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This page answers some of the most frequently asked questions about pre-employment checking.
About the NHS Employment Check StandardsWhy are you issuing the new employment check standards now?Three reasons:
Is there anything new in these standards?No. The standards do not introduce anything new around pre-employment checks, however, we have made some good practice mandatory. This includes face-to-face ID checks and holding photo ID for all staff. We have also updated the Right to Work Check standard to meet new legislation set out by the Home Office, which came into effect on 29 February, and which employers are already implementing. What action do employers need to take as a result of these standards?Employers should check that their pre-employment processes meet all the mandatory checks included in the standards and be working towards exceeding these standards in terms of good practice. Are the standards best practice advice or mandatory practice?They are all mandatory. Which staff do the NHS employment check standards apply to?These standards apply to permanent staff, staff on fixed-term contracts, volunteers, students, trainees, contractors, highly mobile, and temporary staff employed through an agency. Trusts appointing locums and agency staff will need to ensure that their providers comply with these standards. When will employers have to put the new standards into practice?They are already in practice in most cases, and if not, they should be implemented as soon as practicable. The Healthcare Commission will be looking at compliance of these standards as part of their annual health check 2008/09. Who have you worked with in putting together these standards?Consultation with key stakeholders has been essential in the development of these Standards. We widely consulted with NHS organisations; the Department of Health; the Centre for the Protection of National Infrastructure and the Home Office before their publication. How will the implementation of these standards be monitored?Trusts' boards will need to assure themselves that they are compliant with these standards in order to declare compliance with relevant Standards for Better Health (Department of Health) as part of the Healthcare Commission's annual health check 2008/2009. The Healthcare Commission will inspect a sample of trusts following their declarations in the summer of 2009. What sanctions will apply if employers fail to carry out the employment checks?Many of the standards are required by law and various penalties may apply. This will also affect trusts' ability to declare compliance with the Department of Health's core standards, which are part of the Department's Standards for Better Health. This may therefore have implications for trusts' overall score within the Healthcare Commission's annual health check. What sanctions will apply if agencies fail to carry out the employment checks?As already outlined in the question directly above - in addition, the NHS Employment Check Standards will be embedded in the PASA agency framework agreement and annual audit checks of agencies. Agencies that don't comply face being removed from the PASA agency agreement. Verification of IdentityWill face-to-face checks have to be applied retrospectively to existing staff?Not usually. Employers will be checking assurance against information governance standards for the Registration Authority processes linked to NHS CRS. This may involve a retrospective check. Criminal record checksAre CRB checks a legal requirement?Some checks, e.g. Protection of Children Act checks (PoCA), are required by law. Standard and enhanced checks are a mandatory requirement in the NHS for all staff who, as part of their appointment, has 'regular contact with patients in the course of their normal duties'. Should we carry out CRB checks on staff recruited before CRB checks became mandated? Is there a legal requirement to carry out retrospective checks?There is currently no legal requirement to CRB check existing members of staff or to carry out retrospective checks. A check may be required on an existing member of staff if they move from a non-exempt post to one that requires a check, or to a position requiring a higher level of check for example. All contracts for staff in exempt posts should include a requirement for them to disclose to employers any criminal convictions or cautions which may have occurred whilst they've been in post. Is there an age requirement for a disclosure?The age of criminal responsibility in the UK is ten years old; which means that a young person from the age of ten years onwards can be charged with a criminal offence and be brought before a court. Employers should bear this in mind when considering whether or not to seek a disclosure from the CRB. Can CRB checks be carried out on staff in, or applying for, posts not exempt from the Rehabilitation of Offenders Act?It is illegal for employers to carry out standard or enhanced checks on any post which is not exempt from the Act, however, employers can ask for details about unspent (current) convictions for non-exempt posts, this is known as a 'basic' disclosure. Basic disclosures are not job specific and are applied for by the individual. It is then the individual's decision as to whether they wish to share the disclosure with a prospective employer. Currently the CRB only provide standard and enhanced disclosures as part of their service, basic disclosures can, however, be obtained from Disclosure Scotland. What is the difference between a 'spent' and 'unspent' conviction?The Rehabilitation of Offenders Act 1974 establishes that a criminal conviction becomes 'spent' if an offender remains free of any further convictions for a specified period of time; this is because the individual is classified as being successfully rehabilitated from the offence in question. The length of the rehabilitation period varies dependant on the sentence given and not the offence committed. A conviction described as 'unspent' means that it is a current conviction and the rehabilitation period has not yet lapsed. Whilst a person is not normally required to disclose spent convictions when applying for a job, in order to protect the vulnerable, the Act stipulates that some professions within the health and care sectors are exempt from this approach. This means that employers within the health and care sectors are entitled to obtain details of all spent and unspent convictions as part of the pre-employment process. When should a PoCA check be carried out?PoCA checks apply to regulated positions involving working with children. Where the post meets this criterion, the employer must make a check against the PoCA list of people who are legally barred from working with children. See further detailed guidance 'The Protection of Children Act 1999: A practical guide to the Act for all organisations working with children' on the DH website. It is an offence for any person on the PoCA list to knowingly apply for work with children and for an employer to knowingly offer such a person this type of work. Why was the 'fast track' PoCA service removed in October 2007?Following Ministerial approval, the CRB announced the withdrawal of the 'fast track' PoCA service back in October 2007. This does not remove the requirement to carry out PoCA checks for regulated childcare posts. All PoCA checks should continue to be carried out as part of a standard or enhanced check application as already outlined in the Q&A above. Applicants cannot be appointed to a regulated position until the full CRB disclosure has been received. It is important to point out that the 'fast track' PoCA service was initially introduced at the request of the Department of Health in 2002 as a temporary measure to overcome service performance issues being faced by the CRB and was never intended as a permanent measure. The service was extended for a further year but was removed last October after the CRB service improved and they were able to continually meet the targets dictated by the Department of Health's Service Level Agreement. It was also apparent that the 'fast track' PoCA service was being abused in the NHS, with a number of employers not following up the full CRB disclosure thus posing considerable risk to children.
Are CRB checks portable?The CRB no longer offer a portability service. That is not to say organisations cannot ever use pre-disclosed information but that they do so at their own risk. Disclosure data has no period of validity and only provides valid information up to the date it was issued, it is therefore essential that employers using pre-disclosed information refer to the CRB's framework on portability which is available on their website and take into full consideration the risks before taking this approach. In the case of doctors in training, our advice remains that a check should be carried out and recorded (preferably to transferable e-systems such as ESR) at least every 3 years by the lead employer, so that subsequent employers might then use this information to support their risk assessments in deciding whether or not a further check is required. The exception to this is where the doctor is appointed to a paediatric specialty where a Protection of Children Act (PoCA) check is required - in which case a new check must be carried out regardless as to when the last check was carried out. Further advice for doctors in training can be found on our website. How long should disclosure information be retained?Disclosure information should 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. If, in very exceptional circumstances, it is considered necessary to keep disclosure information for a longer term than that described above, employers should consult with the CRB to ensure that this does not contravene with the data protection or human rights of the individual. Once the retention period has elapsed, disclosure information should be destroyed by secure means (eg, shredding, pulping or burning). Safe storage and strictly controlled access must still be adhered to while documents are awaiting destruction. When should a PoVA check be carried out?The PoVA scheme is limited to services which are regulated under the Care Standards Act 2000 e.g. care homes, domiciliary care agencies and adult placement schemes and therefore does not normally apply to positions within the NHS. However, where NHS staff are required to provide services, as part of their contract, within in a social care environment e.g. nursing staff providing care in a residential home or domiciliary setting, or a student on placement within a residential home as part of their training, a PoVA check may be carried out by the care provider. Whilst PoVA checks do not apply to the NHS, where the position involves caring for vulnerable adults, employers should consider the job role against the criteria for an enhanced check. What checks are required for staff recruited from overseas?Staff from overseas should be subject to the same checks as staff recruited in the UK. Criminal record checks should be obtained from the country of origin. The CRB website provides advice and addresses for obtaining checks in a number of countries, where the country of origin is not listed on the CRB website, please refer to the Foreign & Commonwealth Office website which provides further guidance. In addition, as a matter of good practice - even if the applicant claims they have never lived in the UK before - a CRB check should also be requested. What should I do if I have reason to believe an applicant or member of staff has been involved in criminal activity?Any suspicion or allegation of criminal behaviour should always be referred immediately to the local police for investigation. In the case of registered health professionals, the regulatory body should also be informed. Employment history and reference checksPreviously references were always sought directly with the line manager, the standards now stipulate that references should be sought from HR Departments, why has this changed?Our standard is in compliance with advice given by our employment lawyers in that it mandates good HR practice used across sectors that employment history should be directly sought through HR Departments. It is for the prospective employer to outline the requirement of any additional information that should be sought in relation to the clinical aspect of the job dependent on the type/level of job and the skills/attributes required for the post being applied for, so that HR can follow this up with the appropriate managers. Alternatively, you may wish to seek additional references directly with a named manager. Using a reference template is useful in that it outlines exactly what information you require from the outset. Our standard ensures that there is a consistent approach in obtaining references and enforces a more robust process to ensure that the information provided within a reference is factual and can be verified from a central point of contact. What happens if the candidate has not been in employment for a number of years?Where an individual has not been employed for a considerable amount of time but has had previous employment, then you should seek one reference from their last known employer and a personal reference from a person of some standing in the individual's community - this could be their doctor, solicitor, MP, etc. Where it is not possible to obtain any employer references at all because they have sought employment late in life, for example, then you should obtain two personal references. Where no personal reference can be obtained then references should be sought from personal acquaintances not related to or involved in any financial arrangement with the individual. If the person has undergone training to return to work then the academic institution should be contacted. The Standard requests that references should be requested for preferred candidates following interview, it has always been preferred practice within our trust to request references for all interviewees, are we in breach of this standard?As previously outlined above, this standard follows good HR practice. Essentially, we would want to see that a trust is requesting the references, verifying their legitimacy and ensuring that information provided within the reference is factual and is used appropriately to make the recruitment decision. The Healthcare Commission will be looking for the same assurances. Where the employer can justify obtaining references earlier i.e. identified a potential risk to patient safety by delaying the recruitment process, then that is a local decision. References should not be obtained earlier for the purpose of short listing. The standard requests references for a period of three years and stipulates that references should be from the two most recent employers; what happens if the candidate has had more than 2 employers within that three year period, do we need to contact all employers for that period?Yes, if an individual has had more than 2 different employers in the immediate preceding 3 years then all employers should be asked to provide a reference. The Standard stresses that references should be obtained from the two most recent employers as a minimum, meaning that it should be the most recent information possible and covers a consecutive period of employment/training with no gaps in between. Occupational Health checksWhen should the OH questionnaire be completed?Occupational health questionnaires should be completed before an applicant takes up post, this may be on application or on conditional offer of appointment. Questionnaires should be returned by separate envelope addressed to the Occupational Health Department. Information should only be used upon conditional offer of appointment. All questionnaires received for unsuccessful applicants should be destroyed in the appropriate manner. Who has responsibility for carrying out OH checks on GP registrars and salaried GPs - the practice or the PCT?The PCT owes a duty of care to the patients and the wider public who are going to be seen and treated by the GPs who are on the performance list. There is also a second duty of care to the GP themselves to ensure that they are fit for the tasks they are being asked/allowed perform. Both these duties are covered by the Health and Safety at Work etc Act 1974, also, GPs have a professional duty to ensure that they are fit to perform their duties as outlined in the GMC Good Medical Practice 2006 (see section 'the meaning of fitness to practise and health) which you can download from the GMC website. General enquiriesAre financial checks mandatory in the NHS?No. However our standards make a recommendation, as good HR practice, to carry out a financial checks to investigate the financial background of potential employees who are to be appointed to a position of trust e.g. chief executives, board director levels, or posts which involve the handling of invoices and internal budgets etc. Interpreting the security implications of financial information is not straightforward and is not seen as a core aspect of pre-employment screening, it will require a far greater degree of judgement than the other pre-employment checks outlined throughout the NHS Employment Check Standards. It will be dealt with more fully in National Security Vetting and other specialised screening assessment methods. What is a financial check?Financial checks can provide details about many different aspects of a person's financial background. Types of checks include:
How do you conduct a financial check?For sensitive positions, you may wish to include relevant questions on the application form such as 'have you ever been the subject of a County Court Judgement (CCJ)?' Enquiries may be conducted in a number of ways including:
Where can you obtain a financial check?There are three main credit agencies that make available public information such as Electoral Roll, County Court Judgements (CCJ's), and payment history data. These are:
Can you employ someone who has financial debt?It is essential to point out that debt in itself, does not necessarily present a security problem, depending on an individual's circumstances and their ability to repay the debt. If there are concerns, such as defaults, bad payment history or CCJ's, employers must discuss these with the candidate before making any judgement as to whether the individual poses any risk to the post they are applying for. as they do now. Any questions not addressed on this pageAny questions not addressed on this page can be emailed to employmentchecks@nhsemployers.org Last reviewed 25 Sep 2008 |
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