Liz Jenkins, Recruitment Lead

Transcription

1 Title: Purpose: Applicable to: Document Author: Freedom of Information: Ratified by and Date: Employment Checks This is an organisation wide document for the management of employment checks. The term employment checks includes: Verification of ID, Right to Work, Professional Registration & Qualifications, CRB, Occupational Health and Employment History and References This policy applies to all staff recruited to and working for the Trust including: Trust Staff, Bank Staff, Agency, Contractors, Volunteers, Honorary Employees. Liz Jenkins, Recruitment Lead This document can be released Adrienne Murphy Associate Director of People and Organisational Development 8 May 2017 Review Date: November months prior to the expiry date Expiry Date: May years after ratification unless there are any changes in legislation or changes in clinical practice Document library location: Staffing: Recruitment and Workforce Related legislation and national guidance: Associated Trust Policies and Documents: NHS Employers Employment Checks Standards Care Quality Commission Recruitment Policy Induction Policy Professional Registration Policy and Procedure Equality Impact Assessment: Training Requirements: The Equality Impact Assessment Form was completed on 7 November 2013 In-House: Recruitment Training. The organisation trains staff in line with the requirements set out in its training needs analysis and published in its Corporate Curriculum. Training which is categorised as statutory or essential must be completed in line with the training needs analysis and Corporate Page 1 of 30

2 Curriculum. Compliance with statutory and essential training is monitored through the Learning and Development team with monthly manager s reports and staff individual training records twice yearly. Training reports are also submitted quarterly through the Trust Quality and Governance Committee Meeting. Staff failing to complete this training will be accountable and could be subject to disciplinary action. Monitoring Arrangements: Compliance with professional registrations and DBS is monitored on a monthly basis, by the Reports Team. All DBS and Professional Registration details are held within ESR and a report is produced monthly to ensure all staff employed the the Trust are compliant. The Recruitment Department have in place robust checklist forms to ensure all employment checks are completed prior to appointment and safeguards put in place where necessary. This is audited by a second member of the team on an on-going basis, who would then countersign the forms. Employment checks are input into ESR by the Recruitment Team. Implementation: These checks are already in place although any changes in checklists will be reflected in the updating of any policy / process documentation. Version Control Version Date Reviewed Changes By Whom 1 November 2012 Reflects new NHS Employment Check Standards Catherine Grey September Employment checks extracted from Recruitment Policy to form a policy in its own right. 2 November 2013 Reflects new list of acceptable ID Documents. Kylie Wicket Changes from CRB to DBS. 3 February 2017 Extended 6 months Governance 4 April 2017 Reflects NHSE required pre employment checks for referencing and DBS. Updated to include on line requirement system TRAC processes Liz Jenkins This document Replaces: RW/004/14 Employment Checks Page 2 of 30

3 Contents 1. Introduction Purpose Definitions Duties NHS Employment Checks Verification of Identity Use of external Agencies and Staff Provisional Offers of Employment Appendix 1 Acceptable documentation for the Verification of Identity Appendix 2 Right to Work List A Appendix 3 DBS Risk Assessment Appendix 4 Guidance on Levels for Posts requiring Criminal Record Checks Equality Impact Assessment Proforma Initial Screening Page 3 of 30

4 1. Introduction The Trust seeks to protect the wellbeing of those in its care through safe recruitment procedures and thorough pre-employment checks. The organisation is committed to ensuring full compliance with relevant UK legislative requirements and NHS Employment Check Standards. Ensuring that all staff employed by us, and working with us, are subject to appropriate employment checks, both upon joining the organisation and thereafter, as a fundamental part of the Recruitment Process. 2. Purpose The aim of this policy is to ensure the Trust has a robust process for ensuring all staff working for and within the Trust meet the standards set down by the NHS Employment Check Standards, thereby protecting the health and wellbeing of those in our care. Failure to satisfy the Employment Check Standards and adhere to this policy will result in Disciplinary action. 3. Definitions Temporary Staffing The temporary staffing service operates as CFT s Bank and employs individuals on a zero hours registration to work on an as and when basis, as required, Agency An external employment agency authorised to provide staffing for the Trust. The Trust is a member of the Peninsula Purchasing and Supply Alliance. This places the onus firmly on the contractor to ensure registration is maintained. It is the contractor who is responsible for the ongoing monitoring of the professional registration of staff they employ. The hiring manager will obtain written confirmation of current registration from the agency or contractor. Contractor An external organisation which agrees to provide a specified service for an agreed price for the Trust. Volunteer Those individuals whom provide a service or support within the Trust without pay. Fixed term Staff Staff employed for a specified period only. Honorary Staff Staff whom are working for the Trust without pay for the purposes of research, clinical experience or otherwise and whom are bound by the terms and conditions of their fellow employees. Page 4 of 30

5 4. Duties Chief Executive The Chief Executive is ultimately accountable for the implementation of this organisation-wide process. Recruitment The Recruitment Department has specific responsibility for ensuring all employment checks are completed satisfactorily within the recruitment process. Manager(s) Managers are responsible for verifying the identification of all persons throughout the interview process. Appointing managers must also complete the necessary risk assessments where there is a DBS declaration. Managers must put in place reasonable adjustments following Occupational Health information. Reporting Team The reporting team within Workforce and Development at Shaw House, are responsible for the regular provision of compliance reporting in relation to these employment checks. All Staff All staff are responsible for compliance with this policy and employees are also obliged to notify their employing manager where they may be subject to events which may affect their suitability for the role. All staff are responsible for maintaining their own professional registrations where these are essential for them to undertake the role. 4.1 Committees and Groups with Overarching Responsibilities Trust Board Reports detailing the Trust s compliance with Employment Check Standards are submitted to the Board on a monthly basis. The Board hold responsibility for the policies and processes adopted by the Trust to meet the Employment Check Standards. 4.2 External Agencies Where staff are working for us through an external agency, there must be written agreement with that agency in respect of who has responsibility for ensuring all employment check standards are met. Responsibility for this would sit with the external agency itself. 5. NHS Employment Checks Page 5 of 30

6 The NHS Employment Check Standards outline all the pre-employment checks required by law, those that are mandated by Department of Health policy, and those that are required for access to the NHS Care Record Service. The Care Quality Commission further outlines further standards which the Trust as a provider of healthcare services, is required to sustain. The Employment Check Standards apply to permanent staff, staff on fixed- term or temporary contracts, volunteers, students, trainees, contractors, honorary contracts and agency staff. Trusts appointing locums and agency staff will need to ensure that their providers comply with these standards. The Standards comprise a set of six documents that cover: Verification of Identity checks Right to Work checks Professional Registration and Qualification checks Employment History and Reference checks Disclosure and Barring checks Occupational Health checks 5.1 Checks to be carried out upon Appointment The minimum checks undertaken for all new appointments must match those outlined within the NHS Employment Check Standards, including: Verification of Identity checks Right to Work checks Professional Registration and Qualification checks Employment History and Reference checks Disclosure and Barring checks Occupational Health checks Transport and Licence checks (for jobs where driving is an integral part of the role) 6. Verification of Identity Verification of identity checks are designed to determine that the candidate s identity is genuine and relates to a real person, and to establish that the individual owns and is rightfully using that identity. To allow the Trust to check their identity prospective employees must have a face-to-face meeting with the recruiting manager prior to starting their employment (this is usually the selection interview). As part of the recruitment checks the full ID verification will be undertaken however as a minimum for interview selection the candidate must provide one for of current photographic personal identification (passport or photo driving licence preferred. The pre-employment checks will then complete the full verification of identity as follows: Two forms of photographic personal identification (see Appendix A Group 1) and one document confirming their address (see Appendix A) OR one form of photographic personal identification and two documents confirming Page 6 of 30

7 their address 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. 6.2 Right to Work Checks The Trust must validate documentation from all prospective employees to ensure they are eligible to reside and work in the UK and also to meet the requirements of anti-discrimination legislation. To confirm that an applicant has the legal right to work in the UK, employers must see one of the documents or combinations of documents specified in List A in appendix 2 or one of the documents or combinations of documents specified in List B in appendix 2. No other documents or combinations of documents are acceptable. If a document or combination of documents is provided from List A there is no need to ask for documents from List B. All documents must be valid, current and original. Photocopies or documents downloaded from the internet must not be accepted. The documents must show that the holder is entitled to do the type of work being offered. All documents provided must be photocopied and retained on file. If an illegal migrant is employed because the individual supplied fraudulent documents that could not have been detected as fraudulent, the employer can establish a statutory excuse ( the excuse ) against payment of a civil penalty. The organisation must be able to show that it followed due process in accordance with the regulations. Nationals from European Economic Area (EEA) countries and Switzerland can enter the UK without any restrictions. Where an employee is from an alternative country reference must be made to the Trusts Immigration Policy. 6.3 Employment History and Reference Checks As a minimum requirement recruiting managers must: check at least three years of previous employment and / or training. This should cover a minimum of two separate employers (where possible), one of which should be from the applicant s current or most recent employer. For internal appointments ( staff already employed within CFT) one reference may be sufficient always obtain references in writing by using the Trust standardised reference request form,. There are 3 dirrenent reference types, Employment, Character and Education.. It is possible to further clarify information with the referee over the phone. For the purposes of checking employment history, references must provide details on dates of employment and the position held. Any gaps in employment history will need to be carefully explored with the applicant at interview and followed up with a personal statement as part of the pre-employment checks. Information obtained through references should only be used to confirm a recruitment decision and not for the purpose of short listing. Therefore, it is good practice for references to be sought Page 7 of 30

8 after a provisional offer has been made. Where managers take up references earlier, they should make this clear to the applicant, and note that sickness details cannot be obtained until after offer is made. Managers should always seek the applicant s prior consent before approaching their current employer. Recruiting managers must make all reasonable efforts to check that referees are bona fide and references are genuine. This could include checking that the organisation exists (using the phone book, internet or business directories), and phoning or ing the HR department to verify employment dates and information are correct Other Types of Reference Depending on the individual s circumstances, other types of references are available to be used if: employer references are not available, two personal references should be obtained from referees of some standing in the community who have known the individual for at least three years (for instance a doctor, lawyer or MP) they have been overseas for a single spell of three months or more, or a cumulative total of six months or more. In this case, every effort should be made to obtain a relevant reference from overseas they have been in full-time education in the last five years. In this case, a reference should be obtained from the relevant school, college or university they have served in the Armed Forces or Civil Service during the previous three years. Employer s references should be obtained from the relevant service or department the applicant has been self-employed. Evidence should be obtained (for example, from HM Revenue & Customs, bankers, accountants, solicitors, client references, etc.), to confirm that the individual s business was properly conducted and the applicant s involvement in the business was terminated satisfactorily Executive and Other senior appointments Employers must pay special attention to confirming appropriate employer references for these positions. It is up to the employer to determine the most appropriate referees for the position they are offering and the level of checks required. This may include using an external agency to investigate the prospective employee s previous employment history and their reasons for leaving previous posts. Where a post involves appointing someone into a position of trust it may be appropriate to undertake financial security checks, i.e. Chief Executive, Directors, or position which involve management of Trust budgets. 6.4 Professional Registration and Qualification Checks Professional regulation is intended to protect the public, making sure that those who practise a health profession are doing so safely. Appointing managers must therefore check the registration of health professionals with the relevant regulatory body prior to commencement of employment. This can be done by accessing the appropriate website: for nursing and midwifery roles Page 8 of 30

9 for health, psychological and social work professionals for Doctors Document Reference Code: RW/004/17 Recruiting managers who have doubts about the authenticity of professional registration information provided by candidates should address these directly with the candidate in the first instance. However, in exceptional circumstances where checks reveal substantial misdirection, it may be appropriate to direct concerns to the local police. Once in employment, the employee s responsibilities for maintaining their registration and the manager s responsibilities for checking professional registration are set out in PIN 16A Professional Registration. For non-health professionals, qualifications that form part of the requirements for a position must be checked. Applicants may not always have the original documentation and recruiting managers need to use appropriate discretion and take proportionate action. The level of checks carried out should be proportionate to the level of risk to the individual role and the priority given in the person specification to the qualification, or the opportunity to cause harm or damage, in that position Prior to Appointment Before the Trust appoint any health professional they must always check the following three areas: that the applicant is registered to carry out the proposed role whether the registration is subject to any current restrictions that might affect the duties proposed if the applicant has investigations against them about their fitness to practise that the regulatory body has a duty to disclose Alert notices NHS bodies are required to implement and manage the alert scheme in accordance with the Healthcare Professionals Alert Notices Directions 2006, which came into force on 6 December These requirements are mandatory for NHS bodies covered by the Directions (they are advisory for Foundation Trusts). An alert notice is a way of notifying NHS bodies, or other organisations providing services to NHS bodies, about registered health professionals whose performance or conduct could pose a significant risk of harm to patients, staff or the public. Employers must check their alert notice files and HAPN website prior to recruiting an individual. If an individual is subject to an alert notice then employers must check whether they are suitable to be employed into the position being offered. Page 9 of 30

10 6.5 Occupational Health Checks Occupational health checks should be done when a member of staff: takes up their first post including any training transfers to a new employer in the NHS changes jobs, which involves a significant change of duties. Occupational health checks are carried out to: ensure that prospective staff are physically and psychologically capable of doing the work proposed, taking into account any current or previous illness identify anyone likely to be at excess risk of developing work-related diseases from hazardous agents present in the workplace ensure, as far as possible, that the prospective employee does not represent a risk to patients and that they will be doing work that is suitable and safe for them. For all administration posts (non-clinical / patient facing) an OH self-declaration is used allowing staff to confirm any health conditions. If none are disclosed a full Occupational health assessment is not required however if the candidate confirms there is a health condition to be considered a full Occupational Health Assessment form is sent by the recruitment team for completion and an OH check is undertaken via the OH team All checks must take into account the requirements of the Disability Discrimination Act 1995 (DDA) and reasonable adjustments must be made when a policy, practice or a physical feature of their premises, places a disabled person at a substantial disadvantage. Occupational health checks should be made only once a job offer has been made, so employers must not ask applicant s questions relating to health or disability on an application form, by issue of a separate questionnaire prior to an offer being made, or at interview (see section 4). Once Occupational Health clearance has been received, this should be recorded on the individual s P file. However, any information about the individual s medical history such as sickness absence, hospital admissions, medications, immunisation history, health monitoring and referrals should form part of their occupational health record and be stored separately in a secure place within the Occupational Health Department and should not be kept as part of their personnel record Refusal of employment No applicant should be refused employment on health grounds unless: expert occupational medical advice has been sought the applicant has had the opportunity to discuss issues raised with an occupational health professional the employing manager has given full consideration to all of the facts. 6.6 Disclosure and Barring Checks Disclosure and Barring Checks requirements apply to all staff working within Cornwall Foundation Page 10 of 30

11 Trust. This includes all clinical staff, temporary staffing, agency workers, honorary contracts, doctors, volunteers and any visitors undertaking patient care. Appointing managers must indicate on the Offer of Appointment Form whether the post they are recruiting to requires a Disclosure and Barring check, and if so what level of check is required. The Recruitment Department will issue a DBS application form to the successful candidate once a conditional offer of employment has been made, and will notify the appointing manager when a satisfactory DBS check is received. The DBS provides two levels of disclosure, standard and enhanced which are mandatory in the NHS for all staff who, as part of their appointment, will have regular contact with patients in the course of their normal duties. It is a requirement that all staff working in a regulated role to receive a full DBS clearance and provide suitable ID documentation to complete an online DBS application. For any existing staff who do not hold a DBS clearance, a new check will be attained upon appointment into a new role Staff will be required to undertake a new DBS 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. Appendix 4 gives guidance on levels of disclosure for staff employed at Cornwall Foundation Trust Posts not exempt from the Rehabilitation of Offenders Act It is illegal to carry out a DBS check on any post that is not exempt under the Rehabilitation of Offenders Act (Exceptions) Order, and to do so could make an employer liable for legal action. Posts that are not covered by the Exceptions Order (and therefore do not require a DBS check) are defined as where the individual does not have access to patients in the course of their normal duties. For example, this would include administration or management staff who work in a separate building or have minimal access to patients; staff who are not required to work on patient areas. There is no general requirement that non-clinical staff (such as those at reception or administrative staff) have to have a DBS check - it depends on their responsibilities. Therefore, practices may not be breaching this regulation if their non-clinical staff have not had DBS checks done. Access to medical records alone does not mean that staff are eligible for a DBS check - so this may rule out some administrative staff members. An example of where non-clinical staff may be eligible for a DBS check is reception staff who also carry out chaperone duties and look after a baby or child while their mother is being examined by a GP or nurse Regulated activity The definition of regulated activity relating to adults and children in the Safeguarding Vulnerable Groups Act 2006, can be summarised as follows: Page 11 of 30

12 Adults Any activity involving working or volunteering with adults that is of a specific nature. An adult refers to any individual who is aged 18 years or over. There are six categories within the definition of regulated activity, these are: (i) Providing health care Any health care professional providing health care to an adult, or anyone who provides health care to an adult under the direction or supervision of a health care professional (ii) Providing personal care Anyone who: provides physical assistance with eating or drinking, going to the toilet, washing or bathing, dressing, oral care or care of the skin, hair or nails because of an adult s age, illness or disability; prompts and then supervises an adult who, because of their age, illness or disability, cannot make the decision to eat or drink, go to the toilet, wash or bathe, get dressed or care for their mouth, skin, hair or nails without that prompting or supervision; or trains, instructs or offers advice or guidance which relates to eating or drinking, going to the toilet, washing or bathing, dressing, oral care or care of the skin, hair or nails to adults who need it because of their age, illness or disability. Personal care, excludes any physical assistance provided to an adult in the relation to the care of their hair. For instance a hairdresser based on a hospital site, or who comes onto a ward to cut patients hair would not be in regulated activity. (iii) Providing social work The activities of regulated social workers in relation to adults who are clients or potential clients are a regulated activity. These activities include assessing or reviewing the need for health or social care services, and providing ongoing support to clients. (iv) (v) (vi) Assistance with cash, bills and/or shopping the provision of assistance to an adult because of their age, illness or disability, if that includes managing the person s cash, paying their bills or shopping on their behalf. Assistance in the conduct of a person s own affairs Anyone who provides various forms of assistance in the conduct of an adult s own affairs, for example by virtue of an enduring power of attorney Conveying Drivers and their assistants who transport an adult because of their age, illness or disability to or from places where they have received, or will be receiving: health care, personal care or social care, for the purpose of enabling them to receive these services, as outlined above. This does not Page 12 of 30

13 include family and friends or licensed taxi drivers or licensed private hire drivers; and does not include trips taken for purposes other than to receive health care, personal care or social work, for example, trips for pleasure. Examples of those providing conveying services include: emergency care assistants (ECA s), ambulance technicians and Patient Transport Service drivers (PTS s). Conveying may also include hospital porters where they are transporting adults - this would not include porters who provide non-patient transport for example those who purely have responsibility for transporting laundry or samples to a laboratory, for instance. There is no requirement for a person working or volunteering with adults to do the activities outlined above a certain number of times within a certain period before they are regarded as engaging in regulated activity. Children An activity involving working or volunteering with children that is of a specified nature: (i) (ii) Unsupervised activities: teaching, training, instruction, caring for or supervising of children, or providing advice/guidance on well-being, or driving a vehicle only for children. Work for a limited range of establishments ( specified places ) with the opportunity for contact with children, for example schools, children s homes, childcare premises. Not work by supervised volunteers. It is important to note that children s hospitals are no longer categorised as a specified place. The previous requirement for employers to consider all individuals in these settings who have the opportunity for contact with children against eligibility for an enhanced criminal record check with a barred list check no longer applies. This means that not everyone who has the opportunity to have contact with children in children s hospitals will now be regarded as carrying out regulated activity. Employers will need to make an assessment against the roles, activities and responsibilities of the particular post to determine if the role falls within the new definition of regulated activity. Work under (i) or (ii) is regulated activity only if done frequently. (iii) Providing personal care, for example washing or dressing; or health care by or supervised by a professional. Health care or personal care activities do not need to be done frequently to be regulated activity. If they are part of a person s role, then that person is engaging in regulated activity and requires an enhanced criminal record check with a barred list check. (iv) Registered child minding; and foster-caring. Individuals who will be working in Regulated Activity as defined above will be eligible for an enhanced criminal record check with barred list check. Individuals working in an activity which has been removed from the new definition of Regulated Activity will still be eligible for an enhanced criminal record check, but without barred list check. Page 13 of 30

14 Can employee start prior to a DBS check being received? Employees are only allowed to start work before a full and satisfactory Disclosure Barring Service check has been received where the following safeguards are put in place: An appropriately qualified and experienced member of staff is appointed to supervise them Wherever it is possible, this supervisor is on duty at the same time as the new worker, or is available to be consulted New workers do not escort people away from the premises unless accompanied by a staff member for whom a full and satisfactory DBS check has been received. A DBS Risk Assessment (appendix 2) is fully complete and approved by Service Line manager. This approval has a maximum time length of 6 weeks at which time termination of contract will be considered by Service line executive This only applies to those staff who are employed to work with adults. Those working with children must wait for a full DSB disclosure before starting work, except in exceptional circumstances where patient safety may be put at risk. Portability of DBS Checks Many applicants will have undertaken a DBS check with a previous employer; the Trust will accept a previous DBS check in the following circumstances: Individuals must be able to produce the original DBS check to the Trust; The check must be of the equivalent level of Disclosure and undertaken within the previous 12 months 6.6 Transport and Licence Checks Where it is an essential requirement for employees/workers to drive as a core part of their duties, it is essential that their driving licence is checked to ensure: This belongs to the individual whom is applying for the position This is a genuine driving licence issued by the DVLA The licence is in date Where the employee is required to use their own personal car for work purposes, a valid MOT certificate and Insurance certificate (including Business Use) must also be provided and a copy of this kept on the Personnel File. 7. Use of external Agencies and Staff 7.1 Provision of Temporary Staffing From all external agencies used by the Trust we request a staff profile form for each member of staff provided, including: Skills and Experience Page 14 of 30

15 Professional Registrations DBS Check Outcome Occupational Health Clearance Mandatory Training Additional Skills Registration verification, if qualified 8. Provisional Offers of Employment Appointment should not be taken up until all relevant checks have been completed satisfactorily. If there is an urgent need to employ someone quickly, the offer of appointment should be provisional and conditional on the satisfactory outcome of these checks. The conditions of a provisional offer of appointment must be made clear to the employee, in writing. Employers should have procedures in place for dealing with the withdrawal of provisional arrangements. All employments checks are input and processed through the Trac online recruitment system On-going Checks The Reporting Team provide monthly reports to the Board of Directors in respect of DBS and Professional Registration checks. The Recruitment Team have in place robust checklists to ensure all checks are completed prior to employment. These are monitored and updated regularly to reflect the NHS Employment Check Standards. Recording Checks The Recruitment Team monitors employment checks and upload onto the Trac recruitment on line service and enter onto the ESR system to enable effective reporting on compliance. Failure to Comply Failure to comply with the required employment checks can lead to the withdrawal of an offer of appointment or dismissal as per the disciplinary procedure. Equality Impact Assessment An Equality Impact Assessment has been completed for this Policy dated 07 November External Guidance Disclosure and Barring Service website offers further information at: Health Professionals Council (2009) Standards of Education & Training NHS Employers website provides the full list of employment checks: o Disclosure and Barring Checks o Employment history and reference checks (2012) o Occupational health checks (2012) o Registration and qualification checks (2012) Page 15 of 30

16 o Right to work checks (2012) o Verification of identity checks (2012) Page 16 of 30

17 Appendix 1 Acceptable documentation for the Verification of Identity Document Reference Code: RW/004/17 All documents from each of the lists below must be valid, current and original. Photocopies and documents downloaded from the internet (e.g. bank statements) must not be accepted. Official copies of original documentation may be accepted where signed by a solicitor. Group 1: Current valid passport Biometric Residence Permit (UK) Current Driving Licence (UK) (Full or Provisional) Isle of Man / Channel Islands: o Photo card only (a photo card is only valid if the individual presents it with the associated counterpart license, except Jersey) Birth Certificate (UK and Channel Islands) issued at time of Birth; o Full or short term acceptable including those issued by UK authorities overseas, such as Embassies, High Commissions and HM Forces. Group 2a: Current UK Driving Licence (Old style paper version) Current Non-UK Photo Driving Licence (valid for up to 12 months from the date the applicant entered the UK) Birth Certificate (UK and Channel Islands) (issued after the time of Birth by the General Register Office/relevant authority i.e. Registrars) Marriage / Civil Partnership Certificate (UK and Channel Islands) Adoption Certificate (UK and Channel Islands) HM Forces ID Card (UK) Fire Arms Licence (UK; Channel Islands and Isle of Man) Group 2b: Mortgage Statement (UK or EEA)** Bank / Building Society Statement (UK and Channel Islands or EEA)* Bank / Building Society Account Opening Confirmation Letter (UK) Credit Card Statement (UK or EEA)* Financial Statement e.g. pension, endowment, ISA (UK)** P45 / P60 Statement (UK & Channel Islands)** Council Tax Statement (UK & Channel Islands)** Work Permit / Visa (UK) (UK Residence Permit) (valid up to expiry date) Letter of Sponsorship from future employment provider (Non-UK/Non EEA only) Utility Bill (UK)* - Not Mobile Telephone Benefit Statement e.g. Child Allowance, Pension (UK)* A document from Central / Local Government/Government Agency/Local Authority giving entitlement (UK & Channel Islands)* EU National ID Card Cards carrying the PASS accredited logo (UK & Channel Islands) Letter from Head Teacher or College Principal (16 to 19 year olds in full time education) o (only used in exceptional circumstances when all other documents have been Page 17 of 30

18 exhausted) (UK) Please note if a document in the List of Valid Identity Documents is: Denoted with * it should be less than three months old Denoted with ** it should be issued within the past 12 months Not denoted it can be more than 12 months old Page 18 of 30

19 Appendix 2 Right to Work List A Employers must see one of the original documents or combinations of documents specified in this list. If the individual cannot provide documents from this list, ask for documents from List B. 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. 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. A residence permit, registration certificate or document certifying or indicating permanent residence that has been issued by the Home Office or the UKBA to a national of a European Economic Area country or Switzerland. A permanent residence card issued by the Home Office or the UKBA to the family member of a national of a European Economic Area country or Switzerland. A Biometric Immigration Document issued by the UKBA to the holder that indicates 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. A passport or 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. An Immigration Status Document issued by the Home Office or the UKBA 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 issued by a Government agency or a previous employer, giving the person s permanent National Insurance number and their name. A full birth certificate issued in the United Kingdom, 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 a previous employer, giving the person s permanent National Insurance number and their name. A full adoption certificate issued in the United Kingdom, 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 number 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 UKBA indicating that the person Page 19 of 30

20 named in it is allowed to stay indefinitely in the United Kingdom, 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. List B Only use this list if the individual can not provide documents from List A. If a prospective employee shows you one of these original documents, or combinations of documents, it indicates that they only have limited leave to work in the UK. You must therefore carry out these checks at least once every 12 months and record the date on which you carried out these checks. At this point the employee must produce new documents from List A or B or leave your employment. Where the individual provides a document or documents from List A, no further checks are required for the duration of their employment. 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 issue of a work permit. A Biometric Immigration Document issued by the UKBA 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. A work permit or other approval to take employment issued by the Home Office or the UKBA, 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 the UKBA 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 UKBA to, 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, when produced in combination with evidence of verification by the UKBA Employer Checking Service. A residence card or document issued by the Home Office or the UKBA to a family member of a national of a European Economic Area country or Switzerland. An Application Registration Card issued by the Home Office or the UKBA stating that the holder is permitted to take employment, when produced in combination with evidence of verification by the UKBA Employer Checking Service. An Immigration Status Document issued to the holder by the Home Office or the UKBA 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 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 or the employer or prospective employer by the Home Office or the UKBA, indicating 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 issued by a Government agency or a previous employer, giving the person s permanent National Insurance number and their name. Page 20 of 30

21 National Insurance numbers Employers should note that the provision of a National Insurance number in isolation is not sufficient evidence for the purposes of having a statutory excuse and this must only be accepted when presented in combination with one of the appropriate documents specified in Lists A or B. Biometric residence permits (formerly known as identity cards for foreign nationals) Since 25 November 2008, the UKBA has changed the way it issues permission for leave to remain in the UK. Biometric residence permits replace the vignettes previously placed in passports. This only applies to foreign nationals of countries outside the EEA and Switzerland who are granted leave to remain in the UK. Employers may accept these permits, alongside the other recommended documents, to verify the individual s identity and right to work in the UK. For more information and details of how to access the online authenticity checking service please refer to the UKBA website at: or contact the UKBA helpline on Page 21 of 30

22 Appendix 3 DBS Risk Assessment The Trust is committed to ensuring the safety of its patients, staff and visitors and does so by ensuring all those employed to work for the Trust are put through rigorous recruitment checks. One of the checks undertaken is a DBS check (Disclosure & Barring Service) which enables the Trust to check the background of all who are employed to work in areas where there is access to vulnerable people. It is Trust policy for staff who will be working directly with children (regulated activity as defined under the Safeguarding Vulnerable Groups Act 2006) not to be able to start work until a DBS check has been received unless: In exceptional circumstances applicants can be appointed before the outcome of a DBS check has been received and this must only be where there is an urgent need to appoint because of an identified risk to patient safety or welfare, or where the individual is required to undertake induction training. A risk assessment will be required and must be approved by Service Manager. Please bear in mind that any Risk Assessment only has a time limit of 6 weeks from start of employment and a satisfactory DBS clearance must be seen by the recruiting manager and recruitment team within this timespan otherwise continuation of employment will be terminated immediately unless exceptional circumstances are approved by xxxxx In these cases, the recruiting manager must ensure that the following are adhered to: An appropriate DBS check must have been applied for Safeguards have been identified, recorded and put in place to ensure that the individual has restricted access to children or vulnerable adults and is under constant supervision when with patients, until such time as the disclosure has been obtained All alternatives have been considered/exhausted The following risk assessment has been completed and returned to Recruitment, Shaw House prior to the start date Page 22 of 30

23 Risk Assessment Form Name of member of staff (Please print) Department appointed to Position appointed to Rationale for needing to commence work in the absence of a DBS disclosure: Does this role involve patient contact in any form? (If yes, please state nature of contact) How regularly would an employee in this position need access to a clinical area and for what purpose? Who will be responsible for supervising this member of staff? What are the risks? (e.g. required to work clinically, nature of work, access to confidential patient/staff information, role includes supervision of others) How are they mitigated? (e.g., will not have unsupervised contact with patients, be a lone worker in the community) Form Completed by: Name (print): Date: Position: Signed by: (Service Manager) Print name: Page 23 of 30

24 Appendix 4 Guidance on Levels for Posts requiring Criminal Record Checks DESCRIPTION OF POST LEVEL OF CHECK None Standard Enhanced Enhanced with either a Children or Adult s Check or both Children s Adult s Both Post involves regularly caring, training, supervising or being in sole charge of vulnerable adults. Post does not involve regularly caring, training, supervising or being in sole charge of vulnerable adults, but involves managing employee(s) whose post(s) involve(s) regularly caring, training, supervising or being in sole charge of vulnerable adults. Post involves regularly caring, training, supervising or being in sole charge of vulnerable adults, with an occasional caseload of caring for children. Post involves regularly caring, training, supervising or being in sole charge of children (i.e. under 18s). Post does not involve regularly caring, training, supervising or being in sole charge of children, but managing employee(s) whose post(s) involve(s) regularly caring, training, supervising or being in sole charge of children (i.e. under 18s). Normal duties involve carrying out work of any sort (excluding regularly caring, training, supervising or being in sole charge of children) in establishments exclusively or mainly for children (i.e. under 18s). Post involves access to patients / service users in the course of their normal duties, but does not involve regularly caring, training, supervising or being in sole charge of vulnerable adults and/or children (i.e. under 18s). Post involves access to confidential patient / service user information / records. Post involves access to confidential staff information / records. Page 24 of 30

25 Equality Impact Assessment Proforma Initial Screening Name of Procedural document to be assessed: Section: Officer responsible for the assessment: Employment Checks Staffing: Recruitment and Workforce Kylie Wickett, Recruitment and Resourcing Lead Date of Assessment: 07 November 2013 Is this a new or existing procedural document? E 1. Briefly describe the aims, objectives and purpose of the procedural document. 2. Are there any associated objectives of the procedural document? Please explain. 3. Who is intended to benefit from this procedural document, and in what way? The aim of this policy is to ensure the Trust has a robust process for ensuring all staff working for and within the Trust meet the standards set down by the NHS Employment Check Standards, thereby protecting the health and wellbeing of those in our care. NA The Trust in respect of safeguarding. The patients and users of the services we provide. Employees to ensure their health and wellbeing in employment. 4. What outcomes are wanted from this procedural document? 5. What factors/forces could contribute/detract from the outcomes? 6. Who are the main stakeholders in relation to the procedural document? 7. Who implements the procedural document, and who is responsible for the procedural A robust recruitment and vetting procedure which ensures ALL employees and staff are adherent to the required employment checks. Appointing Managers not following the required process. Constant changes in legislation surrounding employment checks. Recruitment Team, Appointing Managers and Successful Applicants Recruitment and Resourcing Lead Page 25 of 30