Pre-Employment Policy
About this policy
Purpose
The Pre-Employment Policy ensures that managers are aware of all legally required and/or any other necessary checks when employing new members of staff.
Scope
This policy applies to all employees hiring new staff, regardless of location, grade, hours of work and type of contract.
Review
This policy is due for review every 12 months or following any relative legislative changes, whichever comes first. This means it is due for review on 20 March 2018.
The policy will be reviewed by the Safeguarding Manager, Debbie Lynch. Any fundamental changes to employee Terms and Conditions or the way the organization does things must first go out to consultation with the Trade Unions. The final draft of the policy will then go tothe Head of HR for approval.
Contents
Pre-Employment Policy......
1.Right to work in the UK
2. References
2.1 Written References
2.2 Oral References
2.3 Internal New Starter References
2.4 Fidelity Insurance - References
2.5 Verifying Credentials / Qualifications
3. Criminal record checks
3.1 Checks for people who have resided abroad
3.2 Rehabilitation of offenders – Assessing the relevance of criminal convictions
3.3 Managing criminal records
3.4 Rechecking during employment
3.5 Starting employment before criminal record checks are completed
4. Prohibition checks (Applicable to Schools only)
5. Disqualification by association
6. Pre-employment health checks
Appendix 7
RNIB Reference Form
Appendix 8
RNIB Reference (Criminal Background Check Role) Form
Appendix 9
Recruitment Authorisation Form
Value for Money Checklist for Recruiting Managers
Appendix 10
Pre-employment Conditions
Appendix 11
Criminal Record Disclosure Information Form
Appendix 12
Disqualification Under Childcare Form
Dear Colleague,
Pre-Employment Policy
1.Right to work in the UK
It is a criminal offence to employ a person who is not entitled to live or work in the UK. If you knowingly employ someone without the right to work in the UK you may face up to five years imprisonment and an unlimited fine as well as the possibility ofcivil penalties of up to £20,000 per illegal worker.
In order to comply with the law it is necessary for the recruiting manager to carry out the following steps:
Complete the right to work in the UK assessment at Gov.UK
This involves checking documents as directed through the assessment process. You must ensure that you carry out the following checks:
- The documents are genuine, original and unchanged and belong to the person who has given them to you
- The dates for the applicant’s right to work in the UK haven’t expired
- Photos are the same across all documents and look like the applicant
- Dates of birth are the same across all documents
- The applicant has permission to do the type of work you’re offering (including any limit on the number of hours they can work)
- For students you see evidence of their study and vacation times
- If 2 documents give different names, the applicant has supporting documents showing why they’re different, e.g. a marriage certificate or divorce decree
If the person has time-limited leave to be in the UK, the recruiting manager must make a record of this and ensure that further checks are carried out to confirm continued right to work in the UK.
It is the responsibility of the individual to make, and pay for, any visa applications.
It is RNIB Group policy to require documentary proof for every successful candidate prior to the start of work. Recruiting managers need to photocopy original documents, record the date checks were made and sign to confirm you carried those checks out. The copies should then be sent to the HR Administration team for central filing and will be held securely throughout the person’s employment and for two years after they have stopped working for us.
2. References
2.1 Written References
Employment offers are conditional on obtaining satisfactory written references. The offer and employment will remain conditional until RNIB Group receives the references. If the references are found to be unsatisfactory, RNIB Group is entitled to withdraw the offer of employment. If the employment has already begun, RNIB Group is entitled to terminate employment if necessary. However, if the employee has worked for a period of four weeks, they must be given a week's notice of dismissal.
All applicants should supply the names, job titles, postal addresses, professional email addresses and telephone numbers of two work based referees, one of which must be their current or most recent employer. If the applicant has not been employed previously or has only had one job, they may nominate an academic referee and/or someone of standing in the community who knows them e.g. Doctor or Solicitor. Applicants may also nominate a referee from voluntary work they have undertaken. Applicants should declare the relationship with their referees. In cases where a criminal background check is required candidates must provide a reference from their most recent employer where they have worked with children or adults at risk. RNIB Group reserves the right to ask applicants to supply the name and address of additional referees, if names supplied are not acceptable.
References for posts requiring a criminal record check must be received and considered satisfactory by the manager before employment with RNIB Group commences. This also applies to employees changing jobs within RNIB Group if the new role requires a criminal record check. In exceptional circumstances where there is a critical business need oral references may be accepted but must be followed up by written references.
The standard Reference Form (Appendix 7) should be used at all times when requesting an employment reference. However, in situations where the post is subject to a criminal record check the standard reference form (Appendix 8) should be used.
If written references are not received within two weeks of the request, the HR AdministrationTeam will telephone asking the referee to complete the form and return it immediately.
It is the line manager’s responsibility to ensure that references are received and they should advise the HR Administration Team if there are delays and reminders need to be sent out. References will be stored on the individual’s personal file.
When references have been received, the HR Administration Team will send copies to the line manager under ‘Strictly Private and Confidential / Addressee Only’ cover.
Any copies of references stored by the line manager should be kept strictly private and confidential in a secure filing cabinet.
All references will be received in strictest confidence. Please refer to Access to HR Files - Policy 51 for information on candidates or employee access to references.
It is the responsibility of the recruiting manager to be satisfied with the content of references received. For roles which require a criminal record check all questions must be completed by the referee. If they are not completed, or if managers have any other concerns with references, they should contact the HR Administration Team for advice.
The HR Administration team is responsible for ensuring that referees information is valid. Where there are any concerns that this may not be the case, for example personal email addresses are provided rather than business addresses, a telephone follow up to verify the reference received should be made. The following questions should be asked.
- Did you give this reference?
- Are you authorised to give this reference on behalf of <workplace>?
Any information received which is contrary to that given by the candidate may result in further clarification and evidence being sought. Please contact the HR Administration Team on any issues regarding references.
2.2 Oral References
From time to time it may be necessary to take up oral references. Where this is the case, these references should be taken up by the line manager or the HR Administration Team. Oral references should always be followed up with a request tothe referees for written confirmation of what was said. In addition, a written note should be made of the oral reference which should be signed and dated by the individual taking the reference and sent to the HR Administration Team for inclusion on central personnel files.
If a particular concern or query is raised from the written reference received, it may be necessary to follow this up with a telephone call to seek clarification. Referees may give additional information over the phone over and above that which they are prepared to commit to in writing.
2.3 Internal New Starter References
For internal new starters, references are only required if the person is moving from one directorate to another or if the person is moving into a role classified as regulated activity.
2.4 Fidelity Insurance - References
To ensure that RNIB Group is safeguarded under its Fidelity Insurance, it is imperative that references are obtained and retained for all employees. If references have not been taken up for any employee and they are subsequently dismissed for reasons relating to dishonesty, RNIB Group is outside the scope of their Fidelity Insurance and, as a consequence, cannot claim.
2.5 Verifying Credentials / Qualifications
Where an educational qualification, professional qualification or membership of a professional body is an essential requirement for a post, applicants must be asked to provide original documentation before starting employment. Copies should be kept and forwarded with the starter form to the HR Administration Team.
3. Criminal record checks
Criminal record checks support our organisation to safeguard our customers and it is our policy to carry out checks where we are legally entitled to do so.
Not all roles will be eligible for a criminal record check therefore all roles within RNIB Group must be assessed by the Safeguarding Manager, in order to determine if we are legally entitled to carry out a check. The recruitment Authorisation Form (Appendix 9) needs to be filled in accordingly by the Recruiting Manager to support the Safeguarding Manager to carry out the right assessment for roles in England, Northern Ireland and Wales.
In Scotland the majority of roles will be required to register with the protecting vulnerable groups scheme. It is through this process that a criminal record check is carried out. Recruiting managers in Scotland must complete the regulated work self assessment tool provided by the Scottish government.
There may be occasions where we are entitled to carry out standard disclosure checks, for example legal or financial roles. The resourcing team will support managers to assess the need for these checks.
Once an applicant has been given a conditional offer, depending on their directorate and country, the applicant will have two options:
- Fill in the criminal background check application form provided by his/her line manager and submit it to thesection/location countersignatory. Please contact HR to find out who the appropriate countersignatory is for your area. The countersignatory will need to verify the identification of the individual and countersign the form requesting a disclosure on this person and send it to the relevant authority.
- Complete the electronic criminal check via the link provided by his/her line manager. The line manager has the responsibility to meet up with the applicant and verify the identification of the individual for the application to be processed further and in a timely manner.
It is the Hiring Manager’s responsibility to have sight of original Criminal Record Check certificates prior to the candidate’s start date. HR does not receive copies of these.
Once the recruiting manager has reviewed and confirmed that the information received back is satisfactory, the recruiting manager fills in and sends the Criminal Record Disclosure Information Form to the HR Administration Team who will then record the details on iTrent.
ITrent must be updated to record check the issue date, expiry date (3 years from the issue date), type of check and certificate reference number to confirm that the process is complete.
Disclosure certificates are not portable therefore we cannot accept certificates that have been requested by other organisations. However, if an applicant has registered for the online update service and can provide their update service reference number, their original criminal record certificate and their consent, the recruiting manager can check their details on the update service. The Hiring Manager should take a print screen of the online record and send this to the HR AdministrationTeam.
3.1 Checks for people who have resided abroad
In line with best practice it is our policy to arrange additional checks on people if they have lived outside the UK for a period of more than 3 months in the previous 5 years.
It is not always easy to obtain good conduct certificates or extracts from overseas criminal records however information to support managers to identify when checks abroad can be carried out can be found at Gov.UK.
It is the responsibility of the applicant to obtain and provide this information
3.2 Rehabilitation of offenders – Assessing the relevance of criminal convictions
As an organisation we will comply fully with the codeof practice on disclosures and will treat all applicants fairly.
An open and measured discussion will take place with any candidate where any offence or other matter is revealed either at interview or on receipt of information from the disclosure service. Appendix 11must be completed fully and discussed with your HR Business Partner whenever any offence or other matter is disclosed. This will ensure that recruitment decisions are balanced, proportionate and fair. All assessments must be sent to HR and will be archived securely in personnel folders for the duration of a person’s employment.
Any decision to withdraw a conditional offer of employment based on information disclosed must be discussed with the candidate.
Where HR Business Partners and recruiting managers cannot agree on a recruitment decision the assessment will be escalated to the lead countersignatory.
3.3 Managing criminal records
All managers recruitingwithin a CQC/Ofsted environment must follow these steps to ensure that the disclosure code of practice and relevant data protection legislation is complied with at all times:
Always ensure that criminal record information is kept securely, in lockable, non-portable, storage containers or secured folders (if an electronic version) with access strictly controlled and limited to those who are entitled to see it as part of their duties.
Only pass criminal record information to those who are authorised to receive it in the course of their duties and keep a record of anyone to whom criminal records have been revealed.
Only use the criminal record information for the specific purpose for which it was requested and for which the applicant has given full consent.
Once a recruitment (or other relevant) decision has been made, managers working within a CQC/Ofsted environment, should not keep copies of disclosure certificates for any longer than is necessary. This is generally for a period of up to six months, to allow for the consideration and resolution of any disputes or complaints. If, in very exceptional circumstances, it is considered necessary to keep Disclosure information for longer than six months, we will consult the relevant disclosure organisation i.e. DBS / Disclosure Scotland and PVG / Access NI about this and will give full consideration to the data protection and human rights of the individual before doing so. Throughout this time, the usual conditions regarding the safe storage and strictly controlled access will prevail.
All managers who are not recruiting within a CQC/Ofsted environment must not keep copies of any criminal record check; any details must only be recorded on the Criminal Record Disclosure Information Form (Appendix 11).
3.4 Rechecking during employment
It is Group policy to carry out criminal record checks every three years.
3.5 Starting employment before criminal record checks are completed
People applying for roles that require a criminal record check will not generally be permitted to commence work until the information received following the check is reviewed and confirmed as satisfactory by the recruiting manager.
People applying for roles with children that require an enhanced check with barred list must never commence work until a check of the barred list has been completed.
Where there is a critical business need recruiting managers may allow a person to commence work whilst the criminal record check is in progress. However, in these circumstances a risk assessment must be completed and agreed by the recruiting manager’s line manager, appendix 10.
4. Prohibition checks (Applicable to Schools only)
Anyone who is appointed to work within a school will require an additional check to ensure they are not prohibited from teaching. This can be carried out through Gov.UK.
If someone is prohibited from teaching we cannot employ them to carry out that work however they could still work in a school in a different capacity, subject to a risk assessment in relation to the reason for prohibition. The recruiting manager must ensure as part of the risk assessment process that there are sufficient safeguards in place to prevent the person carrying out teaching work at any point during employment.
Recruiting managers must send a copy of the check and risk assessment to HR who will archive the information for the duration of the person’s employment.
5. Disqualification by association
It is a criminal offence to knowingly employ a person who is disqualified from working with children, including by association in the following roles:
Providing early years childcare, defined as ‘any care for a child from birth to 1 September following the child’s fifth birthday, including education and any other supervised activity’ (e.g. before and after school clubs and lunchtime activities)
Providing later years childcare to children who have not attained the age of eight (e.g. before and after school clubs; this does not include the provision of education)
Directly concerned with the management of childcare defined above.