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					Document name:                    Recruitment and Selection Code of
                                  Practice (including pre and post
                                  employment checks)
Document type:                    Human Resources Policy


Staff group to whom it applies:   All staff within the Trust

Distribution:                     The whole of the Trust


How to access:                    Intranet and internet / ward folder


Issue date:                       September 2003


Next review:                      February 2010


Approved by:                      Executive Management Team


Developed by:                     HR / Policy Sub Group


Director lead:                    Director of Human Resources and
                                  Workforce Development

Contact for advice:               James Corson Human Resources
                                  Manager or other Human
                                  Resources Manager
                                    CONTENTS

PART 1 – INTRODUCTION                                             Page Number

1.0    Introduction                                                      1
2.0    The Code of Practice                                              1

PART 2 – STAGES OF THE RECRUITMENT PROCESS

1.0    Recruitment Approval                                              2
2.0    Writing a Job Description                                         3
       Proforma Job Description                                          5
3.0    Writing a Person Specification                                    6
       Proforma Person Specification                                    10
4.0    Recruitment Advertising                                          11
       Job Advertisement Proforma                                       12
5.0    Timescales                                                       13
6.0    Placing of Advertisements                                        13
7.0    Information regarding Job Applications                           14
8.0    Processing Applications Received                                 14
9.0    The Selection Panel                                              15
10.0   Use of Assessors                                                 16
11.0   Shortlisting of Candidates                                       16
12.0   Interview Preparation                                            17
13.0   Conducting Interviews                                            18
14.0   After the Interview                                              21
15.0   Post Interview Process                                           23
16.0   Interview Expenses                                               29
17.0   Monitoring of Job Applications                                   29

Appendix 1          Example of Posts requiring Criminal Records Bureau Disclosure
                    and Trust Declaration Form
Appendix 2          Covering letter, to accompany Job Application Forms and
                    related documents
Appendix 3          Pre-appointment checks Policy Statement
Appendix 4          Covering letter inviting applicants for interview
Appendix 5          Covering letter and Standard Reference Form
Appendix 6          Shortlisting Proforma and Guidelines
Appendix 7          Interview Request Form
Appendix 8          Interview Proforma
Appendix 9          Interview Report Form
Appendix 10         Letter confirming offer of employment
Appendix 11         Trust Declaration Form and Guidance for completion of
                    Declaration and CRB Form
Appendix 12         Identity Documents Acceptable Documents
Appendix 13         Right to Work in the UK Acceptable Documents
Appendix 14         Summary of Pre and Post – Appointment Checks Procedure
Appendix 15         Security Policy for correct handling and safe keeping of
                    Disclosure Information
Appendix 16          Pre-Employment meeting Checklist
RECRUITMENT CODE OF PRACTICE
(Including pre and post employment checks)

PART 1 - INTRODUCTION

1.0   INTRODUCTION

      1.1   The Trust recognises that the ability to meet its business objectives is dependent
            on the employment of staff with appropriate skills and experience to carry out the
            tasks, duties and responsibilities necessary for its successful operation.

      1.2   This Recruitment Code of Practice has been established to ensure that
            recruitment practices are effective and non-discriminating and facilitate the
            acquisition of the best person available for any identified vacancy. A
            Recruitment and Selection Policy has also been agreed, see separate document.

2.0   THE CODE OF PRACTICE

      This Code of Practice on Recruitment and Selection sets out clear guidelines and forms
      part of the Trust‟s active commitment to promoting Equal Opportunities. It enables the
      Trust to comply with statutory obligations placed upon it, in particular those defined
      under The Sex Discrimination Act (1975) as amended by the Sex Discrimination Act
      (1986), The Race Relations Act (1976), Race Relations (Amendment) Act (2000), The
      Disability Discrimination Act 1995 and Code of Practice on Age Diversity in Employment
      (1999). The Employment Equality (Religion or Belief) (Amendment) Regulations 2003
      The Employment Equality (Sexual Orientation) Regulations 2003 and the Employment
      Equality (Age) Regulations 2006.

      Additionally, the adoption of this policy will enable the Trust to comply with its legal
      obligations under the Protection of Childrens Act 1999, the Rehabilitation of Offenders
      Act 1974 and Health Service Circular HSC 2002/008, as well as relevant requirements
      stipulated by regulatory bodies (e.g. registration under the Nursing and Midwifery
      Council).

      2.1   It applies to all persons involved in the recruitment and selection process. It
            seeks to eliminate unfair and unlawful discrimination on the basis of age, gender,
            marital status, race, religion, creed, nationality, ethnic origin, sexual orientation,
            colour, disability, or any other unjustifiable cause.

      2.2   The Code of Practice covers all stages of recruitment from the point when a
            vacancy first arises to the appointment of staff. It is intended to promote good
            practice throughout the whole recruitment process.

      2.3   Recruitment within the Trust shall take place in accordance with the principles
            set out in the Code of Practice, which are designed to meet the following
            objectives:

               To ensure that all vacancies are filled in an acceptable timescale.

               To ensure the effectiveness and cost effectiveness of the recruitment
                process.

               To eliminate unlawful discrimination and to seek to fill all posts on merit.


                                               1
                To promote good practice in selection methods.

                To comply with any relevant statutory requirements.

                To protect service users and clients by complying with good recruitment and
                 selection practice.

                To ensure that all staff working for the Trust have been through an
                 appropriate checking process and are suitable for the post; experience shows
                 that many problems can be avoided if the checks and good practice
                 standards described are undertaken before a person is appointed to post.

                To ensure that checks are carried out in compliance with the Data Protection
                 Act 1998 and with regard to the need for confidentiality.

                To promote a positive image of the Trust as an employer.

                To ensure that the Trust continues to deliver high quality services.

                To also ensure that post-appointment checks are made as appropriate; and
                 that all applicants are clearly informed of the checking process, as well as
                 how and why such checks are made.

      2.4    No person involved in the recruitment process shall depart from the principles of
             the Code of Practice.

PART 2 - STAGES OF THE RECRUITMENT PROCESS

1.0   RECRUITMENT APPROVAL

      It is the responsibility of the Directors to ensure that all recruitment is contained within
      the available budget resources. Approval must, therefore, be obtained before posts are
      advertised, this should be by managers raising the submitting Vacancy Recruitment
      Form HRS 5 (obtained from the Human Resources Department). Consideration must
      be given to any over-riding reasons not to recruit (e.g. efficiency, productivity
      improvements, vacancy factor, etc).

      Prior to preparing a vacancy submission, managers will need to review the vacancy and
      determine the most appropriate way of meeting departmental needs – which may not
      necessarily be by direct replacement of the member of staff who has left.

      Consideration should be given as to whether the post should be temporary or
      substantive, the tasks to be undertaken and what effects non-recruitment may have on
      the service.

      Where a job review results in consideration of a change of grade, the manager must
      consult with the relevant Human Resources Manager. Similarly, whenever a new post
      is created, the Human Resources Manager must be consulted with regard to
      determining the appropriate grade for the post in line with Agenda for Change Job
      Evaluation / Matching.

      All requests to fill vacancies must be on the Vacancy Recruitment Form (HRS5) which
      must also be accompanied by an up to date Job Description, Person Specification and
      a suggested Recruitment Advertisement.
                                                2
      Whenever a recruitment need is identified it is essential to consider the following:

            What are the tasks, duties and responsibilities which need to be covered? Has
             the previous postholder developed or altered the job from the previous Job
             Description? If so, are the changes appropriate or would you want a new recruit
             to revert to the original duties?
            What is the best way of meeting the job needs, e.g. could this be an opportunity
             to redistribute duties and/or review the staff profile?
            What is the correct grade for the post? Is the grade still appropriate and what will
             the effect be on the staffing budget if it is changed? (NB in the case of new or
             altered grades this must be agreed with the Human Resources Manager and
             Finance Manager).
            Are the hours still appropriate or could they be reduced (possibly releasing
             resources for other establishment changes), or worked flexibly? (See the Trust‟s
             Flexible Working Time Guidance).
            Are there reasonable adjustments to the job description necessary to
             accommodate applicants with disabilities?
            Is the post to be substantive or temporary? If temporary, what is the reason and
             is it possible to specify an exact duration?
            If the vacancy request is turned down, what will be the effect on the service?

2.0   WRITING A JOB DESCRIPTION

      Every job must have a Job Description prepared in the standard Trust format. A Job
      Description proforma is shown on Page 5 (and is available in the Human Resources
      Section of the Trust‟s Intranet.)

      The main benefits of a good and accurate Job Description are:

      -      Jobholders and applicants know what is expected of them.

      -      It helps assess the value of the duties in the job.

      -      It can highlight training and career development needs.

      -      It removes areas of confusion within jobs.

      -      It is a necessary element in enabling a Person Specification to be drawn up.

      Managers should also bear in mind that the Job Description can play a part in „selling‟ a
      job to prospective candidates. A well-prepared advertisement can attract a great deal
      of initial interest, but if enquirers are discouraged by the Job Description, they may not
      pursue their application to the next stage.

      All Job descriptions must be retained for a minimum three year period in accordance
      with NHS Non-Clinical Records policies. Copies should be retained on the employees
      personnel file.

      CHECKLIST

            Are the tasks/duties contained within the „key result areas‟ under or overstated,
             described clearly, unambiguous and free from jargon?
                                                3
   Have any duties not strictly relevant to the satisfactory operation of the job been
    removed?
   Do the duties directly or indirectly discriminate against either sex, race, age,
    persons with a disability, sexual orientation, religion/belief?
   Are the duties unrestrictive so that someone of either sex, a particular race,
    persons with a disability, age, sexual orientation and religion/belief could easily
    do the job?
   Ensure that the standard statements (see Job Description proforma) are included
    in the Job Description.




                                      4
SOUTH WEST YORKSHIRE MENTAL HEALTH NHS TRUST

"ENABLING PEOPLE WITH MENTAL HEALTH PROBLEMS AND LEARNING
DISABILITIES TO LIVE LIFE TO THE FULL."

                                     JOB DESCRIPTION

POST TITLE:

GRADE:

LOCATION:

RESPONSIBLE TO:

JOB SUMMARY



KEY RESULT AREAS:




To support the Trust‟s commitment to progressive employment practices and Investors in
People (IiP) Standards.

The content of this post will be reviewed in consultation with the postholder when necessary and
in line with the service developments.

The postholder's duties must at all time be carried out in compliance with the Trust's Policies and
Procedures. In particular the postholder must act in accordance with policies and procedures
concerning Equal Opportunities, Health and Safety and the Prevention and Control of Infection.

It is national policy that the NHS is smoke free and the Trust supports this by not permitting
smoking anywhere in its buildings or grounds.

This job description is an outline of the main duties of the post. The postholder will be required
to undertake other duties commensurate with the grade as directed by




                                                 5
3.0   WRITING A PERSON SPECIFICATION

      A Person Specification sets out a range of essential and desirable criteria for potential
      candidates. Essential criteria are the minimum requirements in terms of skills,
      experience, qualifications, etc that are required to adequately carry out the duties of the
      post. These will be capable of being identified or assessed at the interview or by
      practical test or on the application form. Requirements should not be so restrictive so
      that the interviewers fail to consider an applicant‟s potential (it may be possible to
      address certain gaps through training). There may also be a number of other desirable
      criteria, these are additional criteria which would add value to potential candidates.

      Every post must have a Person Specification prepared in the standard Trust format.
      See the following Person Specification proforma page 10, (it is also available in the
      Human Resources Section of the Trust‟s Intranet).

      A Person Specification must be drawn up before the job is advertised. This will ensure
      that the key points of both the Job Description and the Person Specification are covered
      in the advertisement, e.g. what the person needs to possess in terms of abilities,
      experience, qualifications, etc in order to do the job. If a Person Specification already
      exists, it should be reviewed and amended as appropriate to reflect any changes to the
      post. Consideration should be given to the suitability of disabled people for the job. The
      Department of Work and Pensions, through the Job Centre Plus, employ Disability
      Employment Advisers who can provide useful help, including the possibility of grants to
      adapt premises, to ensure the job is suitable for disabled applicants.

      The Person Specification must be included with the Job Description, Advert and
      Vacancy Recruitment Form. A record of the Person Specification will be kept on a
      central file for reference and the successful candidate‟s personal file.

      The selection panel will be provided with a copy of the Person Specification, and Job
      Description as it is their working tool for assessing applications and candidates.

      PREPARATION

      When drafting a Person Specification, it is essential to consider the following:

            Qualifications

             Some posts, e.g. Staff Nurses, Physiotherapists or Occupational Therapists, will
             be expected to have mandatory professional qualifications, whilst others may be
             less specific. If a manager feels there is a need to attract someone with a
             degree, a post basic qualification or an optional professional qualification, he/she
             should carefully consider why. What are the attributes suggested by the
             attainment of that level of qualification? Is there, perhaps a requirement for
             academic or research skills? Would the course provide theoretical constructs,
             which may not be acquired through work experience, or could the
             desired/required qualities be equally well gained through such experience? Such
             consideration will help determine whether specified qualifications are essential,
             desirable or an optional extra.

             Note: All essential qualifications required for the post must be verified by
             sight of the original certificates, before making an appointment. NVQ’s
             held should normally be verified at interview to ensure relevance to the
             service area. The appointment letter must state that the post is subject to

                                               6
    the verification of original documents, where these are a requirement of the
    post.

   Training

    Would it be helpful if applicants had undergone specific training (which may not
    necessarily lead to a recognised qualification)?

   Experience

    Does the post or grade require a person with experience in particular skills.
    „Experience‟ may include any previous similar work experience or any unwaged
    experience, which will indicate similar responsibilities. All members of
    shortlisting and interviewing panels should value skills which are similar to those
    of the job requirements but not strictly thought of a „vocational‟. For example, the
    skills of managing a household may be relevant to the organisation and
    management skills required in some jobs.

    Criteria such as length of previous experience should not be used to determine
    levels of responsibility or maturity without justification as this may also
    contravene Age Discrimination legislation. ACAS advises that reference to age
    in both the job description and person specification, however oblique, should be
    avoided. For example, avoid asking for „so many years experience‟ as this may
    rule out younger people who have the skills required but may not have had the
    opportunity to demonstrate them over a fixed period of time. “Objective
    justification allows employers to set requirements that are directly age
    discriminatory for exceptionally good reasons. Evidence will be required to
    support any claim of objective justification” (ACAS).

   Special Skills

    What is involved in doing a particular task, what skills are needed? For example:

       Manual skills like driving, planting trees, operating a keyboard, operating
        complex machinery

       Mental skills like assessing patients, making calculations, setting goals,
        solving problems, organising information

       Communication skills like listening to people, producing letters, leaflets,
        reports, giving clear instructions

       Managerial skills like determining priorities, developing staff, solving disputes,
        negotiating, ensuring health and safety, particularly in areas where there is
        the need for particular training or experience.

    In looking at skills care should be taken to check out whether this is something
    the person must bring with them or whether it is something they can learn easily
    once they start work.

    If the post requires keyboard skills is there a requirement for evidence of proven
    speeds (e.g. RSA Certificates) or would past experience be adequate? Would it
    be useful to carry out a skills test outside of the formal interview?

                                       7
    Alternatively, if it is a post working with computers, should the applicant be
    „computer literate‟ or are the tasks simple and repetitive and able to be taught
    quickly and easily to someone with keyboard skills.

    Are literacy and/or numeracy skills required for the post? If not, short-listers
    should beware of being negatively influenced by a poorly completed Application
    Form, English may not be the applicant‟s first language. If it is essential to be
    able to read, write or calculate to do the job, how fluent must this be and how
    may it be tested?

    Will the successful candidate be required to communicate effectively either
    verbally or in writing? If so, with whom and for what purpose? Would it help to
    set an extra task such as a report for presentation before the interview, or a
    formal presentation at the interview?

    Care needs to be taken with presentations however. If being able to give an
    effective presentation is not an essential criteria, then the use needs to be
    considered in that light.

   Special Knowledge

    What would a person need to know in order to do the job? Do they need
    previous knowledge, or can they in fact find out rapidly through induction training
    or whilst doing the job? If they can find out rapidly when they start, then that
    knowledge is not an essential minimum requirement.

   Physical Attributes

    Does the job require any particular physical attributes, e.g. physical strength or
    manual dexterity? If the job requires lifting, for example, could an applicant carry
    it out with appropriate training or the assistance of lifting aids regardless of
    physical type? Where physical attributes are considered essential, how can this
    be tested at interview? If the post involves contact with the public, it may be
    necessary to take into account personal appearance, manner, speech, etc.

    Care however needs to be taken to avoid stereotyping, or letting personal
    prejudices influence the selection process. Advice from Occupational Health
    should be sought where necessary, regarding the effect on individual‟s disability
    may have on their ability to undertake the duties of the post.

    General statements such as „good physical health‟ or „good general state of
    health‟ should be avoided as this may deter disabled applicants from applying.

   Personal Attributes

    Does the job require any specific attributes, e.g. an ability to work unsupervised,
    can the duties be worked flexibly, work on a rota basis, be a car driver, have the
    availability of a car, be self-motivated? Does the individual need to work
    relatively autonomously, or is it more important that he or she is able to work as
    part of a team. How can this be determined at interview?




                                      8
   Method of Assessment

    Look at each item listed on the Person Specification and decide how that item
    can best be assessed. Some items will be straightforward to judge from the
    Application Form (e.g. minimum level of experience or qualifications), some
    items will not be possible to judge from the Application Form and need to be
    answered in depth at interview, and some items will need to be assessed
    through a combination of methods.

CHECKLIST

   Are the criteria strictly relevant to the job? Does the Person Specification
    accurately reflect the minimum essential qualities needed by the postholder?

   If previous patterns show that for example few disabled people, staff from ethnic
    minority backgrounds, age ranges, staff of either sex have been appointed etc,
    have the requirements been examined to identify whether they are unnecessarily
    restrictive? If so, then what measures could then be taken to improve the
    situation?

   Where appropriate, is recognition given to skills needed for the job that are
    commonly found amongst members of under-represented groups?

   Will Induction training, or on the job experience, compensate for lack of prior
    experience or qualifications and is this reflected in the Person Specification?

   Are any of the skills, abilities or experience demonstrable in areas other than
    previous paid work experience, e.g. voluntary or non-waged experience?

   Are all the items on the Person Specification able to be assessed, if so, how?




                                      9
SOUTH WEST YORKSHIRE MENTAL HEALTH NHS TRUST
                                                                       PERSON SPECIFICATION
POST:
 ATTRIBUTES                       ESSENTIAL                                                      DESIRABLE                  METHOD OF ASSESSMENT
 QUALIFICATIONS



 TRAINING



 EXPERIENCE



 SPECIAL
 KNOWLEDGE/SKILLS


 PHYSICAL ATTRIBUTES              Ability to undertake the duties and demands of the post. A
                                  satisfactory sickness record over the previous 2 years
                                  (subject to the need to act with fairness and equality of
                                  opportunity, particularly where the sickness is related to a
                                  disability and/or pregnancy).


 PERSONAL
 CIRCUMSTANCES

If a candidate is concerned that a person specification may prevent or restrict their application for employment on the grounds of their sex, race,
age, sexual orientation, religion/belief or disability they should initially contact the Appointing Officer or the Trust‟s Human Resources
department. The Trust will seek to resolve this issue wherever possible.



                                                                                  10
4.0   RECRUITMENT ADVERTISING

      Job Advertisements must be based on the Job Description and Person Specification
      and should be designed to attract interest, show benefits and motivate action. It should
      provide details of the title of the job, salary with range if appropriate, location, duties,
      and benefits available etc. It should also refer to the Trust itself, the type of person
      required, how to apply for the job, and who to contact for further information.

      In circumstances where a post is known to be difficult to fill, then the following should be
      considered for inclusion: Training and development opportunities. Special
      attainments/achievements within the department. Salary – it may be appropriate to
      indicate the potential earnings (i.e. including unsocial hours and overtime) if considering
      these, then the manager should discuss them with Human Resource Department.

      WRITING A RECRUITMENT ADVERTISEMENT

      A corporate style of Recruitment Advertising is used to enhance the Trust‟s public
      image and that of an Equal Opportunity employer committed to a healthy work life
      balance. It is also vital that adverts are prepared in a cost efficient way to ensure
      advertising expenditure is kept as low as possible. This may entail co-ordinating
      advertisements to reduce advertising space. Assistance is available for constructing
      advertisements and for selecting the appropriate advertising media, through the Human
      Resource Department and the Advertising Agency.

      Tone is important when writing a Recruitment Advertisement; it should appear as it
      aimed at one particular individual. Research shows that the job title, salary and location
      should be attractive to the candidate, or they are not likely to read much further. The
      advertisement should therefore begin by emphasising these. It should then include a
      section informing the candidate about the Department, the job, the rewards, the benefits
      and opportunities it offers. A separate section should outline the requirements essential
      to carry out the job, e.g. qualifications, experience, aptitude and skills. Where the post
      involves caring for vulnerable adults or children, then it needs to be clear that
      appropriate screening procedures will be part of the recruitment process.

      The Advertisement should be designed to attract maximum interest whilst allowing self-
      elimination on the part of less suitable candidates. It should be comprehensive but
      concise; too much detail can lead to a loss of impact, whilst being expensive and not
      providing a better outcome.

      Clarity is also essential. Attention should be paid to the size/prestige of the Trust, and
      the future opportunities in employment. Wherever possible, action should be taken to
      attract candidates from under-represented groups, therefore consideration should be
      given to the sources of recruitment. For senior posts, prospective applicants should be
      encouraged to contact an appropriate staff member with information enquiries.
      However, in doing this, it is imperative that this individual be readily available for contact
      and that he/she has a clear understanding of the job. Posts should not be advertised at
      a time when key staff members are due to go on holiday as this can create a poor
      impression of both that Department and the Trust.




                                                11
JOB ADVERTISEMENT PROFORMA


Job Title:

Grade:

Salary Scale:

Location:

Hours: Where part time or flexible working arrangements, eg, job share
         etc, (See Trust‟s Flexible Working Guidance) specify pattern of
work.

Duration: Where applicable, temporary to ............... or for a period of
           ...............

A paragraph briefly describing the Department and the duties of the post.

A paragraph outlining the essential requirements to carry out the job and
whether training is available.

Ensure non-discriminating (e.g. no age restrictions, or job titles indicating
gender expected).

A contact name, email address and telephone number for informal
enquiries/visits.

A paragraph briefly describing the Trust and where the job fits in.

If the post involves substantial contact with children that applicant will be
subject to a security process to protect children.

Details of where to obtain an application package.

Closing date


CHECKLIST

     Is the advertisement clear and concise and does it include all the essential
      elements?

     Is it presented in a way which will attract maximum interest, is it sequenced
      correctly?

     Can positive action be taken to attract under-represented groups?

     Have arrangements been made to provide an informal enquiry point? Have
      shortlisting and interviewing arrangements been made?




                                         12
           Does the advertisement comply with the Trust‟s Equal Opportunities Policy (ie
            does not discriminate on the grounds of sex, race, age, etc) and Trust‟s
            commitment to the Improving Working Lives standard.

           Are appropriate measures in place to screen candidates, where the post has
            substantial access to vulnerable adults or children?

5.0   TIMESCALES

      Sufficient time should be allowed between the post becoming vacant and it being
      advertised, to allow for the job to be fully reviewed and the Vacancy Recruitment Form
      (HRS 5) to be appropriately completed. The deadlines for internal and external
      publications vary. Copies of the deadlines are available on the Trust intranet.

      Sufficient time should be allowed between the closing date and shortlisting, this will
      enable the Application Forms to be circulated and studied by all the panel members.

      Adequate time should be allowed between shortlisting and interview/selection for
      candidates to be informed and references to be requested and received. Interview
      dates should therefore normally be no less than ten working days after the closing date
      or after the Human Resources Department has been provided with a shortlist of
      candidates.

      It is important therefore before placing an advertisement that you have determined the
      constitution of the interview panel, the date and venue for the interview. Venues for
      interviews must be accessible for disabled candidates. The Appointing Officer may
      need to make arrangements for disabled candidates such as sign language facilities or
      other support as necessary. This information is essential in enabling the Human
      Resources Department to provide a prompt and efficient service.

6.0   PLACING OF ADVERTISEMENTS

      Posts should normally be advertised both within and outside of the organisation and
      must be advertised in the most cost-effective way taking account of national and local
      labour market, this is usually by using NHS jobs: http://www.jobs.nhs.uk/:

      Jobcentreplus have access to the details of all our vacancies with a salary of £22,000 or
      less that are posted onto the NHS Jobs website and they will alert their clients of these
      if appropriate.
.
      The minimum requirement for advertising any vacancy shall be the internal vacancy
      bulletin (via the intranet), there will be exceptions which may include:

           Where promotion through a grade structure is identified on recruitment as part of
            a recognised training programme

           Where an employee undertakes internal development as part of a planned
            succession process

           Where there are staff who need to be redeployed as a result of organisational
            change and/or as an alternative to dismissal or redundancy. Such staff will be
            offered an interview for any appropriate vacancies prior to external advertising.



                                              13
      In all cases, where there are exceptions, advice must be sought from a Human
      Resources Manager.

7.0   INFORMATION REGARDING JOB APPLICATIONS

      The following information should always be made available to each applicant:

          Covering letter
          Job description
          Person specification
          Application form (including equal opportunities monitoring form)
          Pre-appointment checks - policy statement (where the post is exempt from the
           Rehabilitation of Offenders Act 1974 (see Appendix 1 for example of posts)
          Information pack containing Trust / job / service related information

      The covering letter (see Appendix 2), should include any additional information which
      the appointing manager feels is appropriate and must draw the applicant's attention to
      the "Pre-appointment checks policy statement" (see Appendix 3).

8.0   PROCESSING APPLICATIONS RECEIVED

      Application Forms

      Where exceptionally, the standard online application form is not submitted, candidates
      will be required to sign a standard declaration and requested to complete information
      required for Equal Opportunities monitoring purposes. It is preferable that all applicants
      apply using the NHS standard application form as this ensures all relevant information
      is obtained, as well as assisting managers to identify the relevant information during the
      shortlisting process.

      Information from Equal Opportunity Monitoring Forms will be kept separate from
      Application Forms and used solely for monitoring purposes. Such information will not
      be available to the selection panel except for information regarding disabled applicants
      (see below).

      People with disabilities are a valuable potential resource that many organisations are
      failing to recruit. The Trust recognises the contributions disabled persons can make
      and, therefore, it is the policy of the Trust that all disabled applicants who meet the
      essential criteria for a post will automatically be shortlisted for interview. There is a
      statutory duty to make reasonable adjustments to the interview arrangements and to the
      duties of the post, in the case of a disabled applicant.

      Positive about Disabled People

      The Trust has obtained authorisation from the Department of Work and Pensions to use
      the double tick symbol „Positive about Disabled People‟ in order to use this symbol the
      Trust undertakes to comply with the criteria listed below:

      1)      A Guaranteed Job Interview

              To interview all applicants with a disability who meet the minimum criteria for a
              job vacancy and consider them on their abilities.

      2)      Consulting Disabled Employees Regularly
                                               14
             To ask disabled employees at least once a year what the Trust, as an employer,
             can do to make sure they can develop and use their abilities at work.

      3)     Keeping Employees if they Become Disabled

             To make every effort when employees become disabled to make sure they stay
             in employment.

      4)      Improving Knowledge

             To take action to ensure that key employees develop the awareness of disability
             which is needed to make these commitments work.

      5)     Checking Progress and Planning Ahead

             Each year, to review these commitments and what has been achieved, plan
             ways to improve on them and let all employees know about progress and future
             plans.

      For further information/clarification, see the Trust‟s notes on the Recruitment, Selection
      and Retention of Disabled People.

9.0   THE SELECTION PANEL

      All panel members must ensure that the Trust‟s Equal Opportunities in Employment
      Policy and the procedures detailed in this Code of Practice are fairly applied. It is the
      responsibility of the appointing officer on the panel, to ensure that the recruitment
      process is planned and conducted properly. Selection panels must not consist of fewer
      than two members and should not normally be of a single gender.

      Any panel member who is related to, or personally knows, someone who is applying for
      a post must declare this. No one is permitted to be involved in the recruitment process
      if it involves a relative or member of their own family.

      Members of the panel who know someone who is being interviewed must ensure that
      selection takes place in compliance with the criteria listed in the Person Specification.
      Membership of the selection panel should be agreed at the beginning of the recruitment
      process and ideally all members of the panel, should have attended the Trust‟s
      Recruitment and Selection training programme. This training is available through the
      usual study leave process.

      All appointing officers must have attended a Recruitment and Selection training session
      run by the Trust or received similar training. Unless an individual has fulfilled this criteria
      he or she will not be able to authorise the appointment of staff.

      The selection panel need to agree:

      -      How to assess each item on the Person Specification

      -      Wherever possible a shortlist of candidates

      -      Questions to be asked at interview


                                                15
       -      What is a satisfactory reference (to be considered after the post interview)

10.0   USE OF ASSESSORS

       A Professional Assessor from outside the Trust will normally be involved, for Senior
       Manager appointments Band 8A and above, Senior Professional appointments and
       where there is a statutory responsibility to include an Assessor. Assessors may be
       used for other posts at the discretion of the manager.

       Guidance from professional bodies etc in this respect should be taken into account in
       determining the constitution of interview panels. Assessors should form part of an
       interview panel, but their role should be an advisory one.

       The role of the Assessor is to advise on the suitability of candidates where the
       responsibilities of the post involve a considerable level of specialised knowledge or skill.
       Assessors with experience in the particular professional specialism will be of key
       importance.

       Assessors should be of a higher grade than the post being interviewed for and normally
       be from another employing Authority/Trust.

       References must be obtained prior to interview unless the applicant has specifically
       requested otherwise.

11.0   SHORTLISTING OF CANDIDATES

       The Human Resource Department will forward, the Application Forms received by the
       closing date, Shortlisting Proforma (see Appendix 6), Interview Request Form (see
       Appendix 7), Job Description and Person Specification to the relevant manager. This
       will be the next working day following the closing date (or by the date previously agreed
       with the manager). All recruitment information must be treated as confidential at all
       times.

       Shortlisting should take place by using the Shortlisting Proforma as soon as possible
       after the closing date, as delays in shortlisting create a poor impression of the
       Department/Trust. Also it should be borne in mind that when looking for a new post,
       candidates may be applying to several potential employers. Unnecessary delays may
       result in another employer being able to offer their vacancy first. Shortlisting must only
       be based on the information contained in the Application Form as judged against the
       Job Description and Person Specification.

       Note: The Trust is committed to assisting people with disabilities gain
       employment with the Trust. Therefore, if an applicant meets all essential criteria
       and has indicated they have a disability and have indicated on their application
       form that they wish to be considered under the guaranteed interview scheme,
       they will automatically be included on the shortlist.

       Note: A Work Permit will be required for applicants from outside the European
       Economic Area (EEA). The Trust will not be able to obtain a work permit for an
       applicant if the post can be filled by a UK or EEA resident. Therefore, if there are
       sufficient numbers of candidates from the UK/EEA, applicants requiring a work
       permit will not normally be considered for shortlisting. The Trust will indicate on
       it’s advertisements whether applicants form outside the EEA will be considered.


                                                16
       Trust managers must contact the Human Resources Department should they
       require advice concerning an applicants Right to Work in the UK.

       The Shortlisting Proforma (see Appendix 6), is particularly useful where large numbers
       of applicants have applied. Candidates are compared against the essential attributes
       and then scored against the desirable attributes

       The shortlist should be drawn up by systematically eliminating applicants who do not
       meet the „essential‟ criteria of the Person Specification. Wherever possible all members
       of the interview panel should be involved in this process but at least two members must
       be involved.

       If this process is exhausted and there remains an unmanageable number of applicants,
       further elimination should take place in accordance with the „desirable‟ criteria of the
       Person Specification.

       Only those applicants who possess all the essential attributes are then further marked
       against the desirable attributes. Prior to using the desirable attributes, these attributes
       should be weighted according to their importance to the post and criteria set against
       what would be „good‟, „very good‟, etc in meeting that attribute. Scores are allocated to
       each applicant and the highest scoring candidate selected for interview. (Further more
       detailed guidelines are contained at Appendix 6).

       It is essential that the selection panel clearly record on the top left of each application
       form those candidates who have been rejected for interview with the reason. This is
       necessary in order to demonstrate that selection has been undertaken in accordance
       with the job-related criteria (as taken from the Person Specification).

       i.e.:   Rejected because did not meet the criteria for:
               Training
               Experience
               Special Knowledge/Skills
               Physical Attributes
               Personal Attributes
               Other

       Rather than write each criterion out, it is acceptable to allocate a code (such as „T‟ for
       Training), as long as the code is clearly described on an attached piece of paper.

       When an internal applicant has been in (or acting up into) the advertised post and has
       not been shortlisted, it is good practice for the manager concerned, to personally inform
       the individual of the reason(s) for not being shortlisted.

12.0   INTERVIEW PREPARATION

       The application forms of those candidates who have been selected for interview should
       be kept separate and their names written on the Interview Request Form (see Appendix
       7). The Interview Request Form should be completed and attached to the shortlisted
       candidate‟s application forms. These should be returned with the rejected application
       forms to the Human Resource Department as soon as possible, allowing ten working
       days prior to the interview date, to enable arrangements for the interview to be made.

       In choosing a suitable venue for the interview, consideration should be given to the
       following: the size of the panel, access to premises if there are disabled candidates,

                                                 17
       and whether or not there is a suitable waiting area, who will receive candidates, and
       should refreshments be provided, etc?

       In determining the duration of each interview allow sufficient time, where appropriate,
       for presentations if required, for panel preparation prior to interview, refreshment breaks
       and discussion/decision making afterwards. On average, a candidate should be
       afforded between 30 and 40 minutes for the interview. The interview time allocated may
       need to be extended to ensure fairness and equality for disabled applicants.

       A reasonable amount of notification should be given to candidates to enable them to
       make the necessary arrangements to attend for interview. Wherever possible
       information should be provided to candidates to indicate the duration of the interview,
       staff involved in interviewing, test procedures, what if anything they need to bring to the
       interview, e.g. NVQ certificate, and such information to allow candidates to reach the
       interview location at the right time. (See covering letter at Appendix 4).

       The Chair of the panel needs to ensure the main criteria from the Job Description and
       Person Specification are listed on the Interview Proforma (see Appendix 8). There also
       needs to be discussion about questions asked and how answers are scored using the
       form. It also needs to be decided when the candidates will be informed of the outcome
       of the interviews. The Chair needs to ascertain whether all the references have been
       received.

       A similar set of „core‟ questions should be asked of each candidate.

       This does not, of course, prevent further questioning of individual points relating to each
       candidate providing such questions do not unfairly discriminate. Application forms
       for all interviewees must be scrutinised prior to interview and any gaps in employment
       history, need for permission to work in the UK/work permit and criminal convictions,
       identified so that they can subsequently be probed at interview. Spent convictions do
       not have to be declared unless an exemption applies to the post (see Appendix 1).

       Any matters of potential concern, identified from the Application Form and/or
       references, should be probed during the course of the interview in an open and
       measured manner and should be considered in the light of the post applied for. Unless
       specifically asked, applicants are not obliged to offer information to prospective
       employers. The interview panel must elicit the information required.

13.0   CONDUCTING INTERVIEWS

       An interview will form part of the Selection Process for all posts. The interview should
       start by the Appointing Officer who will chair the panel (usually the manager) putting the
       candidate at ease, with a few words of welcome, introduction to the Panel Members and
       an explanation of the purpose and format of the interview.

       Interview Technique

       -   Use the application form to check out information with the candidate.

       -   Use „open‟ ended questions.

       -   Use „closed‟ questions (that give Yes/No answers) when appropriate (eg to check
           facts).


                                                18
-   Avoid „multiple‟ questions, the candidate may get confused and not answer all the
    questions.

-   Handle delicate questions carefully.

-   Use pauses wisely.

-   Probe answers to questions to clarify degree of knowledge/experience.

-   Check attendance and explore absenteeism.

-   Check preferred working arrangements. (see Trust‟s Flexible Working Guidance)

-   Avoid leading questions.

-   Avoid trick questions.

-   Beware of bias.

-   Summarise and reflect from time to time.

-   Take notes without distracting the candidates.

-   Keep the interview flowing and be an active listener.

After the Panel questioning, the candidate should be given the opportunity to expand on
any relevant areas of their experience that they feel may have been missed and given
an opportunity to ask questions of the Panel.

At the end of the interview, tell the candidate when to expect to hear the outcome. It is
not normally advisable to promise a response in the same day as this is frequently not
practical e.g. if all references are not yet received or, if the first choice requests some
time to make up their mind about a provisional offer of employment.

Each panel member should complete his or her score on the Interview Proforma after
each candidate has been interviewed (see paragraph 13).

Points to consider at Interviews

Throughout the interview the panel should seek to identify the abilities of the candidates
in a fair and legal manner. Assumptions and stereotypes about ability, motivation,
ambition etc based on sex, marital status, colour, race, ethnic origin, sexual orientation,
religion/belief or age must be avoided.

The Disability Discrimination Act 1995 makes it unlawful to discriminate against
disabled people in the field of employment.

One of the key criteria an employer must consider when a candidate has a disability is
whether that disability may be overcome by making reasonable adjustments. A
reasonable adjustment could be special training, acquiring or modifying equipment,
providing a reader or interpreter etc.

A disabled candidate could be asked about their disability if it is, or may be, relevant to
their ability to do the job after reasonable adjustments if necessary. This information

                                           19
may be required to assess what adjustments should be made. It should not be used
however to discriminate against the candidate and discriminating questions must be
avoided.

The selection process may also include other assessment techniques such as written or
oral presentations, or skills tests. Such tests must be relevant to criteria within the
Person Specification and be administered fairly and consistently.

Any matters of potential concern, identified from the Application Form and/or
references, and, the candidate‟s preferred pattern of working should be explored during
the course of the interview in an open and measured manner and should be considered
in the light of the post applied for and service provision (see paragraph 13,”Taking up
references”).

Unless specifically asked, candidates are not obliged to offer information to prospective
employers. The interview panel must elicit the information required.

If questions about convictions are raised, candidates are not obliged to reveal spent
convictions unless the post is exempt from the Rehabilitation of Offenders Act 1974
(see Appendix 1). Appointing managers should remind candidates during the interview
if this requirement applies.

Qualifications, including NVQs, which are essential for the post, must be verified by
sight of the original certificates, before appointment. Having the correct NVQ
qualification may impact on the salary of Health Care Assistant posts and as such it is
important to check that the qualification is appropriate to the care area.

A Work Permit will be required for applicants from outside the European Economic Area
(EEA). The Trust will not be able to obtain a work permit for an applicant if the post can
be filled by a UK or EEA resident.

Offers of appointment/work must be conditional on the verification of all original
documents where these are a requirement of the post. Photocopies of documents
should be signed and dated and subsequently be kept on the successful candidate‟s
personnel file. (Please refer to the Managers Guidance on the Pre-Employment
Meeting).

Managers must be clear about what they can say, when discussing the terms and
conditions of the post with a candidate.

The candidate will assume that what is said to them at interview, will apply once they
are in post. This includes information about starting salary and incremental
progression.
Any points that are ambiguous should be clarified with the Human Resources
department and the manager must ensure they do not promise what cannot be
guaranteed. Notes regarding this must be made at interview.

Interview panels should take care when taking interview notes. In accordance with the
Data Protection Act a candidate can ask for access to interview notes and other
personal data. Any notes taken should be filed with other recruitment/selection
information.




                                        20
14.0   AFTER THE INTERVIEW

       Wherever possible, the panel discussion and decision should closely follow the
       interview process whilst memories are fresh.

       As with shortlisting, a further process of elimination against the criteria of the Person
       Specification and the requirements of the Job Description should take place. The
       Interview Proforma (Appendix 8) will also be a key element in assisting the selection
       process. It is important for the panel to concentrate on facts and to be aware of any
       potential prejudices which may affect their decision.

       Prior to commencing the interviews, six to eight key areas from the Person Specification
       and Job Description should be listed on the Interview Proforma. The areas of greatest
       importance to the post should be weighted „high‟ (weighting factor 3), the others being
       weighted less, as appropriate. Candidates will then be scored at interview and the
       scores multiplied by the weighting factor. The totals should be tallied at the end of the
       interview thus indicating the most appropriate candidate for appointment.

       References – Taking up References

       NHS policy states that employers must check at least three years of previous
       employment and/or training (five years is preferable). Also, where possible, check a
       period that covers two separate employers, one of which should be the applicant‟s
       current or most recent employer. References should always obtain references in writing
       (eg, company letter via post or email, or a standardised form. Where necessary, further
       clarify information with the referee over the telephone. All reasonable efforts to check
       that referees are bona fi de and references are genuine.

       References should be sent for prior to interview unless the candidate requests
       otherwise. In both cases, the referee must be an individual who is in a position of
       managerial responsibility relative to the candidate, e.g. their Line Manager, Director or
       Chief Executive as appropriate. If the individual has changed their post recently, then
       the second reference may be sought from the previous manager. If this is not possible,
       advice should be sought from a Human Resources Manager.

       In the case of students etc, the first reference will be from their tutor or teacher. The
       second reference should be from the manager who managed the individual on their
       most recent placement. If this is not possible then the second reference should also be
       from an appropriate tutor, or teacher who is in a position to comment on their suitability
       for the post. In all other cases, advice should be sought from a Human Resources
       Manager.

       Volunteers must also provide two references. Usually these references will be from
       their current or last employer or, from someone in authority who is able to vouch for
       them.

       Any candidate who have spent time abroad for a single spell of three months or more,
       or a cumulative total of 6 months or more, then every effort should be made to obtain a
       relevant reference from overseas. This may include proof of residence for time spent
       abroad, overseas employer or academic references, references from UK departments
       and agencies based overseas.




                                                21
The purpose of requesting a reference is to obtain, in confidence, factual information
about the past history of a candidate, as well as opinions regarding his or her character,
quality of work and suitability for the new position.

The Trust's standard Reference Form and covering letter (see Appendix 5), must be
used when obtaining a reference. All questions on the form must be answered to the
satisfaction of the Appointing Manager. Referees should not be asked to comment on
spent convictions unless an exemption applies to the post (see Appendix 1). In the
event that an answer is not considered to be satisfactory, the concern should be
identified for further probing, either at interview and/or with the referee.

As references are given in confidence, the Trust is not at liberty to disclose details of the
reference. If a post was offered „subject to satisfactory references‟, and the references
were subsequently poor, then by not offering the candidate the post, this is an indication
that the reference was poor. This, in effect, breaks the confidentiality with the referee.

Difficulties can arise where a candidate does not want their referee to be approached
before their interview. This will be indicated on the application form. The wishes of the
candidate must always be honoured in this respect. If following the interview, this
individual is the strongest candidate, then he or she needs to be told that in order to
progress their application further, they should approach their referee for consent for a
reference.

References must be considered in „good faith‟ and a decision made by the appointing
manager whether they are satisfactory or unsatisfactory. Verbal references must
always be confirmed in writing.

The interview panel should normally make a preliminary decision before viewing
references (although it is advisable for the appointing manager, who normally chairs the
panel, to scan references prior to the interview to discover any matters giving cause for
concern, which should be probed at interview and/or with the referee). Although
references can be a valuable endorsement of panel impressions, they are not always
clear and can prejudice the decision making process.

In particular, references have special significance where the post involves the care of
children or vulnerable adults and the response to this aspect on the reference should be
specifically considered.

Character references have little value other than to show the bearer has a couple of
friends.

Any concerns about a reference must be followed up via a telephone conversation with
the referee and if appropriate explored at interview with the candidate. A referee is
more likely to clarify issues on the phone rather than on paper.

References – Giving a Reference

Employers should not refuse to provide references for their employees, even if the
employees have previously undertaken legal action against them.

Note: The Law expects references to be honest, accurate, fair and made with
reasonable care. Only senior managers or line managers in a position of
responsibility relative to the candidate may provide references. References must
conform with legal requirements and include any current disciplinary matters

                                         22
       arising during the person’s employment. Any reference given on behalf of the
       Trust must also comply with these requirements. A copy must always be kept of
       any reference received or given. If in doubt please consult a Human Resources
       Manager before accepting or providing a reference.

15.0   POST INTERVIEW PROCESS

       On reaching a decision, one of the panel members should, where possible, telephone
       the first choice of candidate to provisionally offer the post.

       Offers of employment/work may initially be made verbally but must stress the
       conditional nature of the offer and the checks that will need to be carried out. The offer
       should then be confirmed in writing (see offer letter, Appendix 10) stressing that the
       offer is conditional on:

          the verification of professional registration with the regulatory/licensing body - the
           regulatory body must be asked to specify that the registration covers the duties to be
           undertaken and whether the registration is subject to any current restrictions and
           whether the candidate is the subject of any fitness to practise investigations, which
           the regulatory body has a duty to disclose.

          the verification of a candidate‟s identity as per national NHS Employers Guidance

          the verification of the candidates right to work in the UK, or receipt of work permit

          any other conditions e.g. verification of essential qualifications for non-health
           professionals

          a satisfactory pre-employment health assessment being provided by the Trust‟s
           Occupational Health Department.

          A satisfactory Criminal Records Bureau disclosure/Trust declaration form (if
           applicable)

       Note: Where the successful candidate is currently employed by the Trust, and the
       new post involves significant changes to their duties then a further medical
       assessment is required. Account must be taken of current or previous illness and
       the duties imposed on the Trust by the Disability Discrimination Act 1995. The
       Act makes it unlawful to discriminate against a disabled person in the field of
       recruitment/employment.

       An Alert letter check must be made in accordance with HSC2002/011 to establish if
       there is a concern about the successful candidate. Alert letters are the way in which
       concerns about the safety of patients or staff, due to the actions of a health
       professional, are communicated within the National Health Service. Checks should be
       made irrespective of whether the position applied for requires professional registration
       with a regulatory body. This will enable an informal decision to be made about
       individuals who are the subject of an Alert letter, returning to the NHS in a position
       which does not require registration. Information regarding the content of, or, the raising
       of an Alert letter, is held within the Human Resources Department.

       Once the successful candidate has provisionally accepted the post, a panel member
       should contact the remaining candidates, normally offering some feedback if required.
       Where requested, such feedback should relate to the strengths and weaknesses of that
                                                 23
individual and must not breach confidentiality by referring to the performance of other
interviewees.

Reasons for not appointing must be clearly recorded on the Interview Report Form (see
Appendix 9). These forms will be retained by the Human Resource Department
together with the unsuccessful candidate‟s application documents.

15.1   Pre-employment meeting

       Following the receipt of a conditional offer of employment the Appointing
       Manager should make arrangements to meet with the successful candidate no
       later than 2 weeks following the interview date.

       The purpose of this „pre-employment meeting‟ is to ensure that the various pre-
       employment checks are carried out such as identity checks, entitlement to work
       in the UK, processing of the Criminal Records Bureau application form, check of
       original qualification documents and professional registration status. Guidance
       notes will be issued to all Trust appointing managers to support his „Pre-
       Employment Meeting‟.

15.2   Identity Checks

       The Centre for the Protection of National Infrastructure (CPNI) sees identity
       verification as the most fundamental of all pre-employment checks. An
       application should not progress until the Trust is satisfied that a person‟s identity
       is proven. Verification of identity checks are designed to determine that the
       identity is genuine and relates to a real person and to establish that the individual
       owns and is rightfully using that identity. The NHS uses two methods for verifying
       identity, requesting original documents and checking an individual‟s personal
       details against external databases.

       Prospective employees must provide acceptable documents containing their
       photograph, such as a passport or UK driving license, and acceptable
       documents providing their current address (see Appendix 13 for a full list of
       acceptable documents). A face to face meeting is also an essential part of the
       verification process. The Human Resources department will record the outcome
       of these checks using the Electronic Staff Record (ESR).

       Prospective employees will need to provide either of these two combinations:

              -   two forms of photographic personal identification and one document
                  confirming their address ( this combination should be used wherever
                  possible)
              -   one form of photographic personal identification and two documents
                  confirming their address

       Trust managers must photocopy and return these documents to the Human
       Resources department for storage on the employees‟ personnel file. The person
       taking the copy must sign and date the copy to show it has been verified.

       If no acceptable photographic identification is available, two forms of non-
       photographic personal identification and two documents confirming their address
       must be provided. All four documents must be from a different source. In
       addition, the successful candidate will need to provide a passport-sized

                                         24
       photograph, endorsed on the back with the signature of a „person of standing‟ in
       their community who has known them for at least three years. The photograph
       should be accompanied by a signed statement from that person, indicating the
       period of time that the person has been known to them. Trust managers must
       always check that the signature on the statement matches with the one on the
       back of the photograph and that it contains a legible name, address and
       telephone number. It is good practice to contact the signatory to authenticate the
       details on the statement.

       These documents should be returned to the Human Resources department for
       retention on the employees personnel file.

15.3   Right to Work in the UK checks

       Under Section 15 of the Immigration, Asylum and Nationality Act 2006, the Trust
       can be a subject to a civil penalty of up to £10,000 if it employs a worker who
       does not have permission to work in the UK, Managers must ensure that they
       carry out the relevant checks to confirm that all new employees are entitled to
       work in the UK and must seek advice from their Human Resources manager
       should they have any concerns. Candidates who are not British Citizens or EEA
       nationals, and who have not been granted permanent status in the UK, must
       have the necessary Home Office permission to work, relevant to the particular
       post. In order to avoid race discrimination claims, all candidates should be
       treated the same. Assumptions about a candidate‟s immigration status should
       not be made on the basis of colour, race, nationality or ethnic or national origins.

       On 1 May 2004 ten new countries joined the EU and became part of the EEA.
       These countries are referred to as A8 countries and workers form these
       countries are known as „accession state workers‟. Nationals from these countries
       are free to come to the UK and seek work. The government has established a
       Worker Registration Scheme and NHS Employers are encouraged to make sure
       a person from the A8 countries listed below have registers with the Border
       Immigration Agency within one month of starting work. These A8 countries are
       the Czech Republic, Lithuania, Estonia, Poland, Hungary, Slovakia, Latvia, and
       Slovenia. Trust managers must contact the Human Resources department if they
       employ a worker from one of these countries to ensure registration with the BIA
       is completed.

       On 1 January 2007 Bulgaria and Romania joined the EU and also became part
       of the EEA. These countries a referred to as „A2‟ countries. A2 workers are free
       to come to the UK but may be subject to worker authorisation. This means they
       are only able to work in the UK if they hold a valid accession worker authorisation
       document or if they are exempt from authorisation.       Trust managers must
       contact the Human Resources department if they are seeking to employ an A2
       worker.

       As part of the „Pre-employment meeting‟ the appointing manager must see an
       original document/s specified from List A or List B as detailed in Appendix ,that
       confirms the candidates entitlement to work in the UK.




                                         25
       The appointing manager must then carry out the following checks on the original
       document/s:

             -   check photographs, where available, to ensure that they are consistent
                 with the appearance of the individual
             -   check the dates of birth are consistent with the individual‟s identity
                 documents (see below)
             -   check that expiry date of any limited leave to enter or remain in the Uk
                 are still valid
             -   check any government stamps or endorsements to ensure the
                 individual is entitled to do the work being offered
             -   if the applicant provides a document showing different names a further
                 original document is required to explain the reason for this
                 (marriage/civil partnership certificate, divorce certificate, deed poll,
                 adoption certificate or statutory declaration)
             -   dates must be cross-referenced with identity documents and work
                 permits, or confirmed by contacting appropriate embassies or
                 consulates

       A photocopy of the original document should be returned to the Human
       Resources department and kept on the individuals personnel file to provide
       a defence against the civil penalty described above.

15.4   Criminal Record Bureau

       Where the post involves regular contact with children and/or vulnerable adults
       and is exempt from the Rehabilitation of Offenders Act 1974 (see Appendix 1),
       the successful candidate will be required to undergo police screening by
       completing the CRB Disclosure Form. In addition, they will also be required to
       complete and sign the Trust Declaration Form (see Appendices 11 and 12).

       The job offer letter (see Appendix 10), must include as appropriate, the Trust‟s
       Declaration Form and guidance on its completion (see Appendix 11), and inform
       the candidate how to arrange an appointment for health assessment.

       Appendix 11 gives full details of how the candidate and the appointing manager
       should complete the relevant sections of the CRB Disclosure Form.

       The candidate will need to make an appointment with the appointing manager to
       enable him/her to check that the CRB and Declaration forms have been properly
       completed and signed. In particular, the manager should complete section X on
       the CRB Disclosure Form and check the details recorded by the candidate in
       comparison with original supporting documents. Both forms should then be sent
       to the Human Resources Department who will forward the CRB Form to the CRB
       for processing. The CRB take approximately 6-8 weeks to undertake a
       Disclosure. Such a meeting provides an opportunity to check any other
       documents required for the post e.g. qualifications, work permit etc regardless of
       whether the post is exempt. Copies of documents should be retained on the
       personnel file.

       Normally, the candidate should not commence work until a satisfactory CRB
       check has been received. Where a long notice period has to be given before the
       individual commences with the Trust, this may not be a problem. If however, in
       exceptional circumstances, the appointing manager, wishes the candidate to
                                        26
       commence work before a satisfactory disclosure has been received, they must
       undertake a risk assessment using the standard document contained with thin
       the Trust policy „Disclosure of Criminal Records for Employment and Voluntary
       Appointments‟ and seek advice from a Human Resources Manager. Adequate
       supervision should also be put in place.

       At this point, the conditional nature of the job offer should be reconfirmed, in
       writing to the candidate. He/she must be advised that if the CRB check, (or any
       other outstanding condition) At the point of the conditional offer being made,
       he/she must be advised that the Trust cares for vulnerable clients/users and
       must comply with certain regulations. As a result, if he/she commences work
       before any of the set conditions have been met to the Trust's satisfaction it may
       lead to disciplinary action, including dismissal being taken against them. Failure
       to fairly and accurately declare criminal offences prior to commencement of
       employment, (which are subsequently confirmed by the CRB – if applicable) may
       lead to summary dismissal (ie dismissal without notice).

       Any matters of concern subsequently arising from the CRB Disclosure, Trust
       Declaration Form or health assessment etc. should be discussed immediately
       with the individual, and their representative, with guidance from a Human
       Resources Manager. This is to ensure that these matters are dealt with quickly,
       confidentially and fairly before any decision is made regarding the individual‟s
       future employment. The individual should cease working immediately the
       concerns come to light, until the matter is resolved. In circumstances where
       concerns arise regarding staff who have applied for an internal vacancy, such
       concerns will be considered in accordance with the Trust‟s Disciplinary
       Procedure.

       It is important to take a balanced view when considering previous convictions or
       issues of misconduct when appointing a candidate to post. Trust managers
       should refer to the Trust policies and risk assessment documents regarding the
       CRB process.

       Once all checks have been carried out to the satisfaction of the appointing
       manager, the candidate will be confirmed in post and issued with a Written
       Statement of the main terms and conditions of employment.

15.5   Verification of Qualifications

       Qualification checks verify the information about educational or professional
       qualifications that a prospective employee provides on their application form. For
       non-health professionals, qualifications that form part of the requirements for a
       position must be checked. All essential qualifications required for the post must
       be verified by sight of the original certificates, before making an appointment.
       The appointment letter must state that the post is subject to the verification of
       original documents, where these are a requirement of the post.

15.4   Trust Declaration Forms

       As part of the „Pre-employment meeting, Trust managers must ensure the Trust
       Declaration Form (see Appendix 11) has been completed and signed.




                                        27
Post Appointment Checks

Managers must have systems in place to satisfy themselves, on an ongoing basis,
that the registration of health/social care professionals working within their services,
whose registration is subject to periodic renewal, remains effective.

Staff without current registration must not practise and should be dealt with in
accordance with the Trust‟s Policy regarding the Professional registration of Doctors,
Nurses and Allied Health Professionals.

Managers must ensure that where a new employee is subject to limited entitlement to
work in the UK, that this is regularly reviewed by liaising with the Human Resources
Department to ensure that the employee does not continue to work beyond the end
date for their work permit.

The Trust is obliged by law to inform the UK Border Agency if an employee subject to
restriction to their entitlement to work in the UK:

       -   does not attend work on their first day
       -   is absent without permission for 10 days
       -   has their Contract of Employment terminated by the Trust
       -   has their registration terminated by the professional body e.g. GMC, NMC,
           HPC etc
       -   changes job or salary (excluding a change of job title or annual pay award)
       -   if there are any suspicions that a migrant worker is breaching the conditions
           of their leave
       -   leaves the Trust prior to the Work Permit expiring (premature end of
           employment notification form to be completed)

Trust managers must seek advice from their Human Resources Business Partner
should any of the above circumstances arise to ensure that the Border Agency are
informed.

If the fitness to practise of a health professional, currently working for the Trust, is called
into question, General Managers/Assistant Directors should consider, in consultation
with an HR Manager, informing the appropriate regulatory/licensing body. However,
before contacting the regulatory/licensing body, they must give notice, in writing to the
health professional concerned of their intention to do so.

If managers have any concerns about the safety of patients or staff, due to the actions
of a health professional currently or previously employed by the Trust, they should
consider, in consultation with an HR Manager, the raising of an Alert letter in
accordance with HSC2002/011.

Pre and post – appointment checks summary

See Appendix 14, summary of the Pre and Post - Appointment Checks Procedure.

Data Protection / Security

All documentation obtained in connection with the recruitment process, including that
obtained from unsuccessful applicants, must be processed in accordance with the Data
Protection Act 1998 and Trust's Data Protection Policy, and must only be used for the
purpose of determining suitability for the post applied for. Documents must be kept

                                          28
       secure and confidential and access restricted to persons who need to see them as part
       of the selection process.

       CRB Disclosures and Trust Declaration Forms must not be retained on the candidate‟s
       personnel file but in the Human Resources Directorate in lockable, non-portable storage
       containers. Access will be strictly controlled and limited to those who are entitled to see
       the information as part of their duties. Such information should not be retained for
       longer than six months after the date on which recruitment or other relevant decisions
       have been taken. Appendix 17 details the Trust‟s Security policy for the Correct
       Handling and Safe-keeping of Disclosure/Declaration information.

       The Clothier Report

       The Clothier Report makes several recommendations regarding the importance of
       medical screening, in preventing the appointment of staff with severe medical problems
       (such as those that were exhibited by Beverly Allitt). Comprehensive screening is
       particularly important where the individual has direct access to patients. The reference
       form asks for details of a candidate‟s sickness record and managers should ensure they
       are satisfied with this record. If there is any doubt then they should contact the referee
       by telephone and/or discuss the matter with their Human Resources Manager. Any
       indication of significant sickness must be communicated to the Occupational Health
       Department to assist them in assessing the individual‟s suitability for employment at the
       employment medical. Any decisions regarding the health status of candidates and their
       employment with the Trust must comply with the requirements of the Disability
       Discrimination Act i.e. ensure any reasonable adjustments are undertaken as
       necessary.

16.0   INTERVIEW EXPENSES

       All reasonable expenses incurred in attending the selection process shall be reimbursed
       by the Trust both to candidates for appointment and to any external assessors.
       Candidates travelling a short distance within the same geographical locality will not
       normally receive travelling expenses.

       Where candidates attend for interview from a location outside the UK mainland, such
       expenses shall be payable from the point of entry to Great Britain.

       Candidates attending for interview will be provided with an Expenses Claim Form. The
       form should be authorised, coded and forwarded to the Recruitment Department clearly
       indicating that it is for interview expenses.

       The successful candidate will be reimbursed interview expenses after taking up
       appointment, with their first month‟s salary.

       A candidate who is offered a post and subsequently declines the offer without good
       reason will not be paid expenses.

17.0   MONITORING OF JOB APPLICATIONS

       By monitoring the recruitment process, the Trust can ensure that recruitment is fair and
       effective. Specific targets for improvement can be identified by examining trends in job
       applications and relative success rates.



                                               29
The information gained will be used in the Workforce Planning and Investors in People
processes and to initiate positive action strategies.

A Monitoring Form is attached to the Trust‟s Application Form. Candidates are asked to
fill in the details and return it with their job application. Staff within the Human
Resources Department then detach the form and the Information provided is used to
establish a corporate view of recruitment and selection, that is to:

-   Identify areas where discrimination may be taking place.

-   Establish whether the Trust‟s workforce is representative of the community.

-   Identify problems of lack of response or rejection.




                                         30
                                                                                APPENDIX 1

EXAMPLES OF POSTS EXEMPT FROM THE REHABILITATION OF OFFENDERS ACT
AND REQUIRING CRB DISCLOSURE AND TRUST DECLARATION FORM

The following Posts Require an Enhanced Disclosure

Counsellors

Dieticians

Domestics

Heath Care Assistants or equivalent

Home Support Workers

Housekeepers

Medical Staff (including locums where appropriate)

Occupational Therapists

Patient Advocacy and Liaison Service workers who work with to patients or clients

Pharmacists and pharmacy support staff as appropriate

Physiotherapists

Porters

Psychologists

Qualified Accountants when required

Qualified Nurses

Student Nurses

Therapy Assistants

Ward clerks

Ward Orderlies


Voluntary workers who may work with Mental Health Service Users or Vulnerable Adults
                                                                                   APPENDIX 2


 Covering letter to accompany job
application forms and related documents




Date


Dear job applicant,

If you are looking at one of our job vacancies then, as a potential future employee, I‟m sure
you have an interest in our Trust and the services we provide. It also means you‟re just the
sort of person we would like to join our organisation as a member.

We‟re applying to become a Foundation Trust, a different type of NHS organisation based on
membership. I‟d like to invite you to become a member; joining current staff, service users,
carers and people from our local communities.

As a member you will be able to vote for representatives to sit on a Members‟ Council, which
works with the board of directors to influence how services are developed and provided in the
future. Becoming a member also shows that you are taking a stand against the stigma that so
often surrounds people with mental health problems and their families.

You can choose how much or how little you do as a member – you may simply choose to
receive information from us. Our membership pack may help you understand more about our
Trust and the direction we‟re taking, which you may find useful when applying for one of our
job vacancies or preparing for interview.

To become a member, just visit our website and sign up online:
http://www.southwestyorkshire.nhs.uk/content/foundationtrust/membersignup.aspx

If you have any questions about membership, please call, 01484 343395 or email
membership@swyt.nhs.uk

I look forward to welcoming you as a member and wish you every success with your job
application.


Kind regards,




Steven Michael
Chief Executive
South West Yorkshire Mental Health NHS Trust
                                                                                    APPENDIX 3
PRE-APPOINTMENT CHECKS - POLICY STATEMENT

The Trust has a duty to protect the patients and clients in its care and the way in which it
appoints staff is guided by this principle. The Trust aims to promote equality of opportunity and
is committed to treating all job applicants fairly and on merit. We undertake not to discriminate
unfairly against applicants on the basis of criminal convictions or other information declared.

Rehabilitation of Offenders Act 1974 (Exemption Order 1975) (Amendment) Order 1986

Because of the nature of the post you have applied for, it is exempt from the Rehabilitation of
Offenders Act (1974). You will, therefore, be required to declare any criminal convictions,
cautions, bind overs, reprimands, warnings or pending prosecutions you may have, even if
they would otherwise be considered as „spent‟. The Trust is using the Criminal Records
Bureau (CRB) Disclosure service and its own Declaration Form to gather this information for
assessment as to the applicant‟s suitability for such posts. Managers involved in recruitment
will have been appropriately trained.

Data Protection Act 1998

Any information you provide will be processed in accordance with the Data Protection Act
1998, and will be used only for the purpose of determining your suitability for the post for which
you have applied, unless you agree otherwise. It will be kept securely and treated as
confidential information. This means that access to it will be restricted to only authorised
persons who will need to see it as part of the administration or selection process. Managers
involved in the recruitment process have been trained to assess the relevance and
circumstances of offences. They will also have received appropriate guidance and training in
relevant legislation relating to the employment of ex-offenders, eg the Rehabilitation of
Offenders Act.

Once a decision has been made concerning your appointment, we will not keep the CRB
Disclosure and Trust Declaration Form for longer than is necessary before shredding it.

Disclosure of Convictions/additional relevant information

At interview, or separately, an open and measured discussion will take place regarding the
information disclosed that might be relevant to the position. The CRB has a code of practice,
regarding the handling of Disclosure information, and a copy is available on the request.

Offer of Post

In the event of you being offered a position this will be conditional upon you obtaining a
satisfactory Disclosure from the CRB and Trust Declaration Form, two satisfactory references,
satisfactory health assessment, confirmation of identity, confirmation of right to work in the UK
and fulfilling any other condition as advised to you in the offer letter. Having a criminal record
will not necessarily disqualify you from working for the Trust. Where a pre-employment
condition is not met then the appointing manager will discuss any matters of concern with you
before withdrawing the conditional offer of employment. Should you have started work before a
condition has been satisfactorily met, then the Trust reserves the right to terminate your
employment by giving one weeks pay in lieu of notice. In the case of staff employed by the
Trust who have applied for an internal vacancy, such concerns will be considered in
accordance with the Trust‟s Disciplinary procedure.
                                                                                     APPENDIX 4
IN CONFIDENCE
Covering letter inviting candidates for interview

Date:

Dear

Further to your recent application, I am pleased to invite you to attend for interview. The details
of which are stated below. I would be grateful if you would contact me on the above telephone
number as soon as possible, but at least three working days prior to the interview, to confirm
your attendance. Please quote your applicant no:

The details of which are:

Position of:
Interview Date:
Interview Time:
Venue:

*Please see attached sheet for details of the presentation/skills test you will be required to
undertake. A location map is enclosed to assist you in finding the venue and you should report
to Reception upon arrival.

If you have a disability and have any concerns regarding your interview then please contact
me on the above telephone number to discuss how this can be addressed.

Please note, if you are successful, the offer of employment will be subject to satisfactory
medical assessment by the Occupational Health Department and production of appropriate
original documents e.g. Qualifications/certificates, permission to work in this country, driving
license etc.

* As the post involves substantial access to children or vulnerable adults, you will be subject to
a Criminal Record Bureau disclosure and you will need to complete and sign the Trust‟s
Declaration Form, as advised to you previously at the start of the application process.

*Your referee(s) have been asked to supply a reference prior to the interview. Please could
you ensure that your referees send these in advance of your interview otherwise this might
delay the recruitment process.

Finally, I would be grateful if you would contact me on the above telephone number as soon as
possible, but at least three working days prior to the interview, to confirm your attendance.
Please quote your applicant no:

Should you have any queries regarding the interview then please do not hesitate to contact
me.

Yours sincerely


Encs

* Delete as appropriate
                                                                                    APPENDIX 5
IN CONFIDENCE

Covering letter and reference form


Date:

Dear

REFERENCE REQUEST FOR:

The above has applied for employment with the Trust and has given your name as a referee.
Please note, it is Trust policy that only the candidate‟s Line Manager or person in a position of
management responsibility relative to the candidate may provide a reference. If the candidate
is a student/volunteer/or has not worked before, then a person in a position of responsibility
eg. during a work placement, school teacher/lecturer etc should provide a reference. I would
therefore, be grateful if you would clearly state the capacity in which you know the applicant
and whether the applicant has a family relationship with anyone in a position of responsibility
within your organisation. If you have any questions regarding this guidance, please telephone
me on the above telephone number.

Please complete the enclosed Reference Request Form giving your frank opinion on the
candidate‟s suitability or otherwise for the post, details of which are contained within the
attached Job description and Person specification. Please also record any strengths,
weaknesses and other relevant factors you consider the candidate has in relation to the post.
This information will, of course, be treated in the strictest confidence and processed in
accordance with the Data Protection Act 1998.

*In order to protect the public, the post for which application has been made is exempt from
Section 4(2) of the Rehabilitation of Offenders Act 1974 by virtue of the Rehabilitation of
Offenders Act 1974 (Exceptions) Order 1975. It is not, therefore, in any way contrary to the
Act for you to reveal information concerning convictions, including those which would
otherwise be considered “spent” (ie not needing to be disclosed).

Finally, I would be grateful if the Reference Request Form could be returned as soon as
possible, but at least three days prior to the interview date. Should you wish to fax your reply,
our confidential fax number is (………).

May I thank you in anticipation for your kind assistance in this matter.

Yours sincerely




Enclosures

* Do not include this paragraph if the post is not exempt.
                                                                      APPENDIX 5 (continued)
                                                                              In Confidence
                                  Reference Request Form

Return to:   Recruitment.Section.HR@swyt.nhs.uk

Telephone: 01924 327000

Applicant‟s Name:                                                Ref No:
Post applied for:                                                Post No:
Employer:
Interview Date:

Post involves substantial access to children or vulnerable adults:          Yes        No


1.     Please detail your relationship with the candidate and if related to you or a senior
       person within your organisation. How long (include dates) you have know the
       applicant; their reason for leaving, if known/appropriate:



2.     Please provide details of any previous or current health conditions that may be
       relevant to the candidate‟s ability to discharge the duties of the post. Detail reasons
       for sickness absence, if known, and state number of days and number of occasions of
       sickness absence in the last two years:



3.     Please comment on their attendance, timekeeping and punctuality:



4.     Please provide details of any current convictions, cautions or bind-overs (**including
       those which would otherwise be considered “spent” ie not needing to be disclosed):
       **(Do not include this question if the post is not exempt from the Rehabilitation
       of Offenders Act 1974)



5.     Please provide details regarding conduct/misconduct, current disciplinary record or
       any action pending, any record or action pending outside of the organisation with for
       example a regulatory or licensing body etc:



6.     Would you re-employ this person and why?
Please give your opinion on the candidate‟s suitability to perform the duties of this post in
comparison with the attached Job description and Person specification and within the context
of a care provider, who provides care to children and vulnerable adults. Please comment on
their strengths and weaknesses and, their capacity for getting on with people. Their
personality, initiative, drive and judgement. Their professionalism including professional
relationships and regard for boundaries with service users and any other factors you believe
are relevant. (Please continue on a separate sheet if necessary).




Please tick here if you are the candidate‟s current Line
Manager/Employer                                                          Yes        No
Please tick here if you are the candidate‟s previous Line
Manager/Employer.                                                         Yes        No

In what capacity was the candidate employed

Signed:                                          Name: (print)
Designation:                                     Date:
                                                           APPENDIX 6
                SOUTH WEST YORKSHIRE MENTAL HEALTH NHS TRUST
                             Shortlisting Proforma




     Desirable Attributes should be scored as follows:
     0 = unacceptable,       1 = just adequate,       2 = fair,   3 = good,   4 = very
good 5= excellent

      Weighting Scores:
      (H) High = 3,     (M) Medium = 2,         (L) Low = 1
                                                                        APPENDIX 6 (continued)
SHORTLIST PROFORMA

Guidance for Completion

The form is designed as an aid to the shortlisting process to enable shortlisting to be equitable
and fair. It uses scores to compare and contrast applicants, against set attributes.

1.     The Shortlisting Panel should use the Person Specification to decide on which essential
       and desirable attributes should be used in shortlisting.

2.     These attributes should be set under the appropriate columns at the top of the form.
       Four essential attributes and four desirable attributes is usually enough. However, if
       there are more, extra columns should be added.

3.     If there is too little space in the columns for the attribute wording then a code eg
       Attribute „A‟, „B‟, „C‟ etc may be used listing the appropriate code separately.

4.     For the desirable attributes you will need to decide on the importance of each attribute
       in relation to each other and the post (eg experience of a particular work area may be
       more important than a particular qualification). Each desirable attribute is awarded a
       weighting factor of High, Medium or Low importance. Attributes with High/(H)
       importance have the scores multiplied by 3, Medium/(M) importance by 2, and Low/(L)
       importance by 1.

5.     Essential attributes do not need scoring or weighting as they are minimum requirements
       for the post and cannot be apportioned (see also 7 below).

6.     Once the attributes and weighting are clear, each application form should be read
       through, searching the form for the set essential and desirable attributes. The
       applicant‟s name should be noted down in the left column and a tick placed against the
       essential attribute column if the applicant meets the requirement. For the desirable
       attributes, a score on a scale of 0-5 is applied to each attribute column (0 is scored
       where an attribute is not met in any way up to a score of 5 where an attribute is met
       over and above expectations).

       The application form usually need only be read once, unless you are checking back
       over the forms for scoring comparisons.

7.     If an applicant does not meet an essential attribute then that applicant cannot receive a
       score or be shortlisted.

8.     Once all applicants have been scored, then each attribute score should be multiplied by
       the weighting factor, High, Medium or Low (3, 2, or 1). The box should be diagonally
       crossed and the new weighted score should be added into the box next to the attribute
       score. All the weighted scores should then be totalled and the score placed in the total
       column.

9.     Candidates with the highest scores will be on the shortlist. You will need to decide on a
       practical number to shortlist, based on the pattern of total scores awarded. It will then
       be clear on the score sheet the reasons for those applicants who are not selected for
       shortlisting.
10.   In summary shortlisted applicants are those with the highest scores. Applicants without
      all the essential attributes should not be shortlisted.
                                                                         APPENDIX 6 (continued)


Shortlisting – An Aide-Memoire for Managers


   Check that applicant‟s are matched against the person specification and the job
    description.

   If the applicant has indicated that they have a disability, then they must be shortlisted if
    they meet the essential criteria.

   Check that there are no unexplained breaks in the applicant‟s service (this may need to be
    explored further at interview).

   Have all the sections been answered, including all yes/no's?

   Has the individual worked for the Trust previously, if so, are you sure that they were not
    dismissed, if not check with a Human Resources Manager.

   If convictions have been declared are they relevant to the post? Again check that this part
    of the form has been answered yes or no and explore at interview.

   Has the application form been signed – if not, then this does not disqualify the application,
    but it will need to be signed before offering a post.

   References should cover a minimum of three years employment and/or training (five years
    is preferable). As a minimum references must be obtained from the two most recent
    employers.

   Be aware that research has indicated that applicants have been known to exaggerate their
    qualifications and current salary levels on applications forms!



If you have any queries or concerns about an application please contact your Human
Resources Manager.
                                                                           APPENDIX 7
                SOUTH WEST YORKSHIRE MENTAL HEALTH NHS TRUST

                               INTERVIEW REQUEST FORM

1.   POST: …………………………………………………                                  REF NO: ……………….

2.   DEPARTMENT: ………………………………………………………

DETAILS OF SHORTLISTED CANDIDATES:
    NAME                                                  INTERVIEW TIME
1
2
3
4
5
6
7
8
9
10


4.   Members of the Interview Panel:
     ……………………………………………………………………….…………
     ………………………………………………………………………………….

5.   Name & telephone number of appointing officer:
     …………………………………………………....
6.   Name & address of where the interview pack is to be sent:
     …………………………………...…………………………………………………………………
     …………………………………………………..…………………………………………………

7.   Interview Arrangements:
     Date(s):
     ……………………………………………………………………………………………………
     Venue (incl. full address):
     …………………………………………………………………………...................................
     ……………………………………………………………………………………………………

8.   Time for each candidate to arrive (if different from above):
     ………………………………………….
9.    Additional arrangements you may require (provide details) eg Presentation details –
      please state facilities available e.g. Powerpoint, OHP. Work related tests etc:
      …………………………………………………………………………………………………...
      ……………………………………………………………………………………………………
      ……………………………………………………………………………………………………

Note: Any matters of potential concern identified from the Application form and/or
references and each candidate’s preferred pattern of working should be discussed at
interview and considered in light of the post applied for and service needs. (See Trust’s
Recruitment Policy and Code of Practice and Flexible Working Guidance or discuss
with a Human Resources Manager)

Please return to: Recruitment Office, Fieldhead, Ouchthorpe Lane, Wakefield, WF1 3SP
immediately after shortlisting allowing 10 working days prior to the interview date.
                                                                                                                          APPENDIX 8
                                                          INTERVIEW PROFORMA
                      Please find enclosed original application forms. All forms must be returned after the interviews.

Name of interviewer                                                 HR Representative

Post of:                                                            Ref No                 Interview Date

CRITERIA                                                           Score Candidates
Criteria should be clearly defined and related to the person       H (3)
specification / job description                                    M (2)
                                                                   L (1)




COMPULSORY QUESTIONS
This post is subject to a Criminal Bureau Disclosure check. If
you do not accurately disclose previous or current convictions,
warnings or reprimands during the recruitment process, this will
result in your application being withdrawn. Do you have any
previous or current convictions, warnings or reprimands,
whether or not they are spent?
(If answered ‘yes’ to the above) Please can you list on a
separate sheet the full extent of your previous or current
convictions, warnings or reprimands including relevant dates.
(If answered ‘no’ to the above) Are you currently the subject of
any Police investigations? If so, please give details on a
separate sheet.


Scoring:                   (0 – Not acceptable), (1 - Just adequate), (2 - Fair),   (3 - Good),   (4 - Very good), (5 - Excellent)

Weighting Factors:         H – High Importance to post, M – Medium importance to post, L – Low importance to post.
                                                                                APPENDIX 9
                SOUTH WEST YORKSHIRE MENTAL HEALTH NHS TRUST

                                 INTERVIEW REPORT FORM

PLEASE NOTE * INDICATES MANDATORY FIELDS TO BE COMPLETED OTHERWISE
THIS WILL DELAY THE OFFER LETTER BEING SENT OUT TO THE SUCCESSFUL
CANDIDATE

* Post Title: …………..….……………….……………..                   * Ref. No: ……………… * Date of
Interview…………………

* Department ………….……………………………………………..
*Locality……………...........................................

Part 1 – Details of the Appointment

* SUCCESSFUL CANDIDATE: 2 REFERENCES MUST HAVE BEEN OBTAINED prior to
any offer of employment and that essential qualifications are verified and any previous
convictions questioned before making the appointment subject to pre and post employment
checks.

(Please use ONE Interview Report Form per successful candidate providing all details required)

*Name of successful
candidate
Start Date        (if known)                     Details of the Appointing Officer

                                                 *
                                                 Name………………………………………………….
*Pay Band
                                                 *
                                                 Signature……………………………………………...
*Hours                                           Details of who the Line Manager of the post
                                                 will be
*Service                                         *
                                                 Name…………………………...……………………..
*Base/Location                                   * Telephone
                                                 Number…………………………………..

*Part 2 – Verification of Process

*All questions must be answered                                          Yes       No       N/A
References seen? (NB 2 satisfactory references MUST be seen prior
to any offer being made)
Previous convictions questioned? Whether or not they have
indicated „yes‟ on the application form?
Discussion regarding preferred working patterns taken place with
each candidate? (In accordance with the Trust Flexible working
guidance)
Please indicate if this post is subject to a Criminal Records Bureau
(CRB) check
If yes, will this post have regular contact with children?
Is this post within Integrated Services and therefore requires a Policy of
the Deployment of Staff within an Integrated Service attached to the
offer?
Is this post Temporary? (if so state reason below and length of
temporary contract)



*Part 3 - Unsuccessful Candidates

*The Appointing Officer must inform the unsuccessful candidates as soon as possible after the
successful candidate has accepted the post.
Please indicate the reasons given for non-selection, these should be as specific as
possible, eg., “does not have the required amount of supervisory experience”. Where possible
this should relate to items on the Person specification. This information may be used in the event
of claims of unfair recruitment etc,.

* CANDIDATE                         * REASON(S)




Part 4 – Additional Requirements

Please indicate any other conditions or requirements attached to this offer of employment
below:
POST INTERVIEW (BEFORE A VERBAL OFFER IS MADE)

References

NHS policy states that employers must check a minimum of three years employment
and/or training (five years is preferable). As a minimum references must be obtained
from the two most recent employers. Both references must be received prior to a
confirmation, verbal or otherwise of any appointment.

Where the candidate has consented, references will be requested from the recruitment office
prior to interviews taking place. Therefore after the interview the appointing officer should
contact the recruitment office to see whether the references for the preferred candidate are
available. If either one or both have not been received the appointing officer should contact the
referee to obtain a verbal reference. This should only be done after checking with the
candidate for permission to approach their referee.

Making a Conditional Offer of Employment
Only when the above has been checked and received is the appointing officer able to offer
verbally to the preferred candidate. It is not permitted to offer subject to satisfactory
references but posts can be offered subject to medical clearance and a CRB check (where
appropriate).

The manager must ensure that the salary spine point offered to any candidate is in accordance
with the AFC Terms and Conditions of Employment. If in any doubt please contact Human
Resources for clarification before making a verbal offer.

Once the preferred and unsuccessful candidates have been offered or rejected, all paperwork
relating to the interviews must be returned to the Recruitment Office for processing. Providing
all the paperwork is complete an offer letter will be issued as soon as possible.

I have read and understood all the above:               * Signed:
____________________________________


Please return this form with all application forms and any recruitment documentation
including score sheets, any notes taken and references to the Recruitment Office,
Fieldhead, Ouchthorpe Lane, Wakefield, West Yorkshire, WF1 3SP WITHOUT DELAY.
These documents will be kept on file for six months and used in the event of a claim for unfair
practice etc. After six months they will be destroyed.
                                                                                  APPENDIX 10
IN CONFIDENCE
                                                                                         Fieldhead
                                                                                 Ouchthorpe Lane
                                                                                       WAKEFIELD
                                                                                          WF1 3SP
                                                                                Tel: (01924) 327***
19 January 2005
                                                                              Fax: (01924) 327079
                                                                               Applicant No: *******

Dear
CONFIRMATION OF OFFER OF EMPLOYMENT - POST OF ………………
Following your recent interview, I am pleased to confirm the offer of employment to the post
of……….. You will be employed under Agenda for Change terms and conditions of
employment.
CONDITIONS ATTACHED TO THIS EMPLOYMENT
Proposed Start date:
Starting Salary:
Salary Scale:
Hours of Duty:
Your employment with the Trust is: (list all outstanding checks which need to be made)

      Subject to the content of an enhanced identity disclosure by the Criminal Records
       Bureau (CRB) being satisfactory to the Trust. (Please see enclosed sheet for details).
       Do not include if post not exempt. *

      Subject to the content of a signed and completed Trust Declaration Form being
       satisfactory to the Trust. (Please see enclosed sheet for details). Do not include if
       post not exempt. *

      Subject to a health assessment, identifying fitness for the appointment, being
       satisfactory to the Trust. This form should be completed and returned in the addressed
       envelope (stamp required) at your earliest convenience.

      Subject to retaining a current UK work permit or, other valid permission to work in the
       UK.

      Subject to gaining and remaining registered with the (insert name of professional
       body).

      Subject to verification of identity.

      list all other requirements.

Please note that the Trust cares for vulnerable clients/users and must comply with certain
regulations. As a result, if you commence work before any of the above conditions have been
met to the Trust‟s satisfaction, this may lead to disciplinary action, including dismissal being
taken against you. Failure to fairly and accurately declare criminal offences prior to
commencement of employment, (which are subsequently confirmed by the CRB - if applicable)
may lead to summary dismissal (i.e. dismissal without notice).
Pre-Employment Meeting

In order for us to comply with NHS employment check standards, it is an essential part of the
process for you to arrange a face-to-face meeting with __________________ on
_____________. This meeting should take place within 10 days of receiving this confirmation
of offer of employment.

Please bring with you to the meeting:

   Staff Appointment Form (HRS1)
   P45 / P46
   Verification of identity documents which must include two forms of photographic
    identification and one document confirming your address or one form of
    photographic identification and two documents confirming your address. If you are
    unable to supply any forms of photographic Identification, you must bring with you a
    passport sized photo with an accompanying statement from a „person of standing‟
    who has known you for a minimum of 3 years along with two forms of non-
    photographic ID and two documents confirming your address (please see guidance
    notes attached).
    (Name Professional body) registration
   Original Qualification certificates (for non-health professionals only if qualifications are
    required for post)
   Criminal Records Bureau application form having completed sections A, B, C, (D – if
    applicable) and H. Section X will be completed by your manager at this meeting after
    checking appropriate original documents as explained within the guidance. Section Y will
    be completed by a countersignatory once returned to Recruitment Services.
   Completed Trust Declaration Form which must then be verified by your manager.
   An original document confirming your entitlement to work in the UK, please see attached
    guidance notes for list of acceptable documents

TRUST INDUCTION COURSE

Employees new to the Trust are required to attend a two-day Induction Course. You have
therefore been allocated a place on the course to be held on ….day …. date and ….day…..
date. The Education Centre will write to you in the near future with further details.
Finally, I would like to congratulate you on your appointment and wish you success in your
new post.

Should you not wish to accept this offer of employment then please contact me immediately.
Yours sincerely

* Delete as appropriate
                                                                                                       APPENDIX 11



                                         TRUST DECLARATION FORM
                      (For posts exempt from the Rehabilitation of Offenders Act 1974)

Full Name               _________________________________________________________

Post applied for        ______________________________           Applicant number. _______________


Please read the attached guidance notes before completion. If you answer yes to any of the questions below, please attach
full details, including dates, on a separate, signed and dated, sheet of paper.

 1    Are you currently bound over, or have you ever been convicted of any offence by a           Yes  No 
      Court or Court-Martial in the United Kingdom or any other country? (You do not need
      to declare parking offences or fixed penalty point fines)
 2    Have you ever received from the police, a caution, reprimand or final warning?              Yes  No 
 3    Have you been charged with any offence in the United Kingdom, or in any other               Yes  No 
      country that has not yet been disposed of?
 4    Are you aware of any current police investigation in the United Kingdom or in any other     Yes  No 
      country following allegations made against you?
 5    Have you ever been dismissed by reason of misconduct from any employment, office            Yes  No 
      or other position previously held by you? Or are you subject to a current
      final warning from your current employer?
 6    Are you aware of any current NHS Counter Fraud and Security Management Service              Yes  No 
      (CFSMS) investigation following allegations made against you?
 7    Have you been investigated by the Police, CFSMS or any other Investigatory Body             Yes  No 
      resulting in a current caution, conviction or dismissal from your employment?
 8    Have you ever been disqualified from the practice of a profession, or required to           Yes  No 
      practise subject to specified limitations following fitness to practise proceedings by a
      regulatory or licensing body in the United Kingdom or any other country?
 9    Are you currently the subject of any investigation or fitness to practise proceedings, by   Yes  No 
      any licensing or regulatory body in the United Kingdom or any other country?
 10   Posts subject to Child Protection regulations only:                                         Yes  No 
      Are you subject to any other prohibition, limitation or restriction that means we           Not applicable
      are unable to consider you for the position for which you are applying?                     


DECLARATION

I have read the guidance notes for candidates that accompanied this form, and I consent to the information provided in this
declaration being used by the South West Yorkshire Mental Health NHS Trust for the purpose of assessing my application.
I confirm that the information I have provided in this declaration form is correct and complete, and that I am required to
declare any change to the information provided before I accept any offer of employment/work or subsequent to my
accepting an offer of employment/work with the Trust.

I understand that if I withhold information or provide false or misleading information this may result in my application being
rejected, or if I have started work in the Trust may lead to summary dismissal (ie dismissal without notice). (In the case of
staff employed by the Trust who have applied for an internal vacancy, concerns will be addressed in accordance with the
Trust‟s Disciplinary Procedure).


Signed      ________________________________________ Date                  ___/___/___

Signed /(manager)___________________________________ Date                  ___/___/___
verified
GUIDANCE NOTES FOR THE COMPLETION OF THE TRUST‟S DECLARATION FORM AND
THE CRB DISCLOSURE FORM

Completion of the Trust’s Declaration Form

Please answer all questions by ticking the Yes, No or Not Applicable box. With the exception
of question 10, answering yes to any of the questions on the Declaration Form will not mean
that your application will be automatically rejected.

You must respond to all the questions on the Declaration form. If you answer yes to any of the
questions, please attach details on a separate sheet. If you do provide a separate sheet
please write your name and the job for which you have applied on the sheet, and attach it
securely to the form. Please sign and date the form.

No decision regarding your appointment can be made without your CRB Disclosure Form and
completed Trust Declaration Form. If you have any questions or concerns regarding the
declaration or how the information will be processed please contact your manager.

Once you have completed the Declaration Form, take it and the CRB Disclosure Form and the
original documents to the appointing manager at your pre-employment meeting. He/she will
then complete the CRB Form and send the forms to the Human Resources Department,
Fieldhead, Ouchthorpe Lane, Wakefield, West Yorkshire for certifying and sending off to the
CRB.

Once the form is sent off to the CRB it should take approximately three weeks to process. We
are, however, finding it is taking approximately 6 – 8 weeks in practice.

In using the CRB the Trust will adhere to their code of practice. A copy of this code of practice
can be obtained from the Human Resources Department.

As your offer of appointment is conditional upon the receipt of checks which are satisfactory to
the Trust, we will discuss with you any information provided by the CRB Disclosure or
Declaration Form which is a cause for concern and carefully consider the nature and
circumstance of the declarations made and its relevance or otherwise to the post for which you
applied.

In the event of a condition (including those detailed in the offer letter) not being met to the
satisfaction of the Trust, the offer of employment will be withdrawn, or, if you have already
commenced work, the Trust reserves the right to terminate your employment by giving you one
weeks pay in lieu of notice. Staff employed by the Trust who have applied for an internal
vacancy will have such concerns addressed in accordance with the Trust‟s Disciplinary
Procedure.

The information provided will be processed in accordance with the Data Protection Act 1998,
and will only be used for the purpose of determining your application for this position. Once a
decision has been made concerning your appointment we will not retain the information longer
than is necessary. Information will be kept securely and in confidence, and access to it will be
restricted to persons who need to see it as part of the selection process and who are
authorised to do so.
                                                                                                      APPENDIX 11
                                             TRUST DECLARATION FORM
                        (For posts non-exempt from the Rehabilitation of Offenders Act 1974)

         Full Name              _________________________________________________________

         Post applied for       ______________________________           Applicant number. _______________


      Please read the attached guidance notes before completion. If you answer yes to any of the questions below, please
      attach full details, including dates, on a separate, signed and dated, sheet of paper.

 1    Are you currently bound over, or have you have any current „unspent‟ convictions or         Yes  No 
      cautions, warnings or reprimands? (You do not need to declare parking offences or
      fixed penalty point fines)
 2    Have you been charged with any offence in the United Kingdom, or in any other               Yes  No 
      country that has not yet been disposed of?
 3    Are you aware of any current police investigation in the United Kingdom or in any other     Yes  No 
      country following allegations made against you?
 4    Are you aware of any current NHS Counter Fraud and Security Management Service              Yes  No 
      (CFSMS) investigation following allegations made against you?
 5    Have you been investigated by the Police, CFSMS or any other Investigatory Body             Yes  No 
      resulting in a current caution, conviction or dismissal from your employment?
 6    Have you ever been dismissed by reason of misconduct from any employment, officer           Yes  No 
      or other position previously held by you? Or are you subject to a final warning from
      your current employer?
 7    Have you ever been disqualified from the practice of a profession, or required to           Yes  No 
      practise subject to specified limitations following fitness to practise proceedings by a
      regulatory or licensing body in the United Kingdom or any other country?
 8    Are you currently the subject of any investigation or fitness to practise proceedings, by   Yes  No 
      any licensing or regulatory body in the United Kingdom or any other country?


DECLARATION

I have read the guidance notes for candidates that accompanied this form, and I consent to the information provided in this
declaration being used by the South West Yorkshire Mental Health NHS Trust for the purpose of assessing my application.
I confirm that the information I have provided in this declaration form is correct and complete, and that I am required to
declare any change to the information provided before I accept any offer of employment/work or subsequent to my
accepting an offer of employment/work with the Trust.

I understand that if I withhold information or provide false or misleading information this may result in my application being
rejected, or if I have started work in the Trust may lead to summary dismissal (ie dismissal without notice). (In the case of
staff employed by the Trust who have applied for an internal vacancy, concerns will be addressed in accordance with the
Trust‟s Disciplinary Procedure).



Signed      ________________________________________ Date                  ___/___/___


Signed /(manager)___________________________________ Date                  ___/___/___
verified
GUIDANCE NOTES FOR THE COMPLETION OF THE TRUST‟S DECLARATION FORM

Completion of the Trust’s Declaration Form

Please answer all questions by ticking the Yes or No. Answering yes to any of the questions
on the Declaration Form will not mean that your application will be automatically rejected.

You must respond to all the questions on the Declaration form. If you answer yes to any of the
questions, please attach details on a separate sheet. If you do provide a separate sheet
please write your name and the job for which you have applied on the sheet, and attach it
securely to the form. Please sign and date the form.

No decision regarding your appointment can be made without your completed Trust
Declaration Form. If you have any questions or concerns regarding the declaration or how the
information will be processed please contact your manager.

Once you have completed the Declaration Form, please take it to the appointing manager at
your pre-employment meeting.

As your offer of appointment is conditional upon the receipt of checks which are satisfactory to
the Trust, we will discuss with you any information provided on your Declaration Form which is
a cause for concern and carefully consider the nature and circumstance of the declarations
made and its relevance or otherwise to the post for which you applied.

In the event of a condition (including those detailed in the offer letter) not being met to the
satisfaction of the Trust, the offer of employment will be withdrawn, or, if you have already
commenced work, the Trust reserves the right to terminate your employment by giving you one
weeks pay in lieu of notice. Staff employed by the Trust who have applied for an internal
vacancy will have such concerns addressed in accordance with the Trust‟s Disciplinary
Procedure.

The information provided will be processed in accordance with the Data Protection Act
1998, and will only be used for the purpose of determining your application for this
position. Once a decision has been made concerning your appointment we will not
retain the information longer than is necessary. Information will be kept securely and in
confidence, and access to it will be restricted to persons who need to see it as part of
the selection process and who are authorised to do so.
                                                                                 APPENDIX 12
Identity Checks/Acceptable Documents Checklist

Requirements are:
2 x photographic ID (list 1) plus 1 x address confirmation (list 2)
OR
1 x photographic ID (list 1) plus 2 x address confirmations (list 2)
OR
1 x passport sized photo with accompanying authenticity statement (list 1) plus 2 x address
confirmations (list 2) plus 2 x non photographic ID (list 3)

Copies must be taken, signed, dated and forwarded to Recruitment Services with any starter
documentation.

List 1 – Acceptable Personal photographic identification                                      

          Current UK / EU national passport
          Current Non EU passport (with evidence of immigration status)
          Current UK/EU/non EU photocard driving licence
          National ID Card
          Passport sized photograph and accompanying authenticity statement


List 2 – Address confirmations                      List 3 – Non photographic ID             

           * Utility bill                                   Birth certificate
           * Council tax bill                               Paper style driving licence
           * Paper style driving licence                    Residence permit for EU
                                                              nationals from Home Office
           * Bank / building society                        Adoption certificate
              statement
           * Mortgage statement                             Marriage/civil partnership
                                                              certificate
           * Council rent card or                           Divorce or annulment papers
              tenancy agreement
           * DWP benefit book or card                       Police registration document
           * Court order                                    Certificate of employment in
                                                              HM Forces
           * Electoral register search                      DWP benefit book or card
                                                             Tax notification letter
                                                             Application registration card
* The date on the documents above should be                   (Asylum seekers)
within the last 6 months and they must contain               Building industry sub
the name and address of the applicant.                        contractor‟s certificate (HM
                                                              Revenue & Customs)
                                                             Home Office letter (IS KOS EX
                                                              or KOS EX2)

Verified by:_________________________________________________________________
Signed: ____________________________________ Date: ___________________________
                                                                                  APPENDIX 13

Right to work in the UK/Acceptable Documents

List A, this indicates an ongoing entitlement to work in the UK, original documents
must be seen

      -   A passport showing that the holder, or a person named in the passport as the child
          of the holder, is a British citizen or a citizen of the United Kingdom and Colonies
          having the right of abode in the UK
      -   A passport or national identity card showing that the holder, or a person named in
          the passport as the child of the holder, is national of the EEA or Switzerland
      -   A residence permit, registration certificate or document certifying or indicating
          permanent residence, issued by the Home Office or the BIA to a national of a EEA
          country or Switzerland
      -   A permanent residence card issued by the Home Office or the BIA to the family
          member of a national of an EEA country or Switzerland
      -   A Biometric Immigration Document issued by the BIA to the holder which indicates
          that the person named in it is allowed to stay indefinitely in the UK or has no time
          limit on their stay in the UK
      -   A passport or other travel document endorsed to show that the holder is exempt
          from immigration control, is allowed to stay indefinitely in the UK, has the right of
          abode in the UK or has no time limit on their stay in the UK
      -   An Immigration Status Document issued by the Home Office or the BIA to the holder
          with an endorsement indicating that the person named in it is allowed to stay
          indefinitely in the UK or has no time limit to stay in the UK, when produced in
          combination with an official document giving the person‟s permanent national
          Insurance number and their name issued by a Government agency or a previous
          employer.
      -   A full birth certificate issued in the UK which includes the name(s) of at least one of
          the holder‟s parents when produced in combination with an official document, issued
          by a Government agency or previous employer, giving the person‟s permanent
          National Insurance Number and their name
      -   A full adoption certificate issued in the UK which includes the name(s) of at least one
          of the holder‟s adoptive parents when produced in combination with an official
          document, issued by a Government agency or a previous employer, giving the
          person‟s permanent National insurance Document and their name
      -   A birth certificate issued in the Channel islands, the Isle of Man or Ireland when
          produced in combination with an official document, issued by a Government Agency
          or a previous employer, giving the person‟s permanent National Insurance number
          and their name
      -   An adoption certificate issued in the Channel islands, the Isle of Man or Ireland
          when produced in combination with an official document, issued by a Government
          Agency or a previous employer, giving the person‟s permanent National Insurance
          number and their name
      -   A certificate of registration or naturalisation as a British Citizen when produced in
          combination with an official document, issued by a Government Agency or a
          previous employer, giving the person‟s permanent National Insurance number and
          their name
      -   A letter issued to the holder by the Home Office or the BIA indicating that the person
          named in it is allowed to stay indefinitely in the UK when produced in combination
          with an official document, issued by a Government Agency or a previous employer,
          giving the person‟s permanent National Insurance number and their name
Appendix 13 - Right to work in the UK/Acceptable Documents (continued)

List B, only to be used if the candidate cannot produce an original List A document.
This indicates a limited entitlement to work in the UK, original documents must be seen.
Trust managers must contact the Human Resources if using List B documents

      -   A passport or travel document endorsed to show that the holder is allowed to stay in
          the UK or is allowed to do the type of work in question, provided that it does not
          require the issue of a work permit
      -   A Biometric Immigration Document issued by the BIA to the holder which indicates
          that the person named in it can stay in the UK and is allowed to do the work in
          question.
      -   A work permit or other approval to take employment issued by the Home Office or
          the BIA when produced in conjunction with either a passport or another travel
          document endorsed to show the holder is allowed to stay in the UK and is allowed to
          do the work in question, or a letter issued by the Home Office or the BIA to the
          holder or the employer or prospective employer confirming the same
      -   A certificate of application that is less than six months old issued by the Home Office
          or the BIA to, or for, a family member of a national of an EEA country or Switzerland
          stating that the holder is permitted to take employment, when produced in
          combination with evidence of verification by the BIA Employer Checking Service.
      -    A residence card or document issued by the Home Office or the BIA to a family
          member of a national of an EEA country or Switzerland
      -   An Application Registration Card issued by the Home Office or BIA stating that the
          holder is permitted to take employment, when produced in combination with
          evidence of verification by the BIA Employer Checking Service
      -   An Immigration Status Document issued to the holder by the Home Office or the
          BIA with an endorsement indicating that the person named in it can stay in the UK
          and is allowed to do the work in question when produced in combination with an
          official document, issued by a Government agency or previous employer, giving the
          person‟s permanent national Insurance number and their name
      -   A letter issued to the holder or the employer or the prospective employer by the
          Home Office or the BIA indicating that the person named in it can stay in the UK and
          is allowed to do the work in question when produced in combination with an official
          document, issued by a Government agency or previous employer, giving the
          person‟s permanent national Insurance number and their name
                                                                                                                                  APPENDIX 14

Summary of pre and post-appointment checks for managers

ASPECT          DETAIL
Processing      Job Applications received, should be reviewed in comparison with the person specification and job description, and a shortlist
applications    of applicants to be called for interview drawn up.
received
                    Any NHS alerts regarding applicants will be made aware to the appointing officer by Recruitment Services.
                    Scrutinise Application forms for gaps in employment history.
                    Check references cover a minimum of three years employment and/or training (five years is preferable). As a minimum
                     references must be obtained from the two most recent employers.
                  check if applicant needs permission to work in the UK and/or a work permit is required
                  check if professional registration is current
                  check if there will be any convictions to declare
                  check what documents you will need to verify e.g. qualifications, NVQ certificates etc
                Probe any ambiguities or matters of concern, identified from above, in an open and measured manner at interview.
References       The Chair of panel should scan references to check that all questions have been completed and identify any matters of
                 concern to be probed at the interview and/or with referee. Two satisfactory references must be received prior to offer verbal
                 offer of employment being made.
The interview   Any matters of potential concern previously identified from the application form or references and the individual‟s preferred
                pattern of working, should be discussed in an open and measured manner and considered in light of the post applied for and
                service area.
Post-           a verbal offer of employment which stresses the conditional nature of the offer, can be made to the successful candidate.
interview       The Appointing Manager should then arrange to meet with the successful candidate for a „Pre-employment Meeting‟
process          within 10 days following the interview. Guidance notes will be issued to all appointing managers so that all necessary
                 pre-employment checks can be undertaken. The „Pre-employment Meeting‟ will be used to:
                 - process the CRB disclosure where necessary and Trust declaration form
                 - carry out the necessary identity checks
                 - confirm entitlement to work in the UK (all candidates)
                 - check original certificates of qualification where applicable

              Following the „Pre-employment Meeting‟ all the necessary documents must be returned to Recruitment Services without
              delay.

              Once all the conditions of the offer are met the person may commence work. A Written Statement of the main terms and
              conditions of employment will be issued to the person once medical clearance is obtained.

              If the conditions of the job offer are not met: the Appointing Manager should discuss this with an HR Manager before meeting
              with the candidate to discuss the matter(s) of concern. The job offer may be withdrawn if appropriate. If the candidate has
              already commenced work they should cease work immediately and following discussion, employment terminated by giving
              one weeks pay in lieu of notice if appropriate. The Trust‟s Disciplinary Procedure should be followed in cases where staff have
              applied for an internal vacancy.
Post-         Managers must ensure that they:
appointment
checks              have systems in place to check the periodic renewal of professional staff‟s registration. (See The Trust‟s registration of
                     Doctors, Nurses and allied Health Professionals Policy)
                    raise any fitness to practice concerns, regarding health professionals, with the
                      appropriate professional bodies
                    give consideration to raising an Alert letter, where there are concerns regarding the practice of a health professional
                for any staff with limited entitlement to work in the UK, inform the HR department should they not attend work on
                their first day, is absent without permission for 10 days, has their Contract of Employment terminated by the Trust, has
                   their registration terminated by the professional body e.g. GMC, NMC, HPC etc, changes job or salary (excluding a change
                   of job title or annual pay award),if there are any suspicions that a migrant worker is breaching the conditions of their leave
                   and leaves the Trust prior to the Work Permit expiring (premature end of employment notification form to be completed)

              If considering any of the above, managers should first seek advice from a Human Resources Manager.
                                                                                    APPENDIX 15

 SECURITY POLICY - COVERING THE CORRECT HANDLING AND SAFE-KEEPING OF
                 DISCLOSURE/DECLARATION INFORMATION

General principles
As an organisation using the Criminal Records Bureau (CRB) Disclosure service and its own
Declaration Form to help assess the suitability of applicants for positions of trust, the Trust
complies fully with the CRB Code of Practice regarding the correct handling, use, storage,
retention and disposal of Disclosures and Disclosure information. It also complies fully with its
obligations under the Data Protection Act and other relevant legislation pertaining to the safe
handling, use, storage, retention and disposal of Disclosure and Declaration information and
has a written policy on these matters, which is available to those who wish to see it on request.

Storage & Access
Disclosure information is never kept on an applicant's personnel file and is always kept in the
Human Resources Directorate, separately and securely, in lockable, non-portable, storage
container with access strictly controlled and limited to those who are entitled to see it as part of
their duties.

Handling
In accordance with section 124 of the Police Act 1997, Disclosure information is only passed to
those who are authorised to receive it in the course of their duties. Trust Declaration
information should also be treated in this manner. That is, those Human Resources staff
involved in the process and those managers on the appointment panel. A record of all those to
whom Disclosures or Disclosure information has been revealed will be kept in the Human
Resources Directorate. It is a criminal offence to pass this information to anyone who is not
entitled to receive it.

Usage
Disclosure/Declaration information is only to be used for the specific purpose for which it was
requested and for which the applicant's full consent has been given.

Retention
Once an appointment (or other relevant) decision has been made, the Disclosure/Declaration
information will not be kept for any longer than is absolutely necessary. This is generally for a
period of up to six months, to allow for the consideration and resolution of any disputes or
complaints. If, in very exceptional circumstances, it is considered necessary to keep
Disclosure information for longer than six-months, the Trust will consult the CRB about this. In
so doing it will give full consideration to the Data Protection and Human Rights of the individual
before doing so. Throughout this time, the usual conditions regarding safe storage and strictly
controlled access will prevail. A Human Resources Officer will be nominated to ensure
Disclosure information is properly retained

Disposal
Once the retention period has elapsed, the nominated Human Resources Officer will ensure
that the Disclosure/Declaration information is immediately destroyed by shredding.
Photocopies of the Disclosure/Declaration or any copy or representation of the contents of a
Disclosure/Declaration will not be kept.

However, notwithstanding the above, a record will be kept in the Human Resources
Directorate, of the date of issue of a Disclosure/Declaration, the name of the subject, the type
of Disclosure requested, the position for which the Disclosure/Declaration was requested, the
unique reference number of the Disclosure and the details of the recruitment decision taken.
                                                                          Appendix 16
                             Pre-employment Meeting Checklist

Please submit this form to Recruitment Services, Fieldhead, Ouchthorpe Lane, Wakefield,
WF1 3SP after your pre-employment meeting with the successful candidate. Please attach
copy documents/forms.

Applicant name
Job Title
Date of meeting
Manager
Signed (Manager)

Please tick as applicable
Completed and signed verification of original identity documents. Normally two   Yes
forms of photographic identification plus one document to confirm address, or
one form of photographic identification and two forms of address confirmation.

If no photographic identity documents 2 documents confirming identity and two
documents to confirm address (all 4 documents from a different source) and
passport sized photograph signed and dated (supplemented with an addressed
statement) from a person of standing in the community.
Right to work in the UK confirmed, original document from List A validated and Yes
copied or original document from List B validated and copied (with involvement
of HR).
Copies of educational certificates and or professional registration signed and Yes      N/A
dated
CRB form completed correctly and verified identity documents for Section X       Yes    N/A
Signed and dated Trust declaration form                                          Yes    N/A
Staff appointment form (HRS 1) / Staff changes form (HRS 3)                      Yes
P45/6                                                                            Yes    N/A
Use of private vehicle registration form                                         Yes    N/A
All of the above should be attached to this form and returned to: Recruitment,
Fieldhead, Ouchthorpe Lane, Wakefield, WF1 3SP
Occupational Health questionnaire completed                                Yes          N/A
To be sent to: Occupational Health, CNDH, Lumley Street, Castleford, WF10 5
Network services form                                                     Yes           N/A
To be sent to: HIS Service Desk, Calderdale Royal Hospital, Salterhebble, Halifax, HX3
0PW
Rio registration form                                                      Yes      N/A
To be sent to: P & I, Ward 4, CNDH, Lumley Street, Castleford, WF10 5LT
Name badge request form                                                          Yes    N/A
To be taken by the successful applicant to General Office, Fieldhead to have a
photograph taken (Tel: 01924 327464) to arrange a suitable appointment time

				
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