NHSScotland 'Once for Scotland' workforce policies: consultation

5. Employment Checks Policy

5.1. Aim

5.1.1. The Employment Checks Policy aims to define the essential checks required before and during employment or paid and unpaid placements.

5.2. Scope

5.2.1. This policy applies to all employees and candidates for employment. It also applies to current and future bank, agency, sessional workers, volunteers, contractors, and those on placement or work experience including trainees and students.

5.2.2. References to employees apply to all other groups unless otherwise stated.

5.2.3. This policy complies with current legislation and meets the aims of the Public Sector Equality Duty of the Equality Act 2010.

5.3. Definitions

5.3.1. A candidate is someone who has been shortlisted for a post within NHSScotland.

5.3.2. Exposure-prone procedures are invasive procedures such as surgery, midwifery or dental care where the employee may expose the patient to infected body fluids.

5.3.3. Secondary employment is where an employee has more than one job with either the NHS or another organisation. This includes work undertaken on a self-employed basis.

5.4. Roles and responsibilities

5.4.1. There is a range of standard expectations which underpin all policies. Read more about standard roles and responsibilities. In addition, the following specific responsibilities apply to this policy.

5.4.2. Employer

5.4.3. The employer should:

• Make sure that systems are in place for the necessary checks to be made

5.4.4. Manager

5.4.5. The manager should:

• Provide full job-related information for Occupational Health Service (OHS) screening.
• Check where a significant change to roles has occurred to determine whether membership of the Protecting Vulnerable Groups (PVG) scheme, a disclosure check, OHS, or other screening is required.
• Consider information received as a result of checks and take appropriate action.
• Check continued registration status as required.
• Check continued right to work status as required.
• Provide factual references when requested.

5.4.6. Employee

5.4.7. The employee should:

• Promptly inform their manager of any change in health or the status of other employment checks.
• Maintain registration where applicable.
• Maintain right to work status where applicable.

5.4.8. Recruitment leads

5.4.9. Recruitment leads should:

• Provide advice to the manager when decision-making.
• Liaise with statutory and regulatory bodies.

5.4.10. Candidates

5.4.11. The candidate must provide full, accurate information and documentation in relation to employment checks.

5.5. Procedure

5.5.1. The level of employment checks required for an individual may vary depending on a range of factors, including the following:

• role applied for
• location of the role
• applicant’s work history

5.5.2. Managers must only make a decision to employ a candidate once all employment checks have been completed and the information has been reviewed in a holistic manner.

5.5.3. To make an informed decision, managers should use the employment checks risk assessment [insert hyperlink to employment checks risk assessment].

5.5.4. All recruitment decisions must be communicated to the relevant department in line with the employing organisation’s policies and procedures.

5.5.5. This policy outlines the standards of employment checks required by all employing organisations within NHSScotland. If an employing organisation undertakes additional employment checks, then those checks must be necessary, proportionate and transparent. If the employing organisation has no justifiable reason for conducting additional employment checks, they should not be performed.

5.5.6. All employment checks must be recorded on the approved and agreed systems within the employing organisation.

5.5.7. All information must be handled in line with the relevant data protection rules.

5.5.8. Employment checks

5.5.9. Employment checks support a manager in deciding an individual's suitability for employment in a job role.

5.5.10. Employment checks are not limited to new employees, but may also be required for individuals who are moving between job roles within an employer.

5.5.11. The application of employment checks will vary between job roles.

5.5.12. A suitable level of screening must be applied to all individuals regardless of contract type.

5.5.13. Legislation, in particular, the Human Rights Act 1998, Data Protection Act 2018, and Rehabilitation of Offenders Act 1974 must be complied with. By doing so, employers can make sure that employment checks do not:

• Interfere with the individual’s right to privacy.
• Process or disclose any information that employers may obtain in an inappropriate way or without due cause.
• Use information in a discriminatory way.

5.5.14. When conducting employment checks, wherever possible all documentation should be original.

5.5.15. More detail on employment checks is provided in the following documents:

• Guide for managers [insert hyperlink to Guide for managers]
• Guide for employees [insert hyperlink to Guide for employees]

5.5.16. Employees and candidates should be aware that falsifying information or documentation or undertaking secondary employment during contracted hours may be considered fraudulent. Such cases may be referred to NHSScotland Counter Fraud Services (CFS) and could result in criminal proceedings and relevant conduct processes.

5.5.17. For concerns about suspected fraud, employers should contact NHSScotland Counter Fraud Services.

5.5.18. Verification of identity and address

5.5.19. Verification of identity and address are fundamental employment checks. They should be the first checks that are performed. Employers should not proceed with other employment checks until an individual’s identity is proven.

5.5.20. The candidate must provide the employer with the following:

• photographic identification
• proof of their current address

5.5.21. Wherever possible, original documents should be used. Employers should not accept any copies, unless they have been certified by a solicitor.

5.5.22. If the candidate cannot provide copies of their identification containing a photograph, they should provide additional documents and a certified passport-sized photograph.

5.5.23. For more information on how to carry out these checks, please see the following guides:

• Guide for managers [insert hyperlink to Guide for managers]
• Guide for employees [insert hyperlink to Guide for employees]

5.5.24. Right to work in UK

5.5.25. An employer must confirm that the candidate has the right to work in the UK for the duration of their employment. Failure to carry out this employment check makes the employer liable for a civil penalty or criminal conviction.

5.5.26. For more information on how to carry out these checks, please see the following guides:

• Guide for managers [insert hyperlink to Guide for managers]
• Guide for employees [insert hyperlink to Guide for employees].

5.5.27. Criminal record checks

5.5.28. Dependent on the post that the individual is applying for, there may be a requirement to undertake criminal record checks or to disclose convictions. If the nature of the employee’s job or location changes during the course of their employment a criminal record check may be required.

5.5.29. For more information on how to carry out these checks, please see the following guides:

• Guide for managers [insert hyperlink to Guide for managers]
• Guide for employees [insert hyperlink to Guide for employees].

5.5.30. Under the Rehabilitation of Offenders Act 1974, most convictions and alternatives to prosecution will be classified as unspent for the duration of their disclosure period.

5.5.31. Applicants must declare these unspent convictions, or alternatives to prosecution, during the application process.

5.5.32. Some offences must always be disclosed regardless of how much time has passed since the conviction or whether the offence is classified as spent. Candidates should contact Disclosure Scotland for further information.

5.5.33. Qualifications

5.5.34. Employers must make sure individuals hold the professional or educational qualifications that are essential for the role. The purpose of a qualification check is to verify the educational or professional qualification information provided by the individual when they applied for the role.

5.5.35. For more information on how to carry out these checks, please see the following guides:

• Guide for managers [insert hyperlink to Guide for managers]
• Guide for employees [insert hyperlink to Guide for employees]

5.5.36. Professional registration

5.5.37. Employers must check the registration status of all healthcare professionals with the appropriate regulatory body before the individual starts employment and for the duration of employment in that role.

5.5.38. For more information on how to carry out these checks, please see the following guides:

• Guide for managers [insert hyperlink to Guide for managers]
• Guide for employees [insert hyperlink to Guide for employees]

5.5.39. References

5.5.40. Previous employment and training history must be checked, and satisfactory references received before a recruitment decision can be made. Reference checks are used to allow employers to check the accuracy of an individual's previous employment and training history.

5.5.41. References should only be sought after an individual has been advised that they are the preferred candidate for a particular role.

5.5.42. Employers must always seek the candidate’s consent before approaching the candidate’s current employer.

5.5.43. Employers should check at least three years of previous employment or training history.

5.5.44. Any gaps of 31 days in a candidate’s employment or training history need to be explored with them.

5.5.45. Employers should aim to check a period which covers 2 separate employers where possible. One reference should be from the candidate's current or most recent employer.

5.5.46. Where an individual has been with one employer for 3 years or more, one reference may be sufficient.

5.5.47. Where the candidate has had more than 2 employers in the preceding 3 years, Employers should seek additional references if this will help to support the decision-making process.

5.5.48. The following principles should be applied:

5.5.49. External

• Minimum 2 references spanning three years unless the applicant has been with one employer for 3 years or more

5.5.50. Internal to Board or NHSScotland

• One from current line manager

5.5.51. There may be situations where consideration to alternatives may be required, such as relationship issues between the parties, or the ad hoc nature of previous work.

5.5.52. Pre-employment health check

5.5.53. All candidates must complete a pre-employment health questionnaire which will be used to inform the pre-employment health check process.

5.5.54. To comply with the Equality Act 2010, the candidate must not be asked to provide this information until a conditional offer of work or placement has been made.

5.5.55. For more information on how to carry out these checks, please see the following guides:

• Guide for managers [insert hyperlink to Guide for managers]
• Guide for employees [insert hyperlink to Guide for employees]

5.5.56. Where an employee takes on a new or additional job, they may be required to undergo a pre-employment health check. It will depend on whether the level or type of risk has changed. For example, where the new role involves:

• exposure-prone procedure (EPP) working
• a change in job family
• a change in manual handling requirements

5.5.57. Secondary employment

5.5.58. It is recognised that some employees may undertake additional employment for a variety of reasons.

5.5.59. Secondary employment may involve:

• an additional contract of employment with the same employer or another employer
• bank or locum work within or outside the employing organisation
• agency work
• self-employment
• armed forces reservists

5.5.60. Employees must notify their manager of any secondary employment they will be, or plan to be, undertaking. Any further change to this secondary employment, such as a change in work pattern or the number of hours working, should also be notified.

5.5.61. Any secondary employment must not:

• Present an actual or potential conflict of interest.
• Have any health and safety implications for the employee, their colleagues or patients or service users.
• Have an adverse impact on the employee’s ability to maintain a satisfactory level of attendance at work. See Attendance Policy.
• Take place during contracted hours of work with the NHS.
• Have an adverse impact on the employee’s ability to fulfil the requirements of their role.
• Render the employee vulnerable to bribery and the organisation to corruption.

5.5.62. In relation to any secondary employment, employees must ensure they meet the provisions laid out in legislation including the following:

• Health and Safety at Work etc. Act 1974
• Working Time Regulations 1998

5.5.63. Where additional employment has impacted on the above categories this may require investigation under the NHSScotland Workforce Investigation Process.

5.5.64. Employees should also notify their manager of any volunteering or unpaid work if it has the potential to have an impact under the categories outlined above [anchor link to “any secondary employment must not” section].

5.6. Supporting documentation

It is proposed that the supporting documents listed below will be developed to support the policy. Supporting documents are not part of the consultation. These will be drafted following the consultation when responses have been analysed and the policy is developed in a final draft.

• Employee guide

Descriptor: guide to help employees use and understand the Employment Checks Policy. This will include the areas that the employee must comply with to ensure that they are able to fulfil their role.

• Manager guide

Descriptor: guide to help managers use and understand the Employment Checks Policy. This will include the areas that must be considered to make safe recruitment decisions.

• Employment checks policy flowchart

Descriptor: visual and text alternative flowcharts outlining the key steps in the Employment Checks Policy.

• Employment checks risk assessment

Description: tool to support managers with the decision-making process.

5.7. Consultation questions

We are inviting responses to this consultation using the Scottish Government’s consultation hub. The following questions are set.

In your response, all questions have the option to answer yes or no. You are invited to provide further comment in a free text box. If you wish to make specific reference to a section of the policy, please quote the relevant numbered line in this consultation document.

1. Do you feel there are any gaps in the policy?

2. Do you feel there are any gaps in the proposed list of supporting documents?

3. Do you have any other comments to make on the policy?

4. Do you have any views on the potential impacts of this policy on equalities groups?

It is against the law to discriminate against someone because of: age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex or sexual orientation. These are protected characteristics under the Equality Act, 2010.