Recruitment and Selection Policy

Transcription

1 This is an official Northern Trust policy and should not be edited in any way Recruitment and Selection Policy Reference Number: NHSCT/12/488 Target audience: This Policy is directed to all those involved in the Recruitment and Selection of staff. Sources of advice in relation to this document: Maryna Wylie, Assistant Director Resourcing Jaclyn Crowe and Claire Smyth, Senior Human Resources Managers Replaces (if appropriate): NHSCT Recruitment and Selection Policy (Ref: NHSCT/09/176) Type of Document: Trust Wide Approved by: Policy Committee Date Approved: 15 February 2012 Date Issued by Policy Unit: 16 February 2012 NHSCT Mission Statement To provide for all, the quality of service we expect for our families, and ourselves. 1

2 Summary of Changes following the Review of the Trust s Recruitment and Selection Procedure. 1. The policy allows only two panel members to shortlist and interview for basic level posts providing a variation is recorded. 2. HR Officers will not attend shortlisting meetings. The safeguarding of the job file will be the responsibility of Chairperson of the panel or their nominated panel member. Panels will need to ensure confidentiality of the data held on the personal files is maintained at all times. 3. All the appendices have been updated to reflect the changes made to this policy and our protocols. 4. There is an enhanced section on Access NI checks and a list of posts that require police vetting via Access NI has been attached as an appendice. 5. Guidance on Assessing Attendance records has been included and a pro-forma created and included for completion at interviews. 6. The approval process for a Notification of Vacancy is detailed highlighting the need for an electronic copy of the Job Description and Personnel Specification to allow the vacancy to be actioned. 7. The panel membership for consultant appointments has been updated. 8. The legislation section has been updated to reflect recent changes. 9. The requirement to have a balanced panel in terms of gender and perceived community background is outlined at paragraphs 2.2.2, and in the Shortlisting Pro forma Checklist on page 56. It is the Chairperson s responsibility to make reasonable efforts to have a balanced panel as far as is practicable. Panels may proceed on the basis of the chairperson/panel perception of community background. Where the Chairperson remains unsure of the community background of panel members, the Trust s HR equal opportunities team will be able to confirm if a panel is balanced (contact ). January

3 Recruitment and Selection Policy 3

4 C O N T E N T S Page No Section 1 Introduction and General Principles 9 Section Panel Membership and Roles Panel Membership and Roles Responsibilities Panel Membership Role of the Chairperson Role of the External Assessor Section Recruiting The Recruitment Process Preparation to Recruit Deciding What the Job Needs Writing a Job Description General Principles Personnel Specification Qualifications and Experience Knowledge Skills and Aptitudes Special Circumstances Health Requirements Guidance on Assessing Attendance Record How will you measure each factor in the Personnel Specification Approval and Advertising

5 Section Selecting Shortlisting Shortlisting Applicants with Criminal Convictions Potential Problems at a Shortlisting Meeting The Interview Process Framing the Questions Controlling the Interview Assessment References Guidelines for Writing References Verbal References Other Checks Completing the Paperwork Section Legislation In Recruitment and Selection Introduction The Fair Employment and Treatment (NI) Order 1998 (as amended) (FETO) The Sex Discrimination (NI) Order 1976 (as amended) The Disability Discrimination Act 1995 (and the Disability Discrimination (NI) Order 2006) The Race Relations (NI) Order 1997 (as amended) Employment Equality (Sexual Orientation Regulation (NI) 2003 Employment Equality (Age) Regulations (NI) The Role of the Equality Commission for NI Northern Ireland Commissioner for Complaints (Ombudsman)

6 The Rehabilitation of Offenders (Exceptions) Order (NI) Protection of Children and Vulnerable Adults Order (NI) 2003 (POCVA) A B C D E F G H I J K L Appendices Job Description Personnel Specification Shortlisting Meeting Checklist Report of Proceedings at Shortlisting Interview Checklist for Chairperson Report of Proceedings at Interview Interview Assessment Guidance Interview Assessment Form Presentation Assessment Form Referee Report Posts requiring Access NI Checks Attendance Pro-forma

7 Section 1 Introduction and General Principles 7

8 Target Audience This Policy is directed to all those involved in the Recruitment and Selection of staff. Equality, Human Rights and DDA This policy has been drawn up and reviewed in the light of Section 75 of the Northern Ireland Act (1998) which requires the Trust to have due regard to the need to promote equality of opportunity. It has been screened to identify any adverse impact on the 9 equality categories and no significant differential impacts were identified, therefore, an Equality Impact Assessment is not required. Alternative formats This document can be made available on request on disc, larger font, Braille, audiocassette and in other minority languages to meet the needs of those who are not fluent in English. Sources of Advice in relation to this document The Policy Author, responsible Assistant Director or Director as detailed on the policy title page should be contacted with regard to any queries on the content of this policy. 8

9 1.0 Introduction and General Principles 1.1 Our services are delivered through our staff which represents a significant investment and is essential to the range of services we provide. 1.2 Effective recruitment and selection is vital so that we employ the calibre of staff we need to deliver our services to patients and clients and so to make a positive contribution to the values and aims of our Trust. 1.3 To achieve this we must have: understanding and commitment to the principles of equality of opportunity; a robust policy and procedure for recruitment; and the skills to enable us to select the best person for each job. 1.4 This policy for Recruitment and Selection is set in the context of current legislation to ensure equality of opportunity regardless of sex, marital status, perceived religious affiliation, ethnic origin, political opinion, sexual orientation, age, race, disability or whether people have or have not dependants. 1.5 A fundamental principle of this policy is that all appointments must be made in accordance with the merit principle. This means we recruit based on the ability of the individual to do the job. We take into account qualifications, experience, knowledge, skills/competencies and aptitudes for the job. 1.6 This document provides the Trust s Recruitment and Selection policy and procedure in detail. It gives guidance on the preparation of documents in relation to the process and introduces an objective and uniform approach through the use of standard forms and procedures. 1.7 Selection for posts in the service can include elements of a competencybased approach. Competency-based recruitment has been applied to senior management appointments using the competencies in the Leadership Qualities Framework. Competency-based selection is based on the premise that past performance is the best indicator of how someone will perform in a similar situation in the future. A selection panel will therefore be looking for evidence through examples of past behaviours, in certain situations or conditions, which provides the panel with firm evidence that the applicant has the necessary competencies to succeed in the post applied for. 1.8 It follows then that potentially at shortlisting, test/assessment centre, and interview stage, selection will relate directly to the essential criteria/competencies for the post and candidates will be required to demonstrate evidence of how they possess these competencies. 9

10 1.9 It is essential that all panel members are trained and conversant with the Trust s Recruitment and Selection policy and the requirements of the legislation relating to equality of opportunity The policy has been subject to consultation with staff representatives and adheres to the principles laid down by the Equality Commission The policy applies to all appointments within the Trust; its principles also apply to the appointment of Medical and Dental staff. It should be noted that appointment to consultant medical and dental posts is also governed by the Appointment of Consultants Regulations 1996 and associated Good Practice Guidance. These are available from the Resourcing Team of the Human Resources Department All correspondence and information arising out of the recruitment and selection process must be treated by all concerned in the strictest confidence. Any member of staff found to be in breach of this rule of confidentiality may be subject to disciplinary action. In particular the panel have a specific responsibility for the handling and storage of the file while it is in their custody Any attempt by a candidate, either directly or indirectly, to influence any member of a panel to favour their application, other than through the legitimate selection procedures outlined in this policy and procedure, will mean automatic disqualification of the candidate. Such activity is known as canvassing It is equally important that all panel members are absolutely impartial in their roles as voting members on our panels. For this reason we have a procedure whereby at shortlisting all panel members must declare whether or not they have any personal or private business relationship or connection with any of the applicants which could call into question the impartiality of that panel member. If this is the case the panel will decide whether that panel member must withdraw from the panel and take no further part in the selection process. If any panel member is aware that this is the case before the shortlisting meeting they should discuss with the chairperson of the panel and not wait until the shortlisting. If this creates a problem for the constitution of the panel our Human Resources staff will assist managers in resolving the matter. These staff are available to assist in any part of the process and you are advised to seek their advice on anything you are not sure about At times, in appropriate circumstances, it may be necessary to vary the recruitment policy normally due to a change in panel membership; any such variations will be subject to approval by the Senior Human Resources Managers with responsibility for recruitment and will be recorded as a formal variation to the policy with justification for the action taken fully documented. The Assistant Director of Human Resources Resourcing will monitor variations on a regular basis. We do not anticipate that variations will be a regular occurrence The recruitment process is often the first introduction and personal experience a person has of our Trust and they are also making a choice to 10

11 join our organisation. It is important that the experience is positive for candidates, whether they are successful or not in getting the job. We can make the experience positive by having panel members who are well trained and possess the skills and knowledge to conduct a well-organised selection process. These panel members are assisted and advised by staff in the Resourcing Team of the Human Resources Department who are properly trained in their roles in support of the policy and process. 11

12 Section 2 Panel Membership And Roles 12

13 2.0 Panel Membership and Roles 2.1 Responsibilities The Trust Board has overall responsibility for ensuring that the Trust meets its legal obligations in respect of recruitment and selection The Chief Executive has overall responsibility for the effective operation of the procedure throughout the Trust The Director of Human Resources is responsible for monitoring, coordinating and developing the policy within the Trust. On a day-to-day basis, staff in Human Resources will provide administrative support, systems and advice in the implementation of this policy Directors are responsible for ensuring their staff are trained in the policy and abide by it. The policy will apply to all levels of management and staff Managers must appoint only on the merit principle and must be impartial in the recruitment and selection process and ensure their conduct accords with the procedure at all times. They must deal with any breaches of this policy within their area of responsibility The panel have a responsibility to participate in the recruitment and selection process and to co-operate with the statutory agencies in relation to complaints as necessary All staff employed by the Trust have a responsibility to ensure their behaviour accords with the principles set out in this procedure at all times. 2.2 Panel Membership Membership of appointment panels is set out in the table below. In general all panels will have three voting members who are employees of the Trust, one of whom will be the line manager for the post. All panel members should be trained in the Trust s Recruitment and Selection Policy. At least one member of the panel should be from the profession concerned. Panel members will normally be of a more senior grade than the grade of the post they are interviewing for. In exceptional circumstances a panel may be convened with a panel member of a similar grade as the vacancy. We will record this and the reasons for it as a variation to our process. For senior posts, and where posts are of a technical nature, it may be useful to include an independent external assessor (see section 2.4) as a panel member. Where circumstances require it, the Trust will constitute a panel suitable for the appointment and this may be different from our normal structure e.g. two panel members for basic grade posts. Each panel will have a Chairperson, who will be responsible for the operation of the panel. This is a key role and details of the role are outlined in section 2.3 as well as throughout the document. 13

14 Type of Appointment Chief Executive Director of Finance Director Assistant Director (and equivalent) Consultant Medical and Dental staff All others Panel Chair of the Trust All Non-Executive Directors Representative of the Department of Health, Social Services and Public Safety Two external assessors (non-voting) Chair of the Trust Chief Executive All Non-Executive Directors Representative of the Department of Health, Social Services and Public Safety Two external assessors (non-voting) Chair of the Trust or non-executive nominee One Non-Executive Director Chief Executive An external assessor (non-voting) Three Director level officers including the Director the postholder will report to An external assessor (non-voting)- if required by the panel Chair of the Trust or non-executive nominee Chief Executive or Director Medical Director or Clinical Director Clinical Director or nominee if acting for Medical Director Consultant in specialty or 2 Consultants if not from that speciality Representative of Queens University External Assessor from relevant Royal College Any additional members as deemed appropriate by the Medical Director Three officers of the Trust senior to the grade of the post including the immediate line manager One external assessor (non-voting) - if required by the panel In line with Equality Commission guidelines, as far as is practicable, recruitment and selection panels should be balanced in terms of gender and perceived community background. Panels may proceed on the basis of the chairperson/panel perception of community background Panel membership on the shortlisting and interview panel will be the same. In exceptional circumstances it may be necessary to replace a voting member on a panel due to some unforeseen emergency. In this case a variance will be recorded As previously mentioned at 1.14, anyone directly involved in the selection process who has any personal relationship/connection to any applicant must disclose that fact. The panel will decide whether or not the individual 14

15 concerned is required to withdraw from the selection process. There is no such discretion in the case of an Assessor who must be asked to withdraw Wherever reasonably practicable, a panel member should not participate in the selection process where he/she is aware that a previous complaint has been lodged or is pending by a candidate. In these circumstances advice must be sought from the Resourcing Team of Human Resources All panels have the authority to appoint except in the appointment of consultant staff where appointments are ratified on behalf of the Trust by the Chair of the Trust. The appointment of the Trust Chief Executive requires the approval of the Department of Health, Social Services and Public Safety. 2.3 Role of the Chairperson From the outset of the recruitment process it is essential to identify the Chairperson. This shows that the responsibility for the operation of the panel has been allocated at the earliest possible stage. The Chairperson is the point of reference for Resourcing staff for any issues arising at any stage during the recruitment process. As previously mentioned at Panels should be balanced in terms of gender and perceived community background. Panels may proceed on the basis of the chairperson/panel perception of community background. In addition the Chairperson has to chair the shortlisting meeting, interviews and subsequent assessment of candidates. Because the role is so important we have prepared two checklists to help the Chairperson make sure everything is in order. The first checklist covers the shortlisting meeting Appendix C (page 56) and the second covers the interview process Appendix D (page 58) At the shortlisting meeting the Chairperson will have access to advice from the Resourcing Team of Human Resources. The sections detailing arrangements at shortlisting and interview cover the role in detail At all meetings the Chairperson has control of the sequence of events, making sure that everything is conducted in an organised and methodical fashion and that policy and procedures are followed. The Chairperson also makes sure that preparation for interview is properly allocated to each panel member and on the day of the interviews that each panel member has copies of the job description, personnel specification, full set of questions and expected answers and the timetable for interviews, as well as access to the candidates application forms. The Chairperson must also make sure that all questions are free from bias and designed to find out information relevant to the job and personnel specification. 15

16 2.4 Role of the External Assessor The role of the Assessor is to advise the panel which applicants are considered competent to perform the duties of the post The Assessor should be from outside the Trust and must have appropriate professional qualifications and/or experience where necessary and knowledge of the type of post under consideration The Assessor should be of a status senior to the post being filled. In exceptional circumstances the Assessor may have a status equal to the post being filled A referee or relative of a candidate may not act as an Assessor. As far as possible the Assessor should not come from the same Trust/Employer as any of the applicants. However, where this results in practical difficulties in establishing a panel, a variation may be considered An Assessor should declare if they have any personal or private business connection to an applicant, which would call into question their objectivity as a panel member. In these circumstances the Assessor must withdraw from the selection process We actively encourage the Assessor to take part at the shortlisting stage. Whilst it is not necessary for the Assessor to attend the shortlisting meeting, they should be given the opportunity to agree the shortlisting criteria and the application of these to the forms. If the Assessor does not wish to be present at the shortlisting stage of the process then it is in order to provide the Assessor with the application forms for the candidates to allow them to shortlist either via correspondence or remote shortlisting Assessors must also have had some relevant training, from their existing organisation, in recruitment and selection techniques (including training on equality of opportunity) and be familiar with the principles of equal opportunities and the relevant legislation. Our staff in the Resourcing Team of Human Resources will provide the assessor with a copy of The Northern Trust Recruitment and Selection Policy before interviews take place to allow them to be familiar with the Trust s policy It is the responsibility of the Chairperson of the panel to make sure that all the above requirements are met when making contact with a potential assessor for the panel The Assessor will participate fully in the interviews and discussion but will not have voting rights except for Consultant Medical or Dental appointments. 16

17 Section 3 Recruiting 17

18 3.0 The Recruitment Process 3.1 Preparation to Recruit In order to find the right person for the job, we need to have a clear understanding of the job itself and of the particular skills, competencies and attributes that it demands. There are two key products from this exercise, which are essential for the recruitment process. A Job Description summary of the role, responsibilities and duties of the post, template at Appendix A (page51). A Personnel Specification - a description of the various essential criteria required for the post such as health requirements, qualifications, experience, knowledge, skills and competencies and special circumstances which in the Trust include the requirement to have an acceptable attendance record, template at Appendix B (page 55) A third essential requirement for every post is a KSF outline. As KSF outlines are developed they will be an integral part of the process and further guidance will be made available. 3.2 Deciding what the job needs First of all you need to think about the purpose of the job. One way of doing this is to consider the job under the following heading: The Key Words Approach - What is done? - When is it done? - Why is it done? - Where is it done? - How is it done? Responsibilities - Responsibility for staff reporting to the postholder - Responsibility for machinery, equipment and materials - Responsibility for money Working Relationships - Relationships with senior officers - Relationships with colleagues - Relationships with other departments - Relationships with the public 18

19 Job Requirements/Competencies - Required standard of performance and results - Required skills and experience - Required knowledge - Required education and training - Required motivation and social skills - Required to work unsocial hours, on call, public holidays and/or weekends Working Conditions - Physical conditions and surroundings - Social conditions with regard to patient/client The outcome will be the component parts of the job description and ersonnel specification. 3.3 Writing A Job Description The job description gives a description of the purpose, scope and main responsibilities of the job and may refer to the standards and competency framework applicable to the post Every time a post becomes vacant you should review and update the job description and if necessary have it banded by Employee Relations Section. You should take care to use simple language as far as possible avoiding jargon and making the document clear and comprehensive enough to give a full picture of the job Make sure you use neutral terminology throughout the document Staff in the Resourcing Team will be happy to assist in this when you contact them by telephone. Managers can find the electronic template for the Trust job description on the Intranet. Managers must provide the final electronic copy of the job description for the job file and keep the final version on their word processor. There are also additional job description templates for medical appointments. 3.4 General Principles A Job Description: provides information which is essential to the development of the Personnel Specification; gives potential candidates a clear idea of what the job will entail and can therefore help them to decide whether or not to apply. lets staff know exactly what is expected of them when they take up post. 19

20 3.4.2 A standard format job description is attached at Appendix A page 51. Note that the General Management responsibilities section should only be entered in job descriptions where the postholder has responsibility for managing staff. The Job Description is not intended it to be rigid and inflexible but rather to provide guidelines within which the jobholder works. 3.5 Personnel Specification The next stage is to prepare a profile of the competencies required to undertake the duties of the post. In order to select people for jobs without using irrelevant and possibly discriminatory factors, it is necessary to identify the competencies, abilities, knowledge and other characteristics that are required to do the job If this is done, it is likely that: - selection standards will be precise and well-defined. all the essential selection criteria will be included. the interview will have an objective and systematic framework for seeking information about candidates and assessing them Panels should aim to be objective, realistic and as precise as possible about the competencies required for the post defined as skills, knowledge, qualifications and attributes that are required for the job and about the experience and personal characteristics that are needed. The criteria set must reflect the nature of the job and should be designed to represent the essential standards, i.e. the standards below which the job could not be carried out competently When completing your personnel specification you need to think about how people will interpret what you say. When entering details you plan to use as shortlisting criteria, think about whether the application form allows the individual to enter that information in the format you are asking for it The personnel specification comprises five factors where the requirements of the job are defined. The first three of these define the competencies, that is qualifications and experience, knowledge and skills and aptitudes. The two remaining factors are health requirements and special circumstances which define further conditions of appointment. The five factors together provide a ready-made structure for the recruitment and selection stages which will follow. It is acknowledged that not every job will be required to be considered under all five factors. Where a particular factor does not apply to a job then the form should be marked as not applicable under that factor. 20

21 Whichever factors are decided as necessary for the job, the most important points to remember are that they should be: justifiable relevant to the job measurable necessary for the job to be carried out competently consistently applied In exceptional circumstances, when the number of applicants for posts is likely to be excessive, it may be necessary to consider other options in order to deal with applicant numbers. Examples of this might be: Random sampling for basic grade posts only Application of desirable criteria under qualifications and experience Utilisation of preliminary interviews If there is potential to use any of these options, an indication of this will normally be in the job description for the positions in question. Advice, where appropriate, will be sought from the Equality Commission and such options would be used under controlled circumstances. 3.6 Qualifications and Experience When considering qualifications think about the following: Are qualifications necessary for the post? For example, some people with disabilities have had their schooling interrupted because of their disability. This does not necessarily mean that they are less intelligent or less capable of doing the job. Set out clearly the educational/professional qualifications required and be careful to indicate that equivalent qualifications to those listed are acceptable. When considering experience account should be taken of its necessity and relevance and it must be defined clearly in the specification: Is experience necessary for the post? It may be that training can be provided instead. Does it have to be paid working experience or can it be voluntary or as part of a study placement? If experience is necessary, examine the key tasks and duties outlined in the job description in order to define the type of experience. The word relevant should not be used as people will interpret it differently. 21

22 Does the required experience need to be at a particular level? e.g. supervisory or band What length of time should the experience cover? A timefame should not be specified unless it is justifiable. To what extent is the candidate required to evidence experience and should this include evidence of achievements or competencies during this period of experience? 3.7 Knowledge This knowledge relates to: the job and its activities, for example, policies, professional and/or clinical practice and procedure, legislation, technical knowledge health and social services provision where applicable; and key issues relevant to the job and/or the organisational environment. 3.8 Skills and Aptitudes Does the job demand any specific skills and/or special aptitudes and, if so, to what level and how is the candidate expected to demonstrate this on their application or at interview? Examples may be: clinical or professional skills; IT skills budgetary management skills communicative skills leadership skills ability to drive 3.9 Special Circumstances Criteria that might appear in this section, if relevant to the job are listed below:- requirement to sleep in requirements to travel between Trust locations 22

23 ability to meet on call requirements ability to work irregular hours or shift work or weekend or public holidays or unsocial hours. requirement to undertake further training e.g. NVQ 3.10 Health Requirements Acceptable attendance record will appear in this section Your job description should clearly indicate the range of duties to enable occupational health staff to assess a candidate s state of health to undertake the duties of the post You should generally only need to enter good general health to meet the demands of the job in this box In relation to the essential health requirements of the post where appropriate managers should specify any special conditions as outlined in the following Occupational Health Guidance:- 1. Driver The postholder is expected to drive a vehicle as part of their normal daily work and be responsible for transport of property and/or patients/clients. (Identify type of vehicle to be used and/or class of driving licence required.) 2. Radiation Worker The postholder is expected to be exposed to ionizing or non-ionizing radiation as part of their normal daily work. (In cases of doubt refer to ionizing radiations regulations NI 1985). NB: This should include workers exposed to laser light sources, x-ray light sources and ultra violet light sources. Please specify type of radiation. 3. Cytotoxic Drugs Worker The postholder is expected to work in an area where cytotoxic drugs are prepared and handled in ways other than direct patient administration. This includes adding cytotoxic to IV or other lines or disposing of hazardous clinical waste other than in sealed containers. 4. Infective Agents Worker The postholder is expected to work in areas where infective organisms or samples which may contain these organisms are 23

24 handled other than in sealed containers. (Identify organisms or class of organisms involved). 5. TB, German Measles and Chickenpox All employees with the exception of administrative staff are screened at PEHA for protection against TB, German Measles and Chickenpox. 6. Exposure prone workers Exposure prone workers e.g. surgeons, midwifes, theatre staff and dentists may require additional blood screening and Hep B vaccinations prior to commencing post Guidance on Assessing Attendance Record The decision as to whether or not an attendance record is acceptable is a managerial responsibility. At the recruitment stage a decision on whether an applicant s previous attendance record is acceptable is the responsibility of the Appointments Panel Panels will need to make a judgement as to what constitutes an acceptable attendance record and should refer to the Trust s absence policy. The panel must satisfy themselves that they have a full, accurate and verified picture of the candidate s previous attendance record. This information will be sought from the following: the application form referee report which should verify the attendance record further contact with previous employers to ascertain any additional information when the panel have concerns. In every instance individual circumstances should be taken into account. The Absence Policy states that during the Recruitment & Selection process: Applicants must provide absence information on their application form. The panel will make sure to ask each applicant at the end of the interview about their absence record and their general state of health. Following assessment of performance at interview, the panel will give consideration to the information provided by the applicant about their attendance on the application form and at interview. The panel should take into account the information supplied about previous absences included in the referee reports. It is the panel s decision whether to turn down an applicant because their attendance record is considered to be unsatisfactory. 24

25 In determining whether the level of attendance is acceptable or not, consideration must be given to: the number of periods of absence; the reason for absence; the nature of the work/service provided; and the impact that absences may have on the delivery of a service It is imperative that the Panel complete the Attendance Pro-Forma at Appendix L, page A panel will need to consider the following in such circumstances It is well established that previous attendance is a reliable indicator of future attendance Each case must be assessed on individual circumstances. Panel members should use the application form, clarification at interview, referee report/information from previous employers before making a decision. Make a judgement on whether attendance is acceptable/unacceptable by: Establishing consistency of information Considering frequency and duration of sickness/absence Considering reasons for sickness/absence Appointment panels should ensure pregnancy related absences are disregarded. Panel should ensure that absence is not due to a disability for which a reasonable adjustment could be made. Decisions not to appoint due to absence records need to be in line with the standards applied from the Trust s Managing Absence policy to existing staff. Based on all relevant information the panel must make a judgement on whether the applicant can meet the requirement under the Personnel Specification ie; Acceptable attendance record. The panel must complete the pro-forma at Appendix M, page 80. Panel members should note that it is the role of Occupational Health Department to assess current state of health and fitness for the post. 25

26 3.12 How will you measure each factor in the Personnel Specification? The column, method of assessing the criteria, is where you should set out how you plan to assess each candidate s competencies under each heading. It may be from the application form at shortlisting, as is always the case for qualifications and experience. You need to think very carefully about the knowledge, skills and aptitudes you require and whether you will be able to assess these from an interview. You may need to use some other aid(s) to selection such as a presentation, preliminary interview, assessment centre or test e.g. typing. If you do, you must state this clearly on the personnel specification at the outset. It cannot be introduced later in the process Health requirements are assessed by occupational health staff Special circumstances will be assessed by confirming the requirements of the post to candidates individually at interview and inviting them to give any further information which the panel requires Approval and Advertising The Trust is committed to equality of opportunity and the appointment and promotion of staff on the merit principle. It is the Trust s policy to advertise vacancies as widely as possible to attract appropriate candidates in accordance with our Equal Opportunities Policy whilst ensuring this is undertaken in a cost effective manner As a public sector organisation with limited funding, the Trust s advertisements will be economical in layout and style and include only specific information e.g. title, grade, rate of pay, hours, department and location. In exceptional circumstances we may use feature advertising. Such advertisements will be designed for a particular purpose All Trust posts are advertised on hscrecruit.com and the decision to advertise in newspapers and journals is determined by the grade and location of post All basic grade posts are advertised in the local papers, which cover the area in which the post is based. All other posts are advertised in the Belfast Telegraph. Most posts appear in the Tuesday night edition. Sometimes it may be more effective to use the Friday night edition depending on the profession. Resourcing staff can advise Professional posts may be advertised in the relevant professional journal providing this is cost effective and that our experience shows that, in the past, we have had an adequate response for the particular type of post. All consultant medical and dental posts will be advertised in at least one professional journal as required by the Appointment of Consultant Regulations 1996 e.g. BMJ. 26

27 In order for a post to be advertised the Manager must complete a Notification of Vacancy Form (see Appendix A page 54). This is sent to Management Accounts for funding approval and then forwarded by Management Accounts directly to the Resourcing Team. An electronic copy of the most up-to-date Job Description and Personnel Specification for the post must be sent to the Resourcing Team before the Notification of Vacancy can be actioned as an advertisement Posts of duration of 12 months or less, which may provide developmental opportunities for existing Trust staff may be trawled internally. This may be appropriate for short-term promotional opportunities e.g. maternity leave cover Organisational change may require recruitment to be limited to a specific group of staff in order to avoid redundancy situations. In these instances posts may be trawled internally after careful consideration of the circumstances The application form, job description and personnel specification can be located on hscrecruit.com or are available from the Resourcing Team of the Human Resources Directorate. 27

28 Section 4 Selecting 28

29 4.0 Shortlisting Shortlisting candidates is the responsibility of the panel and must be done in a disciplined and systematic way that is both efficient and fair. The Chairperson has responsibility for the transportation and custody of the job file during the shortlisting process. The purpose is to decide on which applicants meet the essential criteria from the personnel specification. Only those applicants who meet these criteria will be shortlisted and called for interview and/or test A basic principle to be adhered to in the shortlisting process is that only information contained on the application form may be considered for shortlisting purposes. A panel should not make assumptions about qualifications or experience. However the test of reasonableness needs to be applied and Resourcing staff can advise to ensure that all candidates are treated equitably in the application of the criteria Criteria for shortlisting should be set and recorded using the Report of Proceedings at Shortlisting form. There is a checklist for use by the Chairperson of the Panel to provide structure to the shortlisting meeting. This checklist is available at Appendix D page The Chairperson will ensure that panel members have access to the completed application forms and that each form is examined in the light of the agreed criteria The Chairperson will then obtain the decision of the panel as to the applicants who have met the shortlisting criteria. The decision of the panel will be noted on the Report of Proceedings at Shortlisting form which will be signed by the Chairperson and the other Voting Members for retention by the Resourcing Team of Human Resources In certain circumstances shortlisting can proceed with 2 Voting Members present provided that one of the two is the Chairperson and that the agreement of the third Voting Member has been obtained. The shortlisting process will not have been completed until the third Voting Member has had sight of the application forms and signed the Report of Proceedings at Shortlisting form. Letters to candidates will be issued once the three panel members have completed and signed the shortlisting proceedings form If the post has only two panel members and this has been recorded as a variation to our policy, then it can proceed to interview. The shortlisting process must take place unless there are more posts available than there are applicants. Only in these circumstances and before the shortlisting pack is opened by the panel, can a panel decide to re-advertise. The HR department will explain the circumstances to the applicants Where no shortlisting criteria has been specified in the Personnel Specification, it will still be necessary for the panel to go through the shortlisting checklist. 29

30 4.0.9 Shortlisting criteria will be applied as at the closing date for the post unless the advertisement clearly states otherwise when, for example, it is known that examination results are imminent. HR staff can advise on a suitable form of words to cover such situations at the stage of finalising the personnel specification. Shortlisting criteria is applied to junior medical posts at the time of taking up post rather than at closing date Application forms received after the closing date will not be included in the job file unless an HR representative confirms the form was posted in good time to reach the Human Resources department by the closing date As soon as possible after the shortlisting, the Resourcing Team will notify each applicant of the result in writing. Shortlisted candidates will be called to the next stage of the process, normally the interview. Any applicant who is not shortlisted and wishes to know the reason why will be advised to write to the Assistant Director of Human Resources and an explanation will be given as to which part of the criteria the applicant did not meet. 4.1 Shortlisting Applicants with Criminal Convictions The Rehabilitation of Offenders (Exceptions) Order (NI) 1979 provides that for the purposes of employment in the HPSS a conviction may never be regarded as spent. This is drawn to the attention of all applicants on the application form which states that all criminal convictions (including motoring convictions) must be declared. It should be noted that a conviction does not necessarily debar an applicant from obtaining employment The panel Chairperson should ensure that, if a candidate has disclosed on the application form that he/she has had a conviction, this issue is discussed at the end of the interview All candidates must be measured against the selection criteria/the Personnel Specification. A decision to appoint is based on the merit principle. However, appointments are subject to satisfactory preemployment health assessment, references, verification of appropriate qualification/registration and for certain posts, information from AccessNI Service If at the decision stage the panel have agreed that a candidate with a previous conviction is the person to appoint and the panel feel it has sufficient information on the conviction, the panel should consider the information carefully in the light of the duties of the post e.g; working with children in a residential setting The panel should note clearly:- - the decision and; - the reason for reaching the decision 30

31 4.1.6 In circumstances where the panel does not have sufficient information regarding the conviction it should arrange to reconvene as a panel on receipt of Vetting Vulnerable Adults check from AccessNi. Again the panel should consider carefully the information noting its decision and reason Panel members should also refer to the procedure associated with the appointment of staff to posts involved with children or vulnerable adults. 4.2 Potential Problems at a Shortlisting Meeting As noted above, the panel can only make decisions at shortlisting on the basis of the information contained on the application forms If an applicant mistakenly omits information needed for shortlisting from an application form it is not permissible for the panel to use their personal knowledge in order to shortlist that applicant. This could disadvantage other candidates for whom panel members do not have such knowledge. The application form clearly stresses the need to include information relevant to the application. In such cases the applicant cannot be shortlisted. The personnel specification also stresses to applicants the importance of the criteria when completing their forms. A panel should bear this in mind in such circumstances On the other hand, sometimes a panel has difficulty understanding a part of the application such as an unfamiliar qualification. In such cases the Resourcing Team can undertake to clarify the position with the candidate on behalf of the panel If it comes to light that an error has been made when setting the criteria in the personnel specification then it will normally be necessary to close the file and re-advertise the post after correcting the personnel specification. This is an important stage in our procedure and it is not possible to cover every eventuality. If a panel is in doubt they should raise this with their HR representative who will draw the particular circumstances to the attention of senior HR staff for advice. 4.3 The Interview Process All panel members have a responsibility to make sure that sufficient preparation is undertaken before the day interviews take place. The Chairperson, in particular, should make sure that before the day of interviews, each panel member has prepared a number of questions and model answers which are set out in order to measure candidates against the personnel specification. Each panel member should have the opportunity to study all of the questions and expected answers to make sure that they understand and agree the content. When preparing questions each panel member should indicate for each question which level 31

32 of response would be excellent, good, fair or unsatisfactory in terms of the standards set in the personnel specification The panel should then agree this and the method of assessment is then ready for the interviews. This part of the preparation is best done by the panel meeting together to make sure everything is in order The Chairperson of the panel should make sure that each panel member has the opportunity to read the application forms prior to interviews. The Chairperson must also make sure that any issues from application forms which need to be picked up, are identified and that someone on the panel has responsibility for checking these out with candidates This would include careful study of all aspects of the application form, especially: The employment history and reasons for change of jobs; Any gaps in any section of the application, in particular re employment record; Confirmation from the form that one of the references is from a current or most recent manager/supervisor; The absence record should be confirmed with each applicant giving them an opportunity to provide any additional information which may need to be passed on to the Occupational Health Department; and Consideration of the section entitled Rehabilitation of Offenders to ensure this is raised appropriately at interview. 4.4 Framing the Questions Having already established the areas of questioning so that each candidate will be treated similarly and that the information sought relates only to the essential criteria/ competencies for the post, consideration must be given as to how best to frame questions. Some types of questions are better than others at obtaining information They also allow the candidate to demonstrate evidence of how they meet the competencies required for the post. Open questions encourage candidates to express their views and should be used to elicit attitudes as well as facts. Closed questions, are helpful when a yes or no answer is needed. Leading questions such as Did you get on well with your colleagues? or Do you work well under pressure? should be avoided as it will be clear from the way you express the question what an acceptable answer will be. 32

33 Double-headed questions such as What skills do you think are necessary for this job and why do you think they are needed? should be avoided as most candidates will answer one question only, usually the one they find easiest. Multiple-choice questions such as Did you like that part of the job because it gave you more responsibility or because you like meeting people? should be avoided because you give a restricted list of reasons for the candidate to choose from and elaborate on, when the real reason might be something quite different It is important to avoid asking either implicit or explicit questions regarding subjects such as domestic circumstances, family background, religious or political opinion. 4.5 Controlling the Interview The purpose of the interview is to gain enough information about a candidate to make a decision about their suitability for the post. All panel members are responsible for the conduct of the interview and all the voting members are responsible for the decision to reject, reserve or appoint We have an interview checklist, which is designed to help the Chairperson make sure arrangements on the day are in place. The checklist covers issues before interviews begin and after the last candidate leaves and is attached at the end of this section. It is the Chairperson s responsibility to complete and sign the checklist The Chairperson is responsible for the effective management of the interview and for providing links between one section of the interview and the next. Because of the importance of this role the Chairperson may choose not to have responsibility for a major area of questioning The interview will be structured and will include an introduction and explanation of the process by the Chairperson Each panel member will ask the prepared questions in turn and will adhere to the agreed plan Each panel member must be attentive to the full interview. You must be aware of your body language and how it can be interpreted by the candidate. You want each candidate to give of their best so that they have a positive experience even if not successful for the post. Do not allow a candidate to stray off the subject or to completely misunderstand a question without correction at some point. Otherwise the candidate will know from your body language and that of the other panel members that something is not quite right and this may affect their performance, concentration, and increase the nervous tension which most candidates experience in the interview situation. 33

34 4.5.7 At the end of the interview it is the Chairperson s responsibility to ask questions relating to sickness absence and any convictions declared on the application form. It is also the Chairpersons responsibility to give the candidate an opportunity to ask questions and then to conclude the interview by telling candidates they will be advised of the outcome of the interview in writing by the Human Resources Department within two weeks When all the interviews are finished the chairperson must ensure the Report of Proceedings documentation is completed, see Appendix F, page Assessment At the end of each interview each panel member will assess the candidate s performance against the model responses and the agreed method of assessment. It should be noted that the scoring mechanism is designed to facilitate objective assessment of each candidate. See Interview Assessment Guidance, Appendix G, page Each panel member will individually complete an Interview Assessment Form for each candidate. Where candidates are required to undertake a presentation as part of the assessment process, panel members should complete a Presentation Assessment Form (copy of both forms are available at Appendices H & I, pages 66 & 67) Standards of performance for each question i.e.; excellent, good, fair and not acceptable, will be given in accordance with the panel s agreed standard and recorded on the Interview Assessment Form, Appendix H, page 66 The Interview Assessment Form is structured to allocate a mark i.e.; excellent = 6/5, good = 4/3, fair = 2/1, not acceptable = 0. Panel members award the most appropriate mark under the categories of excellent, good, fair and not acceptable. Marks gained in each question will be totalled. Each panel member must independently assess each candidate individually and must rank candidates in merit order When each panel member has completed the process the Chairperson will lead the discussion on each candidate The Chairperson is responsible for co-ordinating the views of the panel and facilitating agreement where possible. Any changes to Assessment Forms must be done clearly with an explanation for the change Whilst it is not compulsory for panels to reach a unanimous decision it is preferable. Majority decisions therefore should be properly recorded. 34

35 4.7 References All applicants enter the names of two referees on the application form. It is essential that at least one of the referees has knowledge of the applicant s most current work and is in a managerial position relative to the applicant. This is something a panel should look out for in the preparation for interview stage. If an applicant is a school or college leaver then that applicant could use a teacher, principal or tutor as referee. References will be sought by the Resourcing Team. It is very important that no panel member enters into any discussion with any referee for any candidate at any stage of the process other than as permitted below. It is also the panel s responsibility to satisfy itself that the references are appropriate. This will have been covered in interview preparation and, if necessary, a candidate can be asked at interview to provide an alternative referee Once the panel has made its decision following interviews it is time to check the two references for the proposed successful candidate(s). This check will hopefully confirm the decision already made by the panel and confirm factual details, such as position held, absence record and so on. No appointment can be confirmed until both references for each successful candidate have been received and considered by the panel References cannot be used as a means of deciding between candidates who appear from assessment to be equally matched. To do so is to rely on the subjective opinion of the referee rather than the performance of the candidates at interview. If a panel finds itself in such a situation it is necessary to go back to the assessment and review each candidates performance in detail again in order to make a decision It is not unusual to find something adverse in a referee report. Such situations require careful handling. The particular circumstances will determine the action required but it must be remembered that the decision to appoint or reject is down to the panel. If a panel comes across something adverse in a reference the Chairperson can contact a senior member of staff in HR recruitment for advice and support. Examples of adverse reports would include information on absence which does not correspond with the detail given by the candidate. It would be necessary for the panel to weigh up why the level of absence seems to be different and whether there could be any acceptable reason for the candidate not to have given the detail submitted by the referee. It may also be necessary to verify the accuracy of the record given by the referee by arranging for the HR Officer in charge of the file to contact the referee in confidence. If it is clear that the candidate has deliberately left out information, then the panel should seriously consider not appointing. The panel may wish to discuss the matter with the candidate before making a decision Information on past behaviour, which is deemed adverse to the application and has not been declared by the candidate will have to be judged by the panel on the facts confronting it at the time. It may be useful for the Chairperson and indeed other panel members to meet with the candidate again to challenge the candidate about the information received on the reference. The panel can decide who should be present. This will perhaps assist the panel to make a decision about the candidate s suitability for the 35

36 post. It should certainly give the panel the opportunity to reflect on why the candidate did not disclose the information and what inferences can justifiably be drawn from that Given that all posts in our organisation are positions of trust the notion of a candidate deliberately withholding information from an application would have serious consequences for that candidate s application unless a very satisfactory explanation can be given. 4.8 Guidelines for Writing References Managers who are asked to act as referees should be careful in completing references and ensure that information given is accurate and as objective as possible When completing references the following guidance should be followed: Any references provided in respect of employees or ex-employees must be fair and accurate both in terms of its factual content and in relation to any opinions expressed. If necessary, facts or employment information should be checked with the Human Resources Department Ensure that opinions are clearly stated as opinions and that they are based on verifiable facts. If asked to give an opinion on their suitability for a particular role, ensure the details of the job are known If asked to express an opinion on areas where there is limited knowledge it might be necessary to use phrases such as, I know of no reason to question Mr X s honesty/integrity Only provide the information that is requested, unless the exclusion of certain facts could lead to the information being misinterpreted Statements should be direct and simple, avoiding the use of ambiguous language References should be prepared in such a manner that if the subject were to gain access to it they would be satisfied that it gives a fair and just representation When writing a reference, do not include anything which you are not prepared to discuss with or show to the member of staff. If concerns about conduct or performance have never been raised with the member of staff, it should not be included in the reference If in doubt about providing a reference, it is advisable to provide only the basic facts, i.e. Dates of employment and a brief description of duties and responsibilities Referees should state their relationship to the employee concerned. 36

37 Where the person providing the reference has limited knowledge of the person, this should be clearly stated If information requested is of a sensitive nature (i.e. physical or mental health details, ethnic or racial origin, religious beliefs, trade union membership) it will be necessary to get express consent from the subject before disclosing details. 4.9 Verbal References If it is necessary to give a verbal reference it is useful to ask the enquirer what information they require and arrange a time to call them back to confirm the identity of the caller and ensure the request is legitimate Do not make any statement that you would not be prepared to put in writing. Provide written confirmation of the verbal reference Other Checks You need to remember that all posts are offered subject to a satisfactory pre-employment health assessment. This will be done by the occupational health department and no candidate can take up post until a satisfactory result has been received If the post is one which affords substantial access to children or vulnerable adults then a check is a legislative requirement and will be undertaken via Access NI. Again, no appointment can be made until a satisfactory result has been obtained by the Trust. Post requiring Access NI checks are listed at Appendix K pages Employers should take into account, a number of factors before reaching a recruitment decision. Other guidance that will be issued by Access NI will help employers to consider how best to use the information contained in Disclosures While criminal convictions do not automatically constitute a bar from employment, Panels have responsibility to offer a candidate based on the following factors: whether the conviction or other matter revealed is the position in question; the seriousness of any offence or other matter revealed; the length of time since the offence or other matter occurred; whether the applicant has a pattern of offending behaviour or other relevant matters; 37

38 whether the applicant s circumstances have changed since the offending behaviour or the other relevant matters occurred; and, the circumstances surrounding the offence and the explanation(s) offered by the convicted person, which may need to be verified Ultimately, it is the responsibility of the employer to decide whether to offer the applicant a position. However, panel members should be fully aware of their duties and responsibilities under the provisions of the Protection of Children and Vulnerable Adults (Northern Ireland) Order 2003 and any other requirements stipulated in law or by regulatory bodies The Resourcing Team undertakes the administrative work associated with these checks Completing the Paperwork The Chairperson should record the panel s decision on the Report of an Interview Panel form, ensuring all sections are fully completed. All panel members should check and sign the record. It is then up to the Chairperson to make sure all papers, including application forms, notes, assessment forms and questions are collected, sorted, sealed and in an envelope and returned urgently to the Resourcing Team for further processing and safe-keeping. Records will be kept for a period of three years The Chairperson will agree with the HR officer responsible for the file how the offer will be made to the successful candidate(s). Written offers will be made subject to police checks (if applicable), pre-employment health assessment and receipt of two written references. These can be obtained on return of the paperwork from interviews provided that everything is in order. Following confirmation that everything is in order as regards the successful candidate and that they are accepting the offer of employment, the unsuccessful candidates can be notified. It should be noted that where a successful candidate has been shortlisted on the basis of a qualification(s) these will also be verified by Human Resources at the start of employment The Resourcing Team will confirm to the line manager when all preemployment checks and documentation are in place. It is only at this stage that a commencement date can be agreed with the candidate Panel members should make sure that they observe confidentiality throughout the complete Recruitment and Selection process. 38

39 Section 5 39

40 Legislation In Recruitment And Selection 40

41 5.0 Introduction We must ensure that our recruitment policy and procedures are robust in terms of legislation and that our panels have received appropriate training in this area In terms of equal opportunities, specifically within recruitment and selection, the main legislation that applies is as follows: 5.1 The Fair Employment and Treatment (NI) Order 1998 (as amended) (FETO) This sets out the law on discrimination on grounds of religious belief and political opinion in employment, the provision of goods, facilities and services, the sale or management of land or property, further and higher education and in respect of partnerships and barristers Under this legislation: Direct discrimination is where a person, on grounds of religious belief or political opinion, is treated less favourably than others are, or would be, treated in the same or similar circumstances. Indirect discrimination in employment arises where a provision, criterion or practice is applied or would be applied equally to others but which has the effect of putting people of a particular religious belief or political opinion at a disadvantage and which cannot be justified. Victimisation means treating someone less favourably than others because they have or intend to complain of discrimination or have assisted someone else to do so. Affirmative action means favouring an individual or group in order to redress a religious or political imbalance which exists within the workforce. Harassment is where an individual, on grounds of religious belief or political opinion, engages in unwanted conduct which has the purpose or effect of violating the dignity of another or which creates an intimidating, hostile, degrading, humiliating or offensive environment for the other Not all types of employment are covered by FETO. Some examples of these exceptions are clerymen and ministers of religion, or to the recruitment of teachers in schools or where the essential nature of the job requires it to be done by a person holding or not holding a particular religious belief or political opinion, e.g. posts of a religious or evangelical nature. 41

42 5.2 The Sex Discrimination (NI) Order 1976 (as amended) This sets out the law on discrimination on grounds of gender and marital status in employment, the provision of goods, facilities and services, education, vocational training and housing. In addition, associated regulations (the Gender Reassignment Regulations 1999) protect transsexuals and those undergoing gender reassignment from discrimination in employment and training. The Sex Discrimination (Amendment of Legislation) Regulations 2008 extend protection against direct discrimination and harassment on grounds of a person s gender reassignment in the provision of goods, facilities, services and premises Under this legislation: Direct discrimination is where a person, on grounds of gender or marital status, is treated less favourably than others are, or would be, treated in the same or similar circumstances. Indirect discrimination arises where an apparently neutral provision, criterion or practice disadvantages a considerably larger proportion of members of one gender or marital status more than another and cannot be justified by objective factors unrelated to gender or marital status. Victimisation means treating someone less favourably than others because they have, for example, complained of alleged discrimination or have assisted someone else to do so. Harassment is where an individual, on grounds of gender or marital status, engages in unwanted conduct which has the purpose or effect of violating the dignity of another or which creates an intimidating, hostile, degrading, humiliating or offensive environment for the other Sex discrimination by an employer is not unlawful in recruitment, promotion, transfer and training where being a man or woman is a genuine occupational qualification (GOQ) for a job e.g. for reasons of physiology or decency. This will only apply in a few situations, as the legislation is extremely limited in this regard. Please consult Human Resources for advice on this. 5.3 The Disability Discrimination Act 1995 (and the Disability Discrimination (NI) Order 2006) This sets out the law on discrimination on grounds of disability in employment, access to goods, facilities and services and the management, buying or renting of property. A precise definition of disability is given in the legislation and to succeed under this legislation, a person needs to meet that definition. 42

43 5.3.2 Under this legislation: Direct discrimination is where a person, on grounds of a disabled person s disability, a disabled person is treated less favourably than others not having that particular disability are, or would be, treated in the same or similar circumstances. Failure to consider reasonable adjustments, is where an employer fails to comply with a duty to make a reasonable adjustment in relation to a disabled person. Disability-related discrimination arises where, in the provision of employment, vocational training, provision of goods, facilities and services, education and premises, a disabled person is for a reason related to their disability, treated less favourably than others to whom that reason does or would not apply, and the employer cannot show that the treatment is justified. Although the Act itself does not use this term, the Code of Practice does when referring to treatment of a disabled person which is unlawful because of the reasons above but does not amount to direct discrimination. Victimisation means treating someone less favourably than others because they have, for example, complained of disability discrimination or have assisted someone else to do so. Harassment is where an individual, on grounds of disability, engages in unwanted conduct which has the purpose or effect of violating the dignity of another or which creates an intimidating, hostile, degrading, humiliating or offensive environment for the other. 5.4 The Race Relations (NI) Order 1997 (as amended) This sets out the law on discrimination on grounds of race, colour, nationality or ethnic or national origin in employment, the provision of goods, facilities and services, education, the management and disposal of premises and housing and accommodation Under this legislation: Direct discrimination is where a person, on grounds of race etc., is treated less favourably than others are, or would be, treated in the same or similar circumstances and the treatment is based on racial grounds. Indirect discrimination arises in two different scenarios. In relation to race or national or ethnic origin, where a provision, criterion or practice is applied equally to persons but puts one race, national or ethnic origin at a disadvantage when compared to others not of that race, national or ethnic origin. In respect of colour and nationality 43

44 only, indirect discrimination is where a requirement or condition with which only a considerably small proportion of one racial group can comply and is not justifiable and which is to the claimaint s detriment. Victimisation means treating someone less favourably than others because they have, for example, complained of discrimination or have assisted someone else to do so. Harassment is where an individual, on grounds of race etc., engages in unwanted conduct which has the purpose or effect of violating the dignity of another or which creates an intimidating, hostile, degrading, humiliating or offensive environment for the other The employment provisions of the legislation do not apply where being a member of a particular racial group is a genuine occupational requirement (GOR) for a job. In similar terms to the GOQ under the sex discrimination legislation, this will only be able to be used in limited circumstances and Human Resources advice should always be sought. 5.5 Employment Equality (Sexual Orientation) Regulations (NI) This sets out the law on discrimination on grounds of sexual orientation in employment and vocational training and further and higher education. (Sexual orientation means a sexual orientation towards persons of the same sex, the opposite sex or both sexes). It is also important to remember that these regulations protect individuals who have been discriminated against because they either have or have been perceived to have a particular sexual orientation or because of someone else s sexual orientation (e.g. they associate with gay friends). Transsexuals may also have rights under these regulations if they are treated less favourably because of their actual or perceived sexual orientation. (On 1 January 2007, the law in this area was extended to goods, facilities and services by the Equality Act (Sexual Orientation) Regulations (NI) 2006) Under this legislation: Direct discrimination is where a person, on grounds of sexual orientation, is treated less favourably than others are, or would be, treated in the same or similar circumstances. Indirect discrimination arises where a provision, criterion or practice puts people of a particular sexual orientation at a disadvantage compared to others of a different sexual orientation and it cannot be objectively justified. Victimisation means treating someone less favourably than others because they have, for example, complained of discrimination or have assisted someone else to do so. 44

45 Harassment is where an individual, on grounds of sexual orientation, engages in unwanted conduct which has the purpose or effect of violating the dignity of another or which creates an intimidating, hostile, degrading, humiliating or offensive environment for the other An employer can treat a job applicant or employee differently on grounds of sexual orientation if possessing a particular orientation is a genuine occupational requirement (GOR) for a job. This will only apply in a few situations, as the legislation is extremely limited in this regard. Please consult Human Resources for advice on this. The regulations also permit differences of treatment on grounds of sexual orientation where the employment is for the healthcare or the employment of teachers. 5.6 Employment Equality (Age) Regulations (NI) This sets out the law on discrimination on grounds of age in employment, vocational training and further and higher education. Most of the employment rights of children and young people (persons not over the upper limit of compulsory school age) are dealt with under separate legislation. These are set out in the aforementioned Code of Practice. Outside of these particular considerations, the Age regulations apply to the employment of children in the same way as they apply to the employment of adults Under this legislation: Direct discrimination is where a person, on grounds of age, is treated less favourably than others are, or would be, treated in the same or similar circumstances. In a small number of cases, direct age discrimination may be permitted where an employer can demonstrate that their actions were objectively justified. This will be a difficult criterion to satisfy and must therefore be approached with caution. Indirect discrimination arises where a provision, criterion or practice is applied which, although it was applied equally to all persons, puts persons of the same age group as the individual at a particular disadvantage compared to other persons, and it cannot be objectively justified. Victimisation means treating someone less favourably than others because they have, for example, complained of alleged discrimination or have assisted someone else to do so. Harassment is where an individual, on grounds of age, engages in unwanted conduct which has the purpose or effect of violating the dignity of another or which creates an intimidating, hostile, degrading, humiliating or offensive environment for the other In exceptional circumstances, age-related treatment, provisions, criteria or practices may be lawful where, having regard to the nature of the 45

46 employment or the context in which it is carried out, possessing a characteristic related to age is a genuine occupational requirement (GOR) for a job, or in decisions in regard to training or dismissal. This will only apply in a few situations, as the legislation is extremely limited in this regard. Please consult Human Resources for advice on this Anyone who feels that they may have suffered unlawful discrimination under the above legislation may take legal action. The main route in this respect is by lodging a complaint with the Fair Employment Tribunal (FET) in the case of complaints of religious and/or political discrimination or an Industrial Tribunal (IT) in the cases of other equality legislation outlined above. The FET or IT can come to various decisions in a complaint including awarding compensation (unlimited). 5.7 The Role of the Equality Commission for NI The Equality Commission for Northern Ireland is an independent public body established under the Northern Ireland Act On 1 October 1999, it took over the functions previously carried out by the Commission for Racial Equality for NI, the Equal Opportunities Commission for NI, the Fair Employment Commission for NI and the NI Disability Council Its duties and functions are set out in the legislation for which it has responsibility (including those pieces of legislation outlined above). It can provide advice and assistance to individuals who feel that they may have suffered discrimination under these pieces of legislation, and this may include supporting complaints that are brought before the Tribunal, both legally and financially. The Commission can also assist employers in matters relating to equal opportunities and also has enforcement powers. The Commission has introduced a Unified Code of Practice on the above legislation which amalgamates into one document the principles previously contained in various Codes of Practice In addition to the above, the general duties of the Commission include working towards the elimination of discrimination, promoting equality of opportunity and encouraging good practice and keeping the relevant legislation under review. 5.8 Northern Ireland Commissioner for Complaints (Ombudsman) The office of the Northern Ireland Commissioner for Complaints (popular name: NI Ombudsman) was established in 1969, but the current powers and responsibilities are laid down in the Ombudsman (NI) Order 1996 and the Commissioner for Complaints (NI) Order These were extended in 1997 by the Commissioner for Complaints (Amendment) (NI) Order This office deals with complaints from people who believe they have suffered injustice as a result of maladministration by government 46

47 departments or public bodies in Northern Ireland. Some examples might be failure to follow agreed policies, rules and procedures, neglect or unjustified delay or failure to have proper procedures. Complaints, if appropriate for the Ombudsman s office, may be investigated and a report produced. If the Ombudsman believes that someone has been unfairly treated, he/she will try to obtain a settlement, which may involve the organisation remedying the injustice and compensation. He/she does not have the power to enforce any recommendations, but if the organisation does not comply the individual can seek redress through the County Court to enforce the decision. 5.9 The Rehabilitation of Offenders (Exceptions) Order (NI) This order lists exceptions to the Rehabilitation of Offenders (NI) Order It means that anyone who applies for a job in the Trust must declare on their application form any information about any criminal convictions they have ever had. The panel should check this information and which can be taken into account when considering a candidate for a post. It may also be that a panel might want to ask about the offence so that it can make a judgement as to whether it is relevant to the post being filled. Human Resources can advise on such issues Protection of Children and Vulnerable Adults Order (NI) 2003 (POCVA) This order replaces the previous arrangements under the Pre-Employment Consultancy Service whereby postholders, who would have substantial access in their jobs to adults with a learning disability or children, were required to have a pre-employment check before appointment. This check was a combined check for previous criminal offences and suitability to work with these vulnerable groups. This legislation widened the client groups affected to children and vulnerable adults and substantially changed the criteria applied when determining whether a post required a check at the recruitment and selection stage. The definitions have changed substantially and the Trust has separate procedures which will be available in the new Trust in order to ensure a consistent approach to this checking by all three HR offices in the new organisation The definitions which determine whether a post requires checking are as follows: Children: All Regulated positions must have POCVA checks according to the Order the definition of a Regulated Position is any or all of the following: 1) Normal duties include: Caring, training, advising, counselling, supervising or being in sole charge of children; 47

48 The supervision or management of an individual in a regulated position. 2) Normal duties carried out by the worker are in: A children s home; A residential care (or nursing) home used mainly or exclusively for children 3) Members of Health and Social Services Boards and Health and Social Services Trusts; Directors of Social Services Therefore we undertake checks for new appointments/ volunteers on all positions which fit the definition above Note bullet point 2 of point 1 that the supervisor or manager of someone in a regulated position must also be checked. So, for example, the supervisor of the Domestic Assistant in the Children s Unit would have to have a check on appointment, as would the supervisor of a Clerical Officer in such a Unit Note also that anyone who as part of their normal duties goes into a children s residential unit requires to be checked, whether they are providing care or not and whether they are based at the unit or not Vulnerable Adults: Posts where the employee will work with Vulnerable Adults but only in the settings described by the definitions of this below: An adult to whom accommodation and nursing or personal care are provided in a residential care home or nursing home; An adult to whom any prescribed service is provided in his/her own home under arrangements made by a domiciliary care agency or a prescribed person; An adult to whom prescribed services are provided by a health services body or at a private hospital There is no written definition of prescribed services, and bullet 3 is not yet enacted Therefore at this stage our understanding of the position for checking vulnerable adults is that acute hospitals, health centres, other facilities outside of that mentioned in the vulnerable adult definition are not covered currently by the legislation unless of course the worker fits into part 1 of the Children s definition. There is a current loophole in that adults with a learning disability are no longer covered by this legislation and the DHSSPS are working on an amendment to bring this group back in. We 48

49 will therefore continue to complete checks for employees/volunteers working with Adults with a Learning Disability. 49

50 Appendices 50

51 NHSCT- TEMPLATE MISSION STATEMENT To provide for all, the quality of service we expect for our families, and ourselves. Job Description Post Grade HPSS (Agenda for Change) pay and terms and conditions will apply. Further information on Agenda for Change is available on the Department of Health, Social Services and Public Safety Northern Ireland website: _Staff/PayandReward/ImplementingAgendaforChange/JobProfiles Department Base Reports to Responsible to Job Summary Key result areas/ Main responsibilities General Management responsibilities Adhere to the Code of Conduct for HPSS managers which states that managers will be expected to work with integrity, honesty and openness, probity, accountability and respect, available on 51

52 Ensure the appropriate governance and risk management arrangements are in place for the services you are responsible for and take appropriate action to identify and manage risk and to maintain safety of users, staff and others in accordance with relevant regulations, policies and procedures; It is essential to ensure that the highest standards of infection prevention and control are maintained to ensure patient and client safety and maintain confidence in the Trust. As a Manager, you must ensure that you implement all instructions/ policy in this area and that all staff are made aware of and fully comply with these. Where the postholder has responsibility for managing a budget, ensure that services are managed and developed both in accordance with agreed and funded priorities as set out on a yearly basis and in accordance with Standing Financial Instructions, particularly ensuring your compliance with payroll documentation procedures and timescales; Ensure the necessary arrangements are in place in regard to the Knowledge and Skills Framework outlines, where this applies, for the posts for which you have management responsibility and ensure that each member of staff has an annual development and performance review, a personal development plan and that arrangements are in place to ensure that staff have maximum opportunity to progress through gateways in their pay bands and to contribute effectively towards our objectives; Promote a culture of continuous service improvement amongst your staff, encouraging their participation and that of service users in reviewing and modernising current services and in service development; Make sure you are trained and competent in the relevant policies and procedures which apply to the management of staff and other resources and abide by these policies; seeking advice as necessary from senior management or specialist staff as necessary; Communicate effectively with staff and maintain productive working relationships amongst your staff and with others; Delegate appropriate responsibility and authority to staff in order to ensure optimum and effective service delivery and decision-making, whilst retaining overall accountability and responsibility for outcomes; Promote a culture of learning and development and facilitate arrangements for and participate in training and development of staff as agreed for the performance of their duties. Where training is in accordance with relevant standards make sure you have the relevant competences in order to carry out this responsibility; Promote equality of opportunity for all by personal action, both in the management of your staff and in the provision of care to service users in accordance with the Trust s Equality of Opportunity Policy and Equality Scheme; 52

53 Take responsibility for ensuring appropriate standards of environmental cleanliness and for encouraging staff to maintain standards in their work area. Have an awareness of environmental issues and take appropriate action, for example to ensure the efficient use of energy and other resources, recycling etc.; Make sure that staff are aware of trust policies regarding the Data Protection Act 1998, the Freedom of Information Act 2000, the Environmental Information Regulations 2004 and Records Management and that they must not disclose, withhold, retain or dispose of any information unless legally authorised. General Responsibilities Employees of the Trust will be required to promote and support the mission and vision of the service for which they are responsible and :- At all times provide a caring service and to treat those with whom they come into contact in a courteous and respectful manner Carry out their duties and responsibilities in a manner which assures patient and client safety Comply with all instructions in regard to Infection Prevention and Control Demonstrate their commitment by their regular attendance and the efficient completion of all tasks allocated to them Comply with the Trust s No Smoking Policy Carry out their duties and responsibilities in compliance with health and safety policy and statutory regulations Adhere to equal opportunities policy throughout the course of their employment Ensure the ongoing confidence of the public in service provision Comply with the HPSS Code of Conduct Records Management All employees of the Trust are legally responsible for all records held, created or used as part of their business within the Trust including patient/client, corporate and administrative records whether paper-based or electronic and also including s. All such records are public records and are accessible to the general public, with limited exceptions, under the Freedom of Information Act 2000, the Environmental Information Regulations 2004 and the Data Protection Act Employees are required to be conversant with the Trust s) policy and procedures on records management and to seek advice if in doubt. Pay and Terms and Conditions HPSS (Agenda for Change) pay and terms and conditions will apply. Further 53

54 information on Agenda for Change is available on the Department of Health, Social Services and Public Safety Northern Ireland website: oping_staff/payandreward/implementingagendaforchange/jobprofiles Some important points are set out below: Salary - (insert salary scale) per annum (pro-rata for part-time) - Under review Hours Normal full-time hours of duty are 37½ hours per week, exclusive of meal times. Medical Appointment will be subject to a successful pre-employment health assessment. Holidays 27 days each year; 29 days after 5 years service; 33 days after 10 years service and 10 statutory and public holidays. Pension The postholder can participate in the Health and Personal Social Services Superannuation Scheme. Probationary Period You will serve a probationary period of normally six months. Waiting List A waiting list may be compiled for (insert waiting list details i.e. perm/temp/ft/pt, location, duration) Pay Protection Legacy Trust Staff who apply for a promotion after 1 April 2011 should be aware that they will lose their legacy protection arrangements and will be entitled to pay protection in accordance with circular HSS (JNF)(1) This circular will also apply to legacy staff who are currently in receipt of protection and who move post on promotion. Closing Date Completed application forms should be returned to the Human Resources Department, Bush House, 45 Bush Road, Antrim, BT41 2QB on or before the closing date as stated in the advertisement. Canvassing, either directly or indirectly, will be an absolute disqualification. We will review this Job Description and it may include any other duties and responsibilities we determine in consultation with the jobholder. We do not intend it to be rigid and inflexible but rather to provide guidelines within which the jobholder works. (Insert Month/Year) 54

55 JOB TITLE & BAND: DEPARTMENT: LOCATION: Factor *Qualifications and Experience PERSONNEL SPECIFICATION Essential Criteria/Competencies Method of Assessment Required * Only those applicants who state clearly on their application form that they have the required level of qualification/experience will be considered for interview. Knowledge Interview Skills and Aptitudes *Current full driving licence. Access to a car on appointment. *Application form Interview Special Circumstances Interview Health Requirements General good health for the demands of the post. Acceptable attendance record. Pre-employment Health Assessment Application form/interview/ Referee Report * Applicants please note: Shortlisting will be carried out on the basis of the essential criteria set out above, using the information given on the application form. You should therefore address the requirements when completing the application form, as failure to do so may result in you not being shortlisted. Appointments are subject to verification of appropriate qualifications. (Insert Month/Year) 55