RECRUITMENT POLICY & PROCEDURE

RECRUITMENT POLICY & PROCEDURE Procedural Document Approval Committee Approved by: Staff Partnership Forum Date approved: January 2016 Date Published: January 2016 Next Review date: January 2018 Version No: 1 Responsibility for review: Contributors: Human Resources Human Resources, Policy Sub Group Date reviewed Date published: Publisher Next review: Version 1 Human Resources January 2018 Version 2 Page 1

1. Development, Consultation Proposal Form Title: Recruitment Policy Procedure Guideline Protocol Standard Policy Name of person presenting document: Joanne Dickman, Corporate HR Business Partner Reason for document development: Document out of date Names of development team (including a representative from all relevant disciplines): Who has been consulted? Does this document require presentation and agreement from Health and Safety Committee and/or Joint Staff Committee e replace with Trust Partnership Forum Prior to PDAC approval? Yes No Specify groups of staff to whom the document relates: All staff involved with recruitment Source of supporting evidence (references etc.) Are there resource implications? Yes No If yes please detail them: Does the Procedure/Guideline meet latest NHSLA Risk Management Standards, CQC Essential Standards of Quality (March 2010)? Yes No Does this Procedure/Guideline include children, if applicable? Yes No If yes has the relevant person been included? Yes No A Trust review will occur every two years unless national guidance states otherwise. DATE: June 2014 Page 2

Contents RECRUITMENT POLICY... 4 INTRODUCTION... 4 1. POLICY STATEMENT... 4 2. GENERAL PRINCIPLES... 4 3. SCOPE... 5 4. ROLES & RESPONSIBILITIES... 5 5. PROCESS... 6 6. COMPLAINTS CONCERNING THE RECRUITMENT PROCESS... 6 7. RELATING POLICIES AND INFORMATION SOURCES... 7 DISCIPLINARY PROCEDURE... 8 8. THE RECRUITMENT AND SELECTION PROCESS... 8 9. RECOGNISING PREVIOUS SERVICE... 14 10. PROBATIONARY PERIOD (NON-MEDICAL STAFF)... 14 11. CANDIDATES WHO FAIL TO SATISFY PRE-EMPLOYMENT CHECKS... 14 APPENDIX A... 15 12. RECRUITMENT CHECKLIST... 15 APPENDIX A... 20 13. NHS EMPLOYMENT CHECK STANDARDS... 20 Page 3

RECRUITMENT POLICY INTRODUCTION 1. POLICY STATEMENT 1.1 Colchester Hospital University NHS Foundation (The Trust) is committed to recruiting and retaining high calibre staff who will provide quality clinical and support services. The Trust aims to ensure that all recruitment and selection practices comply with current legislation, equal opportunities, best practice and NHS Employment Check Standards. 1.2 The implementation of the recruitment and selection practices will not discriminate directly or indirectly on the grounds of gender, sexual orientation, marriage or civil partnership pregnancy and maternity, caring responsibility, ethnic or national origin, religion, culture, disability, age or trade union membership. 1.3 The Trust is committed to appoint appropriately qualified and trained staff to enable it to carry out its duties. All procedures implemented by this policy are applied with this purpose in mind. The policy incorporates the principles of fair and equal treatment free from discrimination. 1.4 All involved in recruitment have responsibility to understand and apply the Trust s Policy and Procedures as they relate to all stages during the recruitment and selection of staff in order to: Achieve a diverse, competent and motivated workforce which promotes public trust and confidence in the services provided; Meet the Trust s strategic vision; Ensure consistent processes and procedures are applied across the Trust; Encourage the retention of staff; Ensure the Trust is regarded as a fair and reputable employer; Ensure the Trust avoids litigation; Ensure cost effectiveness and efficiency. 2. GENERAL PRINCIPLES 2.1 This policy applies to all staff employed by the Trust who are involved in recruitment and selection processes. 2.2 It is the responsibility of all members of the Trust to ensure that they do not act contrary to legislation covering UK employment. 2.3 There is a wide body of legislation covering employment which this policy reflects and the Trust will ensure that its recruitment and selection processes Page 4

remain free from bias which may unfairly or unlawfully discriminate against individuals. 2.4 This policy seeks to ensure that the Trust: Has open and transparent advertising of all vacancies and opportunities; Uses consistent documentation including application forms, short-listing forms and interview marking guides; Follows the procedures detailed in documents associated with this policy; Has standard and consistent methods of assessment for selection; Applies reasonable adjustments, as applicable, in relation to recruitment and selection processes; Trains staff to be competent in undertaking recruitment and selection interviews. Ensures all staff currently employed by the Trust and all external applicants seeking employment with the Trust are treated in a consistent and appropriate manner 2.5 Restrictions 2.5.1 Those involved in the recruitment process selecting staff for the Trust, generally Recruiting Managers, are not permitted to be involved in the selection process for any relatives or friends either as their direct report or a member of their team or another member of staff s team. 3. SCOPE 3.1 The policy applies to internal and external recruitment and selection of all staff employed by the Trust whether the post is temporary, permanent, fixed term, paid or unpaid and volunteers. 4. ROLES & RESPONSIBILITIES 3.1. Human Resources Department To ensure the implementation of the policy across the Trust and to update the policy in line with all current and new legislation. To work closely with the Recruiting Manager in each stage of the recruitment process, providing advice and support. Page 5

To implement and monitor the operation of the policy for both employees and applicants. 3.2. Recruiting Managers 3.2.1 Recruiting Managers will be responsible for ensuring that the recruitment and selection process is carried out in accordance with the Trust s policies and procedures at all times and contacting the Recruitment team for advice and support where needed. 3.2.2 They should also ensure that: Applicants are not unfairly discriminated against during the recruitment and selection process on the basis of criminal convictions held. Confidentiality is maintained regarding any convictions disclosed by candidates at any stage of the recruitment process. 5. PROCESS 4.1 The recruitment policy and procedure applies to all offers of employment 4.2 Recruiting Manager should follow the recruitment procedure included within this document. This procedure will be reviewed regularly to ensure that it continues to meet the needs of the Trust and legislation changes. 4.3 It is recognised that in order to take recruitment decision of quality, the recruiting manager must have the appropriate skills. The Trust will aim to ensure that all recruiting managers are trained in safer recruitment and selection techniques, Equality & Diversity and that they are able to use the electronic recruitment system. 6. COMPLAINTS CONCERNING THE RECRUITMENT PROCESS 6.1 By complying with the employment legislation and good recruitment practice, the Trust aims to make correct recruitment decisions. However, there may be times when an individual is unhappy with the outcome or the procedure followed. 6.2 If the individual is an employee, they should be encourages to seek feedback from the recruiting manager if this has not already been given. If the employee is still unhappy, they are encouraged to contact the Human Resources Department for advice. Employee complaints about recruitment will be dealt with under the Trust s Grievance Policy & Procedure. Page 6

6.3 External applicants who are unhappy with an outcome or process are invited to write to the Recruiting Manager outlining their concerns. Any such correspondence will be dealt with promptly and fairly. In order to ensure complaints can be resolved, records of selection decisions should be retained for one year. 7. RELATING POLICIES AND INFORMATION SOURCES 7.1 For the appropriate application of recruitment and selection procedures refer to the Trust s Recruitment Procedure. 7.2 Related Trust Policies Disclosure & Barring Policy & Procedure 2016 Equal Opportunities in Employment Policy- March 2014 Disabled People in Employment March 2011 7.3 Related Procedures Recruitment Procedure Guidance for Recruiting Managers 7.4 Other Source Documents NHS Employers www.nhsemployers.org Data Protection Act 1998 Care Standards Act 2000 Human Rights Act 1998 The Equality Act 2010 Page 7

RECRUITMENT PROCEDURE 8. THE RECRUITMENT AND SELECTION PROCESS 8.1 There are seven stages to the recruitment and selection process: Recruitment Plan Define the vacancy Advertising Review & shortlist Interview & selection Pre-employment offer & checks Offer, appointment and induction 8.2 Recruitment Plan 8.2.1 The Recruiting Manager has the responsibility to analyse and to review all vacant jobs, taking into account skills, competencies and experience required for the post in order to consider if it is necessary to recruit to the same or a redefined role. 8.2.2 Before any decision is made to advertise a job, the recruiting manager should first establish that a real vacancy exists, and complete a full evaluation of the need for the role. Once a vacancy has been identified, the Recruiting Manager should be clear about the requirements of the post. 8.2.3 Each role must have a job description and person specification and should be consistent (in banding and content) with other posts covering a similar role within the organisation. If the job description is significantly revised, it should be forwarded to the Human Resources Department for evaluating or matching to national job profiles to ensure that all job descriptions have been banded appropriately and consistently within the Trust. 8.2.4 The Recruiting Manager must complete an Establishment Control Form for authorisation to recruit and contact a member of the Human Resources Department by email in order to log the recruitment request. 8.3 Define the Vacancy 8.3.1 Whilst the ECF request is pending, the Recruiting Manager should complete the Recruitment Checklist (See Appendix 1) and email this to the Human Resources which will provide an overview of the requirements of the job, including the job description, person specification and advertisement. 8.3.2 Once the Recruiting Manager has received the authorised ECF this should be passed to the recruitment team and the advert will then be placed. Page 8

8.4 Redundancy/Restructuring Where redundancies are likely to result from restructuring or reorganisation exercises in the Trust and/or wider NHS, advertising may be restricted/ringfenced to internal at risk candidates as appropriate. Further guidance on this can be seen in the Trust s Organisational Change Policy. 8.5 Recruiting to a new role or a post that has changed 8.5.1 It is the Recruiting Manager s responsibility to gain clarification from the Human Resources Department as to whether the post needs to be evaluated by the Trust s Job Matching Panel. If the post has not changed significantly this may not be necessary. If the post does need matching, then the new job description and person specification should be forwarded to the Human Resources Department. The role will be considered by the next available job matching panel. Please note that job evaluation process should be concluded prior to the role being advertised. 8.6 Advertising 8.6.1 Upon receiving a resignation from an employee, line managers should utilise the notice period for commencing the recruitment process and should not wait for the employee s last day of work. 8.6.2 Following approval to recruit to the role, the Recruiting Manager should advise the Human Resources Department. The advert will be uploaded onto NHS Job within 24 hours. The Recruiting Manager will be advised of timeframes for any other media channels that have been agreed. 8.6.2 When advertising a job, the manager needs to be fully aware of the time frames and processes involved from when a member of staff hands in his/her notice to the start date of a new employee. 8.6.3 It is the Recruiting Manager s responsibility to ensure any supporting literature to be included with information packs is passed to the Human Resources Department prior to an advertisement being placed. 8.6.4 The Recruiting Manager must also be available for enquiries on 'role specific' questions or to give further information as required. Consideration should be given by the Recruiting Manager to placing an advertisement and providing their own contact details if they are going to be away from the office. 8.7 Applying for vacancies 8.7.1 A standard electronic application form must be completed by all applicants and applications will be made on-line via the NHS Jobs website, subject to the provisions within the Equality Act 2010. 8.7.2 Hard copy application forms and the submission of Curriculum Vitaes (CV) will only be accepted in exceptional circumstances. These applications will be logged on the NHS Jobs website for reporting purposes. Page 9

8.7.3 Recruiting Managers will not be permitted to see personal or monitoring information on the application form at the shortlisting stage. 8.8 Review and Shortlist 8.8.1 Following the closing date for the advert, the Recruiting Manager and one other interview panel member must review candidate applications and complete the NHS Jobs shortlisting process, using the detail on the person specification as the criteria. 8.8.2 The shortlisting process must be undertaken by at least two persons, one of whom should be trained. The reasons for shortlisting/not shortlisting should be documented. 8.8.3 The Human Resources Department should be provided with all shortlisting decisions, including feedback, within 3 working days of the manager receiving them. 8.8.4 In selecting the best applicants for interview, the Recruiting Manager must ensure that the shortlisted applicants demonstrate the essential experience/criteria identified in the person specification. 8.8.5 The shortlisting process should be consistent and fair with clear rationale as to why applicants have or have not met the criteria. 8.8.6 Recruiting Managers should shortlist and ensure outcomes are recorded on the NHS Jobs website. This should clearly state whether the applicant is shortlisted or rejected. For applicants that are rejected the Recruiting Manager should be able to justify and be clear with their rationale and reasons. 8.8.7 If a large number of applicants meet the essential criteria for the role, the Recruiting Manager may decide to shortlist further using the desirable requirements. 8.8.8 The Trust is positive about employing disabled people and maintaining the standards set by the Two Ticks symbol. This means that all applicants who declare a disability and who meet the minimum criteria for the job will be invited for interview. Where an applicant has declared that they have a disability and wish to be considered under the Guaranteed Interview Scheme the manager will be informed of this via NHS Jobs at the shortlisting stage. 8.8.9 Within 2 working days of receiving the shortlist from the manager the Human Resources Department will arrange for the shortlisted candidates to be notified. At least 8 working days should be allowed before the selection interview(s) to give enough time for the candidates to be invited. 8.9 Interview and Selection Page 10

8.9.1 The Recruiting Manager is responsible for booking an appropriate venue for the interview(s), ensuring there is an available waiting area and arranging any necessary equipment, e.g. flipchart, PowerPoint, for presentations. 8.9.2 There should be a minimum of two members on the interview panel, one of which being the Recruiting Manager. At least one of the panel should have been trained in recruitment and selection interview skills. It is normally inappropriate for a panel member to be in a more junior role than the post which is vacant. 8.9.3 A Royal College representative is required to be on the panel when recruiting medical consultants. 8.9.4 It is best practice that that no-one can be involved in the selection process for any relatives or friends, either as their direct report or a member of their team or another employee's team. 8.9.5 The Recruiting Manager needs to develop and agree interview questions with the other panel members and discuss other selection tools that may be used as part of the recruitment process. The interview questions should be appropriate for the post and linked to the person specification. 8.9.6 As part of the interview process and where there is a requirement of the job role, recruiting managers may wish to incorporate assessment methods such as: Presentations: particularly useful for posts which may require strategic thinking, planning and presenting. Role play: this is a good way to test how an applicant behaves in a specific situation, for example, giving news to a patient or dealing with a difficult member of staff. Group exercises: this is a good way to test how an applicant interacts with others and handles tasks allocated. Practical: this is a good way to assess clinical skills. Written exercises: practical test which tests ability/skills, for example, mock typing or dictation tests. This is not an exhaustive list. 8.9.7 After the interview each panel member should complete an assessment form and evaluate the evidence independently. All panel members must reach a consensus of opinion on the most competent candidate for appointment. 8.9.8 The Recruiting Manager is responsible for ensuring that interviews are conducted fairly and objectively and for keeping written records of interviews. The interview panel should ensure consistency with the marking of answers, which should be clearly Page 11

recorded and marked on the interview feedback sheet. The sheet should be signed and dated by all members of the interview panel. 8.9.10 An interview can be stressful situation for some candidates and therefore recruiting managers may wish to consider wider factors when making a decision about the most appropriate candidate for the role. For example, where an internal candidate has been performing the same or similar role on a temporary basis, consideration may also be given by the panel as to the individual s performance in that role. 8.9.11 It is recognised that in certain circumstances such as international recruitment it is not always possible to interview face-to-face, therefore recruiting managers should discuss with the recruitment team alternative options such as SKYPE ensuring that the legislation and identity of the applicant is maintained. 8.9.12 Following the interview(s) the manager must provide the Human Resources Department with the outcome, including explicit feedback on decisions for each candidate, within 2 working days of the selection activity via NHS Jobs. The same timeframe applies if the manager has decided that the decision is to be placed on hold. If candidates ask for feedback on their interview, the Recruiting Manager should be available to provide this within 5 days of the request being received. It is best practice for Recruiting Manager to provide feedback to all internal applicants. 8.9.13 The Recruiting Manager must complete an Offer Request Form and send this, together with all interview notes taken by all panel members, to the Human Resources Department within 2 working days of the interview(s). 8.10 NHS Employment Check Standards 8.10.1 The NHS Employment Check Standards were developed in 2008 and revised in 2013 with key stakeholders. The standards outline the pre-employment checks required by law, those that are mandated by Department of Health policy and those that are required for access to NHS Care Record Service. 8.10.2 The NHS Employment Check Standards apply to all applications for NHS positions (prospective employees) and staff in on-going NHS employment. This includes permanent staff, staff on fixed term contracts, volunteers, students, trainees, contractors NHS, highly mobile staff, temporary workers (including locum doctors) and other workers supplied by an agency. 8.10.3 The standards will be followed at all stages in the recruitment process and before any offer of employment can be confirmed, the Recruiting Manager and the Human Resources Department will carry out the following checks (if applicable): Verification of Identity Right to Work Checks Page 12

Employment History and References Health & Wellbeing Professional Registration and Qualifications Disclosure and Barring Service (DBS) 8.10.4 Appendix 2 details procedures for carrying out and recording each check. 8.11 Seeking assurances on compliance of the Employment Check Standards (temporary workers and contractors) 8.11.1 All external staffing providers (including contractors and agencies) that have a National Agency Framework Agreement with the Crown Commercial Services (CCS) are required to provide assurances that they have robust recruitment processes in place as part of the CCS s auditing and monitoring of those organisations. 8.11.2 NHS Employers strongly recommend that employers use agencies and external staffing providers on a framework agreement (because of the added quality assurances this can provide), the employing organisation has overarching responsibility for auditing and monitoring all providers they chose to use, to ensure that they operate to the same level of standards in relation to undertaking employment checks as outlined by the NHS Employment Check Standards. 8.11.3 Where an agreement has been put in place by the Trust to require the agency or third party provider to undertake employment checks, the Recruiting Manager should seek written assurances that the worker supplied has the correct level of clearances commensurate with the roles they will be required to undertake. This should be done by obtaining a copy of the temporary worker placement checklist. 8.11.4 NHS Employers recommends that any contract agreement should also include statements which outline: that as the employing organisation, the Trust retains the right to audit their screening processes at any time to verify that the correct level of checks have been undertaken in line with requirements outlined by the NHS Employment Check Standards. that they must inform the Trust if the contracted member of staff is no longer registered or employed by them, or is undergoing disciplinary procedures, or is charged or arrested of a criminal offence. that failure to comply with any stipulated requirements may result in: any payment for their services being suspended until appropriate assurances have been provided to evidence that staff have been adequately screened. Page 13

them being held liable for any financial penalties imposed as a result of discovering that staff have not been adequately screened. 8.12 Starting Salaries 1.9.1 The starting salaries guidance provides recruiting managers with information and support when agreeing salaries for new appointments. This document is available from the Human Resources Department. 1.9.2 Recruiting managers should not agree starting salaries upon conditional offer of employment until evidence of existing salary is verified or formal agreement has been obtained. 9. RECOGNISING PREVIOUS SERVICE 9.1 The Trust recognises previous service from within the NHS 9.2 An applicant s continuous previous service with an NHS employer will count as reckonable service when calculating annual leave. In addition, aggregated NHS service i.e. any period of time worked in the NHS regardless of whether or not there has been a break in service, will count as reckonable service for annual leave purposes. 2.3 The Trust will request an inter Authority Transfer (IAT) request from other NHS Trusts to confirm NHS service. However, where this is not available, applicants will need to provide documentary evidence of previous service e.g. payslips, P60 or contractual documentation. Applicants can also contact previous NHS employers and the NHS Pension Scheme for confirmation of personal records held. 10. PROBATIONARY PERIOD (NON-MEDICAL STAFF) 10.1 For all new employees to the Trust, all offers of employment are made subject to the Trust s probationary period. 10.2 Further information on the implementation of the probationary period can be obtained from the Trust s Probationary Period Policy. 11. CANDIDATES WHO FAIL TO SATISFY PRE-EMPLOYMENT CHECKS 11.1 All offers made by the Trust must be conditional on verification of statements made by the prospective employee. Untrue statements may be grounds for dismissal. 11.2 Where evidence is presented that a prospective employee does not satisfy employment checks, for example unsatisfactory references or failure to declare a criminal conviction, that person must not be permitted to commence Page 14

employment and the recruiting manager must seek advice from the Human Resources Department. 11.3 It is the responsibility of the Recruiting Manager to contact the prospective employee to inform them of the decision to withdraw their offer of employment which will then be followed up in writing by the Human Resources Department. 4.4 The Trust will not place a new employee on the Trust payroll until all the NHS Employment Check Standards are verified with the exception of DBS. APPENDIX A 12. RECRUITMENT CHECKLIST Page 15

The Recruitment & Selection Process / Checklist ANALYSE Step 1 Step 2 Step 3 Step 4 Employee Resigns - Vacancy Arises Consider the options, complete ECF Review / prepare job description, person specification If recruiting, complete review advertisement ATTRACT Step 5 Step 6 Step 7 Step 8 Plan and agree recruitment timetable with dates i.e. closing date of advert, shortlisting date, interview date and selection methods (ensuring sufficient time to enable the Human Resources Department to invite candidates to interview), agree panel members, provisionally book venue. Consider if there is additional information to send to candidates regarding the role, department or division. Send recruitment information including ECF, advertisement, job description, person specification and recruitment timetable to Human Resources. Advertisement is placed on NHS Jobs (or other media) by Human Resources. ASSESS Step 9 Step 10 - Step 11 - Step 12 - Advertisement closed and applications sent to recruiting manager for short listing. Shortlist applicants using NHS Jobs, ensuring that clear notes are made regarding reasons for candidates being shortlisted and those that are not. Confirm plans for selection i.e. confirm venue, selection arrangements and book equipment (lap top etc). When considering your venue please take into account the needs of any disabled candidates that may be attending e.g. room on ground floor, hearing loop etc. Undertake interviews and selection test, if appropriate. Candidates will be asked to bring with them professional qualifications and registration numbers, these should be photocopied, checked and returned to the Human Resources Department. APPOINT Step 13 Advise the Human Resources Department of your preferred candidate(s). Recruiting managers should ensure that they discuss with HR specific issues that need to be included in the letter of offer that are additional to the normal template offer letter e.g. requirement to work specific shifts, changes that may Page 16

be taking place shortly after appointment that may affect the employee and were discussed at interview. The recruiting manager will be responsible for regretting unsuccessful candidates and providing feedback to them. Step 14 - Step 15 - Step 16 - Step 17 - Step 18 - Human Resources Department to make a conditional offer of employment subject to satisfactory references, occupational health clearance and DBS check. Human Resources Department to gain appropriate referencing. Consider references and approve Human Resources Department to make an unconditional offer of employment and gain a start date from the candidate. Arrange local induction. Recruitment Checklist Page 17

Please attach: Revised job advertisement Job description Person specification Additional information regarding the department, division etc Name / Job Title of Recruiting Manager: Role to be advertised (Job Title / Band / Division): Department / Base: Working hours / pattern (including on-call arrangements): ECF number: Closing date for the advertisement: Time Allowance: Minimum of 7 calendar days Name and contact details of person available to speak with interested applicants: Shortlisting date: Shortlisting panel member names: Interview date: Interview panel names: Time Allowance: 3 working days from receipt of shortlisting Time Allowance: Allow 8 calendar days after shortlisting has been completed. Interview questions: Additional assessment arrangements (e.g. Please attach if available at this time Page 18

presentation, skills test): If a presentation is required please provide the title. Interview venue: Page 19

APPENDIX A 13. NHS EMPLOYMENT CHECK STANDARDS NHS Employment Check Standards 1. Right to work and verification of identity checks 1.1 All applicants identity should be checked at each stage of the recruitment process (by the Recruiting Manager at interview and by the Human Resources Department following a conditional offer of employment). 1.2 Verifying an applicant s identity is the most fundamental of all employment checks. It should be the first check performed, as any other checks will be invalid if the person s identity cannot be proven. 1.3 To confirm that an applicant has the legal right to work in the UK, the Trust must check a number of original documents. 1.4 The Human Resources Department carry out identity checks and check for false passports and visas to ensure applicants have the right to work in the UK. 1.5 Please refer to the NHS Employers website for up-to-date information relating to acceptable documentation as this list is subject to change. http://www.nhsemployers.org/your-workforce/recruit/employment-checks/nhsemployment-check-standards 1.6 When required, the Human Resources Department may refer to the UK Border Agency or other agencies for further advice or appropriate action. 2.0 Employment History and Reference Checks 2.1 Reference will be sought for all successful applicants following a conditional offer of employment being made. It is expressly clear to prospective employees that any conditional offer of appointment is subject to satisfactory employment checks being obtained and that information being verified. Any offer of employment may be withdrawn if, at any time, it subsequently becomes apparent that the applicant has either knowingly withheld information, or has provided misleading or false information. Candidates will be advised that if the conditions of the offer of employment have not been met within four weeks from the date of the letter, the recruitment decision will be reviewed. It is the candidate s responsibility to ensure that their Health & Wellbeing Form is returned promptly and that he/she chases their references. 2.2 Requesting references must come from a company email address. Private email addresses such as Yahoo, Hotmail etc. are not acceptable. 2.3 The Recruiting Manager and the Human Resources Department need to satisfy themselves that both the referee and the organisation are bona fide. Page 20

2.4 Personal references are not acceptable unless in exceptional circumstances. 2.5 There are two approaches for gaining references: 2.5.1 For all new appointees coming into the NHS for the first time references must to obtained to validate a minimum of three years continuous employment and/or training including gaps in service. The number of references may differ for each applicant, depending on how may episodes of employment/training they may have had in the last three years prior to making their application. Where an individual has been with one employer for three years or more, one confirmation of employment/training is sufficient, provided that all requested details have been confirmed by the previous employer. 2.5.2 For all applicants who are moving from one NHS organisation or an existing employee - a reference must be obtained from the applicant s current NHS employer which must be from their current line manager or Human Resources department. If there are any discrepancies then alternative references may need to be sought. If an applicant is a locum or agency worker within an NHS organisation, please refer to paragraph 2.5.1. 2.6 Doctors in training Doctors on rotational training programmes are considered as being in continuous employment throughout the full period of their training. Discretion should be used when deciding the frequency and number of references required when seeking on-going assurances of conduct for doctors during their period of training. Obtaining additional references should always be proportionate to risk. 2.7 Volunteers, work experience and student placements Discretion should be used as to how many references are required. 2.8 Executives and other senior appointments Special attention should be paid to obtaining references for all senior positions. The Trust reserves the right to determine the most appropriate referees for the position and the level of checks required. As a matter of good governance it is recommended that financial security checks are undertaken on senior positions such as Chief Executive, board directors or senior financial managers with responsibility for the management and handling or organisational budgets. Further information on financial security checks can be found at www.nhsemployers.org/recruitmentand Retention/Employmentchecks/ToolsAndResources/ 2.9 Self-Employed Where the applicants has been self-employed, evidence should be obtained to confirm date of employment and any other information such as confirmation that an individual business was properly conducted and the applicant s involvements in the business was terminated satisfactorily. 2.10 Full-time Education Page 21

Where the applicant has been in full-time education within the last three years, a reference should be obtained from the relevant school, college or university using the education request, which is different from the standard request. 2.11 Agency / Locum Where the applicant has been working as a locum or agency worker they must provide their agency as a referee and not the manager of where they are currently on placement. A reference may be sought in addition to the agency reference from the current placement in order to obtain further clarification on the suitability of the applicant, should details be lacking from the agency referee. 2.12 Unemployed If an applicant has not worked or been in full-time education within the last three years preceding the application, in addition to asking for a person statement from the applicant, two references will be requested from the applicant from persons of some standing in their community who have known the applicant for at least three years. 2.13 Armed Forces / Civil Service A reference will be requested from the relevant service or department. 2.14 Gaps in service Where there are gaps in service, which are unable to be verified or requires an explanation, a personal statement must be completed by the applicant. 2.15 Factual references These are deemed acceptable. In line with the NHS Employment Check Standards, NHS Trust references should as a minimum include the following: Dates of employment Job title Pay band Sickness record DBS Check or referrals made Conduct, capability or performance investigations or warnings in place. 2.16 Approving references Recruiting Managers should establish the following when reviewing received references: Is the reference from either the present of if unemployed, most recent employer? If the applicant is a student, is there a reference from the appropriate academic institution? Page 22

Does the individual providing the reference seem to be empowered to do so i.e. are they the line manager, head of department or Human Resources as opposed to a colleague or a subordinate which is unacceptable? Are they happy with the length of time that the referee has known the applicant in that capacity? Are they happy with the information provided? Is there anything in the reference that might give them cause for concern e.g. disciplinary proceedings, cautions by statutory bodies? Is the reference inadequate and/or incomplete? 2.17 If Recruiting Managers are unhappy with any of the information provided in references they should discuss this further with the Human Resources Department, and consideration can be given to the Recruiting Manager contacting the referee to explore any concerns in greater depth. 2.18 When Recruiting Managers are concerned with the level of sickness recorded on a reference they should seek advice from the Human Resources Department. 2.19 If a decision is made to withdraw an offer of employment due to unsatisfactory references, recruiting managers should contact the applicant as soon as possible to inform them of the decision. The Human Resources Department will then confirm the decision in writing. 2.20 Recruiting Managers are able to supply references for staff that they interviewed as long as they are the applicant s current line manager. 2.21 Should managers and staff seek to provide personal references for individuals, they must make it clear that these are being provided in a personal capacity and not on behalf of the Trust. These must not under any circumstances be provided on headed paper or by the Trust email address. 2.22 Any reference that is provided on behalf of the Trust should be completed by the appropriate line manager. References must: Give a fair and accurate picture, supported by evidence. Must not seek to mislead e.g. by omitting important information. Must not mention issues/complaints that the employee was unaware of in the course of their employment. Be consistent in the type of information e.g. performance, absence record, punctuality. Be marked private and confidential. Not be negligent. 2.23 Managers need to be aware that there is a duty of care to both the prospective new employer and employee in the provision of references as follows: Prospective New Employer The provider of the reference owes the recipient of a reference, a duty of care under the principles of negligent misstatement if the recipient suffers loss as a result of inaccuracies in a carelessly drafted reference. Page 23

The Employee (subject of the reference) An employer owes the employee the 3 duties set out below: i. A duty of care in negligence: An employer will be liable to any employee in negligence if the employee suffers loss as a result of the employer s failure to exercise reasonable care in the preparation of a reference. ii. An implied duty of mutual trust & confidence: The implied contractual term of trust and confidence maybe breached by the provision of a misleading reference. iii. A duty not to make defamatory comments or those, which amount to malicious falsehood. 2.24 Advice should always be sought from the Human Resources Department if there are any doubts on the content of any reference. 3.0 Health & Wellbeing 3.1 An Occupational Health Questionnaire and Immunisation and Infectious Diseases Form are given directly to the successful applicant by the Human Resources Department. The applicant is required to complete the questionnaire and return to the Human Resources Department. If the applicant answers Yes to any of the three questions, the questionnaire will be forwarded to the Health & Wellbeing Department. Applicants are requested to forward their completed immunisation and infectious diseases form to the Health & Wellbeing Department. 3.2 Where required the Health & Wellbeing Department will contact the applicant in order to make an appointment or to confirm any queries they may have in relation to the information provided. 3.3 The Health & Wellbeing Department will confirm to the Human Resources Department whether the applicant is fit to undertake the job role with or without adjustments. The Occupational Health Practitioner will also, where appropriate, discuss adjustments with the Recruiting Manager. 3.4 The Recruiting Manager would need to liaise with the Human Resources Department if reasonable adjustments are unable to be accommodated. In some cases further discussions may be required with the Health & Wellbeing Department. 4.0 Professional Registration and Qualifications 4.1 The purpose of registration and qualification checks is to ensure that a prospective employee of the Trust is recognised by the appropriate regulatory body and that they have the right qualification to do the job. Page 24

4.2 Any appointment within the Trust is conditional on satisfactory registration and qualification checks and that any information disclosed on the application form will be checked. 4.3 Prospective employees should be aware that any offer of appointment may be withdrawn if they knowingly withhold information, or provide false or misleading information, and that employment may be terminated should any subsequent information come to light once they have been appointed. 4.4 Applicants are required to supply the original documents of academic and professional qualifications. If applicants do not have the original documentation an appropriate risk based assessment should be undertaken in relation to the priority given in the person specification to that qualification, and the level of checks required. 4.5 Where qualifications have been checked by a professional regulatory body and the individual s registration has been confirmed, then further documentary evidence about qualifications that are relevant to their registration should not be required. Accepting that registration with a professional regulatory body assumes that appropriate documentary evidence has been provided and validated by that regulator. Therefore, the Recruiting Manager and the Human Resources Department must verify that the applicant is actually the person registered with that regulatory body, that there are no restrictions to their registration and there are no pending investigations on their fitness to practice. 4.6 For non-health professionals, qualifications that are specified as a pre-requisite for the position being applied for must be checked by the recruiting manager and the Human Resources Department. 4.7 Where an applicant has gained their qualifications overseas, the recruiting manager and the Human Resources Department will need to check that the qualification exists, that it is equivalent to the stated UK qualification and that the prospective employee does, in fact, hold that qualification. These checks should where possible, be carried out directly with the awarding institution. Where this is not possible, the Human Resources Department should seek advice from the relevant country s UK embassy, consulate or high commission. 4.8 Where a check results in information being returned which contradicts the details by the applicant, the recruiting manager should address the concerns with the applicant directly via a second interview. In exceptional circumstances, the Trust may feel it appropriate to report concerns to the local police and/or regulatory body to investigate further. 5. Criminal Record and Barring Checks 5.1 A criminal record check relates to the data held about an individual s criminal history. In the majority of cases a check will include all criminal offences (including convictions, cautions, reprimands and warnings). 5.2 While important, a criminal record check is only one aspect of the recruitment and selection process. 5.3 Not all employees are eligible for a criminal record or barring checks. The Trust must be clear when they may legally obtain a check as defined by the Page 25

Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 and, in certain circumstances, the Police Act 1997 (Criminal Records) Regulations 2002. The need for a check and the level of check is determined by the activities and the type of access to patients the employee will have as part of a particular role. 5.4 Where posts require a DBS check this will be undertaken in accordance with the Trust s Recruiting Safely Policy for Using the Criminal Records Bureau (CRB) & Disclosure. Page 26