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02 Safer Recruitment Practice
16. The following section sets out the content of the Foundation and Higher Levels.
Foundation Level of safer recruitment practice
17. The Foundation Level of recruitment practice will help employers to meet requirements contained in existing regulatory and legal frameworks.
18. For social care and social work employers, the most relevant of these will be the:
- Scottish Social Services Council Code ( SSSC) of Practice for Employers
- National Care Standards
- Protection of Children (Scotland) Act 2003 (provisions in the Protection of Vulnerable Groups (Scotland) Bill repeal this Act 1)
- Duties arising from the Protection of Vulnerable Groups (Scotland) Bill
19. The Scottish Social Services Council Code of Practice for Employers and the National Care Standards are issued in accordance with the Regulation of Care (Scotland) Act 2001. Both set out the basics of safer recruitment which are focused on ensuring that only suitable people may enter the workforce. This may include (although this is not an exhaustive list):
- checking criminal records
- checks with previous employers
- seeking reliable references
- checking relevant registers and indexes, such as the SSSC register
20. The Foundation Level contained in this section sets out some good practice in relation to how employers might apply some of these recruitment and selection practices. This guidance does not oblige employers to follow every detail described in this section,e.g. in relation to requesting and following up references.
21. Employers who provide services which are regulated by the Care Commission should consult the relevant National Care Standards. The Care Commission must take the National Care Standards into account when regulating care services under the Regulation of Care (Scotland) Act 2001.
22. Scottish Ministers also expect employers to work on the basis of continuous improvement in relation to those who will work with the most vulnerable groups. Making use of elements of the Higher Level contained later in this document or other methods which achieve the same outcomes will help employers to achieve this.
Disclosure Checks
23. Information in relation to a person's criminal record can be obtained from Disclosure Scotland. Further information on how to obtain a Disclosure is available from the Disclosure Scotland website (www.disclosurescotland.co.uk). Scottish Ministers have agreed to pay the fees for volunteers in the voluntary sector working with adults at risk and children. Voluntary organisations wanting to access checks under this arrangement can do so either by paying to register directly with Disclosure Scotland or by enrolling with the Central Registered Body in Scotland ( CRBS) which does not have a cost. More information about this service can be obtained on the Disclosure Scotland website or the CRBS website (www.crbs.org.uk).
24. The Protection of Children (Scotland) Act 2003 allows Scottish Ministers to hold a list of individuals disqualified from working with children. It also introduced offences, including one for organisations offering work in a child care position to a person who is disqualified from working with children. To find out if a person's name is included in the list held by Scottish Ministers or the equivalent lists held elsewhere in the UK, organisations should obtain a Disclosure as described above. Further information on the 2003 Act is available via the Disclosure Scotland website.
25. The present arrangements regarding criminal record checks for people working with children and vulnerable adults are changed by the provisions contained in the Protection of Vulnerable Groups (Scotland) Bill. These provisions include the introduction of a list of people disqualified from working with protected adults, as well as continuing a separate list for those disqualified from working with children.
Checks Of Appropriate Registers And Lists Including Verification Of Identity And Qualifications
26. Social work and social care employers should use established processes to gain enhanced access to the register held by the Scottish Social Services Council ( SSSC) rather than just checking the applicant's registration on the SSSC's website. The Statutory Regulations governing the maintenance of the Register limit the information provided on the public website to the names, postal address of workplace and registration number of registered workers. The Regulations allow employers of social service workers enhanced access to the Register. The SSSC is able to provide employers seeking information about applicants for jobs information about the professional qualifications held by the applicant, whether the applicant's registration is subject to any condition and whether the applicant is currently the subject of investigation by the SSSC or in the midst of conduct procedures. Requesting applicants registered with the SSSC to bring their certificate of registration to interview can provide more reassurance as to the identity of the candidate, his/her qualifications and as to whether conditions have been applied to registration (asking about the last point on the application form is also advised).
27. However, in relation to the SSSC Code of Practice for Employers, employers should make whatever checks they consider appropriate to confirm the suitability of a person for employment with them, e.g. in relation to a candidate's identity and qualifications (see paragraphs 65-69) . Social workers who have not registered with the SSSC would require particular consideration in this regard and should be expected to apply for registration prior to commencement of employment. Where applicants are newly qualified social workers and have not yet received their certificate of qualification, they should still be required to apply as the SSSC can check and confirm they hold a social work qualification. Other social service workers in posts subject to registration who hold the relevant qualifications for registration should be required to submit their application for registration within their first week of employment.
28. The Protection of Vulnerable Groups (Scotland) Bill contains provisions for the introduction of a new vetting and barring scheme for the children's and protected adults' workforces. Should this Bill become law, it will be an offence for an employer to permit someone who is barred from the relevant workforce to undertake regulated work with children and/or protected adults. They would only be able to establish if someone is not barred by ensuring the relevant person is a scheme member.
Request And Follow Up References
29. Requesting and properly following up references is one of the most vital safer recruitment tools. As well as providing a valuable source of information on candidates, their histories and performance in previous roles, they can also give an indication of personal qualities and characteristics. A robust approach to these on the part of recruiting organisations is therefore important.
30. The purpose of seeking references is to obtain objective and factual information to support appointment decisions. They should always be sought and obtained directly from the referee. Do not rely on references or testimonials provided by the candidate, or on open references and testimonials, i.e. "To Whom It May Concern". There have been instances of candidates forging references, also open references/testimonials might be the result of a "compromise agreement" and are unlikely to include any adverse comments.
31. Ideally, references should be sought on all short listed candidates, including internal ones, and should be obtained before interview so that any issues of concern they raise can be explored further with the referee, and taken up with the candidate at interview. In some circumstances it might not be possible to obtain references prior to interview, either because of delay on the part of the referee, or because a candidate objects to their current employer being approached at that stage, but that should be the aim.
32. However, if an employer believes that requesting references in advance of interviews will have a significantly detrimental effect on generating a sufficient pool of applicants, alternative arrangements may be considered.
33. In any case where a reference has not been obtained on the preferred candidate before interview, the prospective employer must ensure that it is received and scrutinised, and any concerns are resolved satisfactorily, before the person's appointment is confirmed.
34. All requests for references should seek objective verifiable information as far as possible and not only subjective opinion. The use of reference pro formas can help achieve that. A copy of the job description and person specification for the post for which the person is applying should be included with all requests, and every request should ask:
- about the referee's relationship with the candidate, e.g. did they have a working relationship: if so what; how long has the referee known the candidate, and in what capacity:
- employers should satisfy themselves that the reference from the current or most recent employer is from an appropriately senior member of the relevant organisation, ie. not a former peer;
- organisations should have clear policies about what level of staff can draft and sign off references on behalf of the organisation.
- whether the referee is satisfied that the person has the ability and is suitable to undertake the job in question, and for specific comments about the applicant's suitability for the post, and how s/he has demonstrated that s/he meets the person specification;
- whether the referee is completely satisfied that the candidate is suitable to work with vulnerable people, and, if not, for specific details of the referee's concerns and the reasons why the referee believes the person might be unsuitable;
- and should remind the referee that:
- they have a responsibility to ensure that the reference is accurate, dependable and does not contain any material misstatement or omission;
- relevant factual content of the reference may be discussed with the applicant.
35. In addition to the above, requests addressed to a candidate's current employer, or a previous employer in work with vulnerable people, should also seek relevant information including:
- confirmation of details of the applicant's current post and recent sick record;
- specific verifiable and relevant comments about the applicant's performance history and conduct;
- details of any disciplinary procedures the applicant has been subject to in which the disciplinary sanction is current;
- details of any disciplinary procedures the applicant has been subject to involving issues related to the safety and welfare of service users, including any in which the disciplinary sanction has expired, and the outcome of those;
- details of any allegations or concerns that have been raised about the applicant that relate to the safety and welfare of service users or behaviour towards service users, and the outcome of those concerns e.g. whether the allegations or concern was investigated, the conclusion reached, and how the matter was resolved.
36. On receipt, references should be checked to ensure that all specific questions have been answered satisfactorily. If all questions have not been answered or the reference is vague or unspecific, the referee should be telephoned and asked to provide written answers or amplification as appropriate. The information given should also be compared with the application form to ensure that the information provided about the candidate and his/her previous employment by the referee is consistent with the information provided by the applicant on the form. Any discrepancy in the information should be taken up with the applicant.
37. Any information about past disciplinary action or allegations should be considered in the circumstances of the individual case. Cases in which an issue was satisfactorily resolved some time ago, or an allegation was determined to be unfounded or did not require formal disciplinary sanctions, and in which no further issues have been raised, are less likely to cause concern than more serious or recent concerns, or issues that were not resolved satisfactorily. A history of repeated concerns or allegations over time may be more likely to give cause for concern.
38. Additional references may be sought if, for example:
- there are concerns about a candidate who suggests s/he has found her/himself in the wrong job;
- s/he has had difficulties with a former manager;
- the candidate gives an unusual or inconsistent reason for leaving a job;
- s/he has no recent work record;
- an earlier job is particularly relevant to the current application;
- one referee is unavailable or refuses to provide a reference
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