To whom this document applies: All staff responsible for recruitment (including medical staff)

Procedural Documents Approval Committee Issue Date: Document reference - Date(s) reviewed: Approved by: Trust Board of Directors February 2011 Date approved: June 2011 Next Review date: February 2013 Version No: Responsibility for review: Head of HR & HR Support Team Manager & HR Manager (Medical Workforce)

Archiving information held by secretary of the Procedural Documents Approval Committee

Recruitment & Selection Policy

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1. Procedural, Development, consultation Proposal Form Title: Recruitment & Selection Policy Procedure � Guideline � Protocol � Standard � Policy Name of person presenting document: Angela Mayers, HR Support Team Manager Reason for document development: Routine 2 yearly update Names of development team (including a representative from all relevant disciplines): Angela Mayers, HR Support Manager Bernadette O’Hara, Medical Workforce Manager Anne Ferris, Associate Director for Governance Who has been consulted? HR Policy Sub Group Does this document require presentation and agreement from Health and Safety Committee and/or Joint Staff Committee e – replace with Trust Partnership Forum Prior to PDAC approval? Yes No � Specify groups of staff to whom the document relates: All staff involved with recruitment Source of supporting evidence (references etc.) NHS Employment Standards 2010 NHS (Appointment of Consultants) Regulations 1996* Rehabilitation of Offenders Act 1974/5 Human Rights Act 1999 Race Relations (Amendment) Act 2000 & Amendments 2003 The Equality Act 2010 Trust Single Equality Scheme Are there resource implications? Yes � No If yes please detail them: Does the Procedure/Guideline meet latest NHSLA Risk Management Standards, CQC Essential Standards of Quality (March 2010)? Yes No � Does this Procedure/Guideline include children, if applicable? Yes No � If yes has the relevant person been included? Yes No �

A Trust review will occur every two years unless national guidance states otherwise. DATE: Prepared June 2011

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Contents

Page

Review, updating and archiving of the document 1

Document development & consultation process 2

Contents page 3

1 Introduction 4

2 Roles and responsibilities 4

3 Equality and diversity 4

4 Equal opportunities monitoring 5

5 Safer Recruitment 5

6 Recruitment Process for Permanent, Temporary and Fixed Term Appointments

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7 Bank and Agency Staff 19

8 Induction 19

9 Monitoring and audit 19

10 Dissemination, implementation and access to the document 20

Appendix 1: Documents lists A & B 21

Appendix 2: CRB levels of disclosure 24

Appendix 3: Recruitment process map 25

Appendix 4: List of the Royal Colleges 27

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1.0 INTRODUCTION

In an organisation as labour intensive as the National Health Service, the skills and qualities of the workforce are of paramount importance; choosing staff with the relevant skills and qualities is an essential component in the management of an effective health care service.

Recruitment is about making judgements about people. How well will they do in the

job? Will they be able to learn the new work? Are they going to fit into the department? Developing a systematic approach based on methodically collecting and weighing up the relevant evidence can reduce the risk of mistakes and margins of error.

An essential part of the recruitment process is ensuring candidates have the appropriate qualifications and are able to demonstrate professional registration (if required) for the post applied for.

This document must be read in conjunction with the policy on prevention of employing

illegal workers. The Trust has a separate policy for the recruitment of Volunteers available on the Trust intranet. 2.0 ROLES AND RESPONSIBILITIES 2.1 Director of Workforce The Director of Workforce is responsible for the implementation of the Policy across

the organisation and will ensure that the policy is updated in line with all current and new legislation.

2.2 Human Resources (HR) Department The HR & Medical Workforce Department will ensure compliance with NHS

Employment Check Standards and that all relevant information is recorded on ESR and in personnel files.

2.3 Recruiting Managers At interview recruiting managers will be responsible for checking employment history

including gaps in employment, that referees provided include their current/most recent employer and checking required documents to verify candidate identity and eligibility to work. They will also follow non-discriminatory practices throughout the selection process.

2.4 Applicants / Individual Members of staff Individual applicants / members of staff will be required to provide the relevant

documentation and information, when requested, to comply with the requirements of the NHS Employment Check Standards.

2.5 Training & Development Department The HR Support Team will be responsible for booking a Trust Induction place.

Training and Development department will be responsible for ensuring the candidate completes Induction and mandatory training.

3.0 EQUALITY & DIVERSITY As an organisation striving to provide equality of opportunity in employment, we need

to ensure that no form of unlawful or unfair discrimination occurs. All those involved

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in recruitment, selection and career development should be familiar with the Trust’s Equal Opportunities in Employment Policy

Our main legal responsibilities are laid out in:- NHS (Appointment of Consultants) Regulations 1996

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Rehabilitation of Offenders Act 1974/5 Human Rights Act 1999 Race Relations (Amendment) Act 2000 & Amendments 2003 The Equality Act 2010 Selection procedures must be reviewed regularly to ensure that people are selected,

promoted and treated on their merits and abilities. This means employing the best person for the job to provide the best service to the health care consumer.

Selection procedures, including questions at interview must not unlawfully or unfairly discriminate. It is not acceptable to ask questions about pregnancy, marital status, dependants etc. Further guidance on questions will be available on the recruitment and selection training courses.

N.B. The Trust is a Disability Symbol user and as such has agreed to interview

all Disabled People who meet the minimum criteria for a post. *N.B. The 1996 Regulations and subsequent amendments do not apply to NHS

Foundation Trusts although they can follow this guidance when appointing to a consultant post if they so choose.

4.0 EQUAL OPPORTUNITIES MONITORING As part of its Equal Opportunities in Employment Policy, and in line with the Equality

Scheme, the Trust reviews quarterly the gender, age, ethnic origin and disability status of all job applicants. These details are collected via a report from NHS Jobs, and the information is provided to the HR Governance Committee on a quarterly basis.

Further guidance regarding equal opportunities monitoring can be obtained from the

HR Department. 5.0 SAFER RECRUITMENT The Trust is committed to minimising the risk of appointing people who are unsuitable

to work with Children and young people and vulnerable adults. The recruitment process supports safeguarding of children and young people and vulnerable adults through ensuring:

• All posts in Accident & Emergency, Paediatrics and Women’s Services, and Care of the Older Person have clear job descriptions and person specifications that demonstrate the requirement to have the suitability to work with children and vulnerable adults.

• All advertisements and application forms for posts in Accident & Emergency,

Paediatrics and Women’s Services include an explicit notice that an enhanced CRB check will be required.

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• All candidates are required to provide personal identification to be checked at interview.

• Application packs for all posts are regularly reviewed to ensure they are

consistent with the organisations policy on safer recruitment.

• Application forms enable applicants to demonstrate their suitability to work with children and young people and vulnerable adults by requesting information such as:

• The names of education establishment attended and qualifications

attained; • Employment history in such a way that gaps may be identified and

explained; • Verification of the applicant’s identity; • Professional registration where applicable.

• Referees are asked to respond to specific questions in relation to:

• The applicant’s suitability to work with children/young people and

vulnerable adults; • Whether they have any knowledge of the applicant having been

personally investigated over safeguarding issues, even when the concerns may not have been evidenced.

• The organisation does not accept references provided by members of the

applicant’s family.

• Staff to be employed by the Trust, where this is not the applicant’s first employment, an offer of employment is not made without a reference from the applicant’s current employer having been obtained (or, if unemployed, the last employer).

• Where there are any gaps in information, concerns or matters of judgement,

the case is referred to a more senior or experienced person in the Trust who undertakes a risk assessment. Where possible this should be a senior member of the HR team.

• All shortlisted applicants are interviewed face to face.

• Short-listing and interview questions include being able to assess the

applicant’s attitude towards children and young people and vulnerable adults.

• For posts in A&E, Paediatrics and Women’s Services the recruitment panel

will have at least one member trained to an agreed and recognised standard in recruitment and selection procedures in relation to safeguarding.

• CRB and other vetting checks are completed in line with government

regulations and guidance. These must include the verification of:

• Personal identity and aliases used; • Qualifications; • All professional and personal references; • Registration with any regulatory body.

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• The Trust can demonstrate that any concerns arising from CRB or other checks are always followed up.

• The Trust ensures that any newly appointed person being engaged to work

with children and young people pending the outcome of a CRB or other check is fully supervised at all times. Such appointees should not be allowed unsupervised access to children.

• The organisation can demonstrate that in all cases where posts require a CRB

check to be carried out, this has been done.

• The organisation has safeguarding systems in place to ensure overseas applicants are CRB checked. Where this is not possible, the organisation follows relevant CRB guidance.

• The organisation has clear procedures to ensure that all relevant legal

requirements and standards will apply to all staff.

• Contracts of employment set out expected behaviour or codes of conduct relating to safeguarding that incorporate professional codes of conduct where these exist.

6.0 RECRUITMENT PROCESS FOR PERMANENT, TEMPORARY AND FIXED TERM APPOINTMENTS 6.1 The Post When a post becomes vacant or a new post is proposed it is your opportunity to

consider the following:- a) Is the post necessary or should the work be changed or re-allocated?

b) Are the hours and the band appropriate? c) For medical staff is the grade and where applicable are the programmed

activities correct? d) Are there any changes ahead which may affect the post? When these points have been considered the next stage is to analyse the job.

Analysis can be carried out by discussions between the supervisor/manager and any post-holder.

When all the information has been gathered a job description with person

specification and KSF outline needs to be written or updated if a replacement post. A suggested format is available on the intranet. http://hermes/hr/job_desc11.doc. This

format does not prevent you from adding extra sections according to the circumstances of the post. As an addition to the job description, a terms and conditions sheet is part of the template. All templates include the Trusts commitment to safeguarding children and vulnerable adults.

A member of the HR Support Team is available to advise you on the format of job

descriptions, should this be a more complicated situation, please contact the HR Support Team Manager.

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NB All new posts will need to be matched and evaluated under the Agenda for Change criteria. Advice in relation to this should be sought from HR Department in the first instance. This will not apply to posts for doctors and dentists (hereafter medical staff) who are not covered by Agenda for Change terms.

6.2 The Person Having specified the job, the next step is to consider the type of person required to do that job. A person specification is a useful and disciplined document for defining the essential

and desirable requirements of the future post-holder. Person specifications must be clear and objective e.g. in the case of physical criteria

they must not simply state ‘physically fit’ but should detail whether there is lifting & handling, standing, VDU work etc.

The use of a person specification is advantageous in that it concentrates thought on the required qualifications, qualities and experience, it allows a target audience to be identified, it ensures that the interviewers have a shared understanding of the ideal candidate and it enables decisions to be made against fair and objective criteria. It is also expected to give interested candidates a clear idea about expectations from the post-holder and the manner in which the selection panel will be identifying the required characteristics.

It is important to ensure that those involved in the short-listing and interviewing agree

on the person specification that is drawn up. Once completed, the specification should be used together with the job description to

provide essential details for the advertisement. It can then be used to assist short-listing by a process of matching up requirements listed against the application received.

The essential column should be a list of the minimum requirements which are

essential for adequate performance in the job and no one should be short-listed unless they meet these.

Additionally, all candidates for medical staff appointments should be expected to meet the requirements of the GMC’s “Good Medical Practice Guide” (http://www.gmc-uk.org/guidance/good_medical_practice.asp)

The specification should also be used to assist the panel in preparing interview

questions, e.g. probing for specific skills or interests, which have been identified on the specification.

An electronic copy of the person specification form is available from the intranet.

http://hermes/hr/job_desc11.doc Vacancies for new and replacement substantive Consultant posts require job

description approval by the regional adviser for the relevant Royal College (see appendix 4) prior to advertising. This approval is time limited depending on individual college regulations

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6.3 Vacancy Control

Established Posts - Replacements

Step 1 Recruiting Manager completes the Establishment Control Form (ECF) and submits to

Service Manager for approval who then sends to their Finance Manager to confirm funding is available for the vacant post.

Step 2

Finance Manager to confirm decision to Recruiting Manager and HR Department, recruitment can then take place.

Step 3 Recruiting Manager requests recruitment to commence, confirms the ECF number,

Advertisement details and Job Description/Person Specification to the HR Support Team.

Step 4 HR Support Team/Medical Workforce will activate recruitment procedures and email

the Manager to confirm the post has been advertised.

New or Revised Posts

Step 1 Recruiting Manager completes the Establishment Control Form (ECF) and submits to

Service Manager for approval who then sends to the Finance Dept where funding is identified.

Step 2 The New or Revised Post is considered by the Vacancy Review Panel.

Step 3 Finance Department confirms Vacancy Review Panel decision to Recruiting Manager

and HR Department, if approved recruitment can then take place.

Step 4 Recruiting Manager requests recruitment to commence, confirms the ECF number,

Advertisement details and Job Description/Person Specification to the HR Support Team.

Step 5 HR Support Team/Medical Workforce will activate recruitment procedures and email

the Manager to confirm the post has been advertised. 6.4 Attracting the candidate 6.4.1 Effective Advertising The aim of the advertisement is to convey information about the job and the

organisation, to stimulate a field of candidates equipped to do the job, to achieve an optimum balance between market coverage and cost in terms of return on investment and to facilitate future recruitment (all advertising has a spin-off effect).

Advice on drawing up your advertisement and the most suitable choice of media are

available from your HR Support Team Leader. External advertisements are all forwarded to the local Job Centres, which are additional avenues for recruitment; this is part of a national agreement with the NHS.

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The Rules on Advertising All advertising must carry the phrase “We are committed to Equal opportunities’; and

“This is a non-smoking Trust” and will generally be advertised both internally and externally. Advertisements must be approved by HR.

Where internal/external advert does not produce an outcome all establishment control forms should be resubmitted to the vacancy/redeployment panel before being re- advertised. Managers should agree the members of the selection panel, dates for short listing and interview at the time of advertising the post. The HR Support Team will ask for this information at this time. NB External advertisements are sometimes subject to restrictions. Exceptions to the rules on advertising will include:-

• Internal transfers for staff affected by change • Movement of staff on the grounds of capability/ill-health • Staff whose posts may be at risk as the result of organisational change

Where posts are not advertised externally, the decision to do this must be based on

justifiable criteria, and job descriptions and person specifications should still be used.

In the case of substantive Consultant appointments a minimum of two advertisements must normally appear. These may be in nationally distributed journals or on nationally available Internet sites commonly used for similar advertisements relating to the profession concerned. At least one of the advertisements must appear in a printed journal. The advertisement should include: the closing date for applications (a minimum of three weeks from the date the advertisement is placed); and the date of interview. Where the date of interview has yet to be agreed, but doing so would delay publication of the advertisement, the Information Pack for potential applicants should contain that information.

The HR Support/Medical Workforce Team will arrange for the advertisement to be

placed and will confirm the date of appearance and closing date with the manager responsible for the advertisement.

All posts are advertised using the Trust Website http://www.colchesterhospital.nhs.uk

and the NHS Jobs website http://www.jobs.nhs.uk unless other media are specifically requested by managers.

6.4.2 Candidate Relations A key part of attracting candidates is maintaining their interest throughout the

selection process. A friendly and positive approach to all candidates can encourage an individual to pursue an application through to its conclusion.

It is important to prepare an attractive package for applicants and your HR Support

Team will be pleased to advise you on this. The HR Support Team will have access to documents providing information about the Trust including a Trust profile, assistance with childcare etc. These will be made available to candidates through the website.

Any further information that you feel would be useful for attracting potential

candidates should be made available to the HR Support Team in a suitable electronic format.

If informal visits/discussions are welcomed, this should be notified to all applicants

through the advertisement.

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6.5 Assessing Candidates 6.5.1 Application Forms and Electronic Recruitment The most usual method of application is by the use of an application form. This

ensures that basic, often essential factual information is supplied by the applicants for ease of comparison against the person specification.

Applicants should complete application forms on-line using the E-Recruit System

(NHS Jobs). Applicants who are unable to use or access a computer should contact the HR Support Team advice and assistance.

Locum Consultants will be asked to submit three copies of their CV in addition to completing the electronic application form on NHS jobs.

Substantive Consultants will be asked to submit ten copies of their CV in addition to completing the electronic application form on NHS jobs.

Further to this, and to suit certain circumstances, additional questions specific to a

particular job may be asked of candidates by way of supplementary questions attached to the basic form. The on-line application process also allows managers to limit the number of applicants using pre-application filtering questions and key questions, so that the applications are limited to those candidates who meet some or all of the essential criteria on the person specification. Advice should be sought from the HR Support/Medical Workforce Team on the use of filtering questions.

6.5.2 Short-listing Short-listing of applications should be completed electronically via NHS Jobs and

should take place as soon as possible after the closing date, ideally on a date pre-determined between the Manager and the HR Support Team at the beginning of the recruitment process. The HR Support Team will normally process all applications the day after the closing date of the advertisement. The Manager will be notified by email that the vacancy is ready to be short listed. Where hard copy applications have been received the HR Support Team will inform the Recruiting Manager by email.

The drawing up of a shortlist should be made against the background of the person

specification, measuring applicants against the essential and desirable qualities, and decisions recorded electronically. This must include reasons for not short-listing an applicant as this information may be required should the Trust receive an Employment Tribunal Claim.

For a senior post, it may be appropriate to introduce an outside assessor to take part

in the short-listing and interviewing process. An assessor should be a health service officer from another Trust/Authority of an equivalent or higher grade to the vacant post, or an individual with suitable experience or qualifications from outside the Health Service. The assessor’s role is to assist on suitability of candidates.

A Royal College representative is required to participate in short listing for substantive

Consultant appointments. Application forms in a hard copy should be sent confidentially to him/her.

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The Recruiting Manager should notify the HR Support Team via email when the short list is complete.

Consideration should be given to disabled access when arranging a venue for

interviews. Interview details will be taken from the original recruitment schedule and Recruiting Managers must inform the HR Support Team of any changes.

Once a short-list has been agreed it should be sent to the HR Department, at least

two weeks before the interview date.

N.B. The Trusts Standing Orders and Equal Opportunities in Employment Guide require us to observe the highest standards of conduct. Therefore, all staff involved in recruitment and selection, including short-listing, must disclose to their manager, any relationship between themselves and a candidate, which might affect an appointment decision.

6.6 Selection Interviewing The aim of the interview is to establish whether the candidate is suitable for employment and to confirm and amplify the information provided on the application form. It is also a means for ensuring that the candidate has a clear understanding of the job. Testing or presentations can be used in some circumstances to measure attributes which would be more difficult to assess by interview and where the results will assist in ascertaining the applicant’s suitability for the post e.g. tests for typing, numeracy etc. For senior posts (8a and above) the Trust can use a profiling system as an additional tool in the selection process. More information available from HR Support Team.

It is the responsibility of the HR Support Team to invite selected candidates to interview. This will be done electronically via NHS Jobs email. Candidates will be notified time, date and venue of the interview and if applicable, title of presentation they will be required to present to the interview panel or selection tests to be undertaken.

The candidate will be requested to confirm acceptance of interview by telephoning or emailing the HR Support team. If the candidate does not confirm, it will be assumed that they are not attending.

An interview panel should ideally have no more than three interviewers plus an assessor if appropriate (see NB below re Consultant appointment panels). A representative from the HR Department may attend if requested to do so by the appointing officer, to contribute information and advice to the panel. The role of HR staff is to advise on terms and conditions of service, e.g. removal expenses eligibility and to ensure that the panel are complying with employment legislation. There will be circumstances when this is different; medical interviews for example; In the case of substantive Consultant shortlisting the following will apply. Each member of the Committee including the lay members must have the opportunity to contribute to the selection of candidates to be interviewed. Short-listing should be carried out against the person specification. Individual members of are advised to make contemporaneous records, throughout the process, of their reasons for rejecting candidates or ranking suitable candidates. In the event of a challenge, the Courts and employment tribunals (who may order the production of contemporaneous notes) can question individual members, or the

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Committee as a whole, about the reason or reasons why a particular candidate was accepted or rejected.

The Chair can usually agree a short list by correspondence, taking into account the views expressed by all the members of the Committee – though it may be necessary to convene a meeting, video-link or telephone conference. Members should give their reasons for not short-listing particular candidates. In all cases, the Chair should confirm that the members are content with the shortlist. Candidates unsuccessful at this stage must be notified in writing and offered feedback.

The Committee and candidates should be fully aware of the process for selection and interview. Where the employer wishes to use selection techniques in addition to interview, all members should be appropriately skilled in these techniques.

The Committee, before interviewing, should ensure a common understanding of the criteria, drawn from job description and person specification, against which the candidates are to be considered. Decisions on the suitability of candidates should relate to the agreed selection criteria. Reliance on facts rather than impressions is less likely to lead to discrimination.

However, a Manager may decide that the HR representative should interview candidates separately from the main selection interview to cover these aspects.

N.B. All interviews must be conducted by a minimum of two people. There are specific rules relating to the composition of Advisory Appointment Committee (AAC’s) for Consultant appointments (see below). The 1996 Regulations set out the provisions governing the membership of AACs. In meeting these provisions, Trusts should seek to secure a balanced Committee. The core membership of Advisory Appointments Committees, as specified in Regulations, is set out below:

• A lay member (often the chair of the Board or another non-executive director);

• An external professional assessor, appointed after consultation with the relevant college or Faculty;

• The Chief Executive of the appointing body (or a Board level Executive or Associate Director);

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• The medical director the Trust (or person who acts in a similar capacity)

• A consultant from the relevant specialty;

• In the case of appointments to posts which have either teaching or research commitments or both, the committee must also include a professional member nominated after consultation with the relevant university.

An AAC may not proceed if any core member (or their appointed deputy) is not present In cases where the teaching and / or research commitment does not require an additional professional member, the chair should ensure that any interests of the university are represented by one of the other members of the Committee.

Additional members may be added, but the balance of the AAC must continue to have both a local and a medical/dental majority. The size of AACs, in all cases, should be kept to a minimum.

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In selecting the AAC, employers should approach the appropriate Royal College or Faculty for names of potential external assessors. It is important to make contact with Colleges immediately after the job description/person specification has been agreed. This will ensure that an assessor is identified for the proposed interview date before advertisements are placed. This recognises that employers will want notice of such commitments by those consultants who are acting as assessors. Colleges adopt different approaches to identifying and providing names of assessors but responsibility for ensuring an assessor has been identified and secured rests with the employer. The assessor must not be employed by the recruiting Trust and should, where possible, be employed by a Trust geographically distant from the recruiting Trust. There are many aspects which if considered carefully can ensure a smooth-running interview, these include:-

• Choose an appropriate interview setting (this will include special provisions of facilities requested by applicants with a disability – Disability Discrimination Act)

• Ensure privacy • Be punctual • Provide panel with paperwork in advance • Interview panel to meet beforehand • Nominate a chairman • Agree areas of questioning:, assessing attitudes to children, assessing skills,

attitudes and values • Use of person specification • Agree method of giving results • Provide an opportunity for candidate to question panel

At least one member of the interviewing panel, which will include the Chair, must

have attended the Recruitment and Selection course, which assists Managers in the interview situation and builds confidence in arriving at a sound selection decision. Courses are run on a regular basis by the Training and Development Department. For all posts in A&E, Children’s services and Women’s Services at least one panel member should have undertaken Safer Recruitment training. Declaration of Cautions, Convictions or Warnings, there will be times when candidates declare on their application forms that they have cautions, convictions or warnings or are the subject of on-going investigation. This information will be given to the Recruiting Manager who will be asked to explore with the candidate at interview. The Recruiting Manager will be able to decide from the evidence on the application form and the discussion at interview, if they wish to proceed with the candidate or discuss the disclosure in further detail. In order to establish a candidate’s identity and/or eligibility to work in the UK, the candidate will be requested to bring original documents along at the time of interview. A detailed list of appropriate documents is sent to candidates (See Appendix 1). For posts that require professional registration candidates will be required to bring original documents to the interview for verification by the Recruiting Manager. When a decision has been reached, the equal opportunities monitoring form should be completed for all candidates. This should assist the selection panel to focus on the requirements necessary to undertake the duties of the post and to clarify the reasons for appointment/non-appointment. This form, copies of checks undertaken and notes on any disclosures must be returned to the HR Support Team. The Recruiting Manager should retain forms for all candidates for 6 months. HR Department will also retain a copy for one year.

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HR Support Team is responsible for contacting successful candidates after interview. Recruiting Managers will be responsible for providing feedback to those candidates that request it. (See 6.8 re unsuccessful candidates)

6.7 Appointment

An appointment decision is based on a whole wealth of information; person specification, application form, proficiency tests, interview and completion/receipt of pre employment checks. On receipt of the Equal Opportunities Monitoring Form and following discussion with the Recruiting Manager the HR Support Team will issue a conditional offer of employment letter. This will be sent to the prospective employee by post or email. All offers are subject to satisfactory completion of pre employment checks and the Trust reserves the right to withdraw offers/terminate employment. Pre Employment Checks All offers of employment will be subject to satisfactory completion of pre employment checks including:

• References and Employment History checks including exploring gaps in employment history.

• Verification of ID • Eligibility to work in the UK • Criminal records checks (vetting and barring) • Professional Registration • Qualifications • Health screening

Two references; one from the current or most recent employer, must be obtained before the candidate can be unconditionally offered and commence employment. On the introduction of the ISA Vetting and Barring Scheme, clearance from CRB will also be required before the candidate commences employment (date to be advised). The HR Department, in conjunction with the Recruiting Manager, will have the authority to prevent any appointment where it considers that pre-employments checks are unsatisfactory.

6.7.1 References

Following the introduction of the Equality Act October 2010, references will be requested for successful candidates who have been conditionally offered employment. References and applications forms will be cross-checked by HR Support Team.

As a minimum the Trust must check at least 3 years of previous employment and/or training, although 5 years is preferable and where possible check a period that covers 2 separate employers, one of which must be the applicants current or most recent employer. Any gaps in employment must be investigated with the candidate and verification sought. The reference must be obtained in writing by using the Trust’s standard reference form. Where appropriate a Manager’s statement may be obtained. References will be requested by email to speed up the recruitment process. Verbal references may be taken in the first instance and followed up by letter/email. The Trust must check that the organisation supplying the reference exists. The HR Support Team will confirm the organisations existence by telephoning or emailing the

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HR department of that organisation to verify employment dates and information are correct. References provide useful additional information about candidates as well as verifying detail. They are given in confidence to the Recruiting Manager and must not be disclosed to anyone other than members of the interview panel unless HR considers that there is a problem. Once received, both references will be communicated to the Recruiting Manager, who should then confirm acceptance of these to the HR Support Team. The HR Support Team will then issue unconditional offer letter and generate appointment paperwork including issuing a contract of employment.

6.7.2 Verification of Identity Individual identity should be checked at point of interview and offer of employment

this is done to determine the identity is genuine and relates to the person and establish that the individual owns and is rightfully using that identity. The process involves checking:

Attributed identity: the evidence of the person’s identity that they were given at birth

e.g name, Biographical identity: personal history e.g. education, employment history. Prospective employees must provide acceptable documentation with their photo and

their current address. A face to face meeting is essential to the verification process. Original documentation should be used to check the employees:

• Full name – forenames and surname • Signature • Date of birth • Full permanent address • Qualifications (relevant to the post or a specific requirement of the post)

6.7.3 Eligibility to work in UK checks Changes to Immigration law which came into effect in February 2008 introduced a

new criminal offence for employers who knowingly employ illegal migrant workers and imposed a continuing responsibility for employers of migrant workers to check their entitlement to work in the UK.

As an employer the Trust (before employment commences) must;

• Request right to work documents from the candidate • Validate the documents • Copy and store the documents in personal folders

The checks on individual’s right to work in the UK must be done in conjunction with

the verification of identity checks. Failure to comply with these regulations can lead to a civil penalty.

The Border and Immigration Agency (BIA) have reviewed the ways in which

individuals outside the EEA can work, train or study in the UK. The 5 tier system includes:

• Tier 1: Highly skilled individuals to contribute to growth and productivity • Tier 2: Skilled workers with a job offer to fill gaps in the UK labour force

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• Tier 3: Limited numbers of low skilled workers needed t fill specific temporary labour shortages

• Tier 4: Students • Tier 5: Youth Mobility and temporary workers.

The Trust will typically employ individuals under Tier 1 and Tier 2. Where individuals are employed under Tier 2, it will be the responsibility of the HR Support Team to apply for a Certificate of Sponsorship. The individual will then be responsible for applying for leave to remain in the UK and will not be able to commence employment until this has been obtained.

For detailed advice about eligibility to work in the UK, please contact your HR Support

Team, and refer to Policy on Prevention of Employing Illegal Workers (available on the intranet).

To confirm the applicant has the legal right to work in the UK the Trust must see

original documents specified in either List A/List B (appendix 1). These must then be copied and retained on the personal file.

6.7.4 Criminal Records Bureau Checks (CRB) Appointments will be subject to receipt of a satisfactory CRB Disclosure. Doctors in

training grades moving between Trusts are allowed portability of enhanced CRB up to a maximum period of 3 years. This does not apply to doctors working in Paediatrics. Candidates will be checked at the level appropriate for the post (See Appendix 2), in line with the ISA Vetting and Barring Guidance.

Having a criminal record will not necessarily bar applicants from working with us. This

will depend on the nature of the position and the circumstances and background of the applicant’s offences. However, failure to reveal information that is directly relevant to the position sought could lead to withdrawal of an offer of employment.

Candidates will commence employment with the Trust whilst satisfactory CRB

Clearance is being sought.However, when the new ISA Vetting and Barring procedure is implemented (date to be advised) candidates will not be able to start work until the Trust has received a Satisfactory CRB Clearance from the CRB

Managers will be advised via email from the HR Support Team that the employee

must be supervised at all times until they receive notification from the HR Support Team that CRB Clearance satisfactory to the Trust has been obtained. Further information can be obtained from the recruiting safely policy.

6.7.5 Registration Professional registration is intended to protect the public, making sure that those who

practice in health professions are doing so safely. The Trust must therefore ensure, where applicable, that the prospective employee is recognised by the appropriate regulatory body and they have the qualifications to undertake the job.

Before confirming employment the HR Support Team must check:

• The applicant is registered to carry out the proposed role • Whether the registration is subject to current restrictions which might affect

proposed duties • If the application has investigations against them about fitness to practice.

Candidates will be required to provide original certification of registration with relevant

regulatory body at interview and as part of the pre employment checks. The HR

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Department reserves the right to verify these on the relevant website. Copies of the registration must be retained on the personal file.

Alert List

An alert letter is the way in which all NHS bodies are made aware of a doctor or other registered health professional whose performance or conduct could place patients or staff at serious risk. They cover situations where doctors or any other health professionals who pose a hazard to patients or staff may move from their present NHS employer to work elsewhere in a health or social care setting in any capacity, whether or not requiring registration, before their regulatory body has had the chance to consider interim suspension or other measures. Even where such measures are in place, alert letters are intended to reduce the risk of inappropriate employment in any capacity.

6.7.6 Qualification For jobs that state in the person specification that a higher level of education is required e.g. Degree or professional qualification, candidates will be required to provide original certification for verification by the HR Support Team. Certificate of Completion of Training (CCT) All substantive Consultants must have a CCT (or be within six months of completion at the date of interview) or be on the GMC’s Specialist Register in order to hold a substantive Consultant, fixed term or honorary post in the UK.

6.7.7 Health Screening On appointment to the role the successful candidate will be required to complete a health screening questionnaire. The new employee will be sent the questionnaire with the offer of employment letter (conditional or unconditional). This will include an introduction to the services of Health & Wellbeing Team and a questionnaire for them to complete. The completed form will be returned to HR Support Team and then forwarded to Health & Wellbeing Service. Health & Wellbeing Team will screen the completed forms and take the appropriate action.

6.8 Unsuccessful Candidates

All candidates who are interviewed should be advised by email from the HR Support Team, after the offer has been accepted by the successful candidate. In respect of all internal candidates it is good practice to provide some form of constructive feedback and counselling in relation to their career opportunities. HR Support Team can provide guidance on this before contact is made.

6.9 Successful Candidates - Prior to Commencement It is important for the Recruiting Manager to liaise with the HR Support Team regarding the commencement date, uniform, induction programme and any other issues, which need to be considered before the individual takes up his/her appointment. Queries regarding accommodation or relocation should be addressed to HR Support Team.

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6.10 Withdrawing Job Offers There may be occasions when due to unsatisfactory pre employment checks, job offers need to be withdrawn. Where this occurs the circumstances surrounding the withdrawal must be fully investigated and the individual concerned provided with an opportunity to state their case before any formal withdrawal of an offer is made. In all instances where a withdrawal of an offer is being considered, advice should be sought from the HR Support Team Manager. Information about the candidate is reviewed by HR Support Team Manager and the Recruiting Manager. Concerns identified must be noted and investigated with findings noted. Individual is informed of the decision and reasons to withdraw offer. All documentation would be kept in job file for a minimum of one year. See appendix 3 flow chart of recruitment process

7.0 BANK AND AGENCY STAFF On occasions the Trust covers vacant posts / shifts by using staff from organisations such as NHS Professionals and Employment Agencies. NHSP – conduct a thorough recruitment process and ensure they provide temporary staff to the Trust as stated in the Terms and Conditions of the contract. Agencies are subject to the terms and conditions of the Buying Solutions Agreement. It is the line manager’s responsibility to check professional registration of temporary staff sourced from NHSP or any other agency and to conduct a local induction.

8.0 INDUCTION Relevant and planned induction is a valuable part of the recruitment process. It is vital that any new employee receives the help and support he/she needs in order to settle into the new job as quickly as possible. This benefits the organisation and the individual and assists in preventing staff from leaving the Trust early. Line managers must ensure that the Local Induction Checklist is completed for all employees. A copy of this form can be found in the Trust Induction policy. Attendance at induction is mandatory for all new starters and should ideally coincide with the start date in the Trust. Where candidates join without completing the full induction because a manager wishes them to start earlier it is the manager’s responsibility to ensure a local induction, which includes Health and Safety matters is undertaken. The HR Support Team will be responsible for booking the initial Trust Induction place. Where the individual does not attend the scheduled Induction a letter will be sent to the individual and their manager advising them of a new date by the Training and Development Department. If the employee then fails to attend the new date, the matter will be escalated to the relevant Senior Manager by the Training and Development Department.

9.0 MONITORING AND AUDIT

9.1 Monitoring The HR Support Team Manager will monitor compliance against NHS Employment Checks by producing reports from ESR and checking of personal files. Findings are presented to the Workforce Governance Group on a quarterly basis.

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The Recruitment process is monitored by: HR Support Team Manager, conducting monthly checks on a 25% sample (a minimum of 4 checks per month will be undertaken) of new employees to the Trust, namely:

• Checks undertaken ensure that: • ECF is authorised and current • Application form is complete • References covering last 3 years of employment obtained • Immigration status check undertaken • Professional registration current (if applicable) • Contract of Employment signed • CRB application process conducted (if applicable) • ESR record completed.

Head of HR then reviews and selects sample of HR Support Team Manager’s checks. A Quarterly report is submitted to the Workforce Governance Group detailing the type

of checks conducted, quality of information found and exceptions. Exceptions will be reported quarterly to the Clinical Executive Board. The terms and conditions of the Buying Solutions Agreement in relation to NHSP and Employment agencies will be monitored in accordance with the negotiated contract.

9.2 Audit The policy and its implementation will be audited by the Trust’s auditors on an annual basis. Feedback from these audits and recommendations from the auditors will be used to review and amend the policy as appropriate to improve effectiveness.

10.0 DISSEMINATION, IMPLEMENTATION AND ACCESS TO DOCUMENT This Policy shall be placed on the Trust intranet.

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APPENDIX 1

IMMIGRATION & ILLEGAL WORKING - THE NEW RULES

List A Documents

1. A passport showing that the holder, or a person named in the passport as the child of the holder, is a British citizen or a citizen of the United Kingdom and Colonies having the right of abode in the United Kingdom; or

2. 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 a European Economic Area country or Switzerland; or

3. A residence permit, registration certificate or document certifying or indicating

permanent residence issued by the Home Office or the Border & Immigration Agency to a national of a European Economic Area country or Switzerland; or

4. A permanent residence card issued by the Home Office or the Border & Immigration

Agency to the family member of a national of a European Economic Area country or Switzerland; or

5. A Biometric Immigration Document issued by the Border & Immigration Agency to the

holder which indicates that the person named in it is allowed to stay indefinitely in the United Kingdom, or has not time limit on their stay in the United Kingdom; or

6. A passport of other travel document endorsed to show that the holder is exempt from

immigration control, is allowed to stay indefinitely in the United Kingdom, has the right of abode in the United Kingdom, or has no time limit on their stay in the United Kingdom; or

7. An Immigration Status Document issued by the Home Office or the Border &

Immigration Agency to the holder with an endorsement indicating that the person named in it is allowed to stay indefinitely in the United Kingdom, or has not time limit on their stay in the United Kingdom, when produced in combination with an official document giving the person’s permanent National Insurance Number and their named issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card); or

8. A full birth certificate issued in the United Kingdom which includes the name(s) of at

least one of the holder’s parents, when produced in combination with an official document giving the person’s permanent National Insurance Number and their named issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card); or

9. A full adoption certificate issued in the United Kingdom which includes the name(s) of

at least one of the holder’s adoptive parents, when produced in combination with an official document giving the person’s permanent National Insurance Number and their named issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card); or

10. A birth certificate issued in the Channel Islands, the Isle of Man, or Ireland when

produced in combination with an official document giving the person’s permanent National Insurance Number and their named issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card); or

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11. An adoption certificate issued in the Channel Islands, the Isle of Man, or Ireland,

when produced in combination with an official document giving the person’s permanent National Insurance Number and their named issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card); or

12. A certificate of registration or naturalisation as a British Citizen, when produced in

combination with an official document giving the person’s permanent National Insurance Number and their name issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card); or

13. A letter issued by the Home Office or the Border & Immigration Agency to the holder

which indicates that the person named in it is allowed to stay indefinitely in the United Kingdom, or has no time limit on their stay, when produced in combination with an official document giving the person’s permanent National Insurance Number and their named issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card);

OR List B Documents

1. A passport or other travel document endorsed to show to the holder is allowed to stay in the United Kingdom and is allowed to do the work in question, provided that it does not require the issue of a work permit; or

2. A Biometric Immigration Document, issued by the Border & Immigration Agency to

the holder which indicates that the person named in it can stay in the United Kingdom and is allowed to do the work in question; or

3. A work permit or other approval to take employment issued by the Home Office or the

Border & Immigration Agency, when produced in combination with either a passport or another travel document endorsed to show that the holder is allowed to stay in the United Kingdom and is allowed to do the work in question, or a letter issued by the Home Office or the Border & Immigration Agency to the holder, or the employer or prospective employer confirming the same; or

4. A certificate of application issued by the Home Office or the Border & Immigration

Agency to or for a family member of a national European Economic Area country or Switzerland, stating that the holder is permitted to take employment, which is less than 6 months old, when produced in combination with evidence of verification by the Border & Immigration Agency Employer Checking Service; or

5. A residence card or document issued by the Home Office or the Border & Immigration

Agency to a family member of a national European Economic Area country or Switzerland; or

6. An application Registration Card (ARC) issue by the Home Office or the Border &

Immigration Agency stating that the holder is permitted to take employment, when produced in combination with evidence of verification by the Border & Immigration Agency Employer Checking Service; or

7. An Immigration Status Document issued by the Home Office or the Border &

Immigration Agency to the holder with an endorsement indicating that the person named in it can stay in the United Kingdom, and is allowed to do the work in question,

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when produced in combination with an official document giving the person’s permanent National Insurance Number and their named issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card); or

8. A letter issued by the Home Office or the Border & Immigration Agency to the holder

or the employer or prospective employer, which indicates that the person named it in can stay in the United Kingdom and is allowed to do the work in question, when produced in combination with an official document giving the person’s permanent National Insurance Number and their named issued by a Government agency or a previous employer (e.g. P45, P60, National Insurance Card);

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Appendix 2

Criminal Records Bureaux Level of checks conducted

Category Enhanced Standard Basic No Check Nurses x

A&E staff x Midwives(including supervisors) x

Doctors x Allied Health Professionals x

Health Care Scientists and technicians (with patient contact)

x

Phlebotomists x Chaplains x Nursery x

HCA /Therapy Helpers/Ward Housekeepers x Pharmacy Staff with patient contact x

Soft FM (with patient contact) x Medical Secretaries x

Medical Records/Coding/Information x Volunteers (with patient contact) x

CSSD x Healthcare Scientists and Technicians

(without patient contact) x

Other Admin staff x Managers x

Soft FM (without patient contact) x All other staff not included in the above x

The NHS Jobs standard application form includes a declaration regarding disclosure affecting all posts. For those posts not involving a standard or enhanced check the Trust has the option of asking for a Basic CRB declaration – this is one obtained directly by the employee.

Appendix 3 RECRUITMENT PROCESS

For non medical staff This appendix not referred to in text

Vacancy identified New Post

Review Post • Is the post still required - full or part

time • Responsibilities/Duties • Knowledge & Experience required

Identify Post • Responsibilities/Duties • Knowledge & Experience required • Hours

Recruiting Manager reviews JD & Person Specification

Submit for evaluation No Changes

ECF submitted to Finance for approval

Recruiting Manager sends Advert/JD/PS & ECF to HR Support Team

Candidates apply

HR Support Team raises Advert on NHS Jobs

Changes

Recruiting Manager writes JD & Person specification

ECF submitted to Finance & Vacancy Panel

Not approved Approved

Approved Not Approved

Application Process closes – Recruiting Manager reviews applications and draws up a shortlist of applicants

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Interview panel conducts selection process (Ensure ID and Professional Registration checks undertaken at Interview). Panel review candidates and inform HR Support Team of outcomes

HR Support Team invites candidates for interview

HR Support Team make conditional offer to successful candidate – then undertake pre-employment checks.

New Employee joins the Trust

Recruiting manager advised pre employment checks complete and discusses with HR Support Team

decision to appointment or not

HR Support Team meets with new employee to complete signing on process

Appointment HR Support Team make unconditional offer of employment

HR Support Team prepares new starter documents – Complete CRB, verification process, issues introduction to Health & Wellbeing and books induction place.

Candidate accepts position and agrees start date

Non-Appointment HR Support Team inform candidate – Conditional offer of

employment withdrawn and offer feedback

Recruiting Manager liaises with HR Support Team re the start date, uniform, induction date

HR Support Team notifies unsuccessful candidates and offers feedback.

Candidate declines appointment

Appendix 4

The Royal Colleges

For more up to date information please consult the relevant College or Faculty website.

The Royal College of Anaesthetists Tel: 0207 908 7333 The Royal College of Ophthalmologists Tel: 0207 935 0702 The Royal College of Physicians Tel: 0207 935 1174 (Ext. 225) Faculty of Public Health Tel: 0207 935 0243 Faculty of Occupational Medicine Tel: 0207 317 5895 Royal College of Surgeons Tel: 0207 869 6203 Faculty of Dental Surgery Tel: 0207 869 6807 Inter Collegiate Faculty of Accident and Emergency Medicine Dr Ruth Brown Tel: 020 7405 7071

Royal College of Obstetricians and Gynaecologists Caroline Allen Tel: 0207 772 6274

Royal College of Pathologists Workforce Department Tel: 0207 451 6725

Royal College of Psychiatrists Postgraduate Educational Service Tel: 0207 235 2351

Royal College of Radiologists Tel: 0207 636 4432 (Ext.1150)

Royal College of Paediatrics and Child Health Tel: 0207 307 5600