Appointment of staff policy

Standard operating procedure for the recruitment and retention premia (RRP) can be found at recruitment and retention premia procedure.

1 Introduction

The successful recruitment and selection of staff is a key objective in becoming an employer of choice that attracts the best and supports the delivery of high quality patient care. The trust aim is to recruit high calibre staff possessing the skills and values consistent with the objectives and values of the trust, ensuring equality, diversity and Inclusion runs through our recruitment processes and that our workforce reflects the communities we serve.

2 Purpose

This policy sets out standards that support the trust’s responsibilities to:

• ensure that our recruitment practices are carried out in compliance with the standards set out by NHS Employers and all relevant employment legislation
• have a recruitment process that is free from bias and discrimination
• encourage inclusive recruitment and selection processes that are fair and transparent

3 Scope

This policy applies to the appointment of all directly employed staff to a post within the trust, and should be considered in conjunction with the accompanying safe and inclusive recruitment toolkits, which provide clear guidance on the key stages involved in the recruitment process

This policy does not cover the provision of bank and agency workers.

While this policy sets out our standard recruitment procedure, it is acknowledged that alternative approaches are available to support our commitment to widening access into employment for underrepresented communities.

4 Responsibilities, accountabilities and duties

4.1 Executive director of people and organisational development

Overall responsibility for the implementation of this policy

4.2 Recruiting managers

Responsible for ensuring that they follow the correct procedure and undertake the appropriate checks in relation to recruiting staff within their service area.

4.3 Recruitment team

Responsible for:

• providing an administrative function for the end to end recruitment process
• training recruiting managers in the correct process as set out under this policy
• updating recruiting managers in line with any legislative changes and or national guidance
• providing advice to recruiting managers regarding the implementation of this policy and process
• ensuring key performance indicators (KPIs) are monitored and measured

4.4 Procurement team

Responsible for ensuring that the employment agencies used by the trust are registered on the appropriate framework agreements under the NHS workforce alliance and that the associated agreement incorporates the mandatory NHS employment checks standards.

5 Procedure

The safe and inclusive recruitment toolkits underpin the principles outlined in this policy to ensure a fair and consistent approach and should be referred to for best practice guidance. Additionally, the recruitment flowchart (appendix A) and recruiting managers checklist (appendix B) summarise the recruitment process steps and responsibilities of the recruiting manager and the Recruitment team at each stage.

5.1 Stage 1, advertising a vacancy

5.1.1 New vacancy request approval process

A new vacancy request approval process operates within the trust whereby permission to advertise and fill a post or undertake any variations to the designation or band of posts or post holders must be sought by completing a new vacancy request via the Trac recruitment system.

5.1.2 Skill mix review

Prior to initiating any recruitment the recruiting manager, in collaboration with clinical and, or professional leads, should review the service need to establish how or if the vacancy should be filled. This may include reviewing the skill mix of the team and whether an apprenticeship could be considered.

5.1.3 Job description or person specification

Job descriptions and person specifications should be separate and distinct and should be reviewed by a manager or professional lead familiar with the requirements of the role prior to advertising, to ensure that they remain up to date and relevant.

The job description will describe the duties, responsibilities and level of seniority associated with the post, while the person specification will describe the type of qualifications, training, knowledge, skills and experience that are both essential and desirable for the post which will form the basis for:

• the job advert
• shortlisting criteria
• interview questions
• interview selection

All new job descriptions or person specifications and where significant changes have been made to an existing job description and person specification must be submitted to an Agenda for Change Job Matching Panel. Additionally, if your job description is over 3 years old it should be submitted for a quality assurance review. For further information on this process refer to the Agenda for Change job matching and evaluation process procedure.

A job description or person specification template can be found at appendix C.

5.1.4 Placing an advert

The recruiting manager is required to submit a job advert via the Trac recruitment system when completing a new vacancy request (see section 5.1.1). Once a vacancy is approved all adverts are then checked and processed centrally by the Recruitment team and uploaded onto the NHS Jobs website and any other appropriate media. Adverts will only be processed upon successful approval of a vacancy including receipt of a job description, person specification and a confirmed interview date.

To reach our ambition of being an employer of choice we are committed to creating a culture where flexibility is welcomed. All vacancies are advertised as a flexible working opportunity and managers are asked to consider all flexible options when recruiting to a post.

5.1.5 Apprenticeship first

The trust is committed to improving opportunities to enter employment via apprenticeships. Our apprenticeship first approach means that all band 2 and 3 vacancies are advertised as an apprenticeship opportunity. This approach will support widening participation of underrepresented communities in our workforce.

5.1.6 Advertising options

All vacancies are advertised on the NHS Jobs website. An advert template can be found at Appendix D. There are three options to consider when placing an advert:

• external recruitment: the vacancy will be advertised via the NHS Jobs website and all associated employability sites, for which anyone can apply.
• internal recruitment: the vacancy will be advertised via the NHS Jobs website, but applications will be limited to employees internal to the trust
• expression of interest (EOI), to be used for time limited vacancies including:
  • short term vacancies where the post holder will be returning to work (for example, acting up, internal or external secondments, long term sickness, maternity or paternity leave) of up to 6 months
  • short term funded vacancies of up to 6 months
  • where there are financial constraints, for example, the position of the person appointed may not be backfilled, and therefore any additional costs within the directorate or team are kept to a minimum

Alternative advertisement methods should only be considered in exceptional circumstances and authorisation sought from the service manager before proceeding.

Further information on advertising options can be found in the safe and inclusive recruitment toolkit 3: advertising a role.

5.2 Stage 2: shortlisting

Shortlisting should be undertaken by a minimum of 2 people, one of whom would normally be the line manager. Those involved in shortlisting should also form the diverse interview panel (see section 5.3.1). Applicants should be shortlisted against the relevant criteria detailed in the person specification. Shortlisting is undertaken via the Trac recruitment system.

5.2.1 Guaranteed interview schemes

A recruiting manager will guarantee interviews to applicants who meet the essential requirements of the person specification in the following circumstances:

• applicants who disclose a disability
• applicants from the armed forces
• internal candidates who are deemed “at risk”

5.3 Stage 3: interview

Candidates are invited to interview by the Recruitment team via the Trac recruitment system using the details provided by the recruiting manager.

5.3.1 Interview panels

Interview panels should be diverse and wherever possible representative of a variety of protected characteristics and hold the relevant professional or operational knowledge to assess each candidate appropriately. Interview panels should consist of a minimum of 2 people. The lead Interviewer should have completed safe and inclusive recruitment training to prevent the risk of bias.

The lead interviewer should be of a higher band than the post being recruited to and other panel members of equivalent or higher band to that of the post being recruited to. You may have an additional independent panel member who can be of any banding that will add experience to your decision-making.

5.3.2 Assessment methods

A range of assessment methods for both the essential and desirable criteria of the role should be considered as part of the interview process. This could include presentations, situational judgement tests, clinical assessments and psychometric assessments. Assessments must be administered by appropriately trained and experienced staff and should be relevant to the role.

Further information on different assessment methods can be found in the safe and inclusive recruitment toolkit 4: interview and selection.

5.3.3 Reasonable adjustments

All interview candidates should be asked regarding any reasonable adjustments required to support attendance at interview. Should adjustments be requested, advice can be sought from the Recruitment team regarding how these can be accommodated.

5.3.4 Scoring

The interview panel should discuss and agree the interview questions and scoring criteria of these and any other assessment methods in advance and have a clear understanding of what is expected of the candidate. An interview scoring sheet template can be found at appendix E.

Notes recording the important points of the interview should be taken and referred to when scoring against agreed criteria. Interview notes and scores should be kept for a minimum of 6 months by the recruiting manager.

5.3.5 Mandatory checks to be completed at interview

The following mandatory checks should be completed at interview for all candidates:

• an initial photographic ID check
• check any essential qualifications required for the role
• check professional registration required for the role (if applicable)
• check that references detailed on the application form are appropriate and cover the last 3 years of employment
• explore any gaps in employment
• explore any declared information regarding previous criminal offences

5.4 Stage 4: initial conditional offer of employment

Following interview, the recruiting manager will notify the Recruitment team of the successful candidates via the Trac recruitment system. The Recruitment team will then send a conditional offer of employment to the successful candidates detailing the conditions under which the offer has been made, and any pre-employment checks required prior to commencing employment, which will be completed in line with the NHS employment check standards.

There are limited conditions under which a conditional offer of employment may be made:

• subject to verification of identity
• subject to satisfactory references
• subject to satisfactory work health assessment
• subject to successful completion of training and associated achievement of required qualifications
• subject to Disclosure and Barring Service (DBS) clearance, including barred lists as appropriate
• subject to continuing accuracy of declaration form
• subject to confirmation of and ongoing entitlement to work in the UK

No other form of conditional offer is permitted by the trust without the explicit approval of the trust’s Human Resources team.

All pre-employment checks must be carried out in compliance with the Data Protection Act (2018) and General Data Protection Regulation (GDPR). Checks should not be made routinely on every applicant and should not be used as a tool for short-listing candidates. Where information is requested prior to a provisional decision being made on the successful applicant, this must be justified, for example to protect patients or staff, and done in consultation with the candidate.

A final unconditional offer of employment cannot be issued until all pre-employment checks have been undertaken. Should the pre-employment checks not be satisfied, the candidate will not progress to an unconditional offer of employment.

Guidance on the process for following up those who fail to satisfy the pre-employment check requirements can be found at appendix F.

All agency workers are recruited via employment agencies approved by the NHS workforce alliance and as part of the contractual agreement with the trust are required to adhere to the NHS Employers employment check standards.

5.4.1 Employment check consent form

It is important to make it clear to prospective employees that any documentation relevant to the post applied for will be checked for authenticity, and that any appointment will be subject to the relevant checks being carried out. An employment check consent form must be signed by the successful candidate and returned to the Recruitment team.

5.4.2 Unsuccessful candidates

Unsuccessful candidates should be dealt with courteously and sensitively. The recruiting manager is responsible for contacting candidates after interview to communicate the outcome of the interview and to offer the opportunity for feedback about their performance in the interview process.

Further information on providing feedback can be found in the safe and inclusive recruitment toolkit 4: following the interview.

5.4.3 Withdrawing an offer of employment

Offers of employment may only be withdrawn in consultation with the team. The grounds for withdrawal must be clear and related to one of the conditions of the employment offer, and the offer of employment rescinded in writing.

5.4.4 Employment check consent

It is important to make it clear to prospective employees that any documentation relevant to the post applied for will be checked for authenticity, and that any appointment will be subject to the relevant pre-employment checks being carried out. Prospective employees are required to provide authorisation to complete these employment checks via the Trac recruitment system prior to the checks being undertaken.

5.4.5 Verification of identity

Verification of a prospective employee’s identity will be undertaken in line with the NHS employers identity check standard.

Copies of the original relevant documentation should be checked for authenticity, copies taken, signed and dated and kept on the personal file in a secure place.

Identification should again be verified via an approved form of photographic identification (ID) on the employees first day of employment.

Identification should again be verified via an approved form of photographic ID on the employees first day of employment.

The identification of any bank and agency workers must be verified by the provider in line with the NHS Employment check standards. A photographic identity document (for example, ID card) must be checked by the manager on duty or an appropriate delegate on the bank or agency workers first attendance for duty.

5.4.6 Employment history and reference checks

Employment history and reference checks will be undertaken in line with the NHS employers employment history and reference checks standard.

Where an applicant is an existing NHS employee a standard reference request will be issued and additional checks regarding employment dates will be verified through the electronic staff record (ESR) using the inter authority transfer (IAT) functionality.

Explanations must be sought during the interview stage in relation to any missing or unsuitable references and any gaps in employment. For the purposes of checking employment history, references must provide details on dates of employment and the position held.

If there are any difficulties obtaining references in line with the NHS employers standard advice should be sought from the Recruitment team.

5.4.7 Employment work health assessments

The candidate must undergo an appropriate work health (occupational health) assessment in line with the NHS employers work health assessment standard.

All checks must take into account the requirements of the Equality Act (2010). If the assessment indicates that adjustments may be required to undertake a role, recruiting managers must contact the Recruitment team or Equality, Diversity and Inclusion team for advice on the suitability of adjustments or restrictions required.

As part of the work health assessment, appointees will also be required to provide documentary evidence to the occupational health department in relation to immunisations for positions which involve patient or service user contact.

5.4.8 Professional registration and qualification check

Where a professional registration or specific qualifications form part of the essential requirements for the position being applied, these will be checked by the recruiting manager at interview, in line with the NHS employers professional registration and qualification check standard.

Where recruiting managers struggle to verify qualifications advice should be sought from the Recruitment team.

5.4.9 Criminal record check

The trust must satisfy itself that there are no issues of this nature, either past or current, which would compromise the applicant’s suitability for appointment. Therefore, where appropriate, a criminal record check will be undertaken via the Disclosure and Barring Service (DBS) in line with the NHS employers criminal records check standard.

All new employees to the trust will require a new Disclosure and Barring Service check where they are applying for a position within a regulated activity. Where a new employee has subscribed to the Disclosure and Barring Service update service, permission will be sought to conduct an online check, provided the new position does not alter the type or level of check required.

Appendix F lists the appropriate level of disclosure for each occupation group and service area.

In exceptional circumstances, recruiting managers may make a risk-based decision to allow an individual to take up their role before the outcome of their Disclosure and Barring Service check is known. However, this decision should be made in conjunction with human resources advice and the new employee restricted to non-regulated, supervised activity until the outcome of the check is known.

Previous disclosures from other organisations are not acceptable to the trust.

Any candidates who have spent a consecutive period of six months of more outside the UK will need to provide evidence of an overseas police certificate or certificate of good conduct (also known as a certificate of clearance) from the relevant country or countries in addition to the normal Disclosure and Barring Service check. For such cases advice should be sought from the Recruitment team.

Any candidates who have declared that they have been serving in the military can be requested to provide an extract from their military service record which would include any offences they may have been charged with whilst serving in another country. This may negate the requirement for, obtaining an overseas police certificate or a Disclosure and Barring Service check.

A new Disclosure and Barring Service check will not be required where an existing member of staff changes role within the trust and their roles and responsibilities of the new job do not change the type or level of Disclosure and Barring Service clearance required. The trigger for a new check is where:

• they have never had a Disclosure and Barring Service (DBS) or Criminal Records Bureau (CRB) check before and are moving into regulated activity which requires an enhanced disclosure, which may also include a check against the children’s list and or adults (as applicable)
• they have previously only had a standard level disclosure and are moving into regulated activity which requires them to have a higher level disclosure
• there has been a break of service for more than three months between leaving the old position and taking up the new position or in flexible retirement cases where the employee has not previously had a Disclosure and Barring Service or Criminal Records Bureau check or a Disclosure and Barring Service or Criminal Records Bureau check at the appropriate level
• it has been over 3 years since last Disclosure and Barring Service check carried out by the trust

There will be instances where periodic checks will be undertaken in line with contractual or governing body regulations.

Where it is declared that an applicant has been convicted of a criminal offence contact the Recruitment team for guidance on how to proceed.

Recruiting managers must also ensure that they are satisfied that any agency workers have the appropriate level of DBS check before commencing work in any service area. This will be verified by the relevant employment agency prior to the agency worker commencing in post.

5.4.10 Self-declaration forms

Applicants who apply for any positions which are exempt from the Rehabilitation of Offenders Act (1974) will be required to complete a self-declaration form. This is in addition to completing a disclosure and barring service (DBS) check. Self-declaration forms can be found at appendix H.

5.4.11 Entitlement to work in the UK

When checking an applicant’s identity, their right to work in the UK will also be checked in line with the Immigration Act (2016), following the NHS Employers right to work checks standard and the Home Office employers guide to right to work checks.

All successful applicants must have their right to work documentation validated by a government approved identity service provider or a member of the Recruitment team.

A record must be kept of every document checked. This can be hardcopy or a scanned copy in a format which cannot be manually altered. A record of the date on which a check was made must be retained, either by making a dated declaration on the copy or in a separate record, held securely

The trust holds a sponsorship licence and can act as a sponsor if a successful candidate requires additional documentation to work within the UK. Should the trust believe the candidate meets the requirements for a skilled worker visa, they are required to issue a certificate of sponsorship (Cos) which the candidate will use to support their application. In this instance, advice must be sought from the Recruitment team. The candidate will not legally be able to commence employment until the certificate of sponsorship and visa applications have been approved and authorised documentation validated.

5.4.12 Language competency

In line with the code of practice on the English language requirement for public sector workers, all public facing roles within the NHS require a proportionate level of English language proficiency for written and verbal communication.

Recruiting managers must ensure that applicants have the necessary linguistic skills to undertake the type of role they are appointing to. If recruiting managers have any concerns in relation to language competency they should contact the Recruitment team or Equality, Diversity and Inclusion team for further advice.

5.4.13 Relocation or removal expenses

New employees who are required to relocate for the purpose of taking up their new employment with the trust may be eligible to apply for relocation or removal expenses. The new employee should refer to the eligibility criteria detailed within the relocation or removal expenses procedure.

5.5 Stage 5: final unconditional offer of employment

When all required pre-employment checks have been completed and the terms of the conditional offer have been satisfied an unconditional offer of employment will be sent to the candidate by the Recruitment team confirming the offer, start date and stating the main terms and conditions of employment.

In the event that pre-employment checks have not been satisfied, the Recruitment team will notify the recruiting manager and discuss next steps. Any other circumstances in which an offer is to be withdrawn should be discussed with the recruitment team.

5.5.1 Contract of employment

A contract of employment will be issued to the recruiting manager prior to the candidate’s first day of employment. The recruiting manager is responsible for ensuring the contract of employment is accurate and is issued to the candidate no later than their first day of employment.

The new employee will have access to the trust employment handbook and the Agenda for Change terms and conditions of service handbook which can be found on the trust website.

5.5.2 Induction arrangements

On completion of the selection process and once a start date has been confirmed, the Recruitment team will make the appropriate arrangements for formal trust induction of the new employee.

The recruiting manager will make arrangements for the new employee’s first day of employment including a local induction process.

5.5.3 Fixed-term contracts

Fixed term contracts should only be used where there are operational requirements that restrict the offer to a specific period of time, for example:

• cover for extended absence from work such as maternity or sick leave
• management of organisational change
• time limited project
• short term funding

Any member of staff appointed on this basis must be kept informed about their contractual position, its reason and likely duration.

Recruiting managers should undertake a careful review of the duration of fixed term contracts on a regular basis to maintain a proper balance between the interests of the employer and those of the employee.

Extensions to fixed term contracts must be agreed through the new vacancy request approval process (see section 5.1). It is not appropriate to use successive fixed term contracts unless there is a clear and justifiable reason for doing so and should only be issued for a maximum of 4 years.

Where an employee has accrued 4 years continuity of service on fixed term contracts with the trust or predecessor employers (where transfer of undertakings (protection of employment) regulations (TUPE) has applied) they will automatically acquire substantive status, unless there is an objectively justifiable reason that this should not be the case. In such instances advice must be sought from the human resources department.

Further information on fixed term contracts can be found via the leaving employment policy and procedure.

5.5.4 Probationary contracts

Employment contracts for all new starters to the trust include a paragraph that confirms that the offer of employment is subject to a probationary period of six months. This does not apply for existing employees who are changing roles within the trust.

Guidance on probationary periods can be found via the probationary periods procedure.

5.6 Use of bank, agency workers and volunteers

5.6.1 Bank and agency workers

The trust uses NHS Professionals to cover any service gaps that cannot be covered internally with bank workers. Where this is not possible, and agency workers are to be considered, the agency approval process should be followed

It is essential that persons whose services are hired by the trust, and who are not employees of the trust, are subject to checks that are no less rigorous than for substantive employees. It will be for the trust to satisfy itself that the other party carries out the necessary checks.

5.6.2 Volunteers

It is essential that persons whose services are recruited by the trust on a voluntary basis are subject to checks that are no less rigorous than for substantive employees. Further information on volunteers is contained in the volunteers policy.

5.6 International recruitment

Where the trust chooses to engage in international recruitment practices in order to recruit in to ‘hard to recruit to’ posts, this will be done in line with the UK code of practice for international recruitment and in full adherence to the NHS employers employment check standards.

6 Training implications

6.1 Recruiting manager

• How often should this be undertaken: once, with updates should there be a legislative change.
• Length of training: various.
• Delivery method: one-to-one recruitment and selection training and or briefings. Facilitated training sessions. Online supporting information.
• Training delivered by whom: Recruitment team.
• Where are the records of attendance held: electronic staff record (ESR).

6.2 Human resources recruitment team

• How often should this be undertaken: on appointment and as changes to the standards occur.
• Length of training: half day.
• Delivery method: local induction and coaching or supervision.
• Training delivered by whom: Recruitment team.
• Where are the records of attendance held: electronic staff record (ESR).

6.3 Staff side or recruiting managers admin support staff

• How often should this be undertaken: on appointment and as changes to the standards occur.
• Length of training: various.
• Delivery method: briefings by the Recruitment team on relevant procedures.
• Training delivered by whom: Recruitment team.
• Where are the records of attendance held: electronic staff record (ESR).

7 Monitoring arrangements

7.1 How the organisation monitors performance against set recruitment key performance indicators

• How: monthly key performance indicator (KPI) reports.
• Who by: Recruitment team leader.
• Reported to: care group delivery review meetings and NHS England Improvement.
• Frequency: monthly.

7.2 Equality and diversity monitoring

• How: equality diversity monitoring report via electronic staff record (ESR)
• Who by: head of human resources (workforce and transactional services).
• Reported to: people and teams group.
• Frequency: annually.

The recruitment process and procedures follow the mandatory NHS Employment Check Standards and Equality Act (2010). The checks are in compliance with the Data Protection Act (2018), General Data Protection Regulations (GDPR) Part V of the Police Act (1997), the Rehabilitation of Offenders Act (1974) (Exceptions) Order (1975) (as amended) and the Protection of Freedoms Act (2012) (which amends the Safeguarding Vulnerable Groups Act (2006)).

8 Equality impact assessment screening

To access the equality impact assessment for this policy, please see the overarching equality impact assessment.

8.1 Privacy, dignity and respect

The NHS Constitution states that all patients should feel that their privacy and dignity are respected while they are in hospital. High Quality Care for All (2008), Lord Darzi’s review of the NHS, identifies the need to organise care around the individual, “not just clinically but in terms of dignity and respect”.

As a consequence the trust is required to articulate its intent to deliver care with privacy and dignity that treats all service users with respect. Therefore, all procedural documents will be considered, if relevant, to reflect the requirement to treat everyone with privacy, dignity and respect, (when appropriate this should also include how same sex accommodation is provided).

8.1.1 How this will be met

This policy does not apply to patients; it is an employment policy.

8.2 Mental capacity act (2005)

Central to any aspect of care delivered to adults and young people aged 16 years or over will be the consideration of the individuals’ capacity to participate in the decision-making process. Consequently, no intervention should be carried out without either the individuals informed consent, or the powers included in a legal framework, or by order of the court.

Therefore, the trust is required to make sure that all staff working with individuals who use our service are familiar with the provisions within the Mental Capacity Act (2005). For this reason all procedural documents will be considered, if relevant to reflect the provisions of the Mental Capacity Act (2005) to ensure that the interests of an individual whose capacity is in question can continue to make as many decisions for themselves as possible.

8.2.1 How this will be met

All individuals involved in the implementation of this policy should do so in accordance with the guiding principles of the Mental Capacity Act (2005) (section 1).

9 Links to any other associated documents

• Safe and inclusive recruitment: toolkit overview (staff access only)
• Safe and inclusive recruitment toolkit 1: what is inclusive recruitment? (staff access only)
• Safe and inclusive recruitment toolkit 2: before advertising (staff access only)
• Safe and inclusive recruitment toolkit 3: advertising a role (staff access only)
• Safe and inclusive recruitment toolkit 4: interview and selection (staff access only)
• Safe and inclusive recruitment toolkit 5: following the interview (staff access only)
• Policy for the verification of employees professional registration
• Leaving employment policy and procedure
• Probationary periods procedure
• NHS Agenda for Change job matching and evaluation procedure
• Volunteers policy
• Policy for the management of local and corporate induction
• Relocation or removal expenses procedure
• UK code of practice for international recruitment
• Agency approval process

10 References

• NHS Employers Identity Check Standard.
• NHS Employers Employment History and Reference Checks Standard.
• NHs Employers Work Health Assessment Standard.
• NHS Employers Professional Registration and Qualifications Check Standard.
• NHS Employers Criminal Records Check Standard.
• NHS Employers Right to Work Checks Standard.
• Home Office Employers Guide to Right to Work Checks.
• NHS Workforce Alliance Framework.
• Equality Act (2010).
• Identity Documents Act December (2010).
• Immigration Act (2016).
• Regulated Activity (Adults), Department of Health August (2012).
• Protection of Freedoms Act (2012).
• Rehabilitation of Offenders Act (1974).
• Data Protection Act (2018).
• General Data Protection Regulations (GDPR).

11 Appendices

11.1 Appendix A recruitment flowchart

Refer to appendix A: recruitment flowchart (staff access only).

11.2 Appendix B recruiting managers checklist

Refer to appendix B: recruiting managers checklist (staff access only).

11.3 Appendix C example job description and person specification template

Refer to appendix C: example job description and person specification template (staff access only).

11.4 Appendix D advert template

Refer to appendix D: advert template (staff access only).

11.5 Appendix E interview scoring template

Refer to appendix E: interview scoring template (staff access only)

11.6 Appendix F following who fail to satisfy the pre-employment check

11.7 Appendix G declarations, disclosures and checks required by occupational group

Refer to appendix G: declarations, disclosures and checks required by occupational group (staff access only).

11.8 Appendix H self declaration form

Refer to appendix H: self declaration form (staff access only).

11.9 Policy and procedure on the recruitment of ex-offenders

11.9.1 Policy statement

The trust undertakes to treat all applicants for positions fairly and actively promotes equality of opportunity for all. Applications are welcomed from a wide range of candidates, including those with criminal records. Candidates are selected for interview and appointment based on their skills, qualifications, experience and the requirements of the post.

11.9.2 Scope

This policy and procedure applies to all prospective applicants for employment. It should be read as a part of the appointment of staff policy to which it is attached.

Many posts within the trust involve access to patients in the course of normal duties, these posts are exempt from the Rehabilitation of Offenders Act (1974) which means that applicants will be required to disclose all “spent” and “unspent” criminal convictions and cautions, which are not protected by the Disclosure and Barring Service (DBS) filtering rules, which will be taken into account as part of the recruitment process.

If successful at interview, that information together with information on cautions, convictions; police investigations and, or fitness to practice investigations must be disclosed via the completion of a trust declaration form.

These posts will also be subject to Disclosure and Barring Service screening procedures and the successful applicant will be asked to complete a disclosure form for submission to the Disclosure and Barring Service.

Applicants for posts that do not involve regulated and some controlled activities are covered by the Rehabilitation of Offenders Act (1974), and are therefore only required to declare criminal convictions that are not “spent”.

11.9.3 Principles

Any decisions regarding the recruitment of staff will be guided by the following principles:

• the trust has a duty to protect the service users, clients and staff in its care
• having a criminal record will not automatically bar you from working with the trust
• the trust will make a balanced assessment of the relevance of any previous conviction to the applicant’s suitability for employment
• a disclosure is only requested where it is relevant to the position concerned

11.9.4 Procedure

1. The trust, in using the Disclosure and Barring Service (DBS) service to assess applicants’ suitability for positions of trust will comply with the Disclosure and Barring Service’s code of practice.
2. Every individual who is subject to a Disclosure and Barring Service disclosure will be made aware of the existence of the Disclosure and Barring Service code of practice.
3. The existence of this policy on the recruitment of ex-offenders will be notified to all disclosure applicants.
4. For those positions where a disclosure is required, there will be a statement included with application forms that a disclosure will be requested in the event of the individual being offered the position.
5. The resulting information received will inform the recruitment decision-making process in accordance with principles set out above.
6. Managers involved in the recruitment process will identify and assess the relevance and circumstances of any offences declared, as directed within the following guidance. Managers requiring additional guidance regarding the relevant legislation relating to the employment of ex-offenders, for example. the Rehabilitation of Offenders Act (1974) should contact the human resources department.
7. At interview, or separately, an open and measured discussion will take place on the subject of any offences declared or other matters that might be relevant to the position, in accordance with the following guidance.
8. Failure by the applicant to reveal information that is directly relevant to the position sought could lead to withdrawal of an offer of employment and, or, where employment has commenced, action under the trust’s disciplinary procedures including dismissal.
9. The trust undertakes to discuss any matter revealed in a disclosure with the person seeking the position before withdrawing a conditional offer of employment.

11.9.5 Guidance for managers on the recruitment and selection of ex-offenders

There are 4 stages during the recruitment and selection process where an applicant may disclose information regarding previous criminal offences:

For all posts:

• application form: the applicant is asked to declare if they have ever been found guilty of a criminal offence
• interview: the applicant is questioned further about any offences declared

For posts exempt from the Rehabilitation of Offenders Act (1974), that is posts requiring a Disclosure and Barring Service (DBS) check:

• declaration form: the provisionally selected applicant is asked to complete and sign a written declaration of any previous offences
• Disclosure and Barring Service disclosure: information is received from the Disclosure and Barring Service detailing any previous offences of the provisionally selected applicant

At all four stages, the recruiting manager will need to make an assessment of the significance of any offence in relation to the post

Objective assessments will:

• focus on a person’s abilities, experience and qualifications
• consider the nature of the conviction and its relevance to the job in question
• identify the risks to the organisation’s business, service users, clients and employees
• recognise that having a criminal record does not always mean lack of skills, qualifications and experience
• note that high-quality training, leading to qualifications, is available in many prisons

In some cases, the relationship between the offence and the post will be clear enough for the organisation to decide easily on the suitability of the applicant for the job. To some extent an organisation may be bound by legal constraints.

Where there is no clear relationship between the offence and the post and the applicant meets all the essential criteria for the job, he or she should be short listed for interview, where the details of the offences should be discussed in more detail.

You will need to take these issues into account:

• the seriousness of the offence and its relevance to the safety of other employees, service users, clients or property
• the length of time since the offence occurred
• any relevant information offered by the applicant about the circumstances which led to the offence being committed, for example, the influence of domestic or financial difficulties
• whether the offence was a one-off, or part of a history of offending
• whether the applicant’s circumstances have changed since the offence was committed, making re-offending less likely
• whether the offence has been decriminalised by Parliament
• the country in which the offence was committed. Some activities are offences in Scotland and not in England and Wales, and vice versa
• the degree of remorse, or otherwise, expressed by the applicant and their motivation to change

An assessment of an applicant’s skills, experience and conviction circumstances should be weighed up against the risk assessment criteria for the job:

• does the post involve regulated with children or other groups as employees, service users or clients?
• what level of supervision will the post holder receive?
• does the post involve any direct responsibility for finance or items of value?
• does the post involve direct contact with the public?
• will the nature of the post present any opportunities for the post holder to re-offend in the course of work?

Where a recruiting manager is satisfied that the details of an offence would not compromise the provisionally selected applicant’s suitability for the post, the applicant should be offered the job provisionally, with the condition that the Disclosure and Barring Service disclosure does not reveal any offences not previously mentioned by the applicant. Whilst waiting for the disclosure to come back, the provisionally selected applicant should be asked to complete the relevant declaration.

There is a limit to the usefulness of information provided by a standard or enhanced disclosure. Where information is revealed, the disclosure will generally only provide the basic facts, the name and date of offences, for instance, and the sentence. It will not put them into context. There may therefore be a need for further discussions with the provisionally selected applicant.

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Document control

• Version: 11.
• Unique reference number: 257.
• Ratified by: people and teams clinical leadership executive group.
• Date ratified: 8 April 2025.
• Name of originator or author: people engagement manager.
• Name of responsible individual: director of people and organisational development.
• Date issued: 4 July 2025.
• Review date: 31 July 2028
• Target audience: recruiting managers, Procurement team and volunteer manager.
• Description of changes: full policy review.

Page last reviewed: July 09, 2025
Next review due: July 09, 2026

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