Report on Pre-Appointment Screening Procedures employed by the National Recruitment Service for the Health Service Executive (HSE) February 2013 September 2007
Contents Introduction... 3 Commission s Code of Practice... 4 National Recruitment Service for the HSE... 5 Findings...6 Conclusions... 11 2
Introduction This report has been prepared under Section 43 (5) and Section 13 of the Public Service Management (Recruitment and Appointments) Act 2004. The report provides an account of the audit of the screening procedures employed by the National Recruitment Service of the HSE prior to the appointment of a candidate to a position within the organisation. The Commission is committed to undertaking audits in a spirit of improvement and with the goal of sharing knowledge and best practice rather than focusing solely on compliance. Public Service Management (Recruitment and Appointments) Act 2004 Appointment processes to all positions within the remit of the Public Service Management (Recruitment and Appointments) Act 2004 are subject to Codes of Practice published by the Commission. The Codes set out the regulatory framework for such appointment processes and centre on five recruitment principles. Through its audit function, the Commission safeguards the standards established in the Codes of Practice and ensures compliance by the Licence Holder with the terms and conditions of its Recruitment Licence. Purpose of the Audit The purpose of this audit is to confirm compliance with the terms and conditions of the Recruitment Licence held by the Chief Executive of the HSE when making appointments to positions in the organisation following a screening process by the National Recruitment Service (NRS). The audit focused on the procedures employed by the NRS to validate information provided by candidates, and obtain references, prior to making an appointment from a panel of successful candidates. The audit entailed an examination of the current policies and procedures in use including associated templates such as campaign information, forms and letters as well as individual candidate files. Discussions also took place with staff members from the NRS involved in the screening process. Acknowledgements The Commission would like to thank the personnel in the NRS who gave their time and cooperation to this audit process. 3
Commission s Code of Practice Principle 3 of the Code of Practice states that an appointment process must be conducted in line with best practice. In accordance with this principle candidates are obliged to fulfil specific criteria, i.e. they must: have the knowledge and ability to discharge the duties of the post concerned be suitable on the grounds of character be suitable in all other relevant respects for appointment to the post concerned; and if successful, they will not be appointed to the post unless they: agree to undertake the duties attached to the post and accept the conditions under which the duties are, or may be required to be, performed are fully competent and available to undertake, and fully capable of undertaking, the duties attached to the position. In the majority of appointments processes examined by the Commission, the final comparative assessment of candidates is carried out by an interview board. However the interview board s decision on which candidates are the most suitable for the position does not constitute a job offer. As an additional safeguard, further checks are carried out, such as verifying qualifications and reviewing employer references. In some instances, depending on the requirements of the job, it may also be necessary to conduct medical/health checks or get Garda clearance as part of a character check. The conduct of these checks usually forms the final stage in the assessment of candidates who have been successful at all other stages of the process and will be offered a job in accordance with their order of merit on a panel. It is important that candidates are informed about these final checks that will be carried out and are made aware that any job offer will be dependent on the organisation being fully satisfied with the outcome of additional validation of information that it considers necessary for the performance of the job. 4
National Recruitment Service for the HSE The National Recruitment Service (NRS) is responsible for the delivery of recruitment services for the HSE. Their aim is to deliver these services in the safest possible manner and in accordance with best practice. As the recruitment environment evolves the NRS regularly evaluates its processes and procedures as it strives to meet the changing needs of the HSE s front line and support services. The NRS has advised that it has received a number of requests from candidates for a review of decisions made not to proceed with job offers as a result of the pre-appointment checks carried out. Following a small but steady stream of requests for review being received by the NRS, the Commission was invited to conduct an audit of the screening procedures employed by them, giving particular cognisance to the procedures and practices used in the referencing component, to assist them in strengthening their recruitment processes and continue to improve the safety of appointments made to positions that are often dealing with the most vulnerable citizens of the state. 5
Findings This section sets out a summary of the information obtained by the Commission during the course of this audit. Policy and Guidelines At present the process followed by NRS covering the pre-appointment screening checks are set out in their Contracting Operational Procedures. At the final stage in the assessment of candidates, before a job offer is made, their files are passed to the Contracting Team members who carry out the tasks outlined in the procedures. These tasks include verifying all the information provided by candidates and obtaining additional information to enable a complete assessment of the candidate with regard to their suitability and competence for the particular post. A checklist is completed on each file detailing all the tasks signed by a team member which is then checked by another member of the team. In 2011 during the examination of a complaint where a candidate had alleged that a named official had interfered with the pre-employment screening process for the position applied for, the Commission reviewed the procedures used by the NRS to check candidate references. During the course of its review, the Commission put forward suggestions which it considered would strengthen the process in place. The NRS agreed to put written procedures in place on how referencing for candidates is carried out and to record on the candidate s file the rationale to support a decision to withdraw a job offer signed off at an appropriate level in the organisation. On foot of its engagement with the Commission, together with other concerns raised internally on the management of the process, a policy group was established to create a HSE policy and guidelines on the use of employment references. During 2012 the policy group met and discussed the best approach to addressing this matter. The work of this group is ongoing with a view to agreeing and implementing an operational policy in line with agreed referencing principles. Contracting Operational Procedures Prior to signing off on the Contract of Employment there are a number of tasks carried out by the Contracting Team in the NRS as set out in their procedures. The following checks are carried out for all positions within the HSE as part of its screening procedures: (1) References (2) Relevant documentation including qualifications, validation (where applicable), copy of passport, marriage certificate (if applicable), valid work permit (if applicable) (3) Medical (4) Garda/Security Clearance The procedure followed by the NRS to carry out each of these checks is outlined below. Candidates are made aware at the outset of the process how 6
the screening procedures will be conducted and what is required of them in this regard. (1) References As part of the application process candidates are requested to provide three referees, including their current employer who, in relation to health care posts, must have a professional relationship to the candidate from a clinical perspective. In addition, candidates are advised that the NRS retains the right to contact all previous employers and are asked if they wish to be contacted prior to any contact with the referees. A declaration must be signed by the candidate confirming their consent for the HSE to make such enquiries as they deem necessary in respect of their suitability for the post. The Additional Campaign Information booklet available to candidates advises that the HSE reserves the right to remove candidates from specific recruitment panels and retract job offers if satisfactory clearances (e.g. past/current employment references, security clearances) cannot be obtained or are unsatisfactory. The information booklet also states that the HSE must be satisfied that it has a full and comprehensive suite of references which assures it that the applicant s past performance and behaviours are appropriate to the post. The HSE determines the merit, appropriateness and relevance of references. The HSE reserves the right to retract a job offer should the successful candidate be unable to fulfill the provisions/criteria of the specific post in line with service need. Following the interview stage candidates receive written notification of the outcome. Where candidates have been successful, i.e. recommended by the interview board for placement of a panel, they are advised again that all appointments will be subject to satisfactory references, Garda/Security clearance, medicals and other clearance requirements. Candidates are also informed that the HSE reserves the right to withdraw a recommendation to proceed if not fully satisfied with all aspects in this regard. Employment Reference Forms One of the tasks of the Contracting Team is to contact the referees and obtain telephonic references for the candidates. A full and comprehensive suite of professional references are obtained to assure the NRS that the applicant s past performance and behaviours are appropriate to the post. The suite of references must include the candidate s current Line Manager/Supervisor or employer. A professional reference is understood to be from a person in a direct clinical/professional supervisory role to the candidate. A template Employment Reference Form is completed by NRS during the telephone conversation with the referee in relation to the candidate including professional ability, an evaluation report (e.g. professional competence/team work/leadership skills/caseload management) and interpersonal communications. The completed form is then emailed to the referee for confirmation before being considered either satisfactory or unsatisfactory. 7
Consideration is given, inter alia, to; Referee marks one or more skills/competencies as unsatisfactory Referee indicates he/she would not reemploy the person or recommend the person to the HSE for employment Referee states negative comments about the person Referee refuses/fails to supply a reference Candidate does not wish to have a particular referee contacted. In the event that a reference is not considered satisfactory, an evaluation is carried out by the Contracting Manager* who oversees the follow up with the referee and other relevant persons to establish facts and to document findings and available information. In some instances the Hiring Manager* is contacted to discuss any issues about the candidate and the possible consequences for the particular post. A letter also issues to the candidate advising them of the situation that has arisen in relation to the difficulty in securing a complete suite of references to reflect their employment history. They are requested to provide any additional relevant information to be considered by the NRS prior to a final decision being made as to whether or not their appointment can proceed. Based on all the available information the candidate s file is then jointly discussed by the Contracting Manager, Operations Manager* and NRS Manager* who are responsible for making a recommendation in relation to proceeding with the appointment to post or the withdrawal of the job offer. The NRS advised that it has encountered situations where a candidate has provided satisfactory employer references in respect of some of their career to date but the NRS has been unable to secure relevant satisfactory references in respect of other stages in their career that are deemed relevant, for example where a referee has refused to provide a reference. While reaching a decision in these situations can be particularly challenging, the NRS has advised that these decisions are arrived at collectively by the relevant Managers, taking account of all available information, and the decision is ultimately informed by the risk associated with placing a potentially unsuitable candidate into the post in question. These discussions and the final decision are documented and signed off by the Managers. Following the decision not to proceed with an appointment the candidate is informed by letter that the job offer is being withdrawn as the NRS has been unable to obtain satisfactory references. They are advised that they are now being removed from the panel and therefore will receive no further job offers from this panel. The candidate is also advised of their right to appeal the decision under Section 7 of the Code of Practice. *Contracting Manager is responsible for overseeing the work of the Contracting Team Hiring Manager is responsible for the service where the vacancy is to be filled Operations Manager is responsible for the day-to-day operations of the NRS NRS Manager has overall corporate responsibility for all recruitment activity within the HSE 8
(2) Qualifications and other Documentation At the application stage candidates are required to provide details of their qualifications and eligibility criteria for the post being advertised including relevant experience and courses undertaken. Candidates are advised that any credit given at interview, in respect of claims to qualifications, training and experience is provisional and is subject to verification. They are informed that the recommendation of the interview board is liable to revision if the claimed qualification, training or experience is not proven. Following their acceptance of the recommendation to proceed to the clearances stage of the process, candidates are requested to submit documentation to the NRS including original qualifications, validation (if applicable), copy of passport, marriage certificate (if applicable), and valid work permit (if applicable). (3) Medical Prior to the job offer being made candidates must complete a pre-placement Health Declaration Form with regard to their health status in order to determine their fitness to carry out the duties of the post and to assist the HSE in meeting its obligations under the Safety, Health & Welfare at Work Act 2005. The information provided is reviewed by the HSE s Occupational Health Service. In some instances it may be necessary for the candidate to undergo a medical assessment. (4) Garda/Security Clearance It is HSE policy to carry out Garda vetting on all new employees (HSE Recruitment Policy 2007 for Garda Clearance of New Employees refers). New employees will not take up duty until the Garda Vetting process has been completed and the HSE is satisfied that such an appointment does not pose a risk to clients, service users and employees. Candidates are advised in the information booklet that the NRS will seek Garda Vetting for all their residences in the Republic of Ireland and Northern Ireland. Providing international security clearances from other countries, where residency was for more than six months, are the responsibility of the candidate. All applicants are required to sign a detailed Declaration form and complete a Garda Vetting Form disclosing all convictions received which is then sent to the Garda Vetting Liaison Office to be assessed. There is also a procedure in place dated March 2012 for voluntary Garda vetting and assessment of existing employees in the Health Service. If a particular issue is raised about a candidate following the garda vetting the NRS completes a risk assessment in relation to the possible impact of this issue on the job in question and whether the candidate s conviction may have any adverse consequences. This is a matter for discussion among the senior managers in the NRS and may require further consultation with other managers before a decision is made on whether to proceed with an appointment. 9
Withdrawal of Recommendation to Proceed The NRS deals with large scale national campaigns for appointments at many different levels within the HSE. The NRS has advised that the vast majority of these appointments proceed without any difficulties however there are a small minority that do not go ahead. Following consideration of the full suite of screening documents, concerns may arise in relation to any part of the screening process. For example, in the Garda vetting process, where a particular conviction makes the candidate unsuitable for appointment; following employment reference checks, where an unsatisfactory reference is received or where the NRS has been unable to secure a satisfactory reference from a previous employer; issues may also arise in relation to documentation or occupational health clearance. The NRS has advised that every effort is made to assess the candidate fairly in the context of the references received against the role to be filled in coming to a decision to appoint/not to appoint. The NRS has advised that it gives very serious consideration before deciding not to appoint a person on foot of character checks and is very aware of the consequences of their decision for a candidate. The NRS described the significant amount of work involved in the various checks carried out by the staff in the Contracting Team and advised that it makes every reasonable effort to treat all candidates fairly and in accordance with natural justice while ensuring the safety of the appointments it makes. The Commission also wishes to express its satisfaction at the willingness of the NRS to review and revise its processes. In this regard the Commission noted that, even during the course of the audit, the NRS adjusted how it manages its engagement with a candidate where a problem has arisen in their pre-appointment checks. The effect of this change is that the NRS will alert the candidate where a potentially adverse issue arises and provides the candidates with an opportunity to respond. 10
Conclusions It is imperative that a recruiting organisation has robust procedures in place to validate a candidate s statement in relation to their qualifications. Any procedures used to carry out employment checks and validate references or qualifications must be open and transparent particularly in relation to those decisions not to proceed with an appointment. A consistent approach is crucial to ensure that candidates are treated fairly and are not disadvantaged in any way. Decisions in relation to the withdrawal of a job offer must be communicated to candidates promptly supported by a clear rationale for the decision. In situations where adverse comments have been made about a candidate in securing a reference, or a reference is not forthcoming, it is important that in the interests of natural justice the candidate should be afforded an opportunity to respond or to offer a rebuttal. The organisation is then in a position to make a judgement about the candidate s suitability on the basis of all the information available. The Commission would like to acknowledge the ongoing commitment by the NRS to review and evaluate its processes and procedures relating to appointments. This is clearly evidenced from their recent engagement with the Commission in advance of this audit of its screening procedures and is viewed by the Commission as part of the NRS s commitment to meet the standards set in the Code of Practice. The Commission also wishes to acknowledge the actions of the NRS to implement changes as discussed during the course of the audit. The Commission recognises that the focus for the NRS in making an appointment to a position within the public health care sector is to ensure a safe and reliable environment for the delivery of a high standard of care. In carrying out its character checks, the NRS s focus is on ensuring that the person appointed can demonstrate that they are of good character rather than finding definitive evidence that they are not. It is evident to the Commission that the NRS makes every effort to appoint the right person for the particular job having considered all the available information to allow them to make an informed decision before proceeding with an appointment. With regard to the pre-appointment checks carried out by the Contracting Team the Commission recognises the considerable efforts and genuine concern of those involved to ensure a fair and transparent system operates for the appointment of the best person for the job. The Commission is satisfied that the procedures in place are, in general, fit for purpose and that the outcome of the final stage of the assessment process is fair to the candidate based on consideration of all available information. Following its review of the processes and procedures in use by the NRS to screen candidates at the final stage of the appointment process the Commission found that, in the main, best practice is applied in accordance with the standards set out in the Code of Practice. 11