Document Title Reference Number Lead Officer Author(s) (name and designation) Ratified by Recruitment and Selection Policy NTW(HR)15 Lisa Crichton-Jones Executive Director of Workforce and Organisational Development Gemma Rutherford Directorate Support Advisor Trust-wide Policy Group Date ratified November 2014 Implementation Date December 2014 Date of full implementation December 2014 Review Date November 2017 Version number V03 Review and Amendment Log Version Type of Change Date Description of Change V03 Update Nov 14 Complete Re-write of Policy This Policy supersedes the following Policy, which must now be destroyed: Reference Number Title NTW(HR)15 V02.7 Recruitment and Selection Policy
Recruitment and Selection Policy Section Contents Page No. 1 Introduction 1 2 Purpose 1 3 Duties, Accountability and Responsibilities 2 4 Definition of Terms Used 3 5 Prioritisation 3 6 Organisational Change 3 7 Resignation / Review Post 4 8 Vacancy Control 4 9 Central Recruitment / Value Based Recruitment 5 10 Vacancies released from TED 5 11 NHS Jobs 5 12 Closing Date 5 13 Short listing 6 14 Interview Arrangements 6 15 The Panel Pack 6 16 Interview Panel 7 17 Spouses, Partners and Close Personal Friends 7 18 Invitation to Interview 7 19 Questioning 7 20 NHS Employment Check required at Interview 8 21 Offer of Employment 8 22 Conditional Offer 9 23 Right to Work Checks 9 24 Professional Registration and Qualification Check 10 25 Employment History and Reference Checks 10 26 Pre-Employment Health Screening 11
27 Criminal Record and Barring 11 28 Handling Retention of Disclosure Information 12 29 Start Date for Successful Candidate 12 30 Legislative Background 12 31 Disclosure Barring Service 13 32 Portability 14 33 Temporary Workers Supplied by Agency 14 34 Other NHS Organisations 15 35 Unsatisfactory Employment Checks 15 36 Further Information 16 37 Implementation 16 38 Identification of Stakeholders 16 39 Training 17 40 Monitoring Compliance 17 41 Standards / Key Performance Indicators 17 42 Fair Blame 18 43 Fraud, Bribery and Corruption 18 44 Equality and Diversity Impact Assessment 18 45 Associated Documents 18 Standard Appendices attached to Policy A Equality Analysis Screening Toolkit 19 B Training Checklist and Training Needs Analysis 21 C Audit Monitoring Tool 23 D Policy Notification Record Sheet - click here
Appendices listed separate to Policy Appendix No: Description Issue No: Issue Date Review Date 1 Vacancy Control and Process Guidance Notes 1 Dec 2014 Nov 2017 2 Vacancy Control Form 1 Dec 2014 Nov 2017 3 Appointing Manager s Recruitment Process Guidelines 1 Dec 2014 Nov 2017 4 Acceptable Identity Documentation 1 Dec 2014 Nov 2017
1 Introduction 1.1 Northumberland Tyne and Wear NHS Foundation Trust (the Trust / NTW) is committed to providing the highest possible quality of care and treatment to patients and clients. The Trust will recruit staff who are aligned to NTW vision of delivering services that match the best in the world. 1.2 We will recruit staff with the required values, knowledge, skills and experience to provide the Trust s services and functions. 1.3 The Policy has been compiled in light of all current Employment Legislation, Department of Health Guidelines, NHS Employers Employment Check Standards, Safeguarding Children, Disclosure Barring Service (DBS) Protocol and Code of Practice. 1.4 We are committed to safeguarding and promoting the welfare of all we serve and expect all staff and volunteers to share this commitment. 1.5 In line with the NHS Employment Check Standards, the Trust must take measures to ensure that unsuitable people do not obtain employment in the NHS. The recruitment of all candidates is in line with the recommendations from the Francis report. 1.6 As an employer, acknowledges the commitment of HM Armed Forces in the service of the nation and is supportive of our employees who are reservists in HM Armed Forces. We also acknowledge the values that HM Armed Forces can bring and apply to their civilian employment with us. 1.7 NTW is accredited by the Employment Service to use the 'Positive about Disabled People' symbol. 2 Purpose 2.1 The aim of this Policy is to provide Appointing Managers with the required standards and procedure that must be adhered to when recruiting staff on behalf of the Trust, both permanent and temporary. 2.2 As an Equal Opportunities Employer, the Policy aims to ensure that recruitment and selection of staff is undertaken in an honest, open and transparent manner and without unfair discrimination. 2.3 The Policy is the overarching P olicy of statutory requirements, NHS Employers Check Standards and Trust procedure pertaining to recruitment and selection of staff, and should be read in conjunction with the following: NTW(HR)03 - Professional Registration; 1
NHS Employers Employment Check standards; Rehabilitation of Offenders Act 1974; NTW(HR)01 - Induction Policy; TED Approach Guidance; Equality Act 2010. 3 Duties, Accountability and Responsibilities 3.1 Executive Directors and Chief Executive Will support the implementation of this Policy. 3.2 Executive Director of Workforce and Organisational Development responsibility: Will advise managers, staff and staff representatives on the Policy and its interpretation; Will be responsible for ensuring the correct implementation of this Policy; Will monitor the Policy and its effectiveness; Will review the Policy on a regular basis in consultation with staff representatives. 3.3 Managers responsibility: To adhere to this Policy and the necessary actions contain within it; To ensure that offers of employment are made in conjunction with this Policy and that all necessary employment checks are undertaken before applicants take up new posts. 3.4 Directorate Support Team responsibility: Will ensure that all employment documentation is received and is satisfactory prior to commencement of employment. 3.5 The Employee / Applicant s responsibility is to: Provide the necessary information of employment checks to be undertaken. 2
4 Definition of Terms Used Lead Officer: Author(s): Policy Administration: Development: The Director accountable for the Policy; Person nominated by the Lead Officer to prepare the Policy; Person appointed to support the Author and the appropriate Committee in the preparation of Policies; A process by which something passes by degrees to a different stage, process of clarification; Consultation: An exchange of views, time limited period during which the views / advice of others are sought to further inform the Policy content; Ratify: Formal agreement and acceptance; Implementation: Review: DBS: Put into practice / operation; Reassess; Disclosure Barring Service. 5 Procedure / Process 5.1 This P olicy is required to ensure that there is a fair recruitment process to which managers can follow and refer. It also ensures appropriate guidance and advice is available for managers when recruiting ex- offenders, and / or when issues of concern arise in relation to DBS checks. The Policy links to the Trust Workforce Strategy. 5.2 The Policy has been Impact Assessed. 6 Organisational Change 6.1 Staff who are at risk of redundancy through Organisational Change will be managed under the Transitional Employment Development approach (TED). 3
6.2 Where posts are affected by organisational change due to restructure, retraction or re-provision of services, those staff affected and considered at risk of redundancy will be given prior consideration for vacant posts (at the same banding) before other applicants, where they meet the essential criteria of the person specification. Reasonable training will be given where necessary. 6.3 The TED Team will monitor vacancies and staff will be alerted to these by the TED Telegram. This will be cascaded by their Line Managers. 6.4 Workforce advice must be obtained in the first instance, as the alternative employment process is separate from the TED approach. 7 Resignation / Review of Post 7.1 Managers should review the position as soon as an employee submits a resignation to the Trust. The position should be considered in line with the Group s Workforce Plans and Cost Improvement Programme. There should not be an automatic assumption that the post will be filled like for like. 7.2 Newly established posts must be matched / evaluated in accordance with Agenda for Change job evaluation process. 8 Vacancy Control 8.1 The Vacancy Control Form (Appendix 1) must be completed by the Recruiting Manager and sent to the Directorate Manager who will forward to the required department. New Posts to be submitted to the Agenda for Change Team (a4c@ntw.nhs.uk), replacement to vacancycontrolforms@ntw.nhs.uk 8.2 The Vacancy Control form must be accompanied by: Draft advertisement with potential interview date; Job Description; Person Specification; KSF outline (available from the Training Department). 8.3 For vacancies applicable to central recruitment a generic Job Description and Advert is in place. Please refer to Section 9. 8.4 Delays may occur if the information in point 8.2 is not provided. The Trust s Workforce Strategy states that the turnaround time from vacancy to offering a post will be eight weeks. If your post is part of central recruitment please see Section 9. 4
9 Central Recruitment / Value Based Recruitment 9.1 Posts that are identified to be part of central recruitment will be advertised in a generic advert. 9.2 Adverts will be placed on NHS Jobs and a closing date alongside Assessment Centre date and interview date will be available on the advert. 9.3 Candidates will undergo a number of assessments which will inform them on the Trust vision; the assessments will assess the candidate s level of competency through testing numeracy, literacy and medication management for qualified staff. The assessments will then move onto Group Exercises which will look at the behaviours displayed that underpin the Trust values. 9.4 When candidates pass assessments they will progress to interview stage. 9.5 On placement into post the Directorate Support Team (DST) will aim to achieve a four week turnaround on gaining all NHS Employment Check Standards and arrangement of a start date. 10 Vacancies released from TED 10.1 All required documentation and authorisation are released to DST from TED on a Tuesday afternoon. There are some exceptions to this that are dealt with on an individual basis; as agreed by a Group Representative. Vacancies will be uploaded to NHS Jobs within twenty-four hours. 10.2 For vacancies identified as central recruitment please refer to Section 9. 11 NHS Jobs 11.1 The Trust will use the NHS Jobs website for advertising all internal and external vacancies. 11.2 Certain vacancies, such as Consultant posts must be advertised in specific professional journals as well as NHS Jobs in accordance with NHS Policy. Further advice is available from the Medical Staffing Team. 12 Closing Date 12.1 Closing dates will usually be within ten working days of the advert first appearing in NHS Jobs unless prior agreement has been reached with DST representatives. Vacancies close at midnight on the relevant day. 12.2 Before overseas appointments can be made, it must be proven that such vacancies have been unsuccessfully advertised for a period of twenty-eight days. 5
13 Shortlisting 13.1 Following the closing date, shortlisting packs will be emailed to Managers by the DST to enable shortlisting to take place. 13.2 The packs include, short listing guidelines, interview arrangement form, interview guarantee scheme information and relevant application highlighted. The shortlist should be compiled using the job description and essential criteria on the person specification for the post. Applicants should not be shortlisted if they do not meet the essential criteria for the job. 13.3 Managers should note that shortlisting must be done within five working days of the closing date of the advert and should be completed electronically. Advice and assistance can be obtained from DST if required. 13.4 The number of shortlisted applicants should be manageable and relevant to the number of posts available. 14 Interview Arrangements 14.1 Once the shortlisting and interview arrangement details are returned electronically to DST, applicants will be invited to interview via their NHS Jobs account. 14.2 The interview date should be not less than ten days following return of the shortlist and applications to the DST unless stated on the advert. 15 The Panel Pack 15.1 The Panel Pack will be issued electronically to the Appointing Manager and Panel members forty-eight hours prior to interviews. 15.2 The pack will contain: Interview Schedule (includes Score Sheet); Interview Guidelines for Appointing Managers (Appendix 2); PDF Application Forms; Successful Applicant Form; Team Prevent Front Sheet (for Manager completion); Terms and Conditions; 6
Pay Bands; Guidance for completing DBS Form. 16 Interview Panel 16.1 The Interview Panel should consist of a minimum of two people who have both completed Equality and Diversity Training; the appointing Manager must have also completed Recruitment and Selection Training. 17 Spouses, Partners and Close Personal Friends 17.1 If there is a close personal relationship with another member of staff, the applicant must declare this on the Application Form. It must be noted that an employee cannot directly / indirectly manage his / her relative or partner. Trust employees are required to declare such relationships so as to avoid any conflict of interest, and will not be allowed to take part in the selection process. Managerial or supervisory relationships will not be allowed to exist as this may have a negative impact on the service provided and the Trust. 18 Invitation to Interview 18.1 Appointing Managers must ensure that all shortlisted applicants meet the criteria of the post before inviting them for interview. 18.2 Applicants will be invited b y D S T, to attend a formal interview via their NHS Jobs account. Reasonable adjustments will be made to enable disabled candidates to participate in the interview process and DST will highlight such adjustments required to Managers to arrange. 19 Questioning 19.1 The Panel should agree their questions in advance of the interview and ensure adherence to Equal Opportunities and current employment legislation, to avoid any unfair discrimination. Questions should relate to the values of the Trust and intrinsic requirements of the job (includes duties and physical demands of the role), they must be formally recorded and kept with interview records. 19.2 During interview, gaps in employment must be explored, considered, and responses documented. 19.3 No health related or sickness absence questions may be asked at interview. 7
20 NHS Employment Checks Required at Interview 20.1 At interview, Managers are required to check and photocopy the original documentation that Applicants bring with them. Documents need to be in date as prescribed in Appendix 3. These also need to be copied (including outer cover e.g., passports). They also need to be certified as below or the documents will be returned to the Appointing Manager. I certify that this is a true copy of the original document all pages must be signed and dated. 20.2 Appointing Managers are also required to complete in full and sign the successful Applicant Form after the interview and return it to DST, with all corresponding recruitment documents as outlined in 20.1. 20.3 A DBS needs to be input onto Atlantic Data System for the successful candidate. This is to be completed by the person who had sight and certified all original identification (if relevant for role). If internal please check with the DST if a current, valid DBS is in place. For any advice or login details please contact DST. 21 Offer of Employment 21.1 In selecting the successful candidate(s) the Panel should discuss each applicant s performance taking into consideration the following: Whether there is evidence that they meet all the essential criteria on the Person Specification; The content of the application; Qualification (if required for the post) Performance at interview; Outcome of any selection tests. 21.2 Scores should be recorded on the Interview Scoring Sheet provided. 21.3 The Appointing Manager should ensure that interview records provide an accurate reflection of the decision-making process. 21.4 To be appointed the successful applicant must meet the essential criteria outlined in the Job Description / Person Specification. 21.5 If the successful applicant accepts the conditional offer of the post, a Panel Member should then contact the unsuccessful applicants by telephone, offering feedback from interview. 21.6 All documentation as outlined in 20.1 must be returned to DST for process or archive. 8
22 Conditional Offer 22.1 Following interview the Appointing Manager (or other P anel M ember) can make a verbal conditional offer, to the successful applicant subject to satisfactory employment checks. 22.2 Verbal conditional offers can only be made where Authorised Vacancy Control Forms have been through the agreed process as outlined in Appendix 1. Exceptions to this need to discussed with DST prior to verbal offer. 22.3 The Appointing Manager must return the following completed documents to DST: The scoring sheet / grid paperwork, signed by all Panel Members; The Successful Applicant Form; Copies of questions and answers for every interviewed applicant; Team Prevent Front sheet Complete; Copy of ID, qualifications, professional registration signed and verified as a true copy of the original. 22.4 All other paperwork must be confidentially disposed of by the Appointing Manager. 22.5 If any paperwork is incomplete the DST will return to the Appointing Manager for completion. This will cause delays in the issue of a conditional offer letter and clearances being sought. 23 Right to Work Checks 23.1 The Immigration, Asylum and Nationality Act 2006 (amended 2008) make it a criminal offence to knowingly employ illegal migrant workers and reinforces the continuing responsibility on employers of migrant workers to check their on-going entitlement to work in the UK. Employers risk breaking the law if they do not check the entitlement to work in the UK for all prospective employees, before they start employment. 23.3 A candidate must be able to confirm that as a migrant worker they have the right to work in the UK and provide documentary evidence that is valid, current and original. Failure of the Trust checking the status could result in a penalty of up to 10,000 per illegal worker. 9
23.4 The Trust must assess the eligibility of an individual s right to work in the UK by verifying specified documentation. If, after carrying out the checks, it is established that the applicant is not permitted to work in the UK, then any offer of employment must be withdrawn and the individual cannot commence employment. 23.5 The Trust will only accept original documentation which is valid and current. 24 Professional Registration and Qualification Check 24.1 Professional regulation is intended to protect the public, making sure that those who practise a health profession are doing so safely. Qualification checks are necessary to validate the information provided by an applicant in relation to their educational or professional qualifications. 24.2 Candidates must be recognised by the appropriate regulatory body and have the right qualifications to do the job as outlined in the Person Specification. See NTW(HR)03 - Professional Registration with Regulatory Body Policy for further details and guidance. 24.3 All Professional Registrations will be checked with the relevant statutory bodies by the Directorate Support Team to verify that the applicant is professionally registered. 24.4 Licensed Doctors must be revalidated through annual appraisal and job planning, as determined by the General Medical Council, every five years in order that they may continue to practice. 24.5 The Trust is mandated to implement and manage the Alerts scheme in accordance with the Healthcare Professionals Alert Notice Directions 2006, as part of its Pre-employment Checks. This Check will be carried out by Directorate Support Team. 25 Employment History and Reference Checks 25.1 Employment and Reference checks are carried out to find information about an applicant's employment and / or training history in order to ascertain whether or not they are suitable for a particular position. 25.2 Candidates must provide their full employment and / or training history, including an explanation of any gaps between periods of employment or training when completing the application form this should be checked by the manager at interview. Candidates must always give permission for the Trust to obtain a Reference 25.3 For external candidates the Trust requires a minimum of three years continuous employment and / or training including details of any gaps in service. 10
25.4 For internal candidates a reference or statement from the current Manager should be produced and information should be provided from the employees ESR Record. 25.5 If a candidate has not worked or been in full time education within the last three years the Trust will require two personal references from persons of some standing in their community who have known the applicant for at least three years. 25.6 If the candidate has been self-employed evidence will be obtained from one of the following HM Revenue and Customs, bankers, accountants, solicitors, client references to confirm dates of employment. 25.7 For candidates that have been in overseas employment or training documentation will be requested to seek assurance of time spent overseas in line with the NHS Employment Check Standards. 26 Pre-Employment Health Screening 26.1 The Trust carries out work health assessments via the Occupational Health Department which adheres to equal opportunities legislation. The purpose of a health assessment is to assess whether new employees have a health condition or disability that requires adjustments in the workplace to enable them to undertake the post offered; or have a health condition or disability that requires restrictions to their role. All work health assessments take into account the requirements of the disability provisions within the Equality Act 2010 26.2 A health assessment will only be made once a job offer has been made. 26.3 Successful applicants that are appointed to clinical facing roles will be required to complete a Screening Questionnaire for immunisation and infection control purposes only. Candidates may be required to attend Occupational Health for further assessment and immunisation if required. 27 Criminal Record and Barring 27.1 All applicants must sign a Declaration Form which will be sent with the conditional offer, providing details of any previous criminal record or related matters. Failure to declare may result in criminal, civil or disciplinary action being taken by the Trust. 27.2 Before Northumberland Tyne and Wear NHS Foundation Trust considers asking a person to make an application for a DBS they are legally responsible for ensuring they are entitled to ask that individual to reveal their conviction history. 11
27.3 All DBS Checks are processed via the online system provided by Atlantic Data. For those posts that require a DBS Certificate, Managers will access Atlantic Data and submit successful candidate s information. The candidate will then receive a notification to complete their section. 27.4 On completion of the DBS Check Northumberland Tyne and Wear NHS Foundation Trust are notified electronically via Atlantic Data of the DBS outcome. If the DBS Check has no cautions or convictions to report the result will show on the system as no information. If there is a valid caution or conviction on the DBS Check this will show on the system as view applicants copy. 27.5 In the event that a Certificate contains information the Manager must request to see a copy of the candidates DBS Certificate to complete a Risk Assessment. Advice must be taken from Workforce in this respect. 28 Retention of Disclosure information 28.1 Disclosure information will be kept securely on the Electronic Staff Record. 29 Start Date for Successful Candidate 29.1 Once all NHS Employment Check Standards are completed and are deemed satisfactory to the Trust a start date will be agreed with the Manager which will be in line with the Trust induction dates. The successful candidate will be issued a letter and statement of main particulars of employment. 29.2 The Directorate Support Team, on commencement of employment complete the necessary paperwork to ensure salary is paid at the correct rate. 30 Legislative Background 30.1 Equality Act 2010 Under the Equality Act 2010, the Trust will not unlawfully discriminate in the recruitment processes on the grounds of ethnicity, disability, age, gender or gender re-assignment, religion or belief, sexual orientation, pregnancy or maternity, marriage or civil partnership. To avoid discrimination, the Trust treat all job applicants in the same way at each stage of the recruitment process. 12
30.2 Data Protection Act 1998 The Trust carries out all checks in compliance with the Data Protection Act 1998. Information is only obtained where it is absolutely essential to the recruitment decision and kept in accordance with the Act. The Trust record the outcome of all checks undertaken, using the Electronic Staff Record (ESR). 30.3 Rehabilitation of Offenders Act 1974 Rehabilitation of Offenders Act 1974 (Exemptions) Order 1975 (Amendment) Order 1986 as an organisation providing healthcare the Northumberland Tyne and Wear NHS Foundation Trust is exempt from the Rehabilitation of Offenders Act 1974. 30.3.1 This means that all applicants are obliged to declare any convictions, pending prosecutions, cautions or bind-overs at the time of application by circling the YES response in the appropriate section of the application form (even if they would otherwise be regarded as spent under the Act). A DBS disclosure will only be requested if you are appointed and in regulated activity. 30.4 The Safeguarding Vulnerable Groups Act 2006 The Safeguarding Vulnerable Groups Act 2006 sets out the activities and work which are regulated activity, which a person who has been barred by the Independent Safeguarding Authority must not do. Regulated activity now focuses on work which involves close and unsupervised contact with vulnerable groups including children. 31 Disclosure Barring Service 31.1 The Disclosure and Barring Service (DBS) helps employers make safer recruitment decisions and prevent unsuitable people from working with vulnerable groups, including children. It replaces the Criminal Records Bureau (CRB) and Independent Safeguarding Authority (ISA). 31.2 The criminal record check searches police records and, in relevant cases, barred list information, and then issues a DBS certificate to the applicant. 31.3 Not all NHS staff will require a DBS check, but checks are mandatory for all staff who work in regulated activity who have contact with children and / or vulnerable adults. 13
31.4 Types of Checks: 31.5 Filtering Standard Checks Contain details of both spent (old) and unspent (current) convictions, including cautions, reprimands and final warnings; Enhanced Check Contains the same information as a standard check but also includes any non-conviction information held by local police, where they consider it to be relevant to the post. Enhanced plus Barred Lists Individuals in regulated activity are eligible for an enhanced disclosure with barred list information. It will be possible to check against the children s and / or adults barred list(s), depending on the role under consideration. 31.5.1 New arrangements came into effect on 29th May, 2013, which mean that certain old, and minor cautions and convictions, will no longer be disclosed in a criminal record certificate from this date. 31.6 Update Service 31.6.1 DBS Update Service will allow individuals (if they choose to subscribe to it, and pay an annual fee of 13) to apply for a criminal record check once and if the individual needs a similar sort of check again, to reuse the existing certificate. 31.6.2 Northumberland Tyne and Wear NHS Foundation Trust would ask for the individual s permission to check the DBS details on the online service to see if it is still up to date. This will avoid many unnecessary repeat applications. 32 Portability 32.1 External Appointments - Portability of DBS disclosures from employment outside the Trust is only permitted if the individual has subscription to the update service as outlined in point 31.6. 32.2 Junior Doctors on a rotational training programme, who have a DBS disclosure within the three previous years, will be permitted to work in all Trust posts, except in Children and Young Peoples Services, where a new DBS will be required. Junior Doctors employed by the Trust will require enhanced DBS Clearance to undertake their roles within the service. 14
32.3 Doctors who have an enhanced DBS from a previous NHS employer within the last twelve months may commence working with a chaperone in place if their Trust clearance has not arrived in time for them to take up their six month post. Authorisation will be via the Medical Director / Executive Director of Workforce and Organisational Development. This is not applicable for posts within the Children and Young People Services, where a new DBS will be required. 33 Temporary Workers supplied by an Agency 33.1 Temporary Workers supplied by an Agency (Agency workers, locums, those working as part of the Trust Nurse Bank only, and other temporary staff) should follow the same recruitment checks as listed above. 33.2 Agencies must only provide workers who have met the NHS Employers employment check standards before they take up appointment in the NHS regardless of the period they undertake work. 33.3 All agencies used by the Trust will be required to provide written evidence of the checks they have undertaken in advance of any commencement with the Trust. 33.4 The Trust will undertake a spot check sample of agency worker s documents annually to ensure correct procedures have been adhered to by agencies involved. 34 Other NHS Organisations 34.1 Staff who holds a substantive post within one Trust but are required to work across a number of NHS organisations or to provide emergency cover in another NHS organisation the Trust will seek written assurances from the individual s host / substantive employer that appropriate checks have been carried out at the correct level. 35 Unsatisfactory Employment Checks 35.1 Where any unsatisfactory information is received, from Employment Checks, the DST will alert the Appointing Manager and appropriate Workforce Advisor, to discuss and agree necessary action and provide feedback to the applicant. A decision may be made to withdraw the offer of employment; however, this decision should not be taken without Workforce advice. 35.2 In exceptional circumstances it may be necessary to refer matters to the Trust s local Counter Fraud Specialist and / or UK Borders Agency if checks reveal substantial misdirection. 15
36 Further Information 36.1 Further information and advice on this Policy, is available from the Directorate Support Team. 37 Implementation 37.1 Full training is provided for Appointing Managers, panellists and others involved in the recruitment of staff as outlined in Appendix B. 37.2 Taking into consideration all the implications associated with this Policy, it is considered that this Policy will be implemented with immediate effect. 38 Identification of Stakeholders 38.1 The Policy has been developed in consultation with Trust Managers and Staff-Side Representatives, being widely circulated to Directors, Managers and Staff-Side. 38.2 This Policy follows the criteria set out in NTW(O)01 Development and Management of Procedural Documents, this Policy was circulated Trustwide for a four week consultation to the standard distribution listed below: Senior Management Team; Local Negotiating Committee; Consultant Psychiatrists; Planned Care Group; Specialist Care Group; Urgent Care Group; Psychological Services; Clinical Governance and Medical Directorate; Safeguarding; Trust Allied Health Profession Service Steering Group; Finance, IM&T, Estates and Performance; Staff-Side; 16
Trust Pharmacy; Workforce; Communications. 39 Training 39.1 The Trust s Workforce Strategy states that Appointing Managers should be trained in Recruitment and Selection procedures before offering any employment and must be on a Register of Accredited Trainers or have obtained equivalent training within the previous three years. Training sessions are co-ordinated by the Training Department. Appointing Managers must attend refresher training every three years. Levels of training are identified in the Training Needs Analysis (Appendix B) and are included within the Training Guide which can be accessed via this link: http://nww1.ntw.nhs.uk/services/index.php?id3796&p=2780 40 Monitoring Compliance 40.1 There will be on-going monitoring of this Policy to ensure compliance as follows and detailed in Appendix C: Regular communication between the DST, Appointing Managers and Applicants throughout the recruitment process; Documentation checked following successful Applicant Appointment; Personal File Checklist completed by Directorate Support Team; Assurance to Workforce Training and Development Sub Group; Audit / Monitoring Tool (Appendix C). 41 Standards / Key Performance Indicators 41.1 In the development of this Policy, key standards considered were as follows: NHS Employment / Check Standards. 17
42 Fair Blame 42.1 The Trust is committed to developing an open learning culture. It has endorsed the view that, wherever possible, disciplinary action will not be taken against members of staff who report near misses and adverse incidents, although there may be clearly defined occasions where disciplinary action will be undertaken. 43 Fraud, Bribery and Corruption 43.1 In accordance with the Trust s Policy NTW(O)23 Fraud, Bribery and Corruption / Response Plan, all suspected cases of fraud and corruption should be reported immediately to the Trust s Local Counter Fraud Specialist or to the Executive Director of Finance. 44 Equality and Diversity Impact Assessment 44.1 In conjunction with the Trust s Equality and Diversity Officer this Policy has undergone an Equality and Diversity Impact Assessment which has taken into account all human rights in relation to disability, ethnicity, age and gender. The Trust undertakes to improve the working experience of staff and to ensure everyone is treated in a fair and consistent manner. 45 Associated Documents NTW(HR)01 - Induction Policy; NTW(HR)03 - Professional Registration Policy; NTW(HR)17 - Relocation Policy; NTW(O)23 Fraud Bribery and Corruption Policy; Equality Act 2010; DBS Protocol and Guidance; NHS Employment Check Standards July 2013; UK Borders Agency regulations Professional regulatory bodies Independent Safeguarding Authority 18
Appendix A Equality Analysis Screening Toolkit Names of Individuals involved in Review Date of Initial Screening Review Date Gemma Rutherford September, 2014 September, 2017 Service Area / Directorate Trust-wide Policy to be analysed NTW(HR)15 Recruitment and Selection Policy Existing Is this policy new or existing? What are the intended outcomes of this work? Include outline of objectives and function aims To provide Appointing Managers with the required standards and procedure that must be adhered to when recruiting staff, ensuring fairness and equity to all. Who will be affected? e.g. staff, service users, carers, wider public etc. New Staff Protected Characteristics under the Equality Act 2010. The following characteristics have protection under the Act and therefore require further analysis of the potential impact that the policy may have upon them Disability Sex Race Age Gender reassignment (including transgender) Sexual orientation. Religion or belief Marriage and Civil Partnership Pregnancy and maternity No impact No impact No impact No impact No impact No impact No impact No impact No impact Carers No impact Other identified groups No impact How have you engaged stakeholders in gathering evidence or testing the evidence available? Through standard Consultation routes 19
How have you engaged stakeholders in testing the Policy or programme proposals? Through standard Policy Process Procedures For each engagement activity, please state who was involved, how and when they were engaged, and the key outputs: Appropriate Policy Review by Author / Team Summary of Analysis No impact Now consider and detail below how the proposals impact on elimination of discrimination, harassment and victimisation, advance the equality of opportunity and promote good relations between groups. Where there is evidence, address each protected characteristic Eliminate discrimination, harassment and victimisation Not applicable Advance equality of opportunity Promote good relations between groups What is the overall impact? Addressing the impact on equalities Not applicable Not applicable Not applicable Not applicable From the outcome of this Screening, have negative impacts been identified for any protected characteristics as defined by the Equality Act 2010? NO If yes, has a Full Impact Assessment been recommended? If not, why not? Manager s signature: Gemma Rutherford Date: September, 2014 20
Communication and Training Check List for Policies Appendix B Key Questions for the accountable committees designing, reviewing or agreeing a new Trust Policy Is this a new policy with new training requirements or a change to an existing policy? If it is a change to an existing policy are there changes to the existing model of training delivery? If yes specify below. Are the awareness/training needs required to deliver the changes by law, national or local standards or best practice? Please give specific evidence that identifies the training need, e.g. National Guidance, CQC, NHSLA etc. Please identify the risks if training does not occur. Please specify which staff groups need to undertake this awareness/training. Please be specific. It may well be the case that certain groups will require different levels e.g. staff group A requires awareness and staff group B requires training. Is there a staff group that should be prioritised for this training / awareness? Please outline how the training will be delivered. Include who will deliver it and by what method. The following may be useful to consider: Team brief/e bulletin of summary Management cascade Newsletter/leaflets/payslip attachment Focus groups for those concerned Local Induction Training Awareness sessions for those affected by the new policy Local demonstrations of techniques/equipment with reference documentation Staff Handbook Summary for easy reference Taught Session E Learning Please identify a link person who will liaise with the training department to arrange details for the Trust Training Prospectus, Administration needs etc. Existing Policy Update managers knowledge and skills regarding key employment legislation impacting on recruitment of staff. To ensure Safeguarding Standards in recruitment, appointing the right staff into appropriate posts. Necessary to enable understanding of key employment legislation and local standards of good practice, and NHS Employers checking procedures. Ensure Appointing Managers are trained in key skills and knowledge of employment law. All Appointing Managers All Appointing Managers Training sessions are co-ordinated by the Training Department for Appointing Managers in Recruitment and Selection. Observer training for assessment centres Chief Executive bulletin update on Value Based Recruitment Directorate Support Advisor 21
Appendix B continued Training Needs Analysis Staff / Professional Group All Appointment Managers Type of Training Refresher Training Duration of Training Frequency of Training 1 day Every 3 years Copy of completed form to be sent to: Training and Development Department, St. Nicholas Hospital Should any advice be required, please contact: 0191 223 2216 (internal 32216) 22
Appendix C Monitoring Tool Statement The Trust is working towards effective clinical governance and governance systems. To demonstrate effective care delivery and compliance, Policy Authors are required to include how monitoring of this Policy is linked to Auditable Standards / Key Performance Indicators will be undertaken using this framework. NTW(HR)15 Recruitment and Selection Policy Monitoring Framework Auditable Standard / Key Performance Indicators Frequency / Method / Person Responsible Where Results and Any Associate Action Plan Will Be Reported to, Implemented and Monitored; (this will usually be via the relevant Governance Group) 1 Nurse Bank Admin / Medical Staffing will carry out sample checks with Agencies for Bank Workers / Medical Locums to confirm they hold original documents to meet all the NHS Employers check standards Annual Audit by Nurse Bank Admin / Medical Staffing who will write to Agency for sight of documentary evidence requiring agencies to supply this information Exceptions Report to WTDSG Directorate Support Advisor / Workforce Advisor Workforce Training and Development Group (sub group of Trust wide Quality and Performance Group) 23
Auditable Standard / Key Performance Indicators Frequency / Method / Person Responsible NTW(HR)15 Where Results and Any Associate Action Plan Will Be Reported to, Implemented and Monitored; (this will usually be via the relevant Governance Group) 2 Right to Work Checks (UKBA) undertaken prior to commencement of employment will be subject to Internal Audit by Directorate Support Team Officer Details of Visa and Expiry Dates will be entered in ESR Assurance monthly to WTDSG on all new employees Directorate Support Advisor Workforce Training and Development Group which is a Sub Group of the Trust-wide Quality and Performance Committee 3 Disclosure and Barring Service (DBS) Checks undertaken if staff member undertaking regulated activity in job role this will take place prior to commencement of employment. For those staff in regulated activity details of type of check and date undertaken will be entered in ESR. Assurance monthly to WTDSG on all new employees Directorate Support Advisor Workforce Training and Development Group which is a sub group of the Trustwide Quality and Performance Committee 4 Recruitment to be monitored against a 6 week clearance target Quarterly checked by DST Officer Workforce Training and Development Sub Group 5 Professional Registration Checks will be undertaken for all qualified staff prior to commencement of employment Checks will be carried out against relevant register and Registration Number and expiry date details entered in ESR by DST/Medical staffing Directorate Support Advisor /Workforce Advisor Workforce Training and Development Group which is a sub group of the Trust-wide Quality and Performance Committee 24
Auditable Standard / Key Performance Indicators Frequency / Method / Person Responsible Where Results and Any Associate Action Plan Will Be Reported to, Implemented and Monitored; (this will usually be via the relevant Governance Group) 6 Verification of Identity Check / Qualification Check will be carried out prior to commencement of employment Checks will be carried out by Appointing Manager. Copies of documentation will be retained on personal file by DST / Medical Staffing Dashboard Recruitment Report to WTDG Directorate Support Advisor / Workforce Advisor Workforce Training and Development Group which is a Sub Group of the Trust-wide Quality and Performance Committee 7 Employment History, and reference checks will be carried out prior to commencement of employment Checks will be carried out and maintained on personal file by DST / Medical Staffing Dashboard Recruitment Report to WTDG Workforce Training and Development Group which is a sub group of the Trustwide Quality and Performance Committee 8 A sample of recruitment files will be audited by an independent DST Officer not directly involved in the recruitment of the individual Quarterly Directorate Support Advisor Workforce Training and Development Group which is a sub group of the Trustwide Quality and Performance Committee The Author(s) of each Policy to complete the audit / monitoring template and ensure that the results are taken into consideration by the appropriate Quality and Performance Governance Group in line with the frequency set out. 25