must attend the Trust Corporate Induction. Most clinical and some support staff may also attend a longer induction programme to support them in their new role. Line managers are responsible for ensuring their new staff have a local ward/department induction

5. THE RECRUITMENT AND SELECTION PROCESS

The full detailed Recruitment Procedure is set out in Appendix 1 and in the Flowchart in Appendix 2.

5.1 Enhanced Recruitment Control Board All requests for temporary cover of a post, appointment to a new post, or change to an existing post must be requested via the TRAC system and will be approved via the Trust Enhanced Recruitment Control (ERCB). A unique reference number will be given to each request and used by HR, Finance and Procurement to enable a clear audit trail.

5.2 Advertising Request to advertise must be made via TRAC ensuring the correct matched/ evaluated job description and person specification is used.

Adverts must be free from any discriminatory content, either direct or indirect and should aim to relect concisely the requirements of job description and person specification.

The recruitment team may amend content of adverts to support branding, improve exposure on social media and meet equal opportunity legislation.

All vacancies will be advertised on TRAC and NHS Jobs as a minimum. The recruiting manager may wish to advertise externally through additional media. Any additional advertising will only occur after careful consideration of the most appropriate and cost effective method, dependent on circumstances. The final decision if additional media is used rests with each individual CMG who holds the budget for advertising.

5.3 Applications Candidates must be informed that Applications should be submitted online via TRAC or NHS Jobs. CV’s will only accepted where stated and in addition to the above and offline applications will only be accepted on the NHS national application form in exceptional circumstances.

5.4 Shortlisting Process



Shortlisting is done online using functionality within TRAC. Managers will shortlist applicants using the criteria derived from the job description and person specification to ensure that the most suitable applicants are selected and that discrimination does not occur.

If an applicant who has declared a disability and meets the minimum selection criteria they must be offered an interview in accordance with the Trusts commitment of the Disability Confident award (previously known as two ticks)

If an existing member of staff has been identified ‘at risk’ and meets the minimum selection criteria they must be offered preferential interview in accordance with the Trust management of change policy and procedure.

5.5 Interview Process Appointing panels must consist of at least two people to reduce the opportunity for bias. In certain circumstances there will be a requirement for larger panels according to the type of post. Wherever possible panels will be representative and take into account equality and diversity of the workforce.

As a minimum the chair of the interview panel must have attended appropriate recruitment and selection training. It is the Trust’s aim to ensure that all staff involved in this process will receive such training.

Managers are required to use the interview pack which can be accessed by logging into your TRAC Account, an email link will also be sent to you by email, 24 hours before the interviews are due to take place so the pack can be accessed.

5.6 Offer and Confirmation of Appointment All successful candidates will receive a conditional offer of employment and appointments will not be confirmed until the 6 pre-employment checks issued by NHS Employers have been successfully completed. See appendix 4- which indicates at what stage managers are expected to log into TRAC account to approve pre-employment checks specifically references.

• Verification of Identity

• Right to work in UK status

• Professional Registration

• Qualifications

• Employment History and References

• DBS

• Occupational Health

On successful completion of these checks candidates will be issued with a Contract of Employment via email.

5.7 Induction All new recruits, on commencement of employment, must attend the Trust Corporate Induction. Most clinical and some support staff may also attend a longer induction programme to support them in their new role. Line managers are responsible for ensuring their new staff have a local ward/department induction. See Local Induction Policy B4/2003 for more information.

5.8 Performance Review of New Employees UHL Recruitment and Selection Policy of 22 V6 Approved by Policy and Guideline Committee on 26 January 2018 Trust Ref: B43/2009 Next Review: January 2021


In line with the Appraisal and Pay Progession Policy and procedure (B16/2015) all new employees will have a yearly appraisal with their manager. Some newly qualified professional staff will also need to demonstrate competencies at agreed intervals in order to progress.

6 EDUCATION AND TRAINING FOR THIS POLICY

6.1 All recruiting managers will receive guidance or have access to training as appropriate to this policy in order that the process is understood and there is consistant application

6.2 Recruitment and Selection Training is available for Recruiting Managers this can be booked via the Induction Team and takes place on a monthly basis.

6.3 In order to chair an interview panel you must have attended the Recruitment and Selection Training.

6.4 Bespoke TRAC Training also available to Recruiting Managers and can be booked via the Recruitment Team.

7 PROCESS FOR MONITORING COMPLIANCE

7.1 The audit criteria for this policy and the process to be used for monitoring compliance are given in the table below:

Element to be monitored

Lead Tool Frequency Reporting arrangements

Ensuring Pre-Employment Checks are carried out according to NHS Employment Check Standards

Resourcing Lead

TRAC Monthly Regular spot checks of candidate files/vacancies on TRAC carried out by Recruitment Officers. Quarterly audit carried out by Resourcing Lead/ Recruitment Manager.

Compliance with the terms of this policy

Resourcing Lead

TRAC Question and answer sessions with recruitment services staff

Monthly Regular communications and Recruitment & Selection full day and refresher training for Recruiting Managers

8 EQUALITY IMPACT ASSESSMENT

The Trust recognises the diversity of the local community it serves. Our aim therefore is to provide a safe environment free from discrimination and treat all individuals fairly with dignity and appropriately according to their needs.

As part of its development, this policy and its impact on equality have been reviewed and no detriment was identified.

9 SUPPORTING REFERENCES, EVIDENCE BASE AND RELATED POLICIES

Provide evidence base for procedural documents with up to date references. It is recommended that all references are cited in full using and agreed uniform approach to referencing. UHL Recruitment and Selection Policy of 22 V6 Approved by Policy and Guideline Committee on 26 January 2018 Trust Ref: B43/2009 Next Review: January 2021


CQC http://www.cqc.org.uk/guidance-providers/regulations-enforcement/regulation-19-fit-proper-persons-employed

Government Equalities Office- Equality Act https://www.gov.uk/government/policies/equality

UKV & I- Tier 2 Guidance https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/606182/Tier_2_Policy_Guidance_04_17.pdf

Information Commisioners Office- Subject Access Requests https://ico.org.uk/for-organisations/guide-to-data-protection/principle-6-rights/subject-access-request/

Key UHL Policies Professional Registrations Checks UHL Policy (B54/2008) http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Professional%20Registration%20Checks%20UHL%20Policy.pdf

Disclosure and Barring Service Policy (B2/2006) http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Disclosure%20and%20Barring%20Service%20UHL%20Policy.pdf

Appraisal and Pay Progression Policy and Procedure (B16/2015) http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Appraisal%20and%20Pay%20Progression%20UHL%20Policy.pdf

Policy for Corporate and Local Induction (B4/2003) http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Induction%20UHL%20Policy.pdf

10 PROCESS FOR VERSION CONTROL, DOCUMENT ARCHIVING AND REVIEW

10.1 The Recruitment Services Team are responsible for the reviewing and updating of this

Policy.



http://www.cqc.org.uk/guidance-providers/regulations-enforcement/regulation-19-fit-proper-persons-employed

http://www.cqc.org.uk/guidance-providers/regulations-enforcement/regulation-19-fit-proper-persons-employed

https://www.gov.uk/government/policies/equality

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/606182/Tier_2_Policy_Guidance_04_17.pdf

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/606182/Tier_2_Policy_Guidance_04_17.pdf

https://ico.org.uk/for-organisations/guide-to-data-protection/principle-6-rights/subject-access-request/

https://ico.org.uk/for-organisations/guide-to-data-protection/principle-6-rights/subject-access-request/

http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Professional%20Registration%20Checks%20UHL%20Policy.pdf

http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Professional%20Registration%20Checks%20UHL%20Policy.pdf

http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Disclosure%20and%20Barring%20Service%20UHL%20Policy.pdf

http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Disclosure%20and%20Barring%20Service%20UHL%20Policy.pdf

http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Appraisal%20and%20Pay%20Progression%20UHL%20Policy.pdf

http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Appraisal%20and%20Pay%20Progression%20UHL%20Policy.pdf

http://insitetogether.xuhl-tr.nhs.uk/pag/pagdocuments/Induction%20UHL%20Policy.pdf

Recruitment and Selection Procedure

1. Introduction

1.1 The main objective for our recruitment and selection process aims to select staff who identify with our trust values and see themselves as making positive and innovative contribution towards delivering the Trusts objectives.

1.2 The Trust is committed to ensuring that best practice is followed at all times during the recruitment and selection process. This procedure outlines the general principles for recruitment and associated processes including the recruitment of ex- offenders, the handling of DBS disclosure information, determining salaries on appointment.

2. Scope

See Appendix 2 where the full recruitment process is documented in a flow chart. See Appendix 4 where managers can refer to the checklist to ensure on the managers part have been completed as part of the recruitment process for their candidates 2.1 This procedure applies to the recruitment and selection of all staff that are being recruited

by and for the University Hospitals of Leicester NHS Trust. The only exceptions are medical and dental staff for which there is a separate guidance.

2.2 Training is available for managers and is essential for those responsible for leading an interview panel.

3. Recruitment and Selection Procedure

Useful Definations CMG Clinical Management Group

CON Case of Need

ERCB Enhanced Recruitment Control Board

RLMT Resident Labour Market Test

TRAC Applicant Tracking System

3.1 Reviewing a vacancy

Once a vacancy has been identified and before any decision is made to advertise, the manager responsible should review the service requirements, skills mix and competencies required for the role against the departments recruitment plan and budget.

3.2 The review should also include whether the details of the role outlined in the job description or the skills in the person specification, need to be amended to reflect the needs of the department or the role. Information may also be obtained from exit interviews as this can provide a valuable insight into how to improve the recruitment, induction and retention of new employees.

3.3 The manager should consider whether the role needs to go through job evaluation process. Advice and guidance is available from the HR Generalist Team on this element of the process.

Appendix 1

9 UHL Recruitment and Selection Policy V6 Approved by Policy and Guideline Committee on 26 January 2018 Trust Ref: B43/2009 Next Review: January 2021


The recruiting manager should also consider:

• Whether a secondment or internal transfer would be more appropriate to fill the vacancy

• Whether the role is still needed- there may have been changes in the department and a re-organisation maybe appropriate, if necessary, the manager must consider their plan and consult with the HR Generalist team in this situation.

• If there are any aspects of the job which may need amendment.

• Whether the vacancy is suitable for flexible working e.g. part time, job share, annualised hours contract.

• What sort of contract the position should be offered on eg: permanent, or fixed term.

3.4 Job Descriptions and Person Specifications It is the recruiting managers responsibility to prepare the job description including the person specification using the correct template as on the Intranet.

http://insitetogether.xuhl-tr.nhs.uk/Divisions/Corporate/CommunicationsandExternalRelations/Documents/CM/Template%20JDPS%20for%20Mgrs%20-%20Apr%202017.docx

3.4.1 If the vacancy has been created because someone has left an existing role then the current job description and person specification must be reviewed and any necessary changes made.

The job description must clearly and accurately outline the duties and responsibilities of the role. The language used should be readily understandable to potential applicants (including those from outside the NHS) and should avoid unnecessary abbreviations, jargon or acronyms.

3.4.2 The person specification is of equal importance to the job description as it is the benchmark against which all applications are considered for shortlisting and appointment. The person specification details the experience, qualifications, skills, abilities, and behaviours that are required to do the job more effectively (desirable). It should be drawn up after the job description and, with the job description, will inform the content of the advert.

3.4.3 The person specification should be specific, related to the job, and not unnecessarily restrictive - for example only qualifications strictly needed to do the job should be specified. The inclusion of criteria that cannot be justified as essential for the performance of the job may be deemed discriminatory under the Equality Act 2010, if these impact disproportionately to the disadvantage of specific groups. For example, to specify a certain number of years experience would discriminate against those not old enough to have that length of service in a role at that level.

3.4.4 The job description and person specification should be prepared and evaluated in line with the NHS Employer’s guidance. Please contact your HR Generalist team for information on this process.

3.5 Vacancy Control and Authorisation 3.5.1 For all vacancies, additional and/ or existing replacement posts, the manager is required to

obtain authorisation to appoint before proceeding to advertise the post. The authorisation request and approval process is managed via the applicant tracking system (TRAC).

3.5.2 There are three levels of authorisation required and the authorisers for each post will vary depending on the banding of the post and the CMG Structure. The final authoriser must






always be Enhanced Recruitment Control Board (ERCB). Once CMG approval has been received the vacancy will be taken to ERCB, which takes place on a weekly basis.

3.5.3 When submitting a vacancy authorisation request on TRAC, it is a requirement for all Recruiting Managers to complete all the TRAC vacancy submission sections as well complete a Case of Need (CON) to enable ERCB to review all the information. This includes:

• Draft Advert

• Fully completed Case of Need (CON) .This will also be available on Insite

Evaluated job description and person specification- The Recruiting Manager should carefully consider the essential and desirable criteria required within the person specification for the post. This is to enable the shortlisting panel to select the individuals who possess the right level of skills, attitudes, values, knowledge and experience, required to do the job. Information contained in the person specification must be justified as essential for the performance of the job and not unnessarily restrictive. (A Template is available on Insite) Job Evaluation and Person Specification Template

• Providing names and email details of at least 1 shortlisting panel member

• Completing the shortlisting criteria on TRAC with criteria measurable from the application form.

Recruiting managers are advised that any missing information may result in delays in authorising, advertising and recruiting to the post.

3.6 Advertising

3.6.1 Request to advertise a post must be made via the TRAC system. Recruiting managers need to ensure that there is nothing within their adverts that could be construed as being discriminatory or offensive to others, either directly or indirectly.

3.6.2 Advertisments should aim concisely reflect the job description and person specification. Advice can be obtained from the recruitment team. Vacancies will normally be advertised on Job Websites that will attract a wide and diverse range of applicants. Internal vacancies will only appear on the Trust’s own website and can be accessed via Insite: http://www.leicestershospitals.nhs.uk/aboutus/work-for-us/current-vacancies/. Further advice is available from the Recruitment Team. Alternative advertising such as specialist job boards, journals, and social media can be undertaken and will be charged accordingly to the CMG. The final decision on whether additional media is used rests with the CMG.

3.6.3 For the majority of posts it is usual practice to advertise jobs for a minimum of two weeks

to attract suitable and diverse applicants. 3.6.4 For generic posts where large volumes of applications are anticipated, Recruiting

Managers are encouraged to select a shorter closing date to assist with managing this process. In addition, Recruiting Managers should consider using appropriate application filtering and screening (blocker) questions to help with managing the shortlisting process, this can be done by making a note on TRAC when the vacancy is submitted and you can also make a note if you would like to cap the number of applications. The Recruitment Team will then be able to pick this information up from TRAC.

3.7.1 Application Process

All applicants must apply through the UHL recruitment website- www.jobsatleicestershosptals.nhs.uk (TRAC) or via NHS Jobs in order that all applications



http://www.leicestershospitals.nhs.uk/aboutus/work-for-us/current-vacancies/

http://www.jobsatleicestershosptals.nhs.uk/

can be considered fairly and anonymously. Managers should not accept CV’s in place of a formal application.

In some circumstances, an off-line application form maybe obtained from the Recruitment Team so that a candidate can apply for a vacancy.

Additional Questions Vacancies on TRAC and NHS Jobs can be set up to include additional questions on the application form and pre-application questions to assist recruiting managers in shortlisting candidates. The Recruiting Manager will liase with the Recruitment Team to set the questions and the response needed to take the application forward (for pre-application questions only).

Pre-application Questions Pre-application questions can be used to prevent applicants who do not meet some essential criteria from progressing to the application form. Multiple-choice questions can be added to the vacancy. They are especially helpful where a role has previously generated high volumes of applications or to draw an applicant’s attention to specific requirements (such as qualification or registration required for the role). For example “I have a full driver’s license to C1 standard”. To which the required response is “yes”. If an applicant ticks “No” they will not be able to proceed with the application for that role.

If an applicant has genuinely made a mistake with the pre-application question they should contact the recruitment team to re-set their application to allow them to submit their correct response.

3.7.2 Shortlisting Process Once an advert is closed, the Recruiting Manager has overall responsibility for ensuring that shortlisting is undertaken via TRAC as soon as possible.

The lead shortlister (normally the Recruiting Manager) is responsible for ensuring:-

• they have attended a UHL recruitment and selection training course before being able to act as a lead shortlister.

• that where a candidate is identified as a Trust re-deployee that they will receive appropriate support in accordance with the Trust Re-deployment Guidance and any regional/national aggreements in place.

• that the shortlisting process is undertaken in accordance with these guidelines and within the recruitment timescales .

• that there is a minimum of two shortlisters, one of which must act as the ‘Lead Shortlister’.

• that the shortlisting process assesses individuals against agreed measurable criteria to determine which applicants should proceed to the next stage of the selection process, which is usually an interview.

• that the shortlisting panel shortlist and score candidates using the criteria derived from the job description and person specification to ensure that the most suitable candidates are selected and that discrimination does not occur. Desirable criteria can be taken into account when all essential criteria have been met to further narrow the list.

• that where a candidate who has declared a disability meets the minimum selection criteria they must be offered an interview in accordance with the Trust commitment of the Disability Confident award (previously known as Two Ticks)

• all shortlisters are required to leave an electronic note on TRAC System of their reasons for shortlisting or rejecting individual applications. This information is



stored for a minimum of 12 months, and may be given in feedback to candidates if requested, or in case of a complaint to an Employment Tribunal or to meet Border Agency Requirements where a certificate of sponsorship is required.

3.8 Selection Process There are a range of assessment tools and methods that Recruiting managers can use to assess an applicant’s suitability for the post. The most widely adopted method being an interview. However for certain posts the interview alone may not sufficiently demonstrate the skills, values, behaviours, knowledge and abilities. Therefore other methods of assessment should be considered in conjunction with the interview e.g.: tests, scenarios, in-tray exercises and presentations.

For senior posts, on Agenda for Change pay band 8a and above additional Testing can be used for eg: psychometric testing, personality testing and ability tests these would need to be requested from the recruitment team and there will be a cost associated with this.

Advice on methods of assessment should be sought via the Recruitment Team or the HR Generalist Team.

For Executive Level Director Recruitment, advice must be sought from the Director of Workforce and Organisational Development and be undertaken in accordance with the Fit and Proper Persons Guidance.

3.9 Inviting Candidates to Interview Once the recruiting manager has finalised their shortlisting on TRAC they will need to complete the Interview information email providing the details of the interview. Once the recruitment team receive this information they will set up interview/ assessment slots and invite the shortlisted candidates to these. Candidates are allowed to choose their preferred interview/assessment slot (this is on a ‘first come, first served basis).

The email inviting candidates to the interview should include the following information:

• date, time and place of their interview

• names and job titles of the interview panel

• a request that they contact the author of the email if they have any particular requirements or to discuss the interview facilities (related to access to the venue or any other need related to a disability)

• if appropriate, details of any test or presentation they will be required to take

3.10 Reasonable adjustments for interviews The TRAC System advises candidates that they should contact the Trust if they require reasonable adjustments to be made for their attendance at the interview/ assessment.

3.11 Feedback Due to the volume of applications that the Trust receives, feedback is not offered to candidates at the application stage. However a recruiting manager can choose to provide feedback to candidates at this stage. If feedback is offered, it should be specific relating to the person specification and honest.

3.12 The Interview Process Interview Panels must consist of at least two people, this reduces the opportunity for bias and in certain circumstances there will be a requirement for larger panels according to the



type and grade of post. The interview panel will comprise of those people best able to assess the knowledge, skills and attributes for a particular role but should always include the manager whom the appointed person will be responsible for. For senior appointments, the senior manager must also be a member of the panel.

The interview panel should meet prior to the interview to prepare the interview questions. The questions explored by each panel member should be agreed to avoid repetition. Interviewers should work to a set structure of questions (although it is recognised that further probing questions may need to be asked in order to follow up particular issues) which should be asked of each candidate to assess them against the criteria listed in the person specification. Assumptions should not be made regarding the expertise or abilities of candidates because of their work history. Care must be taken to avoid questions that could be construed as discriminatory (eg. questions about a candidates personal circumstances that are unrelated to the job). For example, the interview panel can ask for confirmation of whether the candidates can comply with the working patterns of the role, but would not be able to ask supplementary questions about domestic; or childcare arrangements.

The interview panel acts for the Trust in making selection decisions and as such are accountable for these decisions. The Trust’s interview pack should be used for all interviews. Notes must be taken by each member of the panel so that an informed decision is made on the content of the interviews. Notes taken during the must relate to how the candidate demonstrated their skills, abilities, knowledge and experience

The chair of the panel (usually the recruiting manager) must ensure that the mandatory questions in the interview pack are completed for every candidate. See appendix 4- Recruiting Managers checklist to ensure all actions have been completed by the manager.

The Data Protection Act allows candidates to request a disclosure of all information collected about them during the recruitment process via a subject access request. Therefore in the event of a complaint or an Employment Tribunal all documents used in the recruitment and selection process would be required.

Discussion about the individual candidates should be advised of when they will be notified of the results of the selection process. Although every effort should be made to contact candidates as soon as possible. The recruiting manager or another member of the panel are the only appropriate people to be able to provide feedback to the candidates.

The decision to appoint a candidatw must only be made by the panel members. Where the panel is unable to agree which candidate should be appointed they should either arrange a further assessment exercise (i.e. second interview, test, presentation, etc.) or the recruiting manager (normally the line manager for the vacant position) will be responsible for making the final decision.

3.13 Reserve Candidates Where more than one candidate meets the selection criteria the interview panel may decide to list the second and third choice candidates as reserve. Where the first choice candidate is unable to take up employment, for any reason, the second candidate may be offered the position and so on. Reserves may be held for a period of 3 months on TRAC and if there is the requirement to fill the same role during that period the reserve candidate may be offered the position without having to repeat the recruitment process.



3.14 Conflict of Interests Panel members are responsible for declaring if they have a relationship (business or personal) with an applicant. In this situation, they should not sit on the panel for interview. In particular, no member of staff should be participate in the shortlisting or interview process or authorise the appointment where a close relation is involved.

4.7 Senior Recruitment For all posts Band 8B or above there will be additional touch points included as part of the interview process to ensure that posts at this band are successfully filled. See Appendix 4.

5.0 Making an offer of employment

Once the Recruiting Manager has made the verbal offer to the candidate, the lead panel member will need to complete the offer template on TRAC and change the status of each of the candidates. All paper interview notes for successful candidates need to be scanned by the lead panel member and uploaded onto TRAC under the vacancy and paperwork for the unsuccessful candidates must be scanned and sent across to the relevant email listed below.

[email protected] (All Nursing and Midwifery posts)

[email protected] (All posts which are not nursing posts)

Once the recruitment team receive the paperwork, they will complete a final check that the candidate is not on the special applicants register (SARS) before a formal conditional offer of employment is made to the candidate

Successful candidates should be advised not to submit their resignation to their current employer (where appropriate) prior to all of the relevant checks being completed satisfactorily.

All interview information will be retained in line with the Data Protection Act (1998) and NHS information Governance Guidelines. Recruitment and Selection information for successful candidates will be retained on the personal file for the duration of their employment, whilst information on unsuccessful candidates will be retained for a period of 12 months before being destroyed.

5.1 Making reasonable adjustments – post offer When the successful candidate is disabled, reasonable adjustments may need to be considered depending on their disability and in consultation with them. The Trust has a duty to consider what reasonable adjustments can be made to working practices for disabled people. Where it is agreed that reasonable adjustments need to be made this should be discussed with the Occupational Health Team and the HR generalist team in the recruitment process.

6.0 Employment Checks The Trust will complete the necessary employment checks that’s NHS organisations (across England) are required to undertake in the appointment and on-going employment of individuals in the NHS.

For external candidates the offer of employment cannot be confirmed until these requirements are met. These Include:



mailto:[email protected]


• Verification of Identity- check on applicant’s full name, signature, date of birth and full permanent address and requirement for acceptable documents containing their photograph or an endorsed passport sized photograph.

• Right to work in UK- documents- documents or combinations of documents specified on official lists are required. If the applicant does not have the right to work status and the vacancy is hard to recruit to, the Trust may choose to apply for a Certificate of Sponsorship.

• Professional Registration- Where professional registration is required to carry out a role it is checked at conditional stage and the outcome is recorded on TRAC system and verified again on actual commencement and details checked on ESR (Electronic Staff Records)

• Qualifications- Where a Registration check has been made by the relevant regulatory body it is not necessary to verify qualifications separately, however for certain posts as required, qualification checks are carried out e.g.: financial or managerial positions.

• Employment History and References- References and application forms are cross checked. References are sought after a conditional offer has been made, in writing using a standard form via the TRAC system. For all external applicants entering into the NHS for the first time the requirement is that a reference(s) should cover a minimum of three years continuous employment and/or training including details of any gaps in service. The number of references may differ for each applicant, depending on how many episodes of employment/ training they may have had in the last three years prior to making their application. In addition where there are any gaps between periods of employment or training an explanation of this will need to be captured. Personal/ character references from relatives will not be accepted.

For applicants who are moving from another NHS organisation to UHL, the reference(s) must be from the applicants current/last NHS employer. If the candidate has been employed with the previous Trust less then 3 years then another reference from previous employment will also be required to cover the full 3 years employment history.

For individuals moving from one NHS organisation to another, or who have previous NHS employment, their employment data will automatically move around with them via an electronic system known as Inter Authority Transfers (IAT).

• Criminal Records Checks- All shortlisted applicants are asked to complete a self-declaration providing details of any criminal records using the Declaration A form. In addition, posts defined as regulated or controlled activity require an Enhanced Disclosure Barring Service (DBS) check and this is carried out prior commencement of the post. A standard DBS may be carried out for certain posts, duties and licences included in the Rehabilitation of Offenders Act 1974 Exceptions Order 1975. See Appendix 3 further information on DBS checks.

• Occupational Health- where required for the role a risk assessment is carried out and a work health check. The type of occupational health assessment required will depend on the nature of the workplace and job, medical history of the employee and requirements of health and safety legislation.

Once all the relevant NHS employment checks have been met, the Recruiting Manager will be notified via TRAC and will be asked to arrange a start date with the applicant. Recruiting Managers must ensure that the start date falls on a Trust Induction day.



For Internal Candidates, the Recruitment Team will check the candidate’s current file and advise of which checks will be required in order to ensure that the checks in place meet current NHS Employment Check standards.

7.0 Starting salary and incremental dates All new employees to the NHS should be appointed on the lowest salary point in the relevant band. However, in exceptional circumstances a starting salary which is higher than the lowest salary point in the band may be agreed, where equivalent previous experience may be counted. This would normally be in situations where the role is of a specialist nature that the higher salary is necessary to secure the best candidate for the role. This should be noted on the TRAC offer form.

When an internal candidate is offered a job that is at a higher pay band, pay should be set at the minimum of the new pay band. However, if this would result in no increase, for example, the individual is at the top of their current pay band, the individual would go to the first pay point in the band which would result in an increase in pay. The employee’s incremental date when they are eligible to move to the next incremental point on the pay scale) will change to reflect the date of the most recent increase in salary.

When an internal candidate is offered a job that is at the same pay band as their current role, they would normally move across on the same pay point. The incremental date will remain the same so that the employee is not disadvantaged by the change.

For hard to fill posts a recruitment and retention premia may be considered in line with Agenda for Change terms. This must be agreed before the advertisement is placed.

8.0 Verification of previous service- Inter-Authority Transfer (IAT) Reasonable efforts will be made to verify previous service. This will be undertaken by the Recruitment Team via the Inter-Authority Transfer functionality on the Electronic Staff Record.

9.0 Withdrawing an offer of employment If, after careful consideration, it is decided to withdraw the conditional offer of employment the grounds of withdrawal must be very clear e.g. due to unsatisfactory references or other employment checks and offer of employment rescinded in writing. The decision must be made in conjunction with the HR generalist team.

10.0 Induction and first day The Recruiting Manager must ensure that all practical arrangements are considered and plans made to welcome the new employee. It is strongly advised that the recruiting managers should maintain contact with their new employees throughout the employment checks process to engage the employee with their new team and place of work:

• All staff will attend Corporate Induction which takes place on a Monday and will be changed to a Tuesday if there is bank holiday. All candidates must attend Induction on the first day and recruitment services will book the new staff member onto Induction

• Arrangements after Induction should be made by Recruiting Manager to meet and welcome the new employee on their first day in the department



Appendix 2



Appendix 3 Touchpoint Interview Process for Key appointments (Band 8b and above)

Post 8b or above

Manager has

shortlisted candidates

to interview

Request interview details from manager (date, location, format) and ensure accuracy on TRAC

Call all candidates selected for interview and CONGRATULATE them on successful application

Send interview request to candidates including dates and any preparation requirements for interview (presentation topic or inform them that there will be a test)

Call candidates once they have booked on to interview (chase those which haven't) to make sure they have all information required and wish them luck. Request any special requirements (access, technology etc.)

Call successful candidates after all interviews CONGRATULATE and advise they will receive conditional offer by email and arrange ID check appointment.

Send manager contact details when all pre-employment checks are complete to arrange start date with department.



Send regret email to unsuccessful candidates thanking them for their application.



Appendix 4 Recruiting Managers Checklist Have you completed the authorisation form on TRAC including a CON document and completed shortlisting criteria on TRAC when submitting your TRAC authorisation, you will need this to complete the shortlisting of applications at a later date.

Yes No

Have you received Authorisation from ERCB to recruit to the post Yes No Have you organised interview dates, venue, panels and chosen your selection criteria.

Yes No

Once you have shortlisted candidates on TRAC have you moved the candidates into the correct statuses ie: reject or invite to interview. Those candidates you would like to invite to interview you will be asked to complete an online template on TRAC and provide the Interview information.

Yes No

Have you designed your interview questions and printed off your interview pack this will be available on TRAC

Yes No

Have you completed all the information in the interview pack, including mandatory questions for each of the candidates interviewed.

Yes No

After interviews have you verbally offered the post to the appointable candidate, only make offers based on how many WTE’s you have approved on TRAC. (You may keep candidates on offer reserve)

Yes No

Have you gone into TRAC and moved the candidates into the correct statuses after interview, Did not attend, Reject or Offer and completed the online offer form for the successful candidate with the correct information.

Yes No

Have you scanned and attached the interview notes and paperwork work onto TRAC for the successful candidate

Yes No

Have you scanned and forwarded the interview notes for the unsuccessful candidates to the relavent email: [email protected] [email protected]

Yes No

Have you logged into TRAC and approved references as the candidate progresses through the pre-employment checks. You will receive and email alert to do this

Yes No

Once you are notified by recruitment services that the pre-employment checks are cleared you will need to organise a start date with the candidate, please note this has to be a Monday if they are an external candidate so that they can attend corporate induction

Yes No

On the first day have you completed the employees local induction form and there new starter paperwork either a HR1 (New to Trust) or HR2 (If they are internal and changing roles within the trust). Please forward the completed form in the ESR envelope provided.

Yes No

Have you completed your local induction form within the required times and forward this to the Induction Team

Yes No





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