Disclosure and Barring Service (DBS) and Employment Checks Procedure

SH HR 07 Disclosure and Barring Service (DBS) and Employment Checks Procedure Version: 2 Summary: Keywords (minimum of 5): (To assist policy search engine) Target Audience: This policy specifies the pre-employment and in-service checks that Southern Health NHS Foundation Trust is required to carry out on all potential and where appropriate, current staff, in accordance with current legislation and best practice guidelines, Department of Health policy and the NHS Employment Check Standards. Checks, verification, documents, right to work, DBS, work permit All Southern Health NHS Foundation Trust staff Next Review Date: October 2018 Approved by: Joint Consultative and Negotiating Committee Strategic Workforce Committee Date issued: Date of meeting: 14 th June 2012 27 th June 2012 Author: Version 1: Liz Skeats - Head HR Integrated Community Services : Julia Kendall Sponsor: Sandra Grant Director of Workforce, Development & Communications 1

Version Control Change Record Date Author Version Page Reason for Change March 2013 Julia Kendall Recruitment Manager 2 Throughout Minor changes to policy and procedure to reflect Criminal Records Bureau (CRB) and Independent Safeguarding Authority (ISA) processes being replaced by the Disclosure and Barring Service (DBS) 3.1.2 3.4.3 Reference to DBS Risk Assessment Guidelines & Forms in DBS and Employment Checks Toolkit 8/4/16 Review date extended from April to June 2016 2/6/16 Review date extended to July 2016 15/7/16 Review date extended to Sept 2016 28/9/16 Review date extended to Dec 2016 21/11/16 Review date extended to Feb 2017 20/2/17 Review date extended to Mar 2017 16/3/17 Review date extended to May 2017 10/5/17 Review date extended to August 2017 4/8/17 Review date extended to December 2017 9/11/17 Review date extended to Mar 2018 2/2/2018 Review date extended to October 2018 Reviewers/contributors Name Position Version Reviewed & Date Human Resources Team, Staff Side and Joint Consultative and Negotiating Committee Version 1, August 2012 2

Contents Page 1 Introduction. 4 2 Process... 4 3 Disclosure and Barring Service (DBS) Checks.. 4 4 Verification of Identity Checks. 7 5 Right to Work Checks 8 6 Professional Registration Checks.. 9 7 Qualification Checks. 9 8 Employment History and Reference Checks 10 9 Occupational Health Assessments. 12 10 Copying and Storing Documents. 12 11 External Agencies.. 13 12 Failure to Satisfy Employment Checks.. 13 13 Post Employment Checks (for existing staff) 14 A1 Acceptable Documents for Identity Checks... 15 A2 Acceptable Documents as Proof of Right to Work (as 17 required by Immigration, Asylum, and Nationality Act (2006). 3

1. Introduction 1.1. Southern Health NHS Foundation Trust (the Trust ) has a duty to ensure that all people employed by the Trust meet the current statutory requirements and, where required, hold appropriate, current registration from the relevant regulatory/professional body. 1.2. Failure to comply with the pre-employment checks in this policy could potentially put the safety, and even the lives, of patients, staff and the public at risk. 1.3. The policy requirements are in line with the NHS Employment Check Standards (July 2010). 1.4. The checks outlined in this procedure should also be carried out in compliance with the Data Protection Act 1998. Information should only be obtained where it is essential to the recruitment decision and kept in accordance with the Act. Employers must record the outcome of all pre-employment checks, using Electronic Staff Record (ESR) where available. 2. Process 2.1. At the pre-employment stage of recruitment & selection the following checks need to be completed: Disclosure and Barring Service (DBS) checks Verification of identity checks Right to work checks Registration (if applicable) Qualification checks Employment history and reference checks Occupational health checks 3. Disclosure and Barring Service (DBS) checks 3.1. General 3.1.1. DBS checks will be requested for staff in accordance with NHS Employment Standards. 4

3.1.2. In exceptional circumstances where there may be a risk to the health, safety and wellbeing of patients, service users or staff a prospective member of staff may be allowed to work prior to a satisfactory DBS check being received. In these circumstances the recruiting Line Manager should conduct a risk assessment (see DBS and Employment Checks Toolkit Document 1) and appropriate safeguards should be put in place i.e. the prospective member of staff must be supervised at all times until the Line Manager is notified that satisfactory DBS clearance has been received. 3.1.3. As an organisation using the DBS to assess applicants suitability for positions of trust, the Trust complies fully with the DBS Code of Practice and undertakes to treat all applicants for positions fairly. It undertakes not to discriminate unfairly against any subject of a Disclosure on the basis of a conviction, spent conviction or other information revealed. 3.2. Initial Application 3.2.1. On selection of the applicant, the blank disclosure application form will be given to the applicant with the letter offering employment/volunteer role for completion. 3.2.2. The recruiting manager will verify the applicant s proof of identification by checking the original documents as detailed in Appendix One. 3.2.3. The Disclosure application form signed by the applicant and countersigned by an established counter signatory will be sent to the DBS for processing. 3.2.4. The Recruitment Team and applicants can track the progress of the DBS Disclosure application on line as required. 3.2.5. Managers should be aware that checks can take up to six (6) weeks and must build this into their recruitment process. 3.3. Processing the Application 3.3.1. The DBS will validate the identity of the applicant by checking the information included on the form. 3.3.2. The DBS will access the government and police records to produce the disclosure document. 3.4. Receiving the Disclosure 3.4.1. The DBS will send a copy of the Disclosure to the applicant and a copy to the Counter Signatory within the Registered Body. 3.4.2. The Recruitment Team will inform the recruiting Line Manager when the result of the process is received. If there is cause for concern the Recruitment Team will contact the recruiting Line Manager and Human Resources Advisor. 3.4.3. DBS clearance should be received before a new member of staff can commence employment. The Trust will not employ a new recruit to work without DBS clearance, under supervision unless written permission is given. A DBS must have been completed and submitted, and then following a minimum period of four (4) weeks the recruiting Line Manager can conduct a risk assessment(see DBS and Employment Checks Toolkit Document 1) highlighting appropriate safeguards to 5

be put in place i.e. the prospective member of staff must be supervised at all times until the Line Manager is notified that satisfactory DBS clearance has been received. The risk assessment must be signed off by an appropriate Director. 3.4.4. The recruiting Line Manager will also need to confirm that supervision is in place prior to DBS clearance being received. 3.5. Making the Recruitment Decision 3.5.1. The Disclosure is just one element in the pre and post-employment checks. It should be considered in the light of all relevant circumstances including: the nature of the offence; the age of the applicant at the time of the offence; the applicant s subsequent record; how relevant the offence is to the post applied for. 3.5.2. After consideration of the Disclosure and other pre-employment checks, the job offer will either be confirmed or the candidate will be invited for further discussion before deciding whether or not to confirm the offer. The Human Resources Team is able to offer advice regarding the legislation in the context of employment decision. 3.5.3. The recruiting Line Manager, in conjunction with the Human Resources Advisor, will discuss any matter revealed in a Disclosure with the person seeking the position before deciding whether to withdraw a conditional offer of employment. When a DBS check shows offences a separate risk assessment will be undertaken to establish whether the applicant is suitable for the post or would present a risk. 3.5.4. Where the Trust is not satisfied with the information issued on the disclosure document, the organisation can decline to make a job offer explaining to the candidate the reason for doing this. 3.6. Portability of Disclosures 3.6.1. There will be occasions where a prospective member of staff will already be in possession of a Disclosure document originated from a previous employer. 3.6.2. As a Disclosure carries no period of validity and using portability does not constitute a fresh check, in all cases a new Disclosure will need to be completed to ensure that the Trust has accurate information on which to base recruitment and selection decisions. The exception to this is doctors on rotation. 3.7. Checking Periods of Employment Abroad 3.7.1. Candidates from abroad must have a certificate of Good Standing from their country s police department. The original must be seen by the recruiting Line Manager and the Recruitment Team before the successful candidate commences employment. 3.7.2. If the candidate does not have a Certificate of Good Standing, they are responsible for obtaining it together with any translation that is necessary and all costs involved in this. 6

3.7.3. The Home Office is only able to supply information relating to the period the applicant has been resident in this country. 3.7.4. References must be taken which cover the necessary employment and/or educational periods abroad. Referees will be asked to provide any information on previous convictions (including spent convictions) and the appropriate foreign embassy will also be contacted for any details on convictions in that country. 3.7.5. Undertaking these checks is likely to extend the pre recruitment checking process. 4. Verification of Identity Checks 4.1. Process 4.1.1. Prospective staff must provide acceptable documents containing their photograph, such as a passport or UK driving licence, and acceptable documents providing their current address, within the last three months and must contain the candidates name and address e.g. utility bill, bank statement. They will be required to provide either: Two forms of photographic personal identification and one document confirming their address, or One form of photographic personal identification and two documents confirming their address. 4.1.2. All documents must be valid, current and original. Where copies of originals are provided these must be certified by a solicitor. Documents downloaded from the internet must not be accepted. 4.1.3. 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. 4.1.4. All documents provided must be photocopied and retained on file. Line Managers must sign and date the copy to show it has been certified. 4.1.5. A face to face meeting with prospective staff is also an essential part of the verification process. 4.2. Applicants That Have Recently Changed Their Name 4.2.1. Line Managers must only accept identity documents in the applicants previous name where they are able to provide documentary evidence of the recent name change because of: marriage/civil partnership (i.e. marriage/civil partnership certificate) divorce/civil partnership dissolution (i.e. decree absolute/civil partnership dissolution certificate) deed poll (i.e. deed poll certificate) 7

4.3. Authenticity of Information/Documents 4.3.1. The checks may return information that contradicts the details provided by the applicant and raises concerns. In this situation Line Managers should: Proceed in a sensitive manner there is often a reasonable explanation for apparent inconsistencies. Do not take documents at face value ensure that they are checked thoroughly. Tax documents, payslips, degree certificates and fake documentation are all available online. Do not check documents in isolation cross-reference with other data supplied. If the data does not match, ask for further evidence. Attempt to address the concerns directly with the candidate a second interview may be required to follow up with the relevant sources. 4.3.2. In exceptional circumstances, where checks reveal substantial misdirection, Line Managers may feel it would be appropriate to report their concerns to the Recruitment Team. Further advice can be sought from the Home Office via the employers helpline. 5. Right to Work Checks 5.1. Process 5.1.1. In accordance with the Immigration, Asylum and Nationality Act (2006) it is a criminal offence for employers to knowingly employ illegal migrant workers and a there is a continuing responsibility for employers of migrant workers to check their ongoing entitlement to work in the UK.. 5.1.2. These checks are concerned only with an individual's right to work in the UK and will therefore be done in conjunction with verification of identity checks so that the Trust can satisfy itself that the candidate is the rightful owner of the documents that they present. 5.1.3. The Recruitment Team will validate documentation from all prospective staff prior to the individual starting work to ensure they are eligible to reside and work in the UK. All documents must be valid, current and original. Documents downloaded from the internet will not be accepted. 5.1.4. The list of documents deemed to be acceptable by Immigration, Asylum and Nationality Act (2006) is shown at Appendix Two. No other documents or combinations of documents are acceptable. In certain circumstances documentation may be required to be re-inspected on a yearly basis. The Recruitment Team will monitor this and provide ongoing advice to the Line Manager. 5.1.5. If, after carrying out these checks, it is established that the candidate is not permitted to work in the UK, then they will not be able to commence employment and will not be allowed to start work. The Recruitment Team will liaise with the Line Manager for them to communicate with the prospective member of staff. 8

5.1.6. If there is no evidence that such permission is going to be promptly forthcoming the Trust will withdraw the offer of employment. If a person is likely to obtain the relevant permission within an acceptable time period, e.g. within two weeks, then it is at the Line Manager s discretion to withdraw the offer of employment or wait until the permission is received. The Human Resources Manager will discuss this with the Line Manager concerned. 6. Professional Registration Checks 6.1. In order to check and verify registration the prospective member of staff should bring evidence of their registration to their interview, the recruiting Line Manager is then required to record on the interview documentation whether they have had sight of the current and valid registration. 6.2. As part of the pre-employment check process, registration with the registered body will also be checked to confirm registration is current and valid. 6.3. Please refer to the Validation of Professional Registration Policy for further information. 7. Qualification Checks 7.1. The purpose of the qualification check is to ensure that a prospective member of staff has the right qualifications to do the job. Appointment to any position in the Trust is subject to a satisfactory qualification check. 7.2. It is the responsibility of the recruiting Line Manager to ensure that the individuals short listed have the relevant qualifications identified in the person specification. 7.3. Qualification checks verify the information about educational or professional qualifications. The prospective member of staff will be asked to bring their original certificates to the interview. The certificates should then be copied and checked against requirements of the person specification and retained for the personnel file. If the qualification is gained overseas it is the Line Manager s responsibility to ensure that the qualification is equivalent to the stated UK qualification. 7.4. Applicants may not always have the original documentation and Line 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. 7.5. Where the checks return information that contradicts the details provided by the candidate and therefore raises concerns the matter should be raised with the Recruitment Team who will offer and advice and support, it is then the recruiting Line Manager s responsibility to liaise directly with the prospective member of staff. 9

8. Employment History and Reference Checks 8.1. General 8.1.1. Previous employment history must be checked before an unconditional offer of employment is made to a prospective member of staff. References and application forms must be cross checked as part of this process by the recruiting Line Manager and the Recruitment Team. 8.1.2. The purpose of references is to obtain information, in confidence, from a third party providing a factual check on a candidate s employment history, qualifications, experience and usually an assessment of the candidate s suitability for the post in question. Prospective employers may seek information on matters including length of employment, salary, job title, brief details of responsibilities, abilities, overall performance, time-keeping and reason for leaving. 8.1.3. Details of referees are requested when a candidate completes an application form; the candidate should provide referees to cover the previous three years of employment and normally two of the referees should be from previous line managers. An exception to this would be a recent school leaver or graduate who could provide a tutor as a referee. 8.1.4. References are checked by the Recruitment Team and the recruiting Line Manager prior to the unconditional offer being issued. Any concerns regarding the content of references must be discussed between the recruiting Line Manager and the Recruitment Team to ensure consistency and fairness of approach. 8.1.5. Where there is a lack of sufficient evidence on which to base an offer of employment, any conditional offer that has been made will need to be withdrawn. However, if references cannot be obtained for legitimate reasons the Recruitment Team will discuss with the recruiting Line Manager whether or not an unconditional offer is appropriate 8.1.6. Staff should only act as a referee on behalf of the Trust if they hold or have previously held a formal supervisory or managerial relationship with the subject of any reference and can therefore make an evidence based assessment of job related competence and personal qualities. 8.2. Minimum Requirements 8.2.1. References must: cover at least three years of previous employment and/or training. Ideally recruiting Line Managers should aim to check a period which covers two separate employers (where possible), one of which should be from the applicant s current or most recent employer. Where an individual has been with one employer for five years or more, one reference may be sufficient. be in writing (i.e. company letter via post or email, or by using a standardised form); although it may be necessary to further clarify information with the referee over the phone. 10

8.2.2. Line 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 emailing the HR department to verify employment dates and information are correct. All hard copy references should be on headed company paper or, where emailed, should be from an authenticated company email address. All references must include the referee s name, job title, a mainline switchboard number, the referee s signature and, where using a standardised form, should also include the referee s company stamp. 8.2.3. For the purposes of checking employment history, references must provide details on dates of employment and the position held. It is also good practice to ask for details on the duties the person carried out and on the skills and personal qualities that might be deemed relevant to the position being applied for. However, employers should bear in mind that any comments on personal qualities may be highly subjective. 8.2.4. Any gaps in employment history will need to be carefully explored with the applicant at interview. 8.2.5. All requests for references should be requested through the applicant s Line Manager or other relevant department manager. However, it is recommended that employment dates are verified through the organisation s HR department or other relevant recruitment function. If the applicant is already working within the NHS, this information may be verified using the Electronic Staff Record, where available, or an alternative HR management system. 8.2.6. For healthcare professionals, references should be obtained from their clinical Line Manager, Medical Director, or supervising Consultant. Where this is not possible, references should be obtained from their post graduate dean, educational supervisor, or other relevant professional lead. 8.3. Other Reference Types 8.3.1. Depending on the individual s circumstances, other types of references may also be required if: 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 three years. In this case, a reference should be obtained from the relevant academic institution. 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. If 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. 11

8.4. Authenticity of Information 8.4.1. Checks may return information that contradicts the details provided by the applicant and raises concerns. In this situation Line Managers should: Proceed in a sensitive manner there is often a reasonable explanation for apparent inconsistencies. Attempt to address the concerns directly with the candidate a second interview may be required to follow up with the relevant sources. 8.4.2. In exceptional circumstances, where checks reveal substantial misdirection, Line Managers may feel it would be appropriate to report their concerns to the NHS Counter Fraud and Security Management Services. 9. Occupational Health Assessments 9.1. It must be made clear to prospective staff that appointment to any position is conditional on a satisfactory occupational health check. 9.2. All occupational health checks must take into account the requirements of the Equality Act and reasonable adjustments implemented where possible. 9.3. Pre-appointment 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 prospective staff do not represent a risk to patients and that they will be doing work that is suitable and safe for them. 9.4. Those individuals working in close contact with patients must provide evidence of appropriate immunisations and vaccinations within two weeks of starting employment to Occupational Health. 10. Copying and Storing Documents 10.1. All documentation must be copied and stored in accordance with the Data Protection Act 1998. 10.2. All documents provided must be photocopied and retained on file to provide an ongoing defence against a financial penalty. 10.3. A copy needs to be taken of the relevant page or pages of the document in a format that cannot be subsequently altered, for example a photocopy or scan. In the case of a passport or other travel document, the following parts must be photocopied or scanned: 12

for passports and travel documents, a copy should be taken of the document s front cover and any page containing the holder s personal details. In particular, copy any page that provides details of nationality, his or her photograph, date of birth, signature, date of expiry or biometric details Any page containing UK Government endorsements, noting the date of expiry and any relevant UK immigration endorsement that allows prospective or current staff to do the type of work you are offering. Other documents should be copied in their entirety. In the case of a national identity card, both sides of the card should be photocopied. A record should be kept of every document that has been copied. The copies of the documents should be kept securely for the duration of the individual s employment and for a further six years after their employment has ceased. Where an electronic copy is made of a document, it must be made using Write Once Read Many (WORM) media, for example on a non-rewritable disk such as CD-R. If the Trust acquires acquire staff as a result of a Transfer of Undertakings (Protection of Employment) transfer are provided with a grace period of 28 days to undertake the appropriate document checks following the date of transfer. The person taking the copy must sign and date the copy to show it has been certified. Although employers may request to see and take copies of other documentation of an individual s identity as highlighted at Appendix Two, only those from lists A and B in this document will be eligible for submission to establish a statutory excuse against a civil penalty. 11. External Agencies 11.1. The Trust may use external agencies to provide staff. NHS Professionals and most of the agencies the Trust use meet a set standard and are on the Buying Solutions framework (formerly known as Purchasing and Supplies Agency (PASA)). To be on this framework the agencies must adhere to the NHS Employment Check Standards which includes checking both DBS and professional registrations and this is checked by the Buying Solutions. 11.2. On occasion, the Trust may use an agency that is outside of the Buying Solutions framework. The Recruitment Team periodically check these agencies, and those that are on Buying Solutions, to ensure they are compliant with the DBS requirements in accordance with current audit requirements. 11.3. Due to the level of control that the Trust has over temporary staff, the Recruitment Team undertakes periodic checks on invoices to gain this information as well as receiving relevant information on a quarterly basis from the Agencies as evidence of compliancy. 12. Failure to Satisfy Employment Checks 12.1. In line with its Equality, Diversity and Human Rights Policy, the Trust will ensure that all applicants for posts are treated on a fair and equitable basis. Only information relevant to the requirements of the post will be requested and appointment 13

decisions will be based on the criteria identified in the person specification. The Trust will make every effort to ensure that those appointed are suitable for the position. 12.2. Applicants will not be able to commence in post until the employment checks have been confirmed as acceptable by both the recruiting Line Manager and the Recruitment Team. Where it is deemed that any evidence is not forthcoming from an applicant following several requests, any offer of employment may be withdrawn. 12.3. The recruiting Line Manager, in conjunction with the Human Resources Advisor, will discuss any matter revealed in a Disclosure with the person seeking the position before deciding whether to withdraw a conditional offer of employment. When a DBS check shows offences a separate risk assessment (see DBS and Employment Checks Toolkit Document 1) will be undertaken by the Line Manager in conjunction with the Human Resource Advisor to establish whether the applicant is suitable for the post or would present a risk. 12.4. Prospective staff who require a work permit/visa and/or statutory professional registration and allow these to lapse will not be allowed to continue in post until they have been renewed. In the cases where any Professional Registration is found to have lapsed, the member of staff may be found following investigation to have breached the terms of the Validation of Professional Registration Policy and Disciplinary Policy and may be issued with a sanction, including dismissal. 13. Post Employment Checks (for existing staff) 13.1. In circumstances where staff are changing roles within the Trust due to organisational change, redeployment, promotion, ill health or if there is a significant change to their duties the following may be required: an Occupational Health assessment; DBS check if the new role changes the level of check required References 13.2. If during the course of their employment, an individual is arrested, charged, cautioned or convicted of any criminal offence they must notify their Line Manager of the circumstances as soon as possible. This includes any pending court appearance, bind-over s absolute and conditional discharges. Failure to do so may result in formal action being taken under the Disciplinary policy. 13.3. The Line Manager, in conjunction with the Human Resources Team, will carry out a risk assessment to determine the potential impact on the individual s current role with the Trust. 14

APPENDIX ONE ACCEPTABLE DOCUMENTS FOR IDENTITY CHECKS Photographic Evidence Photographic documents as listed below: UK 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* UK full or provisional photo-card driving licence (must include paper counterpart); or an EU/other nationalities full photo-card driving licence (providing that the person checking is confident that non-uk photo-card driving licences are bona fide) a national (UK or EU) ID card and/or other valid documentation relating to immigration status and permission to work* *For further information on immigration, please refer to the Right to Work Checks within this policy or within the NHS Employment Check Standards. HM Forces photo ID card is acceptable but line managers should bear in mind that such cards must be surrendered upon leaving the forces so only those individuals currently in the forces will hold such a card. Any other document that is not listed above (e.g. organisational ID card) must not be accepted. When Photographic Evidence Is Not Available If an individual seems genuinely unable to provide any acceptable photographic personal identification, then employers should request each of the following: two forms of non-photographic personal identification two documents confirming their address a passport-sized photograph of themselves. All documents must be from a different source and photographs must be 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 may 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. Line Managers need to 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 of each of the documents should be taken and retained on file. All copies should be signed, dated and certified by the recruiting Line Manager. It is good practice to contact the signatory to authenticate the details of the statement. 15

Non Photographic Documents Acceptable non photographic documents: utility bill (gas, water, electricity or phone), or a certificate from a utility supplier confirming the arrangement to pay for the services on pre-payment terms at a fixed address* local authority tax bill (i.e. council tax)** UK full or provisional photo-card driving licence (must include paper counterpart); or a full old-style paper driving licence (if not already presented as a personal ID document). Old style provisional driving licences are not acceptable most recent HM Revenue & Customs tax notification (i.e. tax assessment, statement of account, notice of coding). A P45 or P60 is not acceptable** financial statement (e.g. bank, building society, storecard, credit card or credit union statement) containing current address* mortgage statement from a recognised lender** local council rent card or tenancy agreement* benefit statement, book or card; or original notification letter from Department of Work and Pensions (DWP) confirming the rights to benefit (e.g. child allowance, pension)** insurance certificate** TV licence** confirmation from an electoral register search that a person of that name lives at the claimed address* birth certificate Documents marked with an * must be dated within the last three months. (Unless there is a good reason for it not to be, e.g., clear evidence that the person was not living in the UK for three months or more). These documents must contain the name and address of the applicant. Documents marked with ** must be dated within the last 12 months. The above list is not exhaustive. 16

APPENDIX TWO ACCEPTABLE DOCUMENTS AS PROOF OF RIGHT TO WORK (AS REQUIRED BY IMMIGRATION, ASYLUM AND NATIONALITY ACT (2006) 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 or one of the documents or combinations of documents specified in List B. 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. Documents downloaded from the internet must not be accepted. Employers are able to accept evidence of indefinite leave to remain where it is produced in an expired (out of date) passport. This exception is only in relation to proof of indefinite leave to remain, employers must undertake the same checks to verify an expired passport as they would for a valid (in date) passport and copies of documentation will need to be kept on file to avoid a penalty notice. Photocopies must not be accepted. The documents must show that the holder is entitled to do the type of work being offered. 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, 17

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 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 cannot provide documents from List A. 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. 18

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. If prospective staff show one of these original documents, or combinations of documents, it indicates that they only have limited leave to work in the UK. These checks need to be done at least once every 12 months and the date recorded on when the checks were carried out. At this point staff must produce new documents from List A or B or leave the Trust employment. Where the individual provides a document or documents from List A, no further checks are required for the duration of their employment. Lists A and B were correct at the time of publishing but are subject to change. Always check the UKBA website before proceeding with document verification checks. 19