PRE-EMPLOYMENT AND EMPLOYMENT CHECKS

POLICY AND PROTOCOL

Version / 9
Name of responsible (ratifying) committee / HR Policy Group
Date ratified / 06 July 2017
Document Manager (job title) / Head of Employee Resourcing
Date issued / 05 September 2017
Review date / 04 September 2019
Electronic location / Management/Human Resources Policies
Related Procedural Documents / Recruitment and Selection Policy, Recruitment and Selection of Consultant Medical Staff Policy, Policy and Protocol for the Registration of Professional Staff
Key Words (to aid with searching) / DBS; Work Permit; Rights to Work; References; Occupational Health; health screening; Professional Registration

Version Tracking

Version / Date Ratified / Brief Summary of Changes / Author
9 / 06.07.17 / Reviewed and amended definition of Fit and Proper Person Test
Reviewed and amended information for DBS Decision / Recruitment Manager
8 / 04.05.17 / Updated / Head of ER
7 / 06.10.15 / Fit and Proper Test and positive DBS checks / Head of ER

CONTENTS

QUICK REFERENCE GUIDE

1.INTRODUCTION

2.PURPOSE

3.SCOPE

4.DEFINITIONS

5.DUTIES AND RESPONSIBILITIES

6.PROCESS

7.TRAINING REQUIREMENTS

8.REFERENCES AND ASSOCIATED DOCUMENTATION

9.EQUALITY IMPACT STATEMENT

10.MONITORING COMPLIANCE WITH PROCEDURAL DOCUMENTS

EQUALITY IMPACT SCREENING TOOL

APPENDIX A: Documents Required For Those Individuals Who Have No Restriction On Their Stay In The UK Or Are Not Subject To Immigration Controls.

APPENDIX B: Documents Required Where An Individual’s Leave To Enter Or Remain In The UK Is Time Limited.

APPENDIX C: Documents That Are Not Acceptable To Provide Right To Work In UK

APPENDIX D: Step 1 – How to check validity of documents

APPENDIX E: Definitions Of Standard And Enhanced Disclosures And Protection Of Children Act (PoCA)

APPENDIX F: Risk Management Form For DBS Checks When Start Date Is Prior To Return Of The Check.

APPENDIX G: Statement On Secure Storage, Handling, Use, Retention & Disposal Of DBS Disclosures And Disclosure Information

APPENDIX I: Guidance On Documentation For Checking An Individual’s Identity

APPENDIX J: Policy Statement On The Recruitment Of Ex-Offenders

QUICK REFERENCE GUIDE

This policy must be followed in full when developing or reviewing and amending Trust procedural documents.

For quick reference the guide below is a summary of actions required. This does not negate the need for the document author and others involved in the process to be aware of and follow the detail of this policy.

  1. All employment with the Trust is subject to satisfactory pre-employment checks. These checks are:

Eligibility to work in the UK

Identity Check

Disclosure and Barring Check (DBS)

Professional Registration

References and employment history

Validation of qualifications

Pre-employment health check as per NHS Employers standard

In addition to the above checks there is a requirement to undertake checks for Directors and all employees who have Director level responsibilitythis is in line with the Fit and Proper Person Test. These checks are:

Credit Check

Disqualified Directors list check

Bankruptcy and Insolvency Check

Annual Self Declaration

  1. These checks are administered by the Employee Resourcing Team.
  1. There are a number of checks that are required during employment with the Trust. These are Rights to Work in the UK, Professional Registrations and Disclosure and Barring Check.

Checks Flow Chart

Check an individual’s identity and rights to work in the UK

Once rights to work have been established, individual will be asked to complete fitness to practice form and DBS application (if applicable to job role)

Employee Resourcing Department will take up references covering a minimum 3 year period. Confirming employment history, if not employed, letters of upstanding in the community

Employee Resourcing Department will check Professional Registration via Professional Body to ensure appropriately registered

Employee Resourcing Department will ensure that qualifications stated on application are supported by appropriate documentation

Occupational health will provide specialist confidential advice to the employer and the applicant and provide the results of the check to the Recruiting Manager and Employee Resourcing Department

Line Managers will be kept informed at all stages of the Recruitment process in order that decisions can be made with appropriate information

1.INTRODUCTION

1.1Effective recruitment processes and on-going employment checks are essential to ensure the highest standards of patient care and safety within Portsmouth Hospitals NHS Trust (“the Trust”).

1.2The Trust is committed to equality of opportunity in employment and the recruitment of a diverse workforce regardless of race, gender, age, religion or belief, nationality, sexual orientation (including transgender), criminal conviction history or disability. The Trust aims to positively support the recruitment of a diverse workforce in line with our Single Equality Scheme.

1.3All applications for work will be decided fairly and on merit. Information declared will be used to consider the applicant’s suitability for the position, will be treated in confidence, and will not be used as the sole criteria to decide an applicant’s fitness for the position.

1.4This policy has been written in the spirit of the NHS Constitution | Department of Health

2.PURPOSE

2.1This document provides a policy and protocol which ensures all checks relevant to employment, required by law and good practice are in place and operating effectively in the Trust

2.2The policy and protocol incorporates both pre-employment and on-going employment checks that need to be undertaken throughout an employee’s working life with the Trust.

2.3The policy and protocol will follow best practice with the overall aim of ensuring patient safety and the highest standards of healthcare.

3.SCOPE

3.1Thispolicy and protocol will apply to the recruitment and selection of all staff for all posts whether advertised internally or externally, permanent or temporary. This policy and protocol will also apply to:

  • All employees of the Trust;
  • Temporary and bank workers, including those engaged through third party agencies, as long as these are on the Government Procurement Service framework. Those individuals employed byGovernment Procurement Service agencies will have undergone the employment checks required by the Government Procurement Service framework ;
  • Non Executive Directors;
  • People undertaking work for, but not employed by, the Trust (e.g. Honorary Contract, Military/MOD personnel, volunteers, work experience students). Those staff employed by the Military/MOD will have undertaken employment checks as a requirement of their own employer.
  • Staff on secondment to the Trust and/or holding Honorary Contracts
  • In the event of an infection outbreak, flu pandemic or major incident, the Trust recognises that it may not be possible to adhere to all aspects of this document. In such circumstances, staff should take advice from their manager and all possible action must be taken to maintain on-going patient and staff safety.

4.DEFINITIONS

Disclosure and Barring Service (DBS): helps to protect children and vulnerable adults by providing a service to support organisations recruiting people into positions of Trust through providing written confirmation of criminal convictions.

Disclosure: a process whereby parties inform ("disclose") to other parties the existence of any relevant documents, facts or information that are, or have been, in their control

European Economic Area (EEA): countries included are Austria, Belgium, Bulgaria, Czech Republic, Cyprus, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Republic of Ireland, Italy, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, the Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden and the UK

Electronic Staff Record (ESR): HR and payroll system, which records personal data of all employees.

General Medical Council (GMC): Professional Registration body for Medical Staff.

Honorary Contract: covers someone who is undertaking work on behalf of the Trust but is not employed by the Trust.

Health Professions Council (HPC): Professional Registration body for Allied Health Professionals

Hospital Play Staff Education Trust (HPSET): The Hospital Play Staff Education Trust (HPSET), formerly the Hospital Play Staff Examination Board (HPSEB), is the registration body for Qualified Hospital Play Specialists.

Nursing and Midwifery Council (NMC): Professional Registration body for Nurses and Midwives

Government Procurement Service (formally Buying Solutions – Health): an executive agency of Department of Health, in place to manage the NHS supplies chain.

Refugee: a person who has been given leave to remain on the basis of a successful asylum application.

Asylum seeker: a person who has made an application for asylum, but whose application is yet to be decided upon.

Points Based Immigration System: devised and implemented in November 2008, part of government legislation to control immigration and migrant workers in the UK:

Tier 1 – Highly Skilled Individuals

Tier 2 – Skilled workers with job offers with UK companies

Tier 4 – Students

UK Border Agency: responsible for securing the United Kingdom borders and controlling migration in the United Kingdom, enforcing immigration and customs regulations. It is also responsible for considering applications for permission to enter or stay in the United Kingdom, citizenship and asylum.

5.DUTIES AND RESPONSIBILITIES

The HR Senior Leaders Forum

The Forum, chaired by the Director of Organisational Development and HR, comprises the Head of Learning and Development, Head of Workforce Information, Head of Employee Resourcing, and all senior HR Managers. It is responsible for ensuring that all exception reports are reviewed and appropriate action plans developed to address any identified issues.

The Head of Employee Resourcing

The Manager is responsible for ensuring that:

  • Effective and robust systems and processes are in place for all checks to be undertaken legally and in line with good practice.
  • Training is provided to HR staff to enable them to operate within best practice and legal parameters.

The Employee Resourcing Team

The Team is responsible for ensuring that the processes outlined in this policy are adhered to and any issues with compliance are escalated to the Head of Employee Resourcing

Occupational Health Team

The Team is responsible for providing specialist confidential advice on fitness for work and reasonable adjustments if required to the recruiting manager and the applicant. They will provide the results of the occupational health check (including an interview with an occupational health advisor or physician if required) to the recruiting manager who should make a decision on employment based on this advice. The Occupational Health department will also advise on relevant workplace immunisations, vaccinations and serology testing, to meet department of Health standards on healthcare workers.

Duty Manager

The Manager is responsible for ensuring that, when agency staffs are booked out of hours, the agency provides proof of DBS checks, professional registration, rights to work and references

Recruiting / Line Managers

Managers are responsible for ensuring that all employment policies and procedures are adhered to, in respect of both new and current staff and that any advice received from the Employee Resourcing Teams is followed. Managers will also report any potential exceptions to the Head of Employee Resourcing

Applicants, Employees (permanent or temporary), Honorary (unpaid) and Students

All the above will:

  • Provide the Trust with timely and accurate information for all requested checks;
  • Ensure that professional registration is maintained (where appropriate) in line with the Trust’s Protocol and Procedure for Statutory Registration of Professional Staff;
  • Advise their line manager or supervisor of any change to their circumstances ;
  • Inform their line manager should they be charged with an offence or their status with regard to the above checks changes during their employment.

6.PROCESS

6.1 Pre-employment checks

6.1.1 Offers of employment will be conditional on receipt of satisfactory employment checks.

6.1.2All applicants for employment with the Trust will be subject to the following pre-employment checks where appropriate and required for the post:

  • Eligibility to work in the UK
  • Identity Check
  • Disclosure and Barring Service Check (DBS)
  • Professional registration
  • References and employment history
  • Validation of qualifications
  • Pre-employment health check as per NHS Employers standard
  • Credit Check (Board Level and some Finance Staff)
  • Disqualified Directors Check (Director level responsibility)
  • Bankruptcy/Insolvency Register Check (Director level responsibility).
  • Annual Self Declaration ( Form to be completed by candidate)

6.1.3 Checks that are undertaken will be those deemed relevant and appropriate for the role to be undertaken. The Trust will ensure that the information is available only to those who need to have access in the course of their duties.

6.1.4 All information will be securely stored and destroyed within the required time limits.

6.1.5 Any information obtained by the applicant or from previous employers/educational providers about medical history such as sickness absence, relevant hospital admissions and medications must be be with the applicants consent. Once the individual is appointed, this information (including immunisation history, health monitoring and referrals) will form part of their occupational health record which will be stored in a secure place within the Occupational Health Department and will not be kept as part of their personnel record.

6.1.6 Failure by an applicant or employee to provide accurate information in a timely manner is a serious matter. Where it is found that an individual has declared inaccurate information it may disqualify them from appointment or be considered to be Gross Misconduct which may result in their dismissal (please see the Trust’s Discipline for Staff Policy).

6.1.7 In the event of unsatisfactory check(s) being received, this will be escalated to the Recruiting Manager to make a full review of the facts and circumstances and make a decision to recruit.

6.1.8 The process will be documented and retained, including details of the full reasons for the decision to either a) recruit or b) withdraw the job offer.

6.1.9 Where temporary bookings are made off the Government Procurement Service framework, the following arrangements will take place:

  • References, ID, proof of DBS check andrights to work in the UK will be requested from the Agency. If appropriate a check of their professional registration will be undertaken.
  • If booked out of hours, the Duty Manager booking off the framework will need to request the agency to fax/e-mail proof of:
  • DBS check
  • References
  • Professional Registration
  • Rights to Work

6.1.10Audits will be undertaken to ensure that checks are carried out by external agencies; the results of that audit will be reported to the Workforce Governance Committee, for any appropriate action to be taken.

6.1.11 Fit And Proper Person’s Test ( Director level responsibility appointments)

On appointment the following checks will be undertaken:

Credit Check - candidates will complete a form providing details of previous names and addresses and sign to allow a credit check to be undertaken. Human Resources will forward the credit check form to the Credit Search Agency who will undertake the search on the candidate.

Bankruptcy/Insolvency Register Check - a check against the Disqualified Directors Register held by Companies House. It is a register of persons who have either been disqualified through a court order or by an undertaking of the Insolvency Service from being directors of companies or members of LLPs. The register shows the length of time the director or member has been disqualified. It also shows the section of the Company Directors Disqualification Act 1986 that the director has been disqualified under.

The Employee Resourcing Team will also check if a person has been made bankrupt and their bankruptcy is still in force, if this is the case then they cannot act as a director. The bankruptcy register is held by the Insolvency Service and can be accessed via .

6.1.12These checks will be undertaken annually to confirm nothing has changed by completion fo the annual declaration and Bankruptcy/Insolvency register checks.

6.2Eligibility to work in the UK and Identity Check

6.2.1 The Trust has a responsibility to prevent illegal migrant working in the UK. An individual must produce documents to prove they are permitted to work in the UK and that their identity is genuine.

6.2.2 If an individual is not subject to immigration control, has no restrictions on their stay in the UK or is a UK citizen, then they will still be required to produce a document or a specified combination of documents (Appendix A) prior to commencing employment.

6.2.3 Where the leave to enter or remain in the UK granted to an individual is time limited, the document or documents required to be produced prior to commencing employment are specified in Appendix B.

6.2.4 Where the individual has limited leave to be in the UK the checks will be repeated on that employee by Employee Resourcing at least once every twelve months, until they provide specified document or documents indicating that they can remain permanently in the UK from List A, or until they leave the Trust’s employment.

6.2.5 All documents provided by individuals must be checked following guidance on Appendix D. A certified copy of the documents is to be kept on the personal file.

6.2.6 Certain documentation is accepted as proof of an individual’s identity and this must be produced prior to commencement of employment (Appendix I).

6.3Certificates of Sponsorship under Tier 2

6.3.1If a prospective employee is not a British Citizen or a citizen of one of the EEA countries, they are likely to require a sponsorship certificate which will be applied for by the Trust to undertake employment. There are certain exceptions including:

  • Swiss nationals
  • a family member of an EEA or Swiss national who is in the UK exercising their treaty rights or a family member of an EEA or Swiss national who intends to join them in, or is travelling with them to, the UK
  • a citizen of Gibraltar
  • a Commonwealth citizen with permission to stay in the UK on the basis of UK ancestry.

6.3.2 If a recruiting or line manager has questions about the likelihood of their post being suitable for a Tier 2 sponsorship certificate they should contact Employee Resourcing for further information.