Get documents about "Pre Employment and Employment Checks Policy
Document Sample
Policy and Protocol on Pre-employment and
Employment Checks
Reference Number HR/PECHCKS
Version 3
Name of responsible (ratifying) committee HR Policy Group
Date ratified 05.04.2011
Document Manager (job title) Employee Resourcing Manager
Date issued 27.04.2011
Review date April 2012
Electronic location Corporate Policies
Recruitment and Selection Policy, Recruitment and
Selection of Consultant Medical Staff Policy, Trust
Related Procedural Documents
Protocol and Procedure for Statutory Registration of
Professional Staff
CRB; Work Permit; Rights to Work; References;
Key Words (to aid with searching) Occupational Health; health screening; Professional
Registration
In the case of hard copies of this policy the content can only be assured to be accurate on the date of issue marked on the
document.
For assurance that the most up to date policy is being used, staff should refer to the version held on the intranet
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 1 of 30
CONTENTS
QUICK REFERENCE GUIDE – quick reference only. ......................................................................... 3
1. INTRODUCTION.......................................................................................................................... 4
2. PURPOSE ................................................................................................................................... 4
3. SCOPE ........................................................................................................................................ 4
4. DEFINITIONS .............................................................................................................................. 5
5. DUTIES AND RESPONSIBILITIES .............................................................................................. 6
6. PROCESS ................................................................................................................................... 7
7. TRAINING .................................................................................................................................. 16
8. REFERENCES AND ASSOCIATED DOCUMENTATION .......................................................... 16
9. MONITORING COMPLIANCE WITH, AND THE EFFECTIVENESS OF, PROCEDURAL
DOCUMENTS ............................................................................................................................ 17
APPENDIX A .................................................................................................................................... 19
APPENDIX B .................................................................................................................................... 21
APPENDIX C .................................................................................................................................... 22
APPENDIX D .................................................................................................................................... 23
APPENDIX E .................................................................................................................................... 24
APPENDIX F .................................................................................................................................... 25
APPENDIX G .................................................................................................................................... 26
APPENDIX H .................................................................................................................................... 27
APPENDIX I...................................................................................................................................... 29
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 2 of 30
QUICK REFERENCE GUIDE – quick reference only.
For quick reference the guide below is a summary of actions required. This does not negate the need
for the document author and others involved in the process to be aware of and follow the detail of this
policy.
1. All employment with the Trust is subject to satisfactory pre-employment checks. These
checks are:
Eligibility to work in the UK
Identity Check
Criminal Records Bureau
Professional Registration
References and employment history
Validation of qualifications
2. These checks are undertaken by the Employee Resourcing Team.
3. There are a number of checks that are required during employment with the Trust. These are
Rights to Work in the UK, Professional Registrations and CRB.
Checks Flow Chart
Check an individual‟s identity and rights to work in the UK
Once rights to work have been established, individual will be asked to complete fitness to
practice form and CRB application
Employee Resourcing Department will take up references covering a minimum 3 year period.
Confirming employment history, if not employed, letters of upstanding in the community
Employee Resourcing Department will check Professional Registration via Professional Body to
ensure appropriately registered
Employee Resourcing Department will ensure that qualifications stated on application are
supported by appropriate documentation
Line Managers will be kept informed at all stages of the Recruitment process in order that
decisions can be made with appropriate information
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 3 of 30
1. INTRODUCTION
1.1 Effective recruitment processes and on-going employment checks are essential to ensure
the highest standards of patient care and safety within Portsmouth Hospitals NHS Trust
(“the Trust”).
1.2 The Trust is committed to equality of opportunity in employment and the recruitment of a
diverse workforce regardless of race, gender, age, religion or belief, nationality, sexual
orientation (including transgender), criminal conviction history or disability. The Trust aims
to positively support the recruitment of a diverse workforce in line with our Single Equality
Scheme.
1.3 All applications for work will be decided fairly and on merit. Information declared will be
used to consider the applicant‟s suitability for the position, will be treated in confidence,
and will not be used as the sole criteria to decide an applicant‟s fitness for the position.
1.4 This policy has been written in the spirit of the NHS Constitution.
2. PURPOSE
2.1 This document provides a policy and protocol which ensures all checks relevant to
employment, required by law and good practice are in place and operating effectively in
the Trust
2.2 The policy and protocol incorporates both pre-employment and on-going employment
checks that need to be undertaken throughout an employee‟s working life with the Trust.
2.3 The policy and protocol will follow best practice with the overall aim of ensuring patient
safety and the highest standards of healthcare.
3. SCOPE
3.1 This policy and protocol will apply to the recruitment and selection of all staff for all posts
whether advertised internally or externally, permanent or temporary. This policy and
protocol will also apply to:
All employees of the Trust;
Temporary and bank workers, including those engaged through third party
agencies, as long as these are on the Buying Solution – Health (formerly PASA)
framework. Those individuals employed by Buying Solution – Health agencies will
have undergone the employment checks required by the Buying Solution – Health
framework ;
Non Executive Directors;
People undertaking work for, but not employed by, the Trust (e.g. Honorary
Contract, Military/MOD personnel, volunteers, work experience students). Those
staff employed by the Military/MOD will have undertaken employment checks as a
requirement of their own employer.
Staff on secondment to the Trust and/or holding Honorary Contracts
In the event of an infection outbreak, flu pandemic or major incident, the Trust recognises
that it may not be possible to adhere to all aspects of this document. In such circumstances,
staff should take advice from their manager and all possible action must be taken to
maintain ongoing patient and staff safety.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 4 of 30
4. DEFINITIONS
Criminal Records Bureau (CRB): helps to protect children and vulnerable adults by
providing a service to support organisations recruiting people into positions of Trust through
providing written confirmation of criminal convictions.
Disclosure: a process whereby parties inform ("disclose") to other parties the existence of
any relevant documents, facts or information that are, or have been, in their control
European Economic Area (EEA): countries included are Austria, Belgium, Bulgaria, Czech
Republic, Cyprus, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland,
Republic of Ireland, Italy, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, the
Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden and the
UK
Electronic Staff Record (ESR): HR and payroll system, which records personal data of all
employees.
General Medical Council (GMC): Professional Registration body for Medical Staff.
Honorary Contract: covers someone who is undertaking work on behalf of the Trust but is
not employed by the Trust.
Health Professions Council (HPC): Professional Registration body for Allied Health
Professionals
Nursing and Midwifery Council (NMC): Professional Registration body for Nurses and
Midwives
Buying Solutions–Health (formerly PASA): framework agreement that ensures the agencies
which provide staff for the Trust adhere to NHS standards.
Independent Safeguarding Authority (ISA): incorporates Protection of Children Act (PoCA)
and Protection of Vulnerable Adults Act (PoVA) and maintains a list of people who have been
barred from working with Children and Vulnerable adults.
Refugee: a person who has been given leave to remain on the basis of a successful asylum
application.
Asylum seeker: a person who has made an application for asylum, but whose application is
yet to be decided upon.
Points Based Immigration System: devised and implemented in November 2008, part of
government legislation to control immigration and migrant workers in the UK:
Tier 1 – Highly Skilled Individuals
Tier 2 – Skilled workers with job offers with UK companies
Tier 3 – Low Skilled Workers needed to fill temporary labour shortages
Tier 4 – Students
Tier 5 – Youth Mobility and Temporary Workers
UK Border Agency: responsible for securing the United Kingdom borders and controlling
migration in the United Kingdom, enforcing immigration and customs regulations. It is also
responsible for considering applications for permission to enter or stay in the United Kingdom,
citizenship and asylum.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 5 of 30
5. DUTIES AND RESPONSIBILITIES
The Chief Executive
The Chief Executive has overall responsibility for ensuring that there are robust processes
and procedures in place to allow for effective pre-employment and employment checks. In this
regard any alert notices received by the Chief Executive from the SHA will be forwarded to the
Employee Resourcing Department without delay.
The Director of Organisational Development and HR
The Director is responsible for ensuring that there are robust processes and procedures in
place to allow for effective and pre-employment checks and that associated policies remain
up to date and in line with current legislation
The HR Senior Leaders Forum
The Forum, chaired by the Director of Organisational Development and HR, comprises of
Head of Learning and Development, Head of Workforce Information, Head of Employee
Resourcing, all Workforce Managers and all senior HR Managers. It is responsible for
ensuring that all exception reports are reviewed and appropriate action plans developed to
address any identified issues.
The Head of Employee Resourcing/Employee Resourcing Manager
The Manager is responsible for ensuring that:
Effective and robust systems and processes are in place for all checks to be
undertaken legally and in line with good practice.
Training is provided to HR staff to enable them to operate within best practice and
legal parameters.
The Employee Resourcing Team
The Team is responsible for ensuring that the processes outlined in this policy are adhered to
and any issues with compliance are escalated to the Head of Employee Resourcing
Temporary Staffing Team
The Team is responsible for ensuring that references, proof of registration and CRB checks
are obtained from the Agency concerned.
Duty Manager
The Manager is responsible for ensuring that, when agency staff are booked out of hours, the
agency provides proof of CRB checks, professional registration, rights to work and references
Recruiting / Line Managers
Managers are responsible for ensuring that all employment policies and procedures are
adhered to, in respect of both new and current staff and that any advice received from the
Employee Resourcing Teams is followed. Managers will also report any potential exceptions
to the Head of Employee Resourcing
Applicants, Employees (permanent or temporary), Honorary (unpaid) and Students
All the above will:
Provide the Trust with timely and accurate information for all requested checks;
Ensure that professional registration is maintained (where appropriate) in line with the
Trust‟s Protocol and Procedure for Statutory Registration of Professional Staff;
Advise their line manager or supervisor of any change to their circumstances ;
Inform their line manager should they be charged with an offence or their status with
regard to the above checks changes during their employment.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 6 of 30
6. PROCESS
6.1 Pre-employment checks
6.1.1 Offers of employment will be conditional on receipt of satisfactory employment
checks.
6.1.2 All applicants for employment with the Trust will be subject to the following pre-
employment checks where appropriate and required for the post:
Eligibility to work in the UK
Identity Check
Criminal Records Bureau (CRB)
Professional registration
References and employment history
Validation of qualifications
6.1.3 Checks that are undertaken will be those deemed relevant and appropriate for
the role to be undertaken. The Trust will ensure that the information is
available only to those who need to have access in the course of their duties.
6.1.4 All information will be securely stored and destroyed within the required time
limits.
6.1.5 Failure by an applicant or employee to provide accurate information in a timely
manner is a serious matter. Where it is found that an individual has declared
inaccurate information it may disqualify them from appointment or be
considered to be Gross Misconduct which may result in their dismissal (please
see the Trust‟s Discipline for Staff Policy).
6.1.6 In the event of unsatisfactory check(s) being received, this will be escalated to
the Recruiting Manager to make a full review of the facts and circumstances
and make a decision to recruit.
6.1.7 The process will be documented and retained, including details of the full
reasons for the decision to either a) recruit or b) withdraw the job offer.
6.1.8 Where temporary bookings are made off the Buying Solution – Health (formerly
PASA) framework, the following arrangements will take place:
If booked through Temporary Staffing – references and proof of CRB,
rights to work will be requested from the Agency. The Temporary
Staffing Team will check appropriate professional registration.
If booked out of hours, the Duty Manager booking off the framework will
need to request the agency to fax/e-mail proof of:
o CRB
o References
o Professional Registration
o Rights to Work
6.2 Eligibility to work in the UK and Identity Check
6.2.1 The Trust has a responsibility to prevent illegal migrant working in the UK. An
individual must produce documents to prove they are permitted to work in the
UK and that their identity is genuine.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 7 of 30
6.2.2 If an individual is not subject to immigration control, has no restrictions on their
stay in the UK or is a UK citizen, then they will still be required to produce a
document or a specified combination of documents (Appendix A) prior to
commencing employment.
6.2.3 Where the leave to enter or remain in the UK granted to an individual is time
limited, the document or documents required to be produced prior to
commencing employment are specified in Appendix B.
6.2.4 Where the individual has limited leave to be in the UK the checks will be
repeated on that employee by Employee Resourcing at least once every
twelve months, until they provide specified document or documents indicating
that they can remain permanently in the UK from List A, or until they leave the
Trust‟s employment.
6.2.5 All documents provided by individuals must be checked following guidance on
Appendix D. A certified copy of the documents is to be kept on the personal
file.
6.2.6 Certain documentation is accepted as proof of an individual‟s identity and this
must be produced prior to commencement of employment (Appendix I).
6.3 Work permits/ Certificates of Sponsorship under Tier 2
6.3.1 If a prospective employee is not a British Citizen or a citizen of one of the EEA
countries, they are likely to require a sponsorship certificate which will be
applied for by the Trust to undertake employment. There are certain exceptions
including:
Swiss nationals
a family member of an EEA or Swiss national who is in the UK
exercising their treaty rights or a family member of an EEA or Swiss
national who intends to join them in, or is travelling with them to, the UK
a citizen of Gibraltar
a Commonwealth citizen with permission to stay in the UK on the basis
of UK ancestry.
6.3.2 If a recruiting or line manager has questions about the likelihood of their post
being suitable for a Tier 2 sponsorship certificate they should contact
Employee Resourcing for further information.
6.3.3 Where successful applicants require a sponsorship certificate, the application
process will be managed by Employee Resourcing in liaison with the Trust‟s
Immigration Consultants.
6.3.4 The Trust will have to demonstrate that the resident labour market has been
tested appropriately by national advert for up to 4 weeks. This means that no
EU/EEA Nationals were suitable to fill the post.
6.3.5 The individual is responsible for securing their leave to remain and entry
clearance. They must also ensure they have appropriate documentation to
support their leave to remain (passport stamps or Identity Card). Certified
copies of these must be held on the personal file and by the Trust‟s
Immigration Consultants for the duration of their employment.
6.3.6 The Trust will pay the Sponsorship Fee. The individual will be responsible for
the payment for their leave to remain.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 8 of 30
6.3.7 The Trust can arrange to pay fees in relation to leave to remain on behalf of an
applicant. Arrangements will then be put in place for the staff member to re-pay
costs via monthly payroll, over an agreed period of time.
6.4 Refugees and asylum seekers
6.4.1 A refugee has rights under the Geneva Convention to be treated no less
favourably than citizens of the host nation. In the UK refugees have the right to
work.
6.4.2 Since 2003 asylum seekers do not have the right to work in the UK. Only a
very small number of asylum seekers will have the right to work and if so it will
state „employment permitted‟ on their Application Registration Card (ACR).
6.5 Criminal Records Bureau (CRB)
6.5.1 Disclosures are an important tool when recruiting safely in the NHS. Although a
criminal conviction in itself does not prevent anyone from working in the NHS,
some types of offences, for example involving violence or sexual abuse, may
indicate that an applicant is unsuitable to have access to patients and should
not be employed.
6.5.2 CRB checks are mandatory for every new recruit who has access to patients or
patient information as part of their normal duties. Failure to carry out these
checks could put the safety of patients, visitors and other employees at risk
6.5.3 Staff who commenced in employment with the Trust before 2002 may not have
a CRB in place.
6.5.4 Staff will be required to undertake a CRB check in the event of any change of
job that results in a change of access to patients or as and when the Trust
requires.
6.5.5 The Trust is entitled to ask individuals to disclose convictions, cautions,
reprimand or final warning that would otherwise be „spent‟ under the provisions
of the Rehabilitation of Offenders Act 1974. This information will be sought on
the application form and the Criminal Convictions or Fitness to Practice
Proceedings Declaration. At the point of short-listing Employee Resourcing will
assess the information and inform the Recruiting Manager/Line Manager
6.5.6 Unless the law prohibits an appointment, a criminal conviction will not
automatically exclude an applicant or employee from working in the Trust.
6.5.7 Where roles involve the regular care, training and supervision or sole charge of
persons under 18 or vulnerable adults [as defined by the Police Act 1997 and
Protection of Vulnerable Adults Regulations 2002], individuals will be asked
whether they are currently the subject to any police investigation in the UK or
any other country that they are aware of.
6.5.8 Where the position is „regulated‟ under the terms of the Protection of Children
Act 1999 [as amended by the Criminal Justice and Court Services Act 2000],
checks will be carried out in accordance with this Act. Anyone whose name
identified via this route is legally barred from working with children
6.5.9 In areas which are subject to Protection of Children Act checks, these may be
carried out on an on-going basis
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 9 of 30
6.5.10 Where employees are convicted of a criminal offence during the course of their
employment and this may impact on their work the Disciplinary Procedure will
be used
6.5.11 It is a criminal offence for such a person to knowingly apply for, offer to do,
accept or to do such work. It is also an offence to employ such a person in a
childcare position.
6.6 Levels of CRB checks
6.6.1 There are two levels of disclosure: Standard and Enhanced (Appendix E).
Appendix H provides guidance which will assist the appointing manager in
deciding which level of disclosure will be required. Further support can be
provided from Employee Resourcing.
6.6.2 Information provided to applicants at application stage will inform them whether
a CRB check will be required and at what level.
6.6.3 In instances where employees are changing posts within the Trust and the new
post requires a higher level of disclosure, employees will not normally be able
to take up their new post until the new satisfactory CRB check has been
received.
6.6.4 The Trust allows individuals to commence in post under supervision before the
CRB disclosure is received. This should only be done where a risk
assessment has been carried out by the recruiting/line manager.
6.6.5 The recruiting/line manager is then responsible for ensuring that all steps are
taken in accordance with the risk assessment to reduce the risk.
6.6.6 Managers employing staff in these circumstances are responsible for ensuring
that the supervision is undertaken and monitored. Supervision should ideally
be on a one to one basis by another health professional who has a CRB check.
6.6.7 Enhanced CRB Checks involve an additional level of check to those carried out
for the Standard Enclosure. An Enhanced Disclosure includes a check on
local police records. Where local police records contain additional information
that might be relevant to the post the applicant is being considered for, the
Chief Police Officer may release information for inclusion in an Enhanced
Disclosure. From October 2009, the enhanced check will also check the two
newly created lists which have been implemented under the Safeguarding
Vulnerable Groups Act (2006)
6.6.8 Exceptionally, and in a very small number of circumstances (typically to protect
the integrity of current police investigations), additional information may be sent
under separate cover to the Counter Signatory and can not be revealed to the
applicant.
6.7 Portability of CRB and Independent Safeguarding Authority (ISA) Checks
6.7.1 Many applicants will have undertaken a CRB check with a previous employer;
the Trust will accept a previous CRB check in the following circumstances:
The check must have been carried out by another NHS Employer in
England,
Individuals must be able to produce the original CRB check to the
Trust;
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 10 of 30
The check must be of the equivalent level of Disclosure and undertaken
within the previous 6 months
The department undertakes a full risk assessment (Appendix F)
6.7.2 ISA checks are not portable. As such the exception to this principle is where
an applicant or individual is to work in a post in Paediatrics, Emergency
Department, Maternity, ENT, Maxillofacial Surgery, General Practice or any
other post within the scope of the Protection of Children Act (PoCA). A new
check must be carried out irrespective of the date of the previous check.
6.7.3 It is normally mandatory to carry out a new CRB check when any member of
staff (including a doctor in training) is appointed or moves to a new post in the
NHS which is exempt from the Rehabilitation of Offenders Act. There are
circumstances however when it is reasonable and safe for this requirement to
be risk assessed.
6.7.4 Where a doctor is appointed on an educationally approved training rotation, a
risk assessment can be performed which may indicate that the doctor can
commence in post prior to the Trust CRB disclosure being received. This will
be undertaken by Employee Resourcing, if the CRB has been undertaken
within the last year by another NHS organisation.
6.7.5 It must be noted that in the circumstance whereby a previous (enhanced)
disclosure is being used, the issuing organisation must be contacted and
asked whether „additional information‟ was received in relation to the individual
concerned.
6.7.6 Additional information is only made available to the counter signatory under
special circumstances (and under separate cover) and must never, under any
circumstances, be discussed with the individual or anyone in the organisation.
Due to the sensitive nature of this, counter signatories may not be willing to
respond to this question either way and in this situation, we should wait until
our own disclosure is received.
6.7.7 Evidence of the previous check having been carried out may be obtained from
the doctor‟s copy of the disclosure, from the Occupational Health Smart Card
(OHSC) database, or from other reliable local records.
6.7.8 Agency workers and locums and other temporary highly mobile staff should be
checked at least once a year. All agencies on the PASA framework undertake
these checks as per the framework agreement. This agreement is audited by
PASA.
6.7.9 NHS employers who recruit staff from abroad should carry out the necessary
police checks in line with that country‟s justice system and UK requirements.
Whether staff are recruited from within or outside the UK, under ISA there is a
legal requirement in the NHS to carry out a check against the ISA list before
anyone is appointed to a childcare/ vulnerable adult position. The CRB offers
advice about obtaining criminal conviction information in 21 countries.
6.7.10 Appendix G outlines how CRB‟s are stored and destroyed in line with CRB
guidance.
6.8 Professional registration
6.8.1 For specific posts, registration with a professional organisation may be
required, e.g. GMC, NMC, HPC, SIA licence. Employee Resourcing will be
required to
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 11 of 30
Confirm that the successful applicant has appropriate registration.
That they have never been disqualified from the practice of a profession
That they are required to practice subject to limitations following fitness to
practice proceedings by a regulatory body in the UK or another country
Whether they are currently the subject of any investigation or proceedings
by any body with a regulatory function in relation to their position.
6.8.2 This requirement is reflected in the Criminal Convictions or Fitness to Practise
Proceedings Declaration sent to all staff at point of offer. Documentary
evidence will be kept on the individuals file and the ESR record will be updated
accordingly.
6.8.3 Offers of Employment may be made to staff awaiting confirmation of
professional registration. Staff may commence work prior to professional
registration arriving, but at a grade/level which does not require them to hold
professional registration (e.g. Band 3 Health Care Support Worker).
6.8.4 This will be at the discretion of the line manager; and it is the line manager who
will be responsible for ensuring the individual does not act outside of the role.
In the event that an individual has no registration the employment will have
been deemed to have ended.
6.8.5 For further information refer to the Trust Policy and Protocol on Statutory
Registration of Professional Staff1.
6.9 Qualifications
6.9.1 Where a professional or academic qualification is required as part of the
person specification, all interviewed candidates will be required to bring proof
of this, which should be produced to the Recruiting/Line Manger during the
Interview process.
6.9.2 The evidence produced for verification should then be photocopied for the
personal file. The same will apply when a driving licence is required for the
position, although in the case of a driving licence, both the paper and photo
card parts of the licence must be produced.
6.9.3 Should the individual be unable to provide evidence of this qualification the
Recruiting/Line Manager will make the decision as to whether the appointment
process can proceed taking advice from Employee Resourcing or other
professional in the Trust (as appropriate).
6.9.4 In the event of a dispute, the Head of Employee Resourcing will make the final
decision.
6.10 References and employment history
6.10.1 All references will be sought on a fair and open basis.
6.10.2 It is the Trust‟s policy that candidates are offered a post subject to receiving
references which cover a 5 year employment history, two of which should be
from the applicant‟s current or most recent line manager and cover a
consecutive period of employment.
1
Policy and Protocol for Registration of Professional Staff
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 12 of 30
6.10.3 References will be requested from the Human Resources Department of any
previous employer.
6.10.4 In the case of someone who has never been employed, a reference can be
supplied from the candidate‟s school or college, or from a responsible person
in the community e.g. Volunteer Manager.
6.10.5 Candidates will be informed if there is a problem with the referee they have
provided, in contacting them or with the reference provided. The
Recruiting/Line Manager may wish to withdraw the offer of employment
following receipt of the references.
6.10.6 No reference will be taken up without the prior permission of the candidate. If
permission is withheld it is the responsibility of the Recruiting/Line manager to
confirm permission to contact referees when offering the post subject to
references.
6.10.7 References will not be accepted from relatives or friends. In the event of
difficulties in obtaining references, Employee Resourcing will discuss the
situation with the recruiting manager who will make a final decision and
undertake the appropriate risk assessment (s).
6.10.8 Where an applicant is unable to provide suitable references other information
which may be acceptable is evidence of activity in the community, such as
evidence of claiming child benefit payments, stamps in passports, bank
statements which show regular financial activity in the UK.
6.10.9 For doctors in training appointed through the Deanery, references are
requested as part of the Deanery recruitment process. Employee Resourcing
will request reference from the most current/recent employer if these are
missing.
6.11 Rights to Work
6.11.1 Annual checks will be undertaken by Employee Resourcing on all staff who
hold temporary rights to work in the UK to ensure all documents are in order.
6.11.2 This will be undertaken monthly by report from information held in ESR.
6.11.3 Employees have a duty to inform the Trust of any change to their rights to work
status.
6.11.4 If an employee fails to inform the Trust regarding a change to their rights to
work, but are still eligible to continue working, then the Discipline for Staff
policy should be followed.
6.11.5 If an employee fails to inform the Trust of a change of rights to work, which
prevents them from working, Employee Resourcing will inform the individual
that they must stop work.
6.11.6 Employee Resourcing will inform the Line Manager that the member of staff
must stop working and inform Operational HR. Employee Resourcing will
instruct payroll to stop pay.
6.11.7 Employee Resourcing will inform the Director Workforce and HR that an
employee has been stopped from working due to their rights to work lapsing.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 13 of 30
6.11.8 Employee Resourcing will write to the member of staff requesting an update in
relation to their rights to work.
6.11.9 If the employee is not able to provide a satisfactory response to Employee
Resourcing, they will be invited to attend a meeting to discuss their lack of rights
to work with a senior member of the Employee Resourcing Team and a decision
will be taken in relation to the continuation of their employment.
6.11.10 If the employee is not able to provide substantive reasons for their expired
rights to work, their employment with the Trust will be terminated.
6.11.11 Appeals to this decision will be heard by the Head of Employee Resourcing if
made in writing within 10 days of the decision to dismiss.
6.11.12 The Employee Resourcing Team will inform the UK Border Agency that the
contract has been terminated.
6.11.13 The Employee Resourcing Team will inform the UK Border Agency of all
substantive changes to employment for staff on sponsorship certificate.
6.11.14 Employee Resourcing is responsible for terminating a sponsorship certificate
when an employee leaves the Trust.
6.11.15 An employee may work for another employer whilst on a sponsorship
certificate with the Trust; however any additional work must be in compliance
with Working Times Regulation Policy. These hours should be declared on
attendance sheets.
6.11.16 Employees who transfer under the Transfer of Undertaking (Protection of
Employment) arrangements have a grace period of 28 days to undertake the
appropriate document checks following the date of the transfer.
6.12 Follow Up Process
6.12.1 Individuals will usually not be able to commence employment with the Trust
until satisfactory checks have been received.
6.12.2 If unsatisfactory check(s) are received, the matter will be escalated to the
Recruiting Manager to make a full review of the facts and circumstances.
6.12.3 The process will be documented and retained, including details of the full
reasons for the decision to either recruit or withdraw the job offer
CRB checks
6.12.4 Staff who started work with Portsmouth Hospitals NHS Trust before 2002 may
not have a CRB in place. Staff will be required to undertake a CRB check in
the event of any change of job that results in a change of access to patients or
as and when the Trust requires.
6.12.5 Although a criminal conviction in itself does not prevent anyone from working in
the NHS, some types of offences, for example those involving violence or
sexual abuse may indicate that an applicant is unsuitable to have access to
patients.
6.12.6 If a staff member is found to have a positive CRB, they will be met with by their
line manager and a member of the Operational HR Team to discuss and agree
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 14 of 30
what, if any, action to take. Appropriate action may vary depending on the
nature of the conviction, but could include action up to and including dismissal.
6.12.7 In the event of a dispute, the Head of Employee Resourcing will make the final
decision.
6.12.8 The same principals apply to current employees who are convicted of a
criminal offence during the course of their employment. Where the conviction
may impact on their work, the Disciplinary Procedure will be invoked
6.12.9 The introduction of the Independent Safeguarding Authority (ISA) gives the
Trust a duty to disclose any individuals whom they feel should not be working
with vulnerable groups. As part of the Safeguarding Vulnerable Groups Act
(2006) this duty comes into effect from 15th October 2009.
6.12.10 Operational HR Teams will work closely with the Employee Resourcing Lead
for ISA to ensure that robust reporting of appropriate cases is in place
Rights to Work
6.12.11 If an employee fails to inform the Trust regarding a change to their rights work,
but are still eligible to continue working, the Disciplinary Procedure2 should be
followed
6.12.12 Employee Resourcing will inform:
The Director of Organisational Development that the employee has been
stopped form working
The Line Manager and Operational HR that the member of staff must
stop working
Payroll to cease payment of salary
The employee and request an update in relation to rights to work
6.12.13 If the employee is not able to provide a satisfactory response to Employee
Resourcing, they will be invited to attend a meeting to discuss their lack of
rights to work with a senior member of the Employee Resourcing Team
6.12.14 If the employee is not able to provide substantive reasons for their expired
rights to work, employment with the Trust will be terminated.
6.12.15 Appeals to the decision must be made within 10 days of the decision to dismiss
and will be heard by the Head of Employee Resourcing
6.12.16 If the decision is held, the Head of Employee Resourcing will inform the Board
Agency that the employee‟s contract has been terminated
Qualifications
6.12.17 Should any individual be unable to provide evidence of a required professional
or academic qualification, the Recruiting/Line Manager will make the decision
as to whether the appointment process can proceed. This must be done in
conjunction with Employee Resourcing or other appropriate professionals in
the Trust
6.12.18 In the event of a dispute, the Head of Employee Resourcing will make the final
decision
2
Disciplinary Procedure
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 15 of 30
Professional Registration
6.12.19 Employee Resourcing are responsible for identifying professional registrations
that are due to lapse. All actions in this regard will be taken in accordance with
Trust Policy and Protocol for Registration of Professional Staff3
References
6.12.20 Candidates will be informed if there is a problem with contacting a referee or
with the reference provided
6.12.21 Where an applicant is unable to provide suitable references, other evidence
that may be acceptable (depending on the post applied for) is evidence of
activity in the community; such as claiming child benefit, stamps in passports,
bank statements, which show regular financial activity in the UK
6.12.22 If references are unsatisfactory, the Recruiting/Line Manager may choose to
withdraw the offer of employment.
Alert Letters
6.12.23 Alert Letters ensure that NHS bodies are made aware of staff who pose a risk
to patients or other staff because their conduct seriously compromises the
effective functions of a team, or local primary care services. They are intended
to cover those situations where an NHS employer considers that a member of
their health care staff may pose a threat to patients and may be working or
seeking work elsewhere in a health or social care setting.
6.12.24 When Alert Letters are received by the Chief Executive Office from the SHA,
they should be forwarded to the Employee Resourcing Team, to ensure that
they are checked against records of existing staff. Their names will then be
entered on a database against which any potential new employees or workers
will be checked before an offer of employment is made.
7 TRAINING REQUIREMENTS
7.1 All staff involved in the Recruitment and Selection of staff should attend the Trust‟s one
day Recruitment and Selection Training.
7.2 All staff within the Employee Resourcing Team who are responsible for advising
managers will receive training as part of their induction, and receive on-going updates in
relation to updated Employment Legislation.
8. REFERENCES AND ASSOCIATED DOCUMENTATION
Internal
Employee Resourcing Desk Top Procedures
Professional Registration for Staff policy
Disciplinary for Staff policy
External Documentation
NHS Employers www.nhsemployers.org
3
Policy and Protocol for Registration of Professional Staff
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 16 of 30
Criminal Records Bureau www.crb.gov.uk
Guidance on Protection of Children Act www.teachernet.gov.net
Home Office www.homeoffice.org
Health Circular HC (staff and HSG (94) 43
Data Protection Act 1998
Care Standards Act 2000
Child Protection Act 1996
Criminal Justice and Court Services Act 2000
Gender Recognition Act 2004
Human Rights Act 1998
Immigration, Asylum and Nationality Act 2006
Police Act 1997
Protection of Vulnerable Adults Regulations 2002
The Disability Discrimination Act 2005
The Employment Equality (Sexual Orientation) Regulations 2003
The Employment Equality (Religion and Belief) Regulations 2003
The Employment Equality Age Regulations 2006
The Equality Act 2006 (Gender Equality Duty)
The Race Relations Amendment Act 2000
9. MONITORING COMPLIANCE WITH, AND THE EFFECTIVENESS OF,
PROCEDURAL DOCUMENTS
Key Performance Lead Evidence Reviewed by / Lead Responsible
Indicator Responsible Frequency for any Required
for Audit Actions
100% of staff will have
Senior Leaders
pre-employment checks HR Recruitment Head of Employee
Personnel files Forum
prior to being placed on Team Leader Resourcing
Quarterly
payroll system
100% of staff will have
pre-employment checks Senior Leaders
HR Recruitment Head of Employee
prior to being placed on Personnel files Forum
Team Leader Resourcing
Electronic Staff Record Quarterly
(ESR) system
100% of professional HR Recruitment
HR Recruitment Head of Employee
registration checks will be ESR Manager
Team Leader Resourcing
undertaken Monthly
HR Recruitment
100% of work permits will HR Recruitment Head of Employee
ESR Manager
be checked for expiry Team Leader Resourcing
Monthly
100% of staff respond to HR Recruitment
HR Recruitment Head of Operational
requests for confirmation ESR Manager
Team Leader HR
of rights to work Weekly
100% of staff will be HR Recruitment
HR Recruitment Head of Operational
informed when rights to ESR Manager
Team Leader HR
work are due to expire Weekly
100% of Certificates of Senior Leaders Director of
Philip Gamble & External audit
Sponsorship will be Forum Organisational
Co report
checked Annually Development and HR
To ensure compliance with the above, a quarterly random audit will be undertaken by the
Employee Resourcing Manager and the HR Recruitment Manager
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 17 of 30
The results of all audits will be reported quarterly, by exception, to the Senior Leaders
Forum and any required action will be taken by the Director of Organisational
Development and HR. This may include:
o Direct action to improve auditing process
o Changes to policy / procedures
A quarterly workforce report will be provided to the Trust Board by the Director of
Organisational Development and HR
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 18 of 30
APPENDIX A
DOCUMENTS REQUIRED FOR THOSE INDIVIDUALS WHO HAVE NO RESTRICTION ON
THEIR STAY IN THE UK OR ARE NOT SUBJECT TO IMMIGRATION CONTROLS.
1. 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 United Kingdom
2. A passport or national identity card showing that the holder, or a person named in the
passport as the child of the holder, is a national of the European Economic Area or
Switzerland
3. A residence permit, registration certificate or document certifying or indicating permanent
residence issued by the Home Office or the Border and Immigration Agency to a national of a
European Economic Area country or Switzerland
4. A permanent residence card issued by the Home Office or the Border and Immigration
Agency to the family member of a national of a European Economic Area country or
Switzerland
5. A Biometric Immigration Document issued by the Border and Immigration Agency to the
holder which indicates that the person named in it is allowed to stay indefinitely in the United
Kingdom, or has no time limit on their stay in the United Kingdom
6. A passport of other travel document endorsed to show that the holder is exempt from
immigration control, is allowed to stay indefinitely in the United Kingdom, has the right of
abode in the United Kingdom, or has no time limit on their stay in the United Kingdom
7. An Immigration Status Document issued by the Home Office or the Border and Immigration
Agency to the holder with an endorsement indicating that the person named in it is allowed to
stay indefinitely in the United Kingdom or has no time limit on their stay in the United
Kingdom, 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
8. A full birth certificate issued in the United Kingdom which includes the name(s) of at least one
of the holders‟ parents when produce in combination with an official document giving the
person‟s permanent National Insurance Number and their name issued by a Government
agency or previous employer
9. A full adoption certificate issued in a the United Kingdom which includes the name (s) of at
least one of the holders adoptive parents 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
10. A birth certificate issued in the Channel Islands, the Isle of Man or Ireland, 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
11. An adoption certificate issued in the Channel Islands, the Isle of Man or Ireland, 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
12. A certificate of registration or naturalisation as a British Citizen, 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
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 19 of 30
13. A letter issued by the Home Office or Border and Immigration Agency to the holder which
indicates that the person named in it is allowed to stay indefinitely in the United Kingdom
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
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 20 of 30
APPENDIX B
DOCUMENTS REQUIRED WHERE AN INDIVIDUAL’S LEAVE TO ENTER OR REMAIN IN
THE UK IS TIME LIMITED.
1. A passport or travel document endorsed to show that the holder is allowed to stay in the
United Kingdom and is allowed to do the type of work in question, provided that it does not
require the issued of a work permit
2. A Biometric Immigration Document issued by the Border and Immigration Agency to the
holder which indicates that the person named in it can stay in the United Kingdom and is
allowed to do the work in question
3. A work permit or other approval to take employment issued by the Home Office or the Border
and Immigration Agency when produced in combination with either a passport or another
travel document endorsed to show the holder is allowed to stay in the United Kingdom and is
allowed to do the work in question, or a letter issued by the Home Office or Border and
Immigration Agency to the holder or the employer or prospective employer confirming the
same
4. A certificate of application issued by the Home Office or the Border and Immigration Agency
to the individual or for a family member of a national of a European Economic Area country or
Switzerland stating that the holder is permitted to take employment which is less than 6
months old when produced in combination with evidence of verification by the Border and
Immigration Agency Employer Checking Service
5. A residence card or document issued by the Home Office or the Border and Immigration
Agency to a family member of a national of a European Economic Area country or
Switzerland
6. An Application Registration Card issued by the Home Office or the Border and Immigration
Agency stating that the holder is permitted to take employment, when produced in
combination with evidence of verification by the Border and Immigration Agency Employer
Checking Service
7. An Immigration Status Document issued by the Home Office or the Border and Immigration
Agency to the holder with an endorsement indicating that the person named in it can stay in
the United Kingdom, and is allowed to do the type of work in question, 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
8. A letter issued by the Home Office or the Border and Immigration Agency to the holder or the
employer or prospective employer, which indicates that the person named in it can stay in the
United Kingdom and is allowed to do the work in question, 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
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 21 of 30
APPENDIX C
DOCUMENTS THAT ARE NOT ACCEPTABLE TO PROVIDE RIGHT TO WORK IN UK
1. A Home Office Standard Acknowledgement Letter or Immigration Service Letter (IS96W)
which states that an asylum seeker can work in the UK. If presented with these documents
then you should advise the applicant to call the Border and Immigration Agency on 0151 237
6375 for information about how they can apply for an Application Registration Card
2. A temporary National Insurance Number beginning with TN, or any number which ends with
the letters from E to Z inclusive
3. A permanent National Insurance Number when produced in isolation
4. A driving licence issued by the Driver and Vehicle Licensing Agency
5. A bill issued by a financial institution or a utility company
6. A passport describing the holder as a British Dependent Territories Citizen which states that
the holder has a connection with Gibraltar
7. A short (abbreviated) birth certificate issued in the UK which does not have details of at least
one of the holders parents
8. A licence provided by the Security Industry Authority
9. A document check by the Criminal Records Bureau
10. A card or certificate issued by the Inland Revenue under the Construction Industry Scheme
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 22 of 30
APPENDIX D
Step 1 – How to check validity of documents
Only accept valid, current and original documents – no photocopies or documents printed off
the internet (bank statements)
Check any photographs, where available, contained in the documentation are consistent with
the appearance of the employee when carrying out checks on prospective or current
employees; and
Check the dates of birth listed, where available, to ensure that these are consistent across
documents and that you are satisfied that these correspond with the appearance of the
prospective or current employee; and
Check that the expiry dates of any limited leave to enter or remain in the UK have not passed;
and
Check any UK Government endorsements (stamps, visas, etc.) to see if the prospective or
current employee is able to do the type of work we are offering; and
Satisfy yourself that the documents are genuine and have not been tampered with and belong
to the holder; and
If the prospective or current employee gives us two documents which have different names,
ask them for a further document to explain the reason for this. The further document could be
a marriage certificate, a divorce decree, a deed poll document or statutory declaration.
Step 2 – What to copy and retain
For passports and travel documents, a copy should be taken of every page. If this is not
possible for any reason you must copy any page that provides details of nationality, his or her
photograph, date of birth, signature, date of expiry or biometric details; and
As above any page containing UK Government endorsements, noting the date of expiry and
any relevant UK immigration endorsement which allows our prospective or current employee
to do the type of work we are offering
All other documents should be copied in their entirety and kept securely for the duration of the
individual‟s employment
On each occasion that a follow up document check is undertaken, you should repeat the
specified steps given above within the given time period and record the date of each
subsequent check
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 23 of 30
APPENDIX E
DEFINITIONS OF STANDARD AND ENHANCED DISCLOSURES AND POCA
The Standard Disclosure lists both spent and unspent convictions and cautions, formal reprimands and warnings held on the Police National
Computer, and in relevant cases reveals if an individual is in any lists held by the Department of Health or the Department of Education and Skills and is
unsuitable to work with children or vulnerable adults. It also states if there is nothing on record. The Standard Disclosure is available for positions
exempt from the Rehabilitation of Offenders Act 1974.
those whose duties involve regular contact with children and vulnerable
certain professions in areas such as health, pharmacy and law
and senior managers in banking and financial services.
The Standard Disclosure will be issued to individuals and copied to the registered body. If the individual is applying for a childcare position, both the
Standard and Enhanced Disclosure (see below) will also show whether they are banned from working with children by virtue of their inclusion on the
lists, maintained by the DfES and the DoH, of those considered unsuitable to work with children. The Standard and Enhanced Disclosure also shows
whether a person is banned from working with vulnerable adults by virtue of their inclusion on a list, maintained by the DoH, of those considered
unsuitable to work with such people.
The Enhanced Disclosure contains the same details as the Standard. It may also contain non-conviction information from local police records which a
chief police officer thinks may be relevant in connection with the position sought. It will also state if there is nothing on record. The Enhanced Disclosure
is available for positions involving regular caring for, or training, supervising or being in sole charge of children or vulnerable adults.
The Protection of Children Act 1999 (PoCA) is a statutory scheme. Where the criteria of the Act are satisfied, the NHS employer is required to carry
out a PoCA check before a person can be appointed.
A PoCA check can only be carried out by the CRB as part of a disclosure.
The post must fit one of the criteria for a 'regulated position' and can be requested with either a standard or enhanced disclosure, provided the precise
definition of a regulated position is satisfied:
"A position whose normal duties include caring for, training, supervising or being in sole charge of children" (Section 36 1c Criminal
Justice and Court Services Act).
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 24 of 30
APPENDIX F
Risk Management Form for CRB checks when start date is prior to return of the check.
NAME OF PROSPECTIVE EMPLOYEE:............................
Decision information required (Recruiting Manager to complete grey shaded boxes)
Area of Responsible Type of Pt Contact Contact with Access to pts Supervision CRB form Previous CRB Prev CRB Current
work Manager contact. with Vulnerable notes, available. sent - date held. With NHS with CRB stage
Div Incidental; children adults finance or Close / at all employer - date alternative checked -
Ward/dept direct; Y/N Y/N property times employer date
intimate Y/N seen. Name
and date
Risk Notification form (Guidance for completing the above boxes)
Type of pt Description of risk Grade of Risk = likelihood Risk score Financial Action taken by Risk acceptable
contact Impact Div HRM
Incidental contact: Appt of staff before CRB Low consequences – under Yellow 6 Review CRB on
no children or check confirmed – risk of £20K, minor non compliance regarded as Under return if a record Yes – HRM
Vulnerable adults dismissal with SBH; low harm/ £20K is shown decision
possible likelihood = damage
Direct contact- Appt of staff before CRB Moderate consequences – Orange 9 Under Review CRB on
may be children or check confirmed – risk of under £20K, non compliance regarded as £20K return if a record Yes – but should
Vulnerable adults. dismissal with SBH; Moderate is shown have HRM and
Able to be possible likelihood harm Dept manager
supervised closely. damage approval
Intimate contact- Appt of staff before CRB Moderate consequences – Orange 12 Ynder Review if CRB not
may be children or check confirmed – risk of under £20K, Major non £20K returned by end of Yes – but should
Vulnerable adults. dismissal. compliance with SBH; regarded as induction period. have Div Mint
Assurance of possible likelihood moderate Remove to an team approval to
ability to be harm alternative non accept risk.
supervised at all /damage direct care
times during position. Review If any doubt –
induction when CRB on return if a SAY NO!
this is a finite record is shown.
period.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 25 of 30
APPENDIX G
STATEMENT ON SECURE STORAGE, HANDLING, USE, RETENTION & DISPOSAL OF CRB
DISCLOSURES AND DISCLOSURE INFORMATION
As an organisation using the Criminal Records Bureau (CRB) Disclosure service to help assess the
suitability of applicants for positions of trust, Portsmouth Hospitals NHS 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 1998 and other relevant legislation pertaining to the safe handling, use, storage,
retention and disposal of information.
Storage and access
Disclosure information will be kept securely, in lockable, non-portable, storage containers 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. The Trust maintains a record of all
those to whom Disclosures or Disclosure information has been revealed as it is a criminal offence to
pass this information to anyone who is not entitled to receive it.
Usage
Disclosure information is only used for the specific purpose for which it was requested and for which
the applicant‟s full consent has been given.
Retention
Once a recruitment (or other relevant) decision has been made, the Trust will not keep Disclosure
information for any longer than is necessary. This is generally for a period of up to six months, to
allow for the consideration and resolution of any disputes or complaints. If, in very exceptional
circumstances, it is considered necessary to keep Disclosure information for longer than six months,
the Trust will consult the CRB about this and will give full consideration to the data protection and
human rights of the individual before doing so. Throughout this time, the usual conditions regarding
the safe storage and strictly controlled access will prevail.
Disposal
Once the retention period has elapsed, the Trust will ensure that any Disclosure information is
immediately destroyed by secure means, i.e. by shredding. While awaiting destruction, Disclosure
information will not be kept in any insecure receptacle (e.g. waste bin or confidential waste sack).
The Trust will not keep any photocopy or other image of the Disclosure or any copy or representation
of the contents of a Disclosure. However, notwithstanding the above, the Trust may keep a record of
the date of issue of a Disclosure, the name of the subject, the type of Disclosure requested, the
position for which the Disclosure was requested, the unique reference number of the Disclosure and
the details of the recruitment decision taken.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 26 of 30
APPENDIX H
FLOW CHART TO DETERMINE THE LEVEL OF CRB DISCLOSURE REQUIRED
Disclosure: This Flow chart provides general guidance for recruiting Managers. The
appropriate risk assessment to determine the level of disclosure necessary remains the
responsibility of the recruiting/line manager. Assistance can be sort from Employee
Resourcing.
Will new starter have patient contact No – neither
within the course of their normal standard nor
duties? enhanced
disclosure is
required (5)
Yes – Will they be working
solely with vulnerable adults Yes – enhanced disclosure is required.
and/or be based solely in a May commence work with previous
vulnerable adults area? (1) CRB (1)
Yes – enhanced disclosure with a check
No. Will they be working against the children‟s register is required -
solely with children and/or be Candidate cannot commence until
based solely in children‟s satisfactory disclosure/children‟s check is
area? (2) received. (2)
Yes – enhanced disclosure is required;
No. Will they be working „hands May commence work with previous CRB
(3)
on‟ with patients? (3)
– will they have any patient contact as
part of their normal duties? (4)
No – will they have any patient Yes – Standard Disclosure is required:
contact as part of their normal May commence work with previous CRB
duties? (4) (4)
Notes: Definitions for Disclosure
Enhanced: „Staff who are regularly caring for, training, supervising or being in sole charge of a
person under 18 or vulnerable adults*‟. The Trust has interpreted this definition broadly to
cover any post based within a children‟s/vulnerable adults‟ area.
Standard: „Staff who have access to patients as part of their duties‟
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 27 of 30
1. This refers mainly to staff with significant clinical contact in for example elderly care areas or
to support staff based in such areas e.g. nursing staff, Physiotherapist, Occupational
Therapist, Ward Patient Services Assistant/Housekeeper, and Ward Receptionist. Employee
may be able to commence if the individual can provide evidence of a recent CRB check.
2. This refers mainly to staff with significant clinical contact with children or to support staff
based solely within children‟s areas e.g. Maternity, nursing staff, Nursery Nurses,
Occupational Therapist, Physiotherapist, Children‟s Ward Patient Services
Assistant/Housekeepers, receptionists etc. Other support staff (e.g. Patient Services
Assistant/Housekeepers) that work in these areas in a more ad hoc way should also be
checked at this level. Employee will not be able to commence under any circumstances until
CRB disclosure is received.
3. This covers all clinical staff not dealt with under (1) or (2) above. It includes those clinical staff
that may have some contact with children or vulnerable adults as part of their broader
responsibilities. Employee may be able to commence if a risk assessment is carried out
and/or if the individual can provide evidence of a recent CRB check.
4. This covers a multitude of support staff that have non clinical patient contact. Although the
standard definition is not satisfied all Pharmacists and Accountants should be checked.
5. This applies where there is no routine patient contact e.g. IT, HR staff, some lab based staff.
Contact refers to actual contact rather than remote contact (e.g. telephone access, access to
records) where disclosure is not required.
* Vulnerable Adults
The CRB has two definitions of a vulnerable adult, one that is entitled to an Enhanced Check and
one for a Standard check.
Enhanced
A vulnerable adult for the purposes of an Enhanced Check is a person aged 18 or over who receives
services provided by a National Health Service and in consequence of a condition of a type listed in
paragraph 2) below, has a disability of a type listed at 3) below.
2) The conditions are:
a) a learning or physical disability,
b) a physical or mental illness, chronic or otherwise, including an addiction to alcohol or drugs; or
c) a reduction in physical or mental capacity.
3) The disabilities are:
a) a dependency upon others in the performance of, or a requirement for assistance in the
performance of, basic physical functions,
b) severe impairment in the ability to communicate with others, or
c) impairment in a person's ability to protect him or herself from assault, abuse or neglect.
Standard
"Vulnerable adult", in the context of a Standard check, means a person aged 18 or over who has a
condition of the following type: i) a learning or physical disability; ii) a physical or mental illness,
chronic or otherwise, including an addiction to alcohol or drugs; or iii) a reduction in physical or
mental capacity.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 28 of 30
APPENDIX I
GUIDANCE ON DOCUMENTATION FOR CHECKING AN INDIVIDUAL’S IDENTITY
Acceptable personal identification documents
Some documents are more reliable than others and only certain documents, in certain combinations,
are acceptable for verification of identity.
Prospective employees will need to provide either of these two combinations:
two forms of photographic personal identification and one document confirming their address
one form of photographic personal identification and two documents confirming their address.
All documents must be originals, or copies of originals certified by a solicitor.
Where a signature has not previously been provided, for example because of an e-application, the
individual should be asked to provide it at interview for checking against relevant documentation.
All documents provided must be photocopied and retained on file. The person taking the copy must
sign and date the copy to show it has been certified.
Acceptable photographic personal identification includes:
current UK (Channel Islands, Isle of Man or Irish) passport or EU/other nationalities passport
passports of non-EU nationals, containing UK stamps, a visa or a UK residence permit
showing the immigration status of the holder in the UK*
a current UK (or EU/other nationalities) photo-card driving licence (providing that the person
checking is confident that non-UK photo-card driving licences are bona fide). Where the
driving licence is a UK issue, both the paper copy and the photo-card sections must be
produced
a national ID card and/or other valid documentation relating to immigration status and
permission to work.*
Any document that is not listed above (ie an organisational ID card) is not acceptable.
*For further information on immigration, please refer to the Right to work checks document of the
NHS Employment Check Standards.
What if no acceptable photographic documentation is available?
If an individual seems genuinely unable to provide any acceptable photographic personal
identification, then 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, they will need to provide a passport-sized photograph of themselves, endorsed on the
back with the signature of a „person of standing‟ in their community who has known them for at least
three years. A „person of standing‟ could be a magistrate, medical practitioner, officer of the armed
forces, teacher, lecturer, lawyer, bank manager or civil servant.
The photograph should be accompanied by a signed statement from that person, indicating the
period of time that the individual has been known to them. 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. A copy should be taken and retained on file. All copies should be
signed, dated and certified by the person taking the copy. It is good practice to contact the signatory
to authenticate the details of the statement.
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 29 of 30
Acceptable confirmation of address documents include:
recent utility bill (gas, electricity or phone) or a certificate from a supplier of utilities confirming
the arrangement to pay for the services on pre-payment terms (note: mobile telephone bills
should not be accepted as they can be sent to different addresses). Utility bills in joint names
are permissible*
local authority tax bill valid for the current year*
current UK photo-card together with old-style paper driving licence (if not already presented
as a personal ID document)
bank, building society or credit union statement or passbook containing current address
most recent mortgage statement from a recognised lender*
current local council rent card or tenancy agreement*
current benefit book or card or original notification letter from Department of Work and
Pensions (DWP) confirming the rights to benefit
confirmation from an electoral register search that a person of that name lives at the claimed
address*
court order
*The date on these documents should be within the last six months (unless there is a good reason for
it not to be, eg, clear evidence that the person was not living in the UK for six months or more) and
they must contain the name and address of the applicant.
Acceptable non-photographic proof of personal identification documents include:
full UK birth certificate – issued within six weeks of birth
current full driving licence (old version) – provisional driving licences are not acceptable•
residence permit issued by the Home Office to EU Nationals on inspection of own-country
passport
adoption certificate•
marriage/civil partnership certificate•
divorce or annulment papers•
police registration document•
certificate of employment in HM Forces•
current benefit book or card; or original notification letter from the Department of Work and
Pensions (DWP) confirming legal right to benefit
most recent tax notification from HM Revenue and Customs (formerly Inland Revenue)
current firearms certificate
Application Registration Card (ARC) issued to people seeking asylum in the UK (or •
previously issued standard acknowledgement letters, SAL1 or SAL2 forms)
GV3 form issued to people who want to travel in the UK without valid travel documents•
Home Office letter IS KOS EX or KOS EX2•
building industry sub-contractor‟s certificate issued by HM Revenue and Customs (formerly •
Inland Revenue)
When appointing someone who has recently left school or further education, in addition to
photographic personal identification, the following three documents can be requested as sufficient
proof of their identity:
full UK birth certificate – issued within six weeks of birth
National Insurance (NI) number card or proof of issue of an NI number (this will also be a HR
requirement for employment)
certificate of educational qualifications (certificates should be originals from the school/
university/awarding body).
Pre Employment and Employment Checks Policy. Version 3. Issued: 27.04.2011
(Review date: April 2012) Page 30 of 30
