Appointment of staff policy

1. Introduction
2. Purpose
3. Scope
4. Responsibilities, accountabilities and duties
5. Procedure or implementation
6. Training implications
7. Monitoring arrangements
8. Equality impact assessment screening
9. Links to any other associated documents
10. References
11. Appendices

Standard operating procedure for the recruitment and retention premia (RRP) can be found here: Recruitment and retention premia SOP.

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 effective and 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.

2 Purpose

This policy sets out the responsibilities and actions required to ensure that the recruitment of newly appointed members of staff (or staff who have moved within the trust) is carried out in compliance with the standards set out by NHS employers and all relevant legislation.

3 Scope

This policy applies to the appointment of all directly employed staff to a post within the trust, including bank workers, and contains additional provisions relating to the engagement of agency workers and volunteers.

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
• maintain the in-house recruitment tracker to ensure KPI’s are monitored and measured
• audit of new starters within the trust on a bi-annual basis to ensure all appropriate checks have been undertaken by the recruiting manager

4.4 Purchasing department

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 or implementation

Recruiting managers should refer to the recruitment flowchart (appendix A) for detailed information on the recruitment process and responsibilities of the recruiting manager and the Recruitment team at each stage of the process.

5.1 Stage 1, advertising a vacancy

5.1.1 Establishment control process

An establishment control 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 an establishment control form (appendix C).

5.1.2 Skill mix review

Prior to initiating any recruitment the recruiting manager, in collaboration with clinical and professional leads, should review the service need. This may include reviewing the skill mix of the team.

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.

If a new role has been identified or significant changes have been made to an existing role, the job description and person specification must be submitted to an agenda for change panel for banding prior to the post being advertised.

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

5.1.4 Placing an advert

The recruiting manager is required to submit a job advert to the Recruitment team. All adverts are then checked and processed centrally by the Recruitment team and placed using the appropriate media. Adverts will only be processed upon receipt of an approved establishment control form, a job description, person specification and a confirmed interview date.

5.2 Stage 2, pre-interview selection (shortlisting)

Shortlisting should be undertaken by a minimum of 2 short listers. Applicants should be shortlisted against the relevant criteria detailed in the person specification.

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 NHS jobs website 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 interview chair should have completed equality and diversity training and recruitment and selection training to prevent the risk of bias.

5.3.2 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 candidate(s) by completing the successful candidate details form. The Recruitment team will then send a conditional offer of employment to the successful candidate(s) 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: Employment checks ,NHS employers (opens in new window).

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 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 department.

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 H.

Offers of employment may only be withdrawn in consultation with the human resources department.

All agency workers are recruited via employment agencies approved by the NHS workforce alliance. The approved employment agency are responsible for providing the purchasing department with evidence to satisfy the requirement of all pre-employment checks, in line with NHS employers employment check standards, before an agency worker is placed.

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 Verification of identity (including agency staff)

Verification of a prospective employee’s identity will be undertaken in line with the NHS employers identity check standard, identity checks, NHS employers (opens in new window).

Copies of the original relevant documentation should be 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 ID on the employees first day of employment.

In line with the NHS employment check standards the identification of any agency workers must be verified in the same way as permanent employees. Prior to commencement of work, the employment agency will provide confirmation to the Purchasing team that the worker’s identification has been verified and will issue an ID badge to the worker. This ID badge and another form of photographic identification must be checked by the recruiting manager or an appropriate delegate on the workers first attendance for duty and a copy taken, signed, dated and sent to the purchasing department to be held on record.

If at any point a replacement worker is provided by the employment agency then the steps outlined above to verify identity should be repeated for the replacement worker.

5.4.3 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: Employment history and reference checks, NHS employers (opens in new window).

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.

5.4.4 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, work health assessment, NHS employers (opens in new window).

All checks must take into account the requirements of the Equality Act 2010 in relation to any declared impairment. If the assessment indicates that adjustments may be required to undertake a role, recruiting managers must contact HR 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. At this current time, new employees are asked, on a voluntary basis, to disclose their COVID vaccination status.

5.4.5 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, professional registration and qualification checks, NHS Employers (opens in new window).

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

5.4.6 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, criminal record check, NHS employers (opens in new window).

All new employees to the trust will require a new DBS check where they are applying for a position within a regulated activity. Where a new employee has subscribed to the DBS 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.

An appointment to work with adults may only proceed prior to receipt of this clearance in exceptional circumstances, defined by written guidance issued through the trust’s human resources department. No member of staff can be appointed to work with children until their clearance has been received.

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 of the UK will need to provide evidence of a 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 DBS 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 for a consecutive period of six months or more in the last five years will need to provide an extract from their military service record which includes any cautions, etc instead of requiring an overseas police certificate.

A new DBS 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 DBS clearance required. The trigger for a new check is where:

• they have never had a DBS or 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 DBS or CRB check or a DBS or CRB check at the appropriate level
• it has been over 3 years since last DBS 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.

5.4.7 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.

5.4.8 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, and taking into account the requirements of the new points based immigration system which came into place on 01 January 2021.

• Right to work checks, NHS employers website (opens in new window).
• An employer’s guide to right to work checks (opens in new window).

All successful applicants must have their right to work documentation validated by a member of the Recruitment team.

The new points based immigration system identifies changes to the right to work entitlements for EU, EEA and Swiss citizens who have not secured UK right to work status via the EU settlement or pre-settlement scheme by 30 June 2021. Until this time, there will be no changes to the way that EU, EEA and Swiss citizens can prove their right to work. From 01 July 2021 any EU, EEA and Swiss citizens that do not have settled or pre settled status will follow the new process as outlined under the points based system.

The trust holds a sponsorship license 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 under the new points based system, 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.

Once checked, the relevant documentation should be photocopied, signed and dated and kept on file in a secure place both by the recruiting manager and the Recruitment team in relation to non UK nationals.

5.4.9 Language competency

In line with the Immigration Act 2016, 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 for further advice.

5.4.10 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 human resources department.

5.5.1 Contact 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 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 contacts

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 establishment control process. 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 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 contacts

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 the management of probationary contracts is available from the human resources department and should be followed by line managers.

5.6 Use of agency workers and volunteers

5.6.1 Agency workers

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 ensure either the trust carries out these checks themselves or takes action to satisfy itself that the other party carries out the necessary checks.

It is the responsibility of the purchasing department to ensure that the employment agencies used by the trust are registered on the NHS workforce alliance framework and request assurance that all pre-employment checks have been completed in line with the requirements detailed within the NHS employment checks standards.

Service level agreements (SLAs) will state clearly that the employment agency must send reliable staff to the trust and undertake employment checks according to the trust requirements.

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. On line supporting information.
• Training delivered by whom: Recruitment team.
• Where are the records of attendance held: Electronic staff record.

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.

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.

7 Monitoring arrangements

7.1 How the organisation monitors performance against set recruitment KPI’s

• How: Monthly KPI reports.
• Who by: Recruitment team leader.
• Reported to: People and organisational development.
• Frequency: Bi-monthly.

7.2 Equality and diversity monitoring

• How: Equality diversity monitoring report via ESR and NHS jobs.
• Who by: Head of HR (workforce and transactional services).
• Reported to: People and organisational development.
• Frequency: Annually.

7.3 How the organisation makes sure that checks are carried out by all external agencies used by the organisation in respect of agency workers

• How: Audit to ensure compliance with section 5.6 of the policy.
• Who by: Head of procurement and purchasing.

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 download the equality impact assessment associated with this policy please follow the link: EIA.

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

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

• Policy for the verification of employees professional registration
• Leaving employment policy and procedure
• Guidance on the management of probationary contracts
• Volunteers policy
• Policy for the management of local and corporate induction
• Relocation or removal expenses procedure
• UK code of practice for international recruitment

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

• Appendix A Recruitment flowchart

11.2 Appendix B Recruiting managers checklist

• Appendix B Recruiting managers checklist

11.3 Appendix C Establishment control form

• Appendix C Establishment control form

11.4 Appendix D Example advert template

• Appendix D Advert template

11.5 Appendix E Example job description or person specification template

• Appendix E Example JD and PS template

11.6 Appendix F Declarations, disclosures and checks required by occupational group

• Appendix F Declarations, disclosures and checks required by occupational group

11.7 Appendix G Policy and procedure on the recruitment of ex-offenders

11.7.1 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.

11.7.2 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 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’.

11.7.3 Principles

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

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

11.7.4 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 DBS’s code of practice.
2. Every individual who is subject to a DBS disclosure will be made aware of the existence of the DBS 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.

11.7.5 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:

11.7.5.1 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 offence(s) declared

11.7.5.2 For posts exempt from the rehabilitation of Offenders Act 1974, for example, posts requiring a DBS check:

• declaration form, the provisionally selected applicant is asked to complete and sign a written declaration of any previous offence(s)
• DBS disclosure, information is received from the DBS 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

11.7.5.3 Objective assessments will:

• 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

11.7.5.5 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 DBS 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.

11.8 Appendix H Process for following up those who fail to satisfy the pre-employment check requirements

11.8.1 Identity checks

11.8.1.1 Pre-employment check concerns

Stop recruitment process:

• consult with HR over possible reference to police and or NHS counter fraud specialist, relevant professional registration body etc.

11.8.1.2 Current employment check concerns

Immediately suspend the employee from duty:

• Implement disciplinary procedure and if necessary refer the issue to NHS counter fraud specialist, professional registration body based on HR advice.

11.8.2 Right to work checks

11.8.2.1 Pre-employment check concerns

Stop recruitment process:

• notify previous employer if applicable and the UK border agency

11.8.2.2 Current employment check concerns

Terminate the employee in accordance with the trust disciplinary policy. This should be done with the proviso that they will be reinstated if they can later prove the right to work in the UK.

Employees can work if they prove that their visa application is being processed. Employees must provide evidence for corroboration by HR.

If necessary refer the issue to NHS counter fraud specialist, professional registration body based on HR advice.

11.8 Appendix I Guidance on probationary contracts

11.8.1 Introduction

The trust operates a 6 month probationary period for all new employees to the organisation.

The provision of this guidance offers a framework by which probationary periods can be fairly and consistently implemented and managed across all services and localities throughout the trust.

The purpose of the probationary period is to allow both the employee and the manager to assess objectively whether or not the employee is suitable for the role, taking into account an individual’s overall capability, skills, performance, attendance and general conduct.

It is the line manager’s responsibility to ensure that all new employees are properly monitored during their probationary period and that any problems are addressed promptly to ensure that the employee is aware that some aspect of their performance or conduct is unsatisfactory, in order to prevent the problem from escalating.

11.8.2 Length of probationary period

The first 6 months of employment for new employees will be a probationary period. This may be extended for up to a further 6 months at the line manager’s discretion (there has to be documented reasons for this), provided none of the organisational standards have been breached.

11.8.3 Implementing a probationary period

The probationary period should be clearly outlined within the recruitment information, the new employees’ unconditional offer of employment and their contract of employment. It is the line manager’s responsibility to ensure that this contract of employment is issued, ideally prior to commencing in post and no later than within 8 weeks from commencing in post.

Upon commencing employment the line manager should meet with the employee to clearly outline the expectations of the role during the probationary period. This will include the following:

• the standards of performance that are required in respect of the job duties
• the expected levels of attendance required
• a description of the standards of behaviour expected
• any specific measurements against which the employee’s performance will be assessed

A full local induction should be arranged and any training requirements identified, following which a plan should be put in place to address these. The content of this meeting and agreed plan should be documented.

During the probationary period it is expected that the employee will meet the required level of performance identified upon commencing employment and maintain satisfactory levels of attendance at work, not breaching the triggers for monitoring outlined in the sickness absence policy.

Consideration needs to be taken during the probationary period, if the employee has a recognised disability. Occupational health advice should be sought if necessary and any reasonable adjustments considered or put in place, in order to enable the employee to reach an acceptable level of performance.

11.8.4 Reviewing progress during a probationary period

The line manager should review and assess the employee’s performance, capability and suitability for the role on a bi-monthly basis during the probationary period, and again at the end of the probationary period. A clear record of each review meeting should be made and a copy of this record passed to the employee and placed on the employee’s personal file.

During each bi-monthly review meeting the line manager should provide feedback to the employee about his or her performance and progress, and clearly identify any areas of concern for which a plan of support should be put in place to address these (this could include any
reasonable adjustments for disabilities). Should there be any specific incidents of concern arising, these should be raised with the employee as soon as possible with a view to resolving them and clearly evidenced with a copy to the employee.

Where necessary, the line manager should clearly explain the consequences of underperforming to the employee, including termination of employment.

Prior to the end of the probationary period a final review should be held where the employee’s performance and suitability for the post is considered. This meeting will involve a review of the employee’s performance, attendance and progress throughout the probationary period. This review meeting should be arranged shortly prior to but not after the last date of the probationary period.

Should the employee’s performance be satisfactory, the line manager may hold this meeting and should notify the employee and issue a letter of confirmation of substantive appointment. If the employee’s performance has not met the standards required by the organisation within the probationary period the employee should be notified of their requirement to attend a formal review meeting, chaired by the care group director or head of service and supported by a representative from the human resources department. The employee’s line manager may be requested to attend to provide details of the probationary period review process undertaken. The employee will be entitled to be accompanied by a companion. The chosen companion may be a fellow trust employee, a trade union or professional organisation representative or an official employed by a trade union or professional organisation. The letter inviting the employee to this meeting should clearly state that consideration will be given to terminating the employee’s employment.

At this meeting the monitoring undertaken during the probationary period and concerns identified will be reviewed following which the care group director or head of service will confirm a decision in relation to the probationary period. If it is determined unlikely that further training or support would lead to a satisfactory level of improvement, the decision may be taken that employment will be terminated, and two weeks’ notice will be given.

If the final review meeting identifies that an employee’s performance has not been entirely satisfactory but it is thought likely that an extension to the probationary period may lead to an
improvement, an extension of the probationary period of up to 6 months may be issued.

During this extension the process for reviewing the probationary period, as outlined above, should be followed. The outcome of the formal review meeting should be confirmed to the employee in writing, usually within seven calendar days of the meeting.

Should significant concerns arise regarding an employee’s capability or conduct during the 6 month probationary period, the line manager has the discretion to bring forward this formal review meeting, at which the decision may be taken to terminate employment with two
weeks’ notice, prior to the end of the 6 month probationary period.

11.8.5 Appeal procedure

Employees have the right to appeal against the decision to terminate their employment to appeal to a sub-committee of the board of directors. Employees will be advised at the formal review meeting and in the letter confirming the outcome of this meeting of their right of appeal and will be given details of to whom any appeal should be addressed.

Appeals must be lodged in writing by the employee or their staff side or professional organisation representative within 21 calendar days of the date of the letter confirming the outcome, and the case for the appeal must be outlined in full.