Recruitment & Selection and Pre- & Post- Employment Checks ... · applicants that should they be...

Recruitment & Selection and Pre- & Post- Employment

Checks Policy

Reference Number:

118

Author & Title:

Sharon Turnbull, HR Manager - Employment Services

Responsible Directorate:

Human Resources

Review Date:

January 2013

Ratified by (Committee):

TCNC HR Policy & Terms & Conditions Sub-group

Date Ratified:

20 January 2010

Version:

3

Related Policies

• Professional Registration Policy • Managing Conduct Policy • Management Guidance / Trust

Processes for Recruitment and Selection

Document name: Recruitment & Selection Policy incorporating Pre & Post Employment Checks

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Issue date: January 2010 Status: Final of 29


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INDEX

1 Introduction_____________________________________________________ 3 2 Prior to Advertising _______________________________________________ 4 3. Advertising _____________________________________________________ 5 4. The Advert _____________________________________________________ 6 5 Short Listing ____________________________________________________ 6 6. Informal Visits for short Listed Applicants______________________________ 7 7. The Interview ___________________________________________________ 7 8. Additional Selection Methods _______________________________________ 7 9. The Selection decision ____________________________________________ 8 10. Pre and Post Employment Checks _________________________________ 8 11. Identity Checks ________________________________________________ 8 12. References ___________________________________________________ 9 13. Occupational Health Checks_____________________________________ 10 14. Criminal Records Bureau (Rehabilitation of Offenders Act 1974)_________ 11 15. Protection of Children Act (PoCA) Checks __________________________ 12 16. Protection of Children Act (PoCA) Checks __________________________ 12 17. Patients Safety & Staff Fitness to Practice __________________________ 12 18. Renewal of Professional Registration ______________________________ 12 19. Certificate of Sponsorship (Previously the Work Permit Scheme)________ 13 APPENDIX 1 CONSULTATION SCHEDULE ___________________________ 14 APPENDIX 2 Type of Disclosure Required _____________________________ 15 APPENDIX 3 Posts exempted from the provisions of the Rehabilitation of Offenders Act ____________________________________________________ 16 APPENDIX 4 DECLARATION STATEMENT ___________________________ 17 APPENDIX 5 UK Boarder Agency (UKBA) Points Based System ___________ 26 APPENDIX 6 Details of Shortage Occupation List _______________________ 27 EQUALITY IMPACT ASSESSMENT SCREENING FORM___________________ 28 RATIFICATION CHECKLIST__________________________________________ 29


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1 Introduction

1.1 It is Trust’s policy to recruit the best person possible for each vacancy to

help ensure the highest level of service is provided to patients by recruiting the right people in the right place at the right time.

1.2 This policy is intended to help managers ensure they appoint the best

person to fill their vacancies and to safeguard the interests of the Trust. For ease of use, it is structured to flow in the direction of a normal recruitment and selection process.

1.3 Medical staff may differ in the process and this policy will address these

issues. 1.4 It is essential that all NHS bodies carry out rigorous pre and post

employment checks on its employees whether they are honorary, volunteers, students etc. This policy sets out the process for pre and post employment checks which are detailed in sections 10 to 19 below. Failure by an employee to provide accurate and truthful information at the time of applying for their position will be considered as a disciplinary matter. Where it is found that an employee intentionally or recklessly provided inaccurate information or withheld information that is relevant to their appointment they will be dismissed or prosecuted.

1.5 Monitoring, Reporting & Assurance

The Employment Services Department will run monthly reports showing the completion of the required checks set out within this policy. Any non-compliance of these checks in line with relevant CQC and NHSLA standards and the actions put in place to correct these will be reported by the HR Directorate to the next available Non-Clinical Governance Committee (NCGC) meeting. The NCGC will review this report, assess compliance and identify any required further actions. The HR department will report on a regular basis (currently yearly) to the Trust Equality & Diversity Committee (E&DC) on applicants shortlisted and appointed against ethnicity, age, gender, and other relevant equality factors. The E&DC will review this report, assess compliance and identify any required further actions.

1.6 Review

The policy authors will review this policy in line with its agreed review dates or any significant amendments to legal or regulatory requirements with consultation including the TCNC PSG. As an HR policy any review will involve input from both management and staff side representatives. Where there are no or limited changes resulting from the review the policy may be agreed for roll-over (including with minor changes) by the TCNC


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PSG. Where the revision results in significant changes, the revised policy will require ratification by the TCNC and Management Board for in line with the Trust’s Framework for the development of procedural documents.

2 Prior to Advertising

2.1 Managers should start the recruitment process as soon as a resignation has

been received by the current post holder. This helps to ensure that the vacancy is filled within a timely manner and hopefully without a leaving a gap in the position. Managers must not leave the advertising until the post holder has left. In order to advertise the manager will need to follow the Management Guidelines for Recruitment and Selection. Trainee Doctors will be recruited through the Deanery liaising with Employment Services. Any gaps left as a result of the Deanery recruitment will be recruited to by this policy.

Key components to be completed are

Job Description out lining the key responsibilities and tasks associated with the post using the trusts approved template, There is a template for those under Agenda for Change and a template for Consultants.

Person Specification outlining the essential skills, knowledge and experience a candidate must have to be appointed into that post as well as those elements that would be desirable. It must show where these criteria are to be tested, i.e. Interview, C.V skills assessment.

A scoring system should be used that shows the justification for appointment or non appointment. This also ensures that we can provide evidence to the UK Border Agency when applying for Sponsorship Certificates (Old Work Permits) under the Resident Labour Market Test.

Knowledge Skills Framework (KSF) profiles (Except for Doctors)

2.2 Both the Job Description and the Person Specification form part of the contract of employment with the successfully appointed candidate. Therefore they play an important part of the short listing and interviewing process. It is therefore essential they are accurate, detailed, relevant and non discriminatory. Care must be taken to ensure that no inaccuracies are contained which may mislead candidates. Any mistakes that appear in the Job Description or Person Specification must be brought to the attention of candidates in writing at the earliest opportunity. When deciding on what criteria to use on the Person Specification managers must bear in mind that no candidate should be selected if they do not meet the minimum criteria.


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2.3 The Panel The Manager must make the panel members aware that they need to be

available for carrying out short listing and attending interviews. The Manager must also ensure one member of the panel has completed the Trusts Recruitment and Selection training within the last three years. This includes the panel for the recruitment of trainee doctors. The Department of Health advise that all members of the Advisory Appointments Committee for Consultants are appropriately trained.

3. Advertising

3.1 Nobody should be appointed in to a permanent post without it being

advertised at least in the Trust’s Vacancy Bulletin and NHS jobs web site. With the exception of the following: • Consultants. Where it must also be advertised (unless exempt from the

Department of Health Appointment of Consultants Regulations or prior consent of the Secretary of State) in one printed journal.

• The post is subject to restricted competition as it represents a bonafide redeployment opportunity to an employee whose post has been made redundant within the Trust’s capability Policy.

• The post’s anticipated duration is not more than 6 months, in which case a manager may ask an appropriately limited group of employees if they would like to apply for an acting up/secondment opportunity to an individual employee. The position can only be extended for a further 6 months after this the post must be advertised in the Trust’s vacancy Bulletin and NHS Jobs.

3.2 All advertised posts must be advertised on the Trusts vacancy Bulletin and

NHS Jobs. In addition to this adverts can be placed in external media such as RCN Bulletin.

3.3 Due to the high cost associated with external advertising managers should

consider the cost effectiveness of such adverts and can contact the Employment Services to seek advice.

3.4 Recruiting Managers will need to complete the Instruct to Recruit proforma in

order for the recruitment process to commence as per the Management Guidance on Recruitment and Selection.

3.5 Occasionally a manager may have failed to recruit following a recruitment

campaign but may receive a late or speculative application from a candidate who appears potentially suitable for the post. In such circumstances the Manager can interview the candidate providing the interview takes place no longer than 3 months after the closing date. If, however, the 3 month period has past then the post must go out to advert in the Trusts Vacancy Bulletin and NHS Jobs for at least two weeks in order for the Trust to meet the


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Employment Residency Test under the new rules on Immigration and the UKBA Points Base System.

3.6 If an identical vacancy (with respect to job description and work area) occurs

for a post which has previously been advertised, filled and then vacated then the manager can offer the post to another previously interviewed candidate as long as it is no longer than the 3 month period from the previous closing date.

4. The Advert

4.1 The advert forms part of the contract of employment and it is therefore vital

that it accurately portrays the job and the Trust. Any external adverts will be sent from the Employment Services team to the Manager to approve before they go to the advertising Agency. The interview date must appear in the advert.

4.2 Job adverts should contain the wording flexible arrangements considered

unless agreed with the HR Department in advance. This indicates to potential applicants that should they be interested in job share or term time contract they can apply. The Manager is not obliged to agree such terms but must give any such requests due and reasonable consideration and justification if the request is refused. An open approach to flexibility is vital in the Trusts drive to reduce vacancies and improve the working lives of employees.

5 Short Listing

5.1 All members of the panel should undertake short listing, including the

Advisory Appointments Committee for Consultants, and notes should be made for the reason for acceptance or rejection. This is required in case of a challenge from an applicant or employment tribunal which may request the production of such notes.

5.2 Short listing must be undertaken by assessing each applicant against the

criteria in the person specification. Each criteria can be measured by determined elements such as interview, C.V or presentation. Whilst short listing is primarily a qualitative measure a quantative measure such as scoring below should be used in case there is a challenge made to the decision as Para 5.1

3 = Fully meets criteria 2 = Could meet criteria in time/in post

1 = Poorly meets criteria 0 = Fails to meet criteria 5.3 The panel do not have to short list every applicant who meets the essential

criteria, except in the case of those applicants that consider themselves to have a disability and wish to be considered under the Interview Guaranteed Scheme. The Employment Services Team will advise Managers who these


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applicants are at the short listing stage. In which case they must be invited to interview if they meet the minimum criteria.

5.4 Managers can short list the top 5 or 6 candidates using the scoring system

against the person specification and have a reserve list for those with lower scores but who still meet the criteria.

6. Informal Visits for short Listed Applicants

6.1 The advert should state that short listed candidates will have the opportunity

to seek an informal visit to the Trust/Department in order for them to prepare for their interview. It is advisable that members of the panel do not undertake this role to ensure they do not let this form part of the selection process.

7. The Interview

7.1 The panel should agree core questions to be asked to all candidates. These

questions should be relevant to the criteria in the person specification. Notes should be made of the applicants responses as this will aid the decision making process and help in providing future feedback for unsuccessful candidates. It will also protect the interview panel and the Trust against any claim for an unfair decision or discrimination. The offer of feedback should be extended to all candidates.

7.2 Qualifications relevant to the post must be verified by the validation of original

certificates at the interview. If they are not produced at interview then the later validation of them should be a condition of offer. For health professionals relevant registration with professional bodies should be checked. For consultants the Certificate of Completion of Training (CCT) will be done prior to interview by the Employment Services team and confirmed by the Royal College representative at the AAC.

8. Additional Selection Methods

8.1 The selection process, under best practice, will consist of one selection day

with an interview. Managers may want to consider other tests such as clinical skills and discussion groups. In such cases managers should take care to ensure the additional selection method is relevant and suitable.


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9. The Selection decision

9.1 The panel members will determine who the best candidate is by comparing all

the applicants against the person specification and any additional selection methods used. The final decision must be documented on all candidates using a scoring system.

10. Pre and Post Employment Checks

10.1 All pre and post employment checks have been designed to be implemented

in compliance with the Data Protection Act 1998 and anti-discrimination legislation. It is an essential requirement that all the necessary checks are carried out before an individual commences as a new employee.

10.2 Any applicant who fails any of their required pre-employment checks cannot

be employed by the Trust. 10.3 Agency Staff - Only agency staff from agencies specified by the Trust can be

used as only these include within the contract for service the contractual requirement for the agency to undertake all required pre and post employment checks.

11. Identity Checks

11.1 It is a requirement that the recruiting manager checks the identity of every

applicant interviewed. Verification of identity is designed to determine that the identity is genuine and establish that the individual owns it and is rightfully using that identity. The following must be established when checking relevant original documentation: • Full name • Signature • Date of Birth • Address

(Where a signature has not previously been provided, for example because of an e-application, the individual should be asked to provide it at interview).

11.2 All applicants invited to interview will be requested by the Employment

Services to bring the relevant original documentation (Passport or Birth Certificate) to their interview.

11.3 A member of the interview panel must check the identity of all of the

applicants by Passport or Birth Certificate and copies of these original documents must be taken (including the front cover) and placed with the applicant’s documentation. These must be dated and signed by the panel member to show it has been certified. When checking the applicant’s identity the member of the interview panel must also check their entitlement to work legally in this country can also be established.


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11.4 If it is not possible to verify an applicant’s identity, they cannot be offered a post in the Trust.

11.5 These checks enable the Trust to comply with the law by ensuring all

successful applicants are employed legally. It also gives the Trust a statutory defence against conviction for employing an illegal worker if it can be demonstrated that checking and copying of required documents took place. This process also enables the Trust to comply with the requirement to ensure that all employees who are nationals of the Czech Republic, Estonia, Hungary, Latvia, Lithuania, Poland, Slovakia and Slovenia are registered with the Home Office under the Worker Registration Scheme. The employee is responsible for the payment of such scheme. These checks must be carried out or the Trust may be at risk of committing a criminal offence if that employee is subsequently found to be employed illegally. Confirmation of the applicant’s status will be done by the Employment Services team and the relevant visas will be requested.

11.5 Alert letters - An Alert letter is a way of notifying NHS bodies and others

about a registered health professional whose performance or conduct could place patients or staff at serious risk. The Employment Services team will check to see if a prospective employee is the subject of an Alert letter before the issue of an offer letter. The exception is for Doctors where the Alert letter check is done pre interview. The Alert database is maintained by the Employment Services team against the notification letters received.

11.6 Duty of Equal Treatment - Employers have a legal duty under current race

relations legislation to avoid unlawfully discriminating on racial grounds. Managers and staff involved in the recruitment of staff must never make assumptions about a person’s right to work or immigration status on the basis of their colour, race, nationality, ethnic or national origins or length of time they have been in the UK. To avoid discrimination all applicants must be treated in the same way at each stage of the recruitment process.

12. References

12.1 No offer of employment can be made without the receipt of two satisfactory

references which have been seen and agreed as acceptable by the manager. References will be requested after the interview except in the case of the recruitment of Consultants where they are requested in advance of the interview but are not included as part of the selection process.

12.2 References must be obtained from the applicant’s two most recent employers

and cover a three year period. The only exception is with internal RUH applicants where one reference from their current line manager is acceptable. Where the applicant has had no previous employment suitable character references can be used. References can be taken by telephone to speed up the process but must be followed up in writing.


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12.3 If there is a delay in receiving references the Employment Services team will contact the successful applicant and inform them that it is their responsibility to pursue a response.

12.4 HR are available to provide advice on reference writing. Only those employed

in the following capacity are authorised to write references on behalf of the Royal United Hospital Bath.

• Executive Directors • Divisional managers • Divisional Senior Nurses • Clinical Chairs • Clinical Leads • Heads of Service • Direct line Managers No other members of staff are authorised.

12.5 If an unacceptable reference is received for an applicant who has been given an offer subject to acceptable references, this offer will be withdrawn. This withdrawal of offer will be carried out by the HR Department.

13. Occupational Health Checks

13.1 The Trust is responsible for the health, safety and welfare of its staff. All new

staff and staff moving internally must have a pre-placement health check to assess their fitness to perform a specific role. Reasonable practical steps will be taken to accommodate individuals with significant health conditions or disability in line with the Trust’s Managing Health & Sickness and Equality & Diversity policies.

13.2 The Employment Services team will send every shortlisted applicant with a

Health Questionnaire with their invite to interview letter. The applicant should be hand this to the manager at the interview in a sealed envelope. The chair of the panel should then be hand the Health Questionnaire forms of all applicants to the Employment Services team who will transfer the successful applicant’s form to Occupational Health and destroy the unsuccessful applicant’s forms. Conditional Offers of employment can be made before health screening has been undertaken by the Trust’s Occupational Health Department but are subject to satisfactory clearance. Internal candidates must complete an internal screening form designed to assist in their prompt transfer. If Occupational Health are unable to issue a satisfactory clearance from the information provided then a pre appointment assessment will be arranged. Occupational Health will then be in a position to confirm if the applicant is fit to carry out the duties required. The Manager will be informed by the Employment Services team if satisfactory clearance has not been granted. Contracts will not be issued until confirmation of satisfactory clearance is received from Occupational Health.


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14. Criminal Records Bureau (Rehabilitation of Offenders Act 1974) 13.3 It is mandatory for the Trust to carry out CRB disclosures on all eligible staff.

The Trust uses three types of disclosure (basic, standard and enhanced) plus Protection of Children Act (PoCA) which checks the suitability of an employee for the position to which they have applied (Appendix 1). The Employment Services team will help managers to confirm the level of check required for a position in line with the agreed guidance issued (appendix 2).

14.2 Most employees can commence work once the CRB form has been

completed and sent for checking. A declaration statement must be signed by the new employee on their first day to confirm that there have been no changes to their status since the CRB from was completed (see Appendix 3).

14.3 Declaration Form A will be used for enhanced checks and declaration form B

will be used for basic checks. Managers will be informed of the status of the employee’s CRB check. Once the Employment Services team have received written confirmation of the CRB check is complete and this is satisfactory, they will inform the recruiting manager of this clearance.

14.4 Staff recruited from abroad will be subject to the necessary police checks in

line with that country’s justice system and UK requirements. A CRB disclosure should still be obtained.

14.5 Portability is available only to doctors in training, honorary doctors and bank

nurses and only under the following circumstances: • The original CRB Disclosure Certificate is shown. • It was done within the last three years. • It was carried out at another NHS establishment. • It is at the same level of the Trusts required check. • It is at the same grade of doctor/nurse.

Portability is not available for employees who will be working with children

under the PoCA guidelines. 14.6 Convictions - The existence of a criminal conviction does not in itself prevent

anyone from working in the NHS. However, the information provided by the applicant on the application form and in the disclosure should be considered in light of the relevant circumstances, including the nature of the offence, the age of the applicant at the time the offence was committed, the applicant’s subsequent record and the relevance of the post applied for. Managers will be informed of any convictions etc. given by the applicant before the interview stage. If the CRB Disclosure Certificate is received with any disclosures the Employment Services team liaise with the Employment Relations team who will discuss the matter with the manager.

14.7 Convictions After Commencement - There is an ongoing requirement for

any existing employee to report to the Trust any conviction that they may


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receive whilst in the employment of the Trust. Failure to do so would constitute a serious act of misconduct.

15. Protection of Children Act (PoCA) Checks

15.1 Employees who are appointed to a regulated position under the Terms of the

Protection of Children Act 1999 (as amended by the criminal Justice and Court Services Act 2000) must be checked against the Protection of Children Act list prior to appointment. A “regulated position” is one which is concerned with the provision of accommodation, social services or healthcare services to children or the supervision of children and is such to enable the holder to have regular contact with children in the course of his or her duties.

15.2 It is a criminal offence for an individual (i.e. a Trust manager or member of

staff for the purposes of this policy) to knowingly offer work to or employ a person to a regulated position who is on the PoCA list, or for an applicant or employee to seek or accept work in a regulated position if they are registered on this list.

15.3 PoCA checks are not optional or portable and must be obtained prior to

commencement.

16. Protection of Children Act (PoCA) Checks 16.1 The PoVA scheme is limited to services which are regulated under the Care

Standards Act 2000 e.g. care homes, domiciliary care agencies and adult placement schemes and therefore does not normally apply to positions within the NHS. Whilst PoVA checks do not apply to the NHS, where the position involves caring for vulnerable adults, the Trust will consider the job role against the criteria for an enhanced check. The member of the Employment Services team dealing with the vacancy will advise the recruiting manager if such a check is required.

17. Patients Safety & Staff Fitness to Practice

17.1 If there is a judgement that the fitness to practice of a health professional has

been called into question, the appropriate Executive Director must inform the appropriate regulatory body and give notice in writing to the person who is subject of the referral of the decision to refer. The Trust has a process in place to aid this which can be found in the Raising Concerns Policy.

18. Renewal of Professional Registration

18.1 The Trust is required to regularly confirm the registration of a health care

professional whose registration is subject to periodic renewal remains effective, and for this purpose has a policy for dealing with lapsed registrants. The Professional Registration policy is available for further guidance. In the event that an individual has no registration the employment will have been deemed to have ended by operation of the law.


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19. Certificate of Sponsorship (Previously the Work Permit Scheme)

19.1 If an applicant is from outside the European Economic Area (EEA) or

Switzerland they can only be employed if the Trust is successful in applying for a Certificate of Sponsorship (CofS) from the Home Office.

19.2 The Employment Services Team will apply for a CofS for an applicant if they

are eligible (see Appendix 4). 19.3 Once the CofS is provided for the applicant, they can then apply for their visa.

It is the Trust’s responsibility to apply for and meet the costs of the CofS which cannot be transferred between jobs or employers (except for doctors in training). It is the responsibility of the appointed individual to obtain and meet the costs of visas.

19.4 If the Trust application for CofS is not approved, the offer for the applicant

must be withdrawn. This would be actioned by the Employment Services team.

19.5 Certificate of Sponsorships can only be issued to those employees who are

on the Governments approved Shortage Occupation list (appendix 5) unless they meet the requirements of the UKBA Points Based System as Para.12.1.

19.3 Where an applicant is being interviewed for a post which is not on the UKBA

approved Shortage Occupancy list post and they may require a CofS the following must take place.

• The post must be offered to an EEA applicant who meets the criteria. • If there are no eligible EEA applicants then a CofS can be requested if the

Trust can pass the Resident Labour Market Test together with the applicant meeting the requirements of the UKBA Points Based System.


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APPENDIX 1 CONSULTATION SCHEDULE Name and Title of Individual Date Consulted

Date policy e-mailed to policy co ordinator Name of Committee Date of Committee TCNC Policy Sub-group (rolled-over review) 21st February, 7th March &

21st March 2007 TCNC Policy Sub-group November 2009 TCNC Policy Sub-group – ratified as roll-over with minor changes following review (as part of review of all HR policies against NHSLA standards)

21st October 2009, 9th December 2009 & 20th January 2010


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APPENDIX 2 Type of Disclosure Required

Type of Disclosure

What it contains

Eligibility

Basic

Includes details of unspent (current) convictions.

Can be requested for posts which are not exempt from the rehabilitation of Offenders Act 1974.

Standard

Lists all convictions (spent and unspent), cautions, reprimands, and warnings held on the Police National computer (PNC).

As defined by the Police Act and Rehabilitation of Offenders Act 1974. Standard Disclosures are required for posts which involve the individual having access to patients in the course of their normal duties.

Enhanced

As above for standard disclosures, but with the addition of local police information considered relevant i.e. non-conviction information and investigations.

As defined by the Police Act and Rehabilitation of Offenders Act 1974. enhanced disclosures are for posts involving greater degree of contact with patients. In addition to the standard disclosure requirement, the type of work needing an enhanced disclosure will also involve regularly caring for, supervising, training or be in sole charge of children and / or vulnerable adults.

PoCA

Will disclose whether the individual is on any lists held by the department of health (DH), or the Department for Children, Schools and Families (DCSF), and is unsuitable to work with children.

A PoCA check is required for regulated positions i.e. a position whose normal duties include caring for, training, supervising, or being in sole charge of children. This could be where the post is a regulated position because it involves the management or supervision of a post meeting the definition of a regulated position.


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APPENDIX 3 Posts exempted from the provisions of the Rehabilitation of

Offenders Act

The following posts are exempted from the provisions of the Rehabilitation of Offenders Act 1974. If they regularly work with children they will also be subject to checks against the Protection of Children Act list held by the CRB (PoCA). Category 1 Those that are regularly caring for, training, supervising or being in sole charge of or have direct access to persons aged under 18 or vulnerable adults will be required to complete and enhanced CRB check. Dieticians Dentists/Dental hygienists/ Dental Auxiliary Doctors Midwives Nurses Nursing Auxiliaries / Health Care Support Workers / Doctors Assistants Occupational Therapists Orthoptists Orthotists Physiotherapists Podiatrists Prosthetists Psychologists/Psychotherapists Radiographers Speech and Language Therapists Scientists and Technicians who carry a caseload of patients/ directly care for patients or have access to patient care areas. ODA/ODPs Medical Photographers Retinal Screeners Category 2 Those that whilst don’t have responsibilities for regular caring or training for patients under 18 they do have access to them in the course of their duties and will therefore be exempt from the Rehabilitation of Offenders Act 1974 and required to carry out a standard CRB check Porters Security Officers Cleaners Lifeguards/Pool Attendants Some Clerical staff that have access to patient’s areas e.g. Ward Clerks and some Medical Secretaries Category 3 These posts are not exempt from the Rehabilitation of Offenders Act 1974 and therefore are only required to carry out a Basic CRB Admin and Clerical Staff, Managerial Staff and any other not listed in categories 1 and 2.

APPENDIX 4 DECLARATION STATEMENT

Dear Applicant

Whilst we are waiting for the Criminal Records Bureau to complete their checks we require you to complete the attached Declaration Statement to confirm that your status has not changed since you completed the CRB application.

Please read the following notes carefully before completing this Declaration Statement. If you require further information, please contact the Human Resource Department on 01225 821142. All enquiries will be treated in confidence.

Royal United Hospital NHS Trust Bath aims to promote equality of opportunity and is committed to treating all applicants for positions fairly and on merit regardless of race, gender, marital status, religion, disability, sexual orientation, age or offending history. We undertake not to discriminate against applicants on the basis of criminal conviction or other information declared.

The Data Protection Act 1998 requires us to advise you that we will be processing your personal data and, generally, to obtain your consent before processing personal data about you. Processing includes: holding, obtaining, recording, using, sharing and deleting information. The Data Protection Act 1998 defines ‘sensitive personal data’ as racial or ethnic origin, political opinions, religious or other beliefs, trade union membership, physical or mental health, sexual life, commission or alleged commission of offences and any proceedings for any offence committed or alleged to have been committed.

The information that you provide in this Declaration Statement will be processed in accordance with the Data Protection Act 1998 and will only be used for the purpose of determining your application for this position. Once a CRB disclosure certificate is issued and is satisfactory this Declaration Statement will not be retained longer than is necessary.

This Declaration Statement will be kept securely and in confidence. Access to it will be restricted to designated persons within the HR Department and other persons who need to see it as part of the selection process and who are authorised by HR to do so.

Please answer all of the following questions. If you answer YES to any of the questions, please provide full details on the sheet provided. Please also use this space to provide any other information that may have a bearing on your suitability for the position for which you are applying. You may continue on a separate sheet if necessary, and you may attach supplementary comments should you wish to do so.

With the exception of question 8, answering Yes to any of the questions below will not necessarily bar you from appointment. This will depend on the nature of the position for which you are applying and the particular circumstances. Thank you for your co-operation.


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DECLARATION STATEMENT A 1. Are you currently bound over or have you ever been convicted of any offence by a

Court or Court-Martial in the United Kingdom or in any other country?

Note: You do not need to tell us about parking offences NO YES

If YES, please include details of the order binding you over and/or the nature of the offence, the penalty, sentence or order of the Court, and the date and place of the Court hearing.

2. Have you ever received a police caution, reprimand or final warning?

NO YES If YES, please include details of the caution, reprimand or final warning including the date and reason administered.

3. Have you been charged with any offence in the United Kingdom or in any other

country that has not yet been disposed of?

Please note: you must inform us immediately if you are charged with any offence in the United Kingdom or in any other country after you complete this form and before taking up any position offered to you. You do not need to tell us if you are charged with a parking offence. NO YES

If YES, please include details of the nature of the offence with which you are charged, date on which you were charged, and details of any on-going proceedings by a prosecuting body.

4. Are you aware of any current police investigation in the United Kingdom or in any

other country following allegations made against you?

NO YES If YES, please include details of the nature of the allegations made against you, and if known to you, any action to be taken against you by the police.

5. Are you aware of any current NHS Counter Fraud and Security Management Service

Investigation following allegations made against you? NO YES If YES, please include details of the nature of the allegations made against you, and if known to you, any action to be taken against you by the NHS CFSMS.


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6. Have you ever been investigated by the Police, CFSMS or any other Investigatory

Body resulting in a caution, conviction or dismissal from your employment? (Investigating bodies include Local Authorities, Customs and Excise, Immigration, Passport Agency, Inland Revenue, Department of Trade and Industry, Department of Work and Pensions, Security Agencies, Financial Services Authority, Banks and Building Societies, General, Life Insurance companies – this list is not exhaustive, and you must declare any Investigation conducted by an Investigatory Body)

NO YES If YES, please include details of the nature of the allegations made against you, and if known to you, any action to be taken against you by the Investigatory Body.

7. Have you ever been dismissed by reason of misconduct from any employment, office

or other position previously held by you?

NO YES If YES, please include details of the employment, office or position held, the date that you were dismissed and the nature of the allegations of misconduct made against you.

8. Have you ever been disqualified from the practice of a profession or required to practice subject to specified limitations following fitness to practice proceedings by a regulatory or licensing body in the United Kingdom or any other country? NO YES If YES, please include details of the nature of the disqualification, limitation or restriction, the date, and the name and address of the licensing or regulatory body concerned.

9. Are you currently the subject of any investigation or fitness to practice proceedings

by any licensing or regulatory body in the United Kingdom or in any other country? NO YES If yes, please include details of the reason given for the investigation and/or proceedings undertaken, the date, details of any limitation or restriction to which you are currently subject, and the name and address of the licensing or regulatory body concerned.

10. Are you subject to any other prohibition, limitation or restriction that means we are

unable to consider you for the position for which you are applying?

NO YES If YES, please include details of the nature of the prohibition, restriction or limitation and when and by whom it was made.


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DECLARATION I consent to the information provided in this Declaration Statement form being used by Royal United Hospital NHS Trust for the purpose of assessing my employment and for enquiries in relation to the prevention and detection of fraud. I confirm that the information that I have provided in this Declaration Statement form is correct and complete. I understand and accept that if I knowingly withhold information or provide false or misleading information this may result in my dismissal and I may be liable for prosecution. Signature …………………………………………. Date ………………………………………… Print Name ………………………………………..Job Title………………………………………

If you have answered YES to any of the questions above, please use this space to provide further details. Please indicate clearly the number(s) of the question(s) you are answering.

If you require advice regarding this form please contact HR on 01225 821142


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DECLARATION STATEMENT B Before you can be considered for appointment in a position of trust with the Royal United Hospital Bath NHS Trust we need to be satisfied about your character and suitability. Please read the following notes carefully before completing this declaration form. If you require further information, please contact [insert details]. All enquiries will be treated in confidence. The Royal United Hospital NHS Trust aims to promote equality of opportunity and is committed to treating all applicants for positions fairly and on merit regardless of race, gender, marital status, religion, disability, sexual orientation, age. We undertake not to discriminate unfairly against applicants on the basis of criminal conviction or other information declared. Prior to making a final decision concerning your application, we shall discuss with you any information declared by you that we believe has a bearing on your suitability for the position. If we do not raise this information with you, this is because we do not believe that it should be taken into account. In that event, you remain free to discuss any of that information or any other matter that you wish to raise. As part of assessing your application, we will only take into account relevant criminal record and other information declared. The Data Protection Act 1998 requires us to advise you that we will be processing your personal data and, generally, to obtain your consent before processing personal data about you. Processing includes: holding, obtaining, recording, using, sharing and deleting information. The Data Protection Act 1998 defines ‘sensitive personal data’ as racial or ethnic origin, political opinions, religious or other beliefs, trade union membership, physical or mental health, sexual life, commission or alleged commission of offences and any proceedings for any offence committed or alleged to have been committed. The information that you provide in this declaration form will be processed in accordance with the Data Protection Act 1998, and may also be used for the purpose of determining your application for this position and may also be used for the purpose of enquires in relation to the prevention and detection of fraud. Once a decision has been made concerning your appointment, for successful applicants the declaration will be retained on their personal file, if unsuccessful, the declaration will be destroyed after 6 months. This declaration will be kept securely and in confidence, and access to it will be restricted to designated persons within the Trust who are authorised to view it as a necessary part of their work. Please ensure that you read the ‘Guidance Notes for Applicants’ that accompanied your application form carefully before completing this Declaration Form. They provide you with further and more detailed information about how your application will be processed, the persons to whom it will be disclosed and the checks that will be done to verify the information provided. Please answer all of the following questions. If you answer ‘Yes’ to any of the questions, please provide full details in the space indicated. Please also use the space below to provide any other information that may have a bearing on your suitability for the position for which you are applying. You may continue on a separate sheet if necessary, and you may attach supplementary comments should you wish


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to do so.


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The position for which you have applied is non-exempt from the Rehabilitation of Offenders Act 1974. This means that you must declare any current, ‘unspent’ convictions. You are not required to declare convictions that are ‘spent’. Answering ‘Yes’ to any of the questions below will not necessarily bar you from appointment. This will depend on the nature of the position for which you are applying and the particular circumstances. 1. Are you currently bound over or do you have any current ‘unspent’ convictions or cautions, warnings or reprimands? Note: You do not need to tell us about parking offences.

NO �� YES ��

If YES, please include details of the order binding you over and/or the nature of the offence, the penalty, sentence or order of the Court, and the date and place of the Court hearing.

2. Have you been charged with any offence in the United Kingdom or in any other country that has not yet been disposed of? Please note: you must inform us immediately if you are charged with any offence in the United Kingdom or in any other country after you complete this form and before taking up any position offered to you. You do not need to tell us if you are charged with a parking offence

NO � YES ��

If YES, please include details of the nature of the offence with which you are charged, date on which you were charged, and details of any on-going proceedings by a prosecuting body.

3. Are you aware of any current police investigation in the United Kingdom or in any other country following allegations made against you?


If YES, please include details of the nature of the allegations made against you, and if known to you, any action to be taken against you by the police.

4. Are you aware of any current NHS Counter Fraud and Security Management Service investigation following allegations made against you?


If YES, please include details of the nature of the allegations made against you, and if known to you, any action to be taken against you by the NHS CFSMS.


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5. Have you been investigated by the Police, CFSMS or any other Investigatory Body resulting in a current caution, conviction or dismissal from your employment? (Investigatory bodies include Local Authorities, Customs and Excise, Immigration, Passport Agency, Inland Revenue, Department of Trade and Industry, Department of Work and Pensions, Security Agencies, Financial Service Authority, Banks and Building Societies, General, Life Insurance Companies – this list is not exhaustive, and you must declare any Investigation conducted by an Investigatory Body).

NO �� YES�

If YES, please include details of the nature of the allegations made against you, and if known to you, any action to be taken against you by the Investigatory Body.

6. Have you ever been dismissed by reason of misconduct from any employment, office or other position previously held by you?


If YES, please include details of the employment, office or position held, the date that you were dismissed and the nature of allegations of misconduct made against you.

7. Have you ever been disqualified from the practice of a profession, or required to practice subject to specified limitations following fitness to practice proceedings, by a regulatory or licensing body in the United Kingdom or in any other country?

NO � YES ��

If YES, please include details of the nature of the disqualification, limitation or restriction, the date, and the name and address of the licensing or regulatory body concerned.

8. Are you currently the subject of any investigation or fitness to practice proceedings by any licensing or regulatory body in the United Kingdom or in any other country?


If YES, please include details of the reason given for the investigation and/or proceedings undertaken, the date, details of any limitation or restriction to which you are currently subject, and the name and address of the licensing or regulatory body concerned.

9. Are you currently the subject of any investigation or fitness to practice proceedings by any licensing or regulatory body in the United Kingdom or in any other country?

NO � YES ��

If YES, please include details of the reason given for the investigation and/or proceedings undertaken, the date, details of any limitation or restriction to which you are currently subject, and the name and address of the licensing or regulatory body concerned.


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If you have answered YES to any of the questions above, please use this space to provide details. Please indicate clearly the number(s) of the question that you are answering:

DECLARATION I have read the ‘Guidance Notes for Applicants’ that accompanied my application form, and I consent to the information provided in this declaration form being used by Royal United Hospital NHS Trust for the purpose of assessing my application, and for enquiries in relation to the prevention and detection of fraud. I confirm that the information that I have provided in this declaration form is correct and complete. I understand and accept that if I knowingly withhold information, or provide false or misleading information, this may result in my application being rejected, or if I am appointed, in my dismissal, and I may be liable to prosecution. Please sign and date this form. SIGNATURE................................................ NAME (in block capitals) .......................................................………... DATE................……………………………………………… Note: if you wish to withdraw your consent at any time after completing this Declaration Form, please contact Employment Services 01225 821142.


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APPENDIX 5 UK Boarder Agency (UKBA) Points Based System

Migrants scores should total 70 points across the different criteria before applying the certificate of sponsorship. The 70 points must include 10 points for maintenance and 10 points for English language skills.

Criteria for points What we award points for Points awarded

If the job is on the shortage occupations list 50 Sponsorship

- up to 50 points available

If the job meets the resident labour market test 30

S/NVQ level 3 5

Bachelor's or master's degree 10

Qualifications

- up to 15 points available PhD 15

£17,000 - £19,999 5

£20,000 - £21,999 10

£22,000 - £23,999 15

Prospective earnings

- up to 20 points available

£24,000+ 20

Maintenance

- 10 points available

£800 if the migrant is applying from inside the United Kingdom or

£800 if the migrant is applying from outside the United Kingdom and

£533 for each dependant

10

English language skills

- 10 points available

If the migrant is a national of a majority English speaking countryor

If the migrant has passed an English language test or

If the migrant has a degree taught in English


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APPENDIX 6 Details of Shortage Occupation List United Kingdom Border Agency – Shortage Occupation List. Sourced November 2008: http://www.ukba.homeoffice.gov.uk/sitecontent/documents/workingintheuk/shortageoccupationlisthttp://www.ukba.homeoffice.gov.uk/sitecontent/documents/workingintheuk/shortageoccupationlist

http://www.ukba.homeoffice.gov.uk/sitecontent/documents/workingintheuk/shortageoccupationlist




EQUALITY IMPACT ASSESSMENT SCREENING FORM 1. Policy, service, strategy, procedure or function - Recruitment & Selection Policy incorporating Pre- and Post- Employment Checks Lead (e.g. Director, Manager, Clinician): Sharon Turnbull, HR Manager, Employment Services 2. Person responsible for the assessment:

TCNC HR Policy & T&Cs Sub-group and Sharon Turnbull, HR Manager,

Employment Services

3. Is this a new or existing policy, service strategy, procedure or function?

New (Revised Policy) Existing

4. Who is the policy/service strategy ,procedure or function aimed at?

Patients Carers Staff Visitors

Any other Please specify:

5. Are any of the following groups adversely affected by this policy:

If yes is this high, medium or low impact (see attached notes): Impact

Disabled people: No Yes

Race, ethnicity & nationality: No Yes

Male/Female/transgender: No Yes

Age, young or older people: No Yes

Sexual orientation: No Yes

Religion, belief & faith: No Yes

If the answer is yes to any of these proceed to full assessment. This applies whether the

impact assessment is high, medium or low.

6. Does the policy, service strategy, procedure or function include measures which promote

equality? No Yes

7. If yes, what are these measures?

This policy sets out the clear processes to prevent discrimination in recruitment and

selection and the monitoring and assurance to ensure that this is not occurring. By

consistently following this policy all staff will ensure the promotion of equality. In addition

action such those around ‘two-ticks’ actively promote disabled people.


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RATIFICATION CHECKLIST Author; attach this to each copy of the policy being sent to a Committee for final ratification.

Dear Chairman

Please would you review this document at your next meeting and agree final approval and organisational ratification.

Title of meeting: TCNC Policy Sub-group

Date of meeting: 20 January 2010

Name of document: Recruitment & Selection Policy incorporating Pre & Post Employment Checks

Name of author: Sharon Turnbull, HR Manager

Yes No N/A

Are there any elements of this policy which present operational issues that require further discussion? If yes, please provide a contact name for the author.

x

Does the document include a training plan? x

Is the policy referenced? x

Are up to date National Guidelines included? x

If you are the appropriate forum, have the necessary resources been agreed to implement this document?

x

Is there a plan for policy implementation? x

Does your meeting recommend further consultation with groups or staff other than listed at the front of the policy?

x

What are the cost implications of implementing this policy? x

Equipment £ Staffing (additional) £ Training Other

£ £

Document approved without further comment (Please circle): Yes Further amendments to document suggested (Please circle)? No Name of Chair: Jenny Evans Signature: Ratified and signed at the meeting Date: 20.01.10

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