To be read in conjunction with Recruitment of Staff procedure.
1.0 INTRODUCTION
1.1 We are committed to safeguarding and promoting the welfare of all Service Users who use our service. Management expect all staff and volunteers to share and demonstrate this commitment in every aspect of their work.
1.2 Our service is committed to safe practice in recruitment and ensuring that there is a consistent and thorough process of obtaining, collating, analysing and evaluating information from and about applicants to ensure that all persons appointed are suitable to work in our service.
1.3 We will ensure that all applicants are made fully aware of the importance for safeguarding and promoting the welfare of our Service Users.
1.4 We regard staff as an important asset in the provision of our service. It is therefore our policy to ensure that our recruitment procedures meet the requirements of legislation and best practice.
2.0 POLICY
2.1 To have in place effective recruitment procedures that ensure that the appointment of all employees, agency staff and volunteers are made on merit and are in accordance with the values of our service, the principles of employment law, Health and Social Care Act 2008 (Regulated Activities) and the CQC Fundamental Standards.
3.0 WHAT THE REGULATIONS SAY
3.1 Health and Social Care Act 2008 (Regulated Activities) Part 4 Regulation 21 states, the registered person must:
Operate effective recruitment procedures in order to ensure that no person is employed for the purposes of carrying on a regulated activity unless that person—
Is of good character.
Has the qualifications, skills and experience which are necessary for the work to be
performed, and
Is physically and mentally fit for that work.
Ensure that a person employed for the purposes of carrying on a regulated activity is registered with the relevant professional body where such registration is required by, or under, any enactment in relation to—
(i) The work that the person is to perform, or
(ii) The title that the person takes or uses; and
(iii) Take appropriate steps in relation to a person who is no longer fit to work for the purposes of carrying on a
regulated activity including—
(iv) where the person is a health care professional, informing the body responsible for regulation of the health care
profession in question, or
(v) Where the person is a social care worker registered with the General Social Care Council, informing the Council.
3.2 The Health and Social Care Act 2008 (Regulated Activities) Regulations 2014: Regulation 18. In order to safeguard the health, safety and welfare of service users, the registered person must take appropriate steps to ensure that, at all times, there are sufficient numbers of suitably qualified, skilled and experienced persons employed for the purposes of carrying on the regulated activity.
4.0 VETTING AND RECRUITMENT PROCEDURE
4.1 The following describes the main elements of the recruitment and vetting processes that cover the requirements of Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities)
Regulations:
Obtaining and scrutinising comprehensive information from applicants.
Following up and satisfactorily resolving any discrepancies or anomalies.
Obtaining independent professional and character references that answer specific
questions to help assess an applicant’s suitability to work with our young people and/or adults.
Conducting a face-to-face interview and where applicable job-related assessments.
Verifying all successful applicants‟ identities and eligibility to work in the UK.
Verifying all successful applicants‟ academic or vocational qualifications.
Checking candidates‟ previous employment history and experience, ensuring any gaps in employment are adequately explained.
Ensuring medical fitness to carry out the duties and requirements of the post.
Undertaking an Enhanced DBS Check application for all posts against the Adult’s Barred List‟s; and there after regular checks through the DBS update service.
Where applicable A copy of an enhanced criminal record certificate issued under section 113B of that Act together with, where applicable, suitability information relating to vulnerable adults.
5.0 ADVERTISING VACANCIES
5.1 All vacancies will normally be advertised internally prior to external advertising.
5.2 Prior to advertising details of where to advertise, method of selection and timescales will be agreed. Any current member of staff who wishes to apply for any role advertised and is suitably qualified is considered in line with this policy.
5.3 Before the advert is placed the manager should prepare a Staff Recruitment Folder, whichshall contain:
Job description for the post.
A copy of the advert.
Person specification (specifying the knowledge, skills and competencies required).
Application for Employment Form.
Short Listing Form.
Recruitment Monitoring Form.
Job Interview Score Sheet.
5.4 All vacancies should also be advertised within the service and steps taken to ensure that all staff are made aware, including those staff whose normal shift pattern or holidays would mean that they would not see the advert. Where the service keeps a register of „Bank Staff‟, the manager should ensure that such staff are made aware of the vacancy and given the same opportunity to apply as all other staff.
N. B.
Before placing an advert, the service must ensure that no-one is discriminated against during the recruitment process, and it complies with the legislative requirements of Equal Opportunities Policy, by not targeting any specific groups which could be seen as racial, cultural, gender, disability, sexual orientation or age related groups.
For further advice please consult the A.C.A.S. website http://www.acas.co.uk/
6.0PROVIDING INFORMATION TO APPLICANTS
6.1 We acknowledge that successful recruitment is a two-way process and all applicants should be provided with comprehensive information. All enquiries or requests for information should be dealt with by the manager and service administrative staff. They should be prepared to explain to potential applicants the nature of the work in order to minimise inappropriate applications.
6.2 Any person who requests an application should receive the following:
Application for Employment Form
Job description (which has been updated) and describes where they fit in with the roles and responsibilities of other members of the staff team and what they can expect from them.
Copy of the service’s values and philosophy of care Positive Culture.
Equal Opportunities Monitoring Form.
A person specification indicating the qualifications, skills and types of experience which the manager regards as essential or desirable in relation to the job.
Rehabilitation of Offenders Declaration Form.
6.3 Other general information including;
A copy of the Recruitment, Selection and Vetting Policy.
The name of any person who will be available to provide additional information about the post.
Pay scale information.
Terms and conditions relating to the post.
Guidance on the Enhanced DBS check process and the employment of ex-offenders. ∙ Reference to the services website for further information.
7.0 RESPONDING TO APPLICATIONS
7.1 The details of those people requesting information about the post should be entered onto the Recruitment Monitoring Form and kept within the Staff Recruitment Folder, C4-SRF.
7.2 All returned applications should be held within the Staff Recruitment Folder until the closing date for applications.
7.3 The manager should indicate the circumstances, if any, under which a late application might be considered.
7.4 All Equal Opportunities Monitoring Forms should be removed by a person not connected with the short-listing
process prior to short listing. Under no circumstances should Equal Opportunities Monitoring information be used as part of the selection process. The forms must be on file in case anyone disputes that Equal Opportunities monitoring has taken place.
8.0 THE SELECTION PROCESS
8.1 A shortlist of applicants should be created by the manager and at least one other member of the senior team using
the „person specifications‟ that have been pre-determined as “essential / desirable”. The details of the successful applicants should then be entered onto the Short-Listing Form.
8.2 The manager must ensure that the selection and interview processes should assess the accuracy of applications and be designed to demonstrate candidates‟ suitability for the role, while meeting the requirements of the Equality Act 2010 in relation to pre-employment health checks.
8.3 All candidates will be assessed equally against the criteria contained within the person specification without exception or variation. During the screening/short listing process, any gaps and/or queries arising from the application form is noted to be raised at interview.
9.0 INVITING APPLICANTS TO INTERVIEW
9.1 Those candidates who have ben short listed will be invited for an interview should be sent an Interview Letter at least one week before the interview, which should indicate:
The time, date and place of the interview.
The nature of the interview e.g. formal panel, less formal, expected duration etc. ∙ Whether the applicant will be required to give a presentation / be tested. ∙ Any relevant information which has been made available to (or might reasonably be known by) other applicants.
The letter might also contain the names of the staff who will carry out the interviews an should invite the applicant to visit the service prior to interview.
9.2 The invitation to interview letter will include reference to a check to be made on the identity of the successful candidate and includes the request that all candidates bring with them to interview the following documentation, which will be authenticated, copied and returned:
Proof of entitlement to work in the UK.
Original documents to support a DBS application.
Current DBS.
Certificates that provide proof of training.
9.3 The documentation will not form part of the decision-making process and, for unsuccessful candidates, is destroyed in line with Data Protection legislation. A copy of the documents used to verify the successful candidate’s identity and qualifications will be kept on their personnel file.
9.4 If employers carry out personality or behaviour assessments of any sort, the people carrying out the assessments should be trained and qualified to ensure that any of the assessments do not have a discriminatory result.
9.5 Each applicant should be asked whether there are specific needs that must be met by the service for the applicant’s comfort such as physical access to the service or assistance of a sign language interpreter.
9.6 Where an applicant requests a visit to the service, an appointment should be made, and the applicant advised who the senior member of staff on duty will be for their visit.
10.0 INTERVIEWS
10.1 The purpose of interviews is to assess the merits of each candidate against the job requirements and to explore each candidate‟s suitability to work in our service.
10.2 Interview panel members should meet prior to the interview to agree questions and assessments relevant to the post. The initial interview will normally consist of the following:
A tour of the building and grounds.
An opportunity to meet key staff.
Where practicable, meet Service Users who where are involved in the recruitment process.
An opportunity to learn more about our service and the vacant post.
10.3 The format of the interviews will normally consist of:
A series of structured questions.
The opportunity for candidate to ask questions and/or declare any information. ∙ Details of the terms and conditions of the post.
Any assessment as appropriate to the role.
10.4 At interview, all candidates should be asked the same questions, in the same tone and context. The chairperson of the interview panel should ensure that all applicants are treated fairly and that all are given similar opportunities to answer questions and state their case for employment.
10.5 Each applicant should be evaluated and rated / scored immediately after each interview against the pre-determined criteria and answers given to the questions asked. Applicants should not be judged on their performance against another applicant. Interview notes should be retained and stored confidentially should a query or complaint be lodged against the interviewing panel.
10.6 All candidates will be given the opportunity to receive constructive feedback.
10.7 When assessing whether an applicant is of good character, the manager should make every effort to gather all available information to confirm that the person is of good character and have regard to the matters outlined in Schedule 4, Part 2 of the regulations. It is not possible to outline every character trait that a person should have, but CQC would expect to see that the processes followed take account of honesty, trust, reliability and respect.
10.8 Only when all the interviews have taken place should the interview panel begin the process of selection.
11.0 CONDITIONAL OFFER OF APPOINTMENT
11.1 Prior to a conditional offer of appointment being made the requirements for information about candidates set out in Schedule 3 of the regulations must be confirmed before they are employed.
11.2 If the manager considers that an applicant is suitable, despite them having information about anything set out in Schedule 3, the provider‟s reasons should be recorded for future reference.
11.3 Once the appointment decision has been made, the manager should offer the post to the successful applicant with the minimum of delay. The applicant must be advised not to resign their current employment at this stage.
11.4 Any offer of appointment to the successful candidate is conditional upon the following: ∙ The receipt of at least two satisfactory character and employment history references which provide evidence that the person is honest, reliable and trustworthy and will treat Service Users with respect. This includes a reference from a previous employer. ∙ A full employment history must be received, with any gaps explained. ∙ Where the applicant has worked previously in health or social care, or with children or vulnerable adults, satisfactory evidence of conduct and reasons for leaving must be obtained.
Verification of the candidate‟s identity, including recent photograph.
An enhanced DBS check that includes a check against the Disclosure and Barring Services Adults‟ Barred List.
Commitment to on-going DBS status checks through the DBS update service. ∙ Verification of the candidate‟s medical fitness both mentally and physically. ∙ Verification of original qualifications.
Verification of professional status where required.
Where a person has been previously employed in a position whose duties involved work with vulnerable adult‟s satisfactory verification, so far as reasonably practicable, of the reason why the persons employment in that position ended. ∙ Proof of entitlement to work in the UK.
Where the applicant has been recruited from outside the United Kingdom they have demonstrated they meet the same standards of competency, qualification and
experience for the role as they would have had they been trained in the United Kingdom.
Are currently registered with the relevant professional regulator and/or professional body where appropriate, and only use a protected professional title where their qualifications and registration allows them to do so.
Are aware of and adhere to any codes of professional conduct that apply to them. ∙ Verification of the candidate‟s medical fitness both mentally and physically and are able to carry out their role, with a plan of support including reasonable adjustment where necessary, ensuring that neither they nor people who use the service will be placed at risk by the work they will do because of an illness or medical condition they have.
Subject to being able to communicate effectively with people who use services and other staff, to ensure that the care, treatment and support of people who use services is not compromised.
Confirmation of UK NMC registration status (nurses only).
Appropriate disclosure information (as required under section 113 of the Police Act 1997).
If applicable, further police checks and/or a Certificate of Good. Repute/Letter of good conduct will need to be obtained from the home embassy/home country for candidates that have lived and worked outside the UK.
11.5 Successful applicants will be sent a copy of the Letter Confirming Offer of Employment, which contains important information prior to commencing employment with the Service.
11.6 Within five working days, the manager should have sent letters to the unsuccessful applicants which notify them of the outcome and offering feedback on the interview should they wish to have the information.
12.0 CONFIRMATION OF APPOINTMENT
12.1 The manager should ensure that the following documentation is issued within five working days:
Request for Reference Form, sent to the named referees (two written references required). Where a candidate has previously worked in a position which involved work with children or vulnerable adults, verification of the reason why the employment or position ended should be obtained.
Health Questionnaire, C4-006A, sent to the applicant. This questionnaire should include information about residence overseas, previous and current illness, and immunisation against relevant infections.
Completion of proof of identity, ID Verification Form, that the applicant is legally entitled to work in the UK.
The requirement of a Satisfactory DBS check.
Carry out check of the Disclosure and Barring Service list.
12.2 In order to comply with the relevant Care Standards Regulations, candidates will not be allowed to commence work unless in exceptional circumstances until the following documentation is received:
An Enhanced Disclosure.
A full employment history.
A completed health questionnaire.
Documentary evidence of any relevant qualifications and training.
12.3 In the normal course of events, managers should not employ people in care positions until satisfactory results are obtained from the DBS Disclosure. However, in exceptional circumstances, where Service Users are placed at risk because of the problems in recruiting sufficient staff, the manager may begin to employ persons in care positions without having to wait for a full DBS Disclosure. In order to employ somebody pending the results of a full DBS Disclosure, the manager should have:
Carried out the required rigorous pre-employment checks.
Applied for a DBS Disclosure.
Applied for and received a satisfactory result of a DBS check.
Carry out a check with the Disclosure and Barring Service where staff are undertaking a Safeguarding Vulnerable Groups Act 2006 “regulated activity” or “controlled activity”; and they are required to be registered under the Scheme‟s phasing-in arrangements.
12.4 DBS Adult First is a service provided by the Disclosure and Barring Service that can be used in cases where, exceptionally, and in accordance with the terms of Department of Health guidance, a person is permitted to start work with adults before a DBS Certificate has been obtained. This applies to adult services such as care services, home care agencies and adult placement schemes where DBS Certificates are required by law. Before making an application for DBS Adult First you must have read the DBS Adult First guidance notes
12.5 It should be noted that enhanced DBS checks are not portable and a new one has to be undertaken at each place of employment.
12.6 In addition, the manager should check the current registration status of any applicant who lists nursing qualifications (or any other qualification) in their application by following the Checking and Reviewing the Status of Staff Qualifications Procedure.
12.7 In those cases where the applicant does not have the competencies to fulfil their role and the appointment will not impact on the safe delivery of the service, a written commitment is obtained from the applicant confirming their agreement to work towards obtaining the required skills and qualifications.
12.8 The manager should check each document on its return to ensure that the information received is suitable.
12.9 If unsatisfactory references are received, the manager should decide: ∙ Whether to request an additional reference.
∙ Whether to re-interview the applicant.
∙ Whether to advise the applicant that the service no longer wishes to proceed with the appointment.
∙ Whether another option is available.
12.10 If the applicant is unable to provide proof that they are legally entitled to work in the UK, the manager should inform the applicant that the service is not able to proceed with the appointment.
12.11 If concerns arise from the medical questionnaire, the manager should decide: ∙ Whether to request an independent medical examination, the costs of which would be borne by the service.
∙ Whether to ask for independent advice from a GP.
∙ Whether to advise the applicant that the service no longer wishes to proceed with the appointment.
∙ Whether there is another option which might be explored.
12.12 Only when the manager is satisfied that all the above criteria have been met, should the manager make the formal offer of employment, and issue Terms and Conditions of Employment.
12.13 When the applicant confirms their acceptance of the post, detail should be entered into the Details of New Employee Form, and a start date arranged.
12.14 Before the agreed start date the manager should ensure that the following documents are in place for the new employee as a minimum:
The creation of a Staff Personal File.
An Induction Checklist.
Staff Training Record.
Staff Supervision Schedule and Planner.
A relevant entry in the List of Staff Employed in the LAAR Domiciliary Care Section. ∙ Terms and Conditions of Employment.
12.15 Once the start date has been agreed the Application for Employment Form, along with any associated paperwork should be placed into the new employee‟s Staff Personal File,.
12.16 The Staff Recruitment Folder, containing the details of all other applicants (whether interviewed or not), should be assembled in one package and held securely for at least twelve months in the service. After this time, it may be destroyed in a safe and appropriate manner.
12.17 Equal Opportunities Monitoring Forms, should be collated and analysed for trends only once the recruitment process has been completed. In cases of multiple recruitments, this monitoring should take place after the last position has been safely appointed.
12.18 All staff who are involved in the recruitment process at any stage must observe the strictest levels of confidentiality. Particular attention must be given to the information given by unsuccessful candidates in relation to their personal life, medical history or convictions. Any breach of this confidential information must be regarded as grounds for disciplinary action.
13.0 FOLLOWING APPOINTMENT
13.1 If the manager discovers information that suggests a person is not of good character after they have been employed, they must take appropriate and timely action to meet the regulations.
14.0 INTERVIEW NOTES AND RECORDS
14.1 All notes taken during the recruitment process form part of the formal record of why candidates were or were not selected for posts and for unsuccessful candidates are only retained for six months; after which they are destroyed.
14.2. Both electronic and paper copies should be maintained on all staff, including agency and supply staff, ready for inspection by the relevant bodies and contain copies of verified documents and the dates of when checks were made and by whom.
15.0 STAFF TRAINING
15.1 All staff involved in making appointments for our service will be required to undertake training in Recruitment, Selection and Equality Policies, including awareness of the relevant Regulations and good practice.
16.0 ADJUSTMENTS
16.1 When appointing an employee, the manager must have processes in place for considering their physical and mental health in line with the requirements of the role.
16.2 The manager must ensure that all reasonable adjustments are made to enable people to carry out their role.
16.3 These must be in line with requirements to make reasonable adjustments for employees under the Equality Act 2010. This may include offering alternative roles.
16.4 This aspect of the regulation relates to the ability of individuals to carry out their role. This does not mean that people who have a long-term condition or a disability cannot be appointed.
17.0 AGENCY STAFF
17.1 The manager must ensure that temporary, agency, bank and voluntary staff, and any practitioner working under practising privileges, are subject to the same level of checks and a similar selection criterion as staff recruited directly:
Other people providing additional services under arrangements made with the provider are subject to the necessary checks.
The agency provides information to the manager that confirms that agency staff are known to be fit and physically and mentally able to perform their role. This includes confirmation in writing from the agency that all necessary checks have been carried out in relation to each staff member being supplied.
The manager has in place a quality monitoring contract with the agency, (which is regularly reviewed), where the agency is used on an ongoing basis.
18.0 REFERRAL TO DISCLOSURE AND BARRING SERVICE
18.1 Please see attached Appendix 1 for information on the Disclosure and Barring Service APPENDIX 1: GUIDANCE ON THE DISCLOSURE AND BARRING SERVICE
The primary role of the Disclosure and Barring Service (DBS) is to help employers make safer recruitment decisions and prevent unsuitable people from working with vulnerable groups including children.
The DBS was established under the Protection of Freedoms Act 2012 and merges the functions previously carried out by the Criminal Records Bureau (CRB) and Independent Safeguarding Authority (ISA):
You must make appropriate referrals to the Disclosure and Barring Service.
You must not engage in regulated activity someone whom you know has been barred by the DBS.
„For further information on the changes please refer to Changes to disclosure and barring - What you need to know’ booklet and follow link:
www.homeoffice.gov.uk which also contains information on criminal records checks.
DBS Adult First Service
DBS Adult First is a service provided by the Disclosure and Barring Service that can be used in cases where, exceptionally, and in accordance with the terms of Department of Health guidance, a person is permitted to start work with adults before a DBS Certificate has been obtained. This applies to adult services such as care homes, home care agencies and adult placement schemes where DBS Certificates are required by law.
This service is only available to organisations who are eligible to access the DBS's Adult barred list and who have requested a check of the barred lists on their DBS application form. DBS Adult First is not a substitute for a DBS Certificate and providers must take care when making recruitment decisions prior to receiving a full DBS Certificate. DBS Adult First checks should be used only in exceptional circumstances and when absolutely necessary.
Before making an application for DBS Adult First you must have read the DBS Adult First guidance notes.
For further information on the DBS Adult First Service follow the link
https://www.isaadultfirst.co.uk/
Disclaimer: The recruitment of staff carries with it legal requirements. Before implementing this procedure, you should consult with a professional who is experienced in employment law.
Guidance for managers
What the Care Quality Commission requires
Key Lines of Enquiry 2018 - Safe S3: How does the service make sure that there are sufficient numbers of suitable staff to support people to stay safe and meet their needs?
Quality Assurance Policy
Status of Policy/Procedure
Approved
Title of Policy
Author/Reviewer
Annually
Review cycle:
Date of development
Dr Nujhat Jahan
December 2022
December 2023
Date of next review
GLOBAL DOMICILIARY CARE LTD.
STAFF RECRUITMENT POLICY
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