An Applicant’s Guide to the NHS Employment Check Standards What are NHS Employment Checks? The NHS Employment Check Standards outline the mandatory checks employers must carry out in the appointment, and ongoing employment, of all individuals in the NHS. Developed with key stakeholders including the Department of Health (DH), the Centre for the Protection of the National Infrastructure (CPNI), and employers in the NHS; the NHS Employment Check Standards include those checks that are required by law, those that are Department of Health policy and those that are required for access to the NHS Care Record Service. These standards apply to permanent staff, staff on fixed-term contracts, temporary staff, volunteers, students, trainees, contractors and highly mobile staff employed through an agency. An explanation of what these checks involve and what they mean to you is provided below. If you would like any further information regarding the checks we will undertake, please contact a member of the team on 0151 706 5570. The six areas below make up the NHS Employment Check Standards: 1. Verification of identity checks 2. Right to work checks 3. Registration and qualification checks 4. Employment history and reference checks 5. Criminal record checks 6. Occupational health checks 1. Verification of Identity Identity verification is the most fundamental of all pre-employment checks. It will be the first check performed and an application will not be able to progress until we are satisfied that a person’s identity is proven. Verification of identity checks are designed to: • •

Determine that the identity is genuine and relates to a real person Establish that the individual owns and is rightfully using that identity

Prospective employee’s must provide acceptable documents containing their photograph, such as a passport or UK driving licence, and acceptable documents providing their current address. Your identity will be checked at interview by the Recruiting Manger and then verified when you meet with a Recruitment Officer at a sign on appointment if you are successful. Acceptable Personal Identification Documents Some documents are more reliable than others and only certain documents, in certain combinations are acceptable for verification of identity. Prospective employees will need to provide either of these two combinations: •

Two forms of photographic personal identification and one document confirming their address. OR

•

One form of photographic personal identification and two documents confirming their address.

V3 (Jul 10)

Page 1 of 10

Liverpool Human Resource Services

All documents must be the originals; copies will only be accepted where they have been certified by a solicitor. All documents provided will be photocopied, signed and dated by the Recruitment Officer and will then be retained on your personal file. What is acceptable documentation? The following list, details what is acceptable personal identification and address identification, only documents from this list will be accepted. Personal Identification – Photographic ID • Current UK (Channel Islands, Isle of Man or Irish) passport or EU/other nationalities passport • Passports of non-EU nationals, containing UK stamps, a visa or UK residence permit showing the immigration status of the holder in the UK • A current UK (or EU/Other nationalities) photo-card driving licence including the paper counter part • National ID card and / or other valid documentation relating to immigration status and permission to work in the UK.

Address Identification • Current UK photo-card driving licence including the paper counterpart or an old-style UK driving licence • Recent Utility Bill (gas, electricity or phone) Utility bills in joint names are permissible* • Current local authority tax bill for the current year* • Bank or Building Society or credit union statement or passbook containing current address. • Most recent mortgage statement from a recognised lender* • Current local council rent card or tenancy agreement* • Current benefit book/card or original notification letter from Department of Work and Pensions (DWP) confirming the rights to benefit* • Confirmation from an electoral register search that a person of that name lives at the claimed address* • Court order* *The date on these documents should be within the last 3 months (unless there is good reason for it not to be, e.g. clear evidence that the applicant was not living in the UK for 6 months or more) and they must contain the name and address of the applicant. NB Mobile phone bills are not permissible as proof of address. When appointing an applicant who has recently left school or further education, in addition to the photographic personal identification, the following 3 documents can be requested as sufficient proof of identity: 1. Full UK birth Certificate – issued within 6 weeks of birth 2. National Insurance card or proof of issue of a National Insurance number (this will be a HR requirement for employment) 3. Certificate of educational qualifications (certificates should be originals from the school/university/awarding body) What if no acceptable photographic documentation is available? If an individual seems genuinely unable to provide any acceptable photographic personal identification then, two forms of non-photographic personal identification and two documents confirming their address must be provided. All four documents must be from a different source. Acceptable non-photographic proof of personal identification documents include:

V3 (July 10)

Page 2 of 10

Liverpool Human Resource Services

• • • • • • • • • • • • • •

Full UK birth Certificate – issued within six weeks of birth Current UK driving licence (old version) Adoption certificate Marriage / civil partnership certificate Divorce or annulment papers Police Registration Document Certificate of Employment in HM Forces Current Benefit Book or card; or original notification letter from the Department of Work and Pensions (DWP) confirming legal right to benefit Most recent tax notification from HM Revenue and Customs (formerly Inland Revenue) Current Firearms Certificate GV3 form issued to people who want to travel in the UK without valid travel documents Home Office letter IS JOS EX or KOS EX2 Building industry sub-contractor’s certificate issued by HM Revenue and Customs Residence permit issued by the Home Office to EU Nationals on inspection of own-country passport

In addition to the above documents, applicants will need to provide a passport-sized photograph of themselves, endorsed on the back with the signature of a ‘person of standing’ in their community who has known them for at least three years. A ‘person of standing’ could be a magistrate, medical practitioner, officer of the armed forces, teacher, lecturer, lawyer, bank manager or civil servant. The photograph should be accompanied by a signed statement from that person, indicating the period of time that the individual has been known to them. 2. Right to Work Checks Changes to the Immigration, Asylum and Nationality Act (2006), which came into effect on 29 February 2008, introduced a tough new criminal offence for employers who knowingly employ illegal migrant workers and a continuing responsibility for employers of migrant workers to check their ongoing entitlement to work in the UK. The Trust risks breaking the law unless we check the entitlement to work in the UK for all prospective employees. We must assess the eligibility of an individual’s right to work in the UK by verifying specified documents or combinations of documents. Documents must be originals and not photocopies. The documents must show that you are entitled to do the type of work being offered. We cannot make assumptions about your right to work or immigration status on the basis of your colour, race, nationality, ethnic or national origins, or the length of time you have been in the UK. To avoid discrimination we will treat all job applicants in the same way at each stage of the recruitment process and undertake document checks on every prospective employee. Acceptable Right to Work Identification British / EEA / Swiss Nationals / Citizens •

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 stating the holder is a ‘citizen of the United Kingdom and Colonies’ will only be acceptable if it includes the words: ‘holder has the right of abode in the United Kingdom’.

•

Passport showing that the holder, or a person named in the passport as the child of the holder, is a national of a European Economic Area country or Switzerland.

V3 (July 10)

Page 3 of 10

Liverpool Human Resource Services

•

A residence permit, registration certificate or document certifying or indicating permanent residence issued by the Home Office or the Border Immigration Agency to a national of a European Economic Area country or Switzerland.

•

A permanent residence card issued by the Home Office or the Border and Immigration Agency to the family member of a national of a European Economic Area country or Switzerland. Please note that the national in question must be lawfully residing in the UK for this permit to be valid.

Non-EEA •

A valid Biometric Immigration Document issued by the Border and Immigration Agency to the holder which indicates that the person named in it is allowed to stay indefinitely in the United Kingdom, or has no time limit on their stay in the United Kingdom.

•

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. This must be presented in a valid passport or travel document.

•

A document issued by the Home Office detailing your eligibility to work in the UK – Advice and a full list of acceptable documents is available upon request.

NB Candidates who are entering the UK on a dependant/spouse visa must also provide their partners documents in order that we may verify the visa details. These lists contain details of the most commonly used documentation, however it is not exhaustive – please contact a member of the Recruitment Services Team on 0151 706 5570 if you require further information regarding acceptable documentation.

3. Registration Checks The purpose of registration and qualification checks is to ensure that a prospective employee is recognized by the appropriate regulatory body and that they have the right qualifications to do the job. Where a check has been made by the relevant regulatory body it should not be necessary to verify qualifications separately. We must have your consent and registration number in order to check the registration.

What we will ask for in every case As NHS employers, before we appoint any health professional we must always check the following three areas: 1. That the applicant is registered to carry out the proposed role. 2. Whether the registration is subject to any current restrictions which might affect the duties proposed. 3. If the applicant has investigations against them about their fitness to practise that the regulatory body has a duty to disclose. Qualification Checks Qualification checks verify the information about educational or professional qualifications that you provide on your application form.

V3 (July 10)

Page 4 of 10

Liverpool Human Resource Services

What we will ask for in every case 1. For non-health professionals, qualifications that form part of the requirements for a position (as identified as essential criteria on the Person Specification) will be checked. 4. Employment History and References Previous employment history must be checked before we can make an unconditional offer of employment. References allow us to check the accuracy of a prospective employee’s current and previous employment / training history. References and application forms will be cross-checked as part of this process. References will only be requested with your consent and only once we have made you a conditional offer after interview. We will check a minimum of two references covering a minimum of 3 years employment and or training. Where an applicant has been, or currently is employed, the referees should include their 2 most recent employers (or more if this does not cover 3 years history). Applicants should provide the organisations HR / Personnel Department or equivalent. It is to be expected that not every applicant who is offered a post will have a seamless 3 year employment history. If, an applicant has declared a period of unemployment, we need to verify the details of any benefit claimed during this time (Job Seekers Allowance / Income Support etc). The applicant will be required to provide details of the benefit being claimed, the job centre where they were registered and how long they were claiming for. For applicants who have not been in employment for a considerable amount of time but have had previous employment, then we will require one reference from the last known employer and a character reference from a person of some standing within the community i.e. doctor, solicitor, MP, school teacher etc. Where the applicant has been self-employed, evidence will 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. For those applicants who may have recently left college / university, referees could be a teacher / lecturer from the school, college or university. Please note that any ‘gaps’ during an applicants employment of 3 months or more must be investigated and an explanation sought. Where it is not possible to obtain any employment reference at all then we will require two character references, each from a person of some standing within the community i.e. doctor, solicitor, MP, school teacher etc. Who is a suitable character referee? A suitable referee is defined as a person of some standing within the community i.e. someone with a professional background. • • • •

Accountant Bank / Building Society Manager Barrister Chairman / Director / Manager of a limited company

V3 (July 10)

Page 5 of 10

Liverpool Human Resource Services

• • • • • • • • • • • • • • • • • • • • • •

Chiropodist Councillor Dentist Director / Manager of a VAT registered Charity Director / Manager of a VAT registered company Engineer (with professional qualifications) Financial Services Intermediary (e.g. stockbroker, Insurance Broker) Fire Service Official Licensee of a Public House Local Government Officer Member, Associate or Fellow of a professional body Merchant Navy Officer Minister of a recognised religion Nurse Officer of the Armed Forces Optician Pharmacist Police Officer Social Worker Solicitor Surveyor Teacher / lecturer

5. Criminal Records Bureau (CRB) What is the Criminal Records Bureau? The Criminal Records Bureau (CRB), an executive agency of the Home Office, provides access to criminal record and other relevant information to organisations in England and Wales. The results of the checks carried out by the CRB help organisations make more informed decisions when recruiting people to work with children and the vulnerable. If you are required to undergo a CRB Check this will have been stated in the job advert and will also be explained to you in your Offer Letter. The letter will also state that the offer of employment is subject to a satisfactory disclosure. Applicants are required to contact Recruitment Services to arrange an appointment to complete their CRB form and produce the required ID to be validated by the Recruitment Officer. Once you have attended your CRB appointment, the completed form is sent to the CRB. The CRB aims to process 90% of Standard checks in 10 days and 90% of Enhanced checks in 4 weeks (see below for an explanation of Standard and Enhanced disclosures). Sometimes checks can take longer if you have multiple addresses which need to be checked, in particular if these are in different areas of the country. There are two levels of CRB check currently available; Standard and Enhanced Disclosures. •

A Standard CRB check provides the employer and the applicant with the applicant’s full criminal record. However, because it doesn’t include a check of the ISA’s barred lists, this level of check is not available for those working with children or vulnerable adults.

•

An Enhanced CRB check provides the applicant’s full criminal record as well as information held locally by the police that is considered relevant to the post or position being applied for. It also provides a check against the applicants ISA-registration status and a check of the ISA’s Children’s List or Vulnerable Adult’s List, or both, depending on

V3 (July 10)

Page 6 of 10

Liverpool Human Resource Services

the workforce the applicant is going to work in. Through an Enhanced CRB check the employer can find out, if they are legally entitled to do so, if the applicant is bared from working with children or vulnerable adults, or both.

Rehabilitation of Offenders Act 1974 This enables some criminal convictions to become ‘spent’ or ignored after a rehabilitation period. This is a set length of time from the date of a conviction. After this period, with certain exceptions, an ex-offender is not normally obliged to mention the conviction when applying for a job. Exceptions Order 1975 and Disclosure Eligibility The Exceptions Order to the Rehabilitation of Offenders Act (ROA) 1974 sets out those occupations and positions exempt from the provisions of the ROA. These are generally positions of trust, where there is a valid need to see a person's full criminal history in order to assess their suitability for a position. Broadly, the list of exceptions to the Act cover: o o o o

Those whose duties involve work with children and vulnerable adults Certain professions in areas such as health, pharmacy, and the law Senior managers in banking and financial services Appointments to jobs where national security may be at risk.

Vetting and Barring Scheme The Safeguarding Vulnerable Groups Act (2006) was created in response to recommendations made in the Bichard Inquiry arising from the Soham Murders in 2002. The inquiry questioned the way employers recruit people to work with vulnerable groups, and particularly the way background checks are carried out. Recommendation 19 of the inquiry highlighted the need for a single agency to vet all individuals who want to work, or volunteer to work, with children (young people under the age of 18) or vulnerable adults (people over the age of 18 who are receiving any form of health care) and to bar unsuitable people from doing so. This has laid the foundation for the new Vetting and Barring Scheme which will provide a more comprehensive and consistent measure of protection for vulnerable groups across a wide range of settings and will ensure that anyone who presents a known risk to vulnerable groups is prevented from working with them. To help implement the scheme a new public body called the Independent Safeguarding Authority (ISA) has been created. The ISA will decide who should be prevented, or barred from working or volunteering with children and/or vulnerable adults. It will base its decisions on relevant information brought together from Police Services, Regulatory Bodies and information referred to it from a range of organisations and individuals. How we will use the information Information obtained through disclosures can help employers to make an informed decision on whether or not to appoint a prospective employee. The decision rests with the employer as to whether to employ a person whose CRB disclosure reveals a conviction or other information. A person’s criminal record will be considered in the light of all the relevant circumstances and judged on a case-by-case basis. Possession of a criminal conviction does not automatically make an applicant unsuitable for employment in the NHS but some offences (e.g. involving violence or sexual abuse) will preclude an applicant from having access to patients. As a registered employer with the Criminal Records Bureau we observe the CRB Disclosure Code of Practice when using disclosure information. The code is designed to ensure that any information released will be used fairly, and handled and stored appropriately. In particular, we are required to:

V3 (July 10)

Page 7 of 10

Liverpool Human Resource Services

• • • •

Treat all applicants fairly and without discrimination Have a written policy on the recruitment of ex-offenders that can be given to all applicants where disclosure information will be requested Have a written policy on the correct handling and safe keeping of disclosure information. Ensure that criminal record information is only supplied for the purpose of a recruitment (or other relevant) decision.

Disclosure information will not be retained for any longer than is necessary. Once a recruitment decision has been made, it should be kept for a period of six months from appointment, and six months where the applicant has been unsuccessful, to allow for the consideration and resolution of any disputes or complaints. Once the retention period has elapsed, disclosure information will be destroyed by secure means (i.e. shredding). A disclosure will usually only provide the basic facts such as the name and date of offence(s) and, if applicable, details of any sentence(s). It will not put them into context. When considering disclosure information we will assess: • • • • •

The nature of the offence and its relevance to the post in question The age at which it was committed Whether the applicant has a pattern of offending behavior Whether the applicant’s circumstances have changed since the offending behavior The circumstances surrounding the offending behavior and the explanation offered by the convicted individual.

The suitability for employment of a person with a criminal record will vary, depending on the nature of the position. An assessment of an applicant’s skills, experience and conviction circumstances will be weighed up against the level of risk, or the opportunity to cause harm or damage, in that position. You will also be asked to complete a self declaration form, regardless of whether the post requires a formal CRB disclosure. Acceptable CRB Documentation Prospective employees will need to provide either of these two combinations: •

One document from Group 1 plus any two from Groups 1 or 2 (3 documents in total)

•

Five documents from Group 2

OR

Group 1 • Passport • UK or EU National Identity Card • Identity Card for Foreign Nationals (ICFN) • Driving Licence (UK) (Full or provisional) -England/ Wales/ Scotland/Northern Ireland/Isle of Man /Jersey; either photocard or paper (a photo card is only valid if the individual presents it with the counterpart licence; except Jersey) • Birth Certificate (UK and Jersey) - issued within 12 months of date of birth – full or short form acceptable including those issued by UK authorities overseas, such as Embassies, High Commissions and HM Forces • HM Forces ID Card (UK) • Firearms Licence (UK) V3 (July 10)

Page 8 of 10

Liverpool Human Resource Services

•

Adoption Certificate (UK and Jersey)

Group 2 • Marriage/Civil Partnership Certificate • Financial Statement ** - e.g. pension, endowment, ISA • Birth Certificate • Vehicle Registration Document (Document V5 old style and V5C new style only) • P45/P60 Statement **(UK) • Mail Order Catalogue Statement* • Bank/Building Society Statement* • Court Claim Form** (UK) • Documentation issued by Court Services* • Utility Bill* - electricity, gas, water, telephone – including mobile phone contract/bill Exam Certificate e.g. GCSE, NVQ, O Levels, Degree • TV Licence** • Addressed Payslip * • Credit Card Statement * • National Insurance Card (UK) • Store Card Statement * • NHS Card (UK) • Mortgage Statement ** • Benefit Statement* - e.g. Child Allowance, Pension • Insurance Certificate ** • Certificate of British Nationality (UK) • Council Tax Statement (UK) ** • Work Permit/Visa (UK) ** • A document from Central/ Local Government/ Government Agency/ Local Authority giving entitlement (UK)*: e.g. from the Department for Work and Pensions, the Employment Service , Customs & Revenue, Job Centre, Job Centre Plus, Social Security • One of the following documents from the United Kingdom Borders Agency (UKBA) (formerly the Immigration and Nationality Directorate – IND) (UK): Do not use more than one of the following documents • Convention Travel Document (CTD) - Blue • Stateless Person’s Document (SPD) - Red • Certificate of Identity (CID) - Brown • Application Registration Card (ARC) • Immigration Status Document (ISD) • CRB, Disclosure Scotland and ISA Certificate (UK) ** • Letter from a Head Teacher * • Connexions Card; including those cards carrying the PASS accreditation logo (UK) • General Medical Council (GMC) Certificate *Documentation should be less than three months old **Issued within past 12 months Note that at least one document must confirm your current address and at least one document must confirm your date of birth. This list is subject to amendment. For the most up-to-date list please visit: http://www.crb.homeoffice.gov.uk/guidance/rb_guidance/id_checking_process.aspx

V3 (July 10)

Page 9 of 10

Liverpool Human Resource Services

6. Occupational Health Checks All applicants must have a pre-appointment health check, which adheres to equal opportunities legislation and good occupational health practice. 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 the prospective employee does not represent a risk to patients and that they will be doing work that is suitable and safe for them.

All checks will take into account the requirements of the Disability Discrimination Act 1995 (DDA) and reasonable adjustments will be made to ensure that people can work in the NHS regardless of physical impairment or learning disabilities.

V3 (July 10)

Page 10 of 10