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03 Higher Level of safer recruitment practice

39. If employers wish to be as assured as they can be that they have recruitment and selection procedures in place which will more effectively help to deter, reject and identify people who might abuse vulnerable people or are otherwise unsuitable to work with them, this entails making use of more rigorous techniques. Many people who are unsuitable to work with vulnerable people may not have any criminal conviction and it is therefore incumbent upon employers to do their utmost to stop such people gaining access to vulnerable people.

40. One model which could allow employers to gain this level of reassurance is set out in the Higher Level of safer recruitment practice. This largely reflects the content of the Safer Recruitment Toolkit for staff working in child care, published in 2001.

41. It is recognised that not every recruitment and selection practice set out here may be appropriate for every sector or setting, that there may be alternative means to achieve the same ends, or that employing such practices may involve different employers working in collaboration to minimise resource implications.

42. The Higher Level of safer recruitment practice therefore provides one best practice model and will assist employers achieve continuous improvement in their recruitment practice for those working with the most vulnerable groups. Though Ministers would encourage employers to make use of as many elements of the Higher Level as possible, or other means which achieve the same outcomes, they are not obliged to do so as a result of this guidance.

43. Many of the recruitment and selection processes described in this section may be considered as basic techniques which employers can readily apply. Others, such as screening interviews, personal interviews and assessment centres, may require more dedicated time and resources or collaboration with other employers.

Planning

44. Planning is vital to successful recruitment. It is therefore crucial to give consideration to the three key stages in the process of staff selection:

• Clear and precise definition of the role
• The generation of a pool of suitably qualified candidates
• An objective, standardised and rigorous process

45. It is important to consider each of these stages in advance: from the consideration of the requirements of the job, advertising, planning the administrative and staff requirements of the recruitment process and making sure at each stage that the key aspects of safer recruitment and selection of staff are not overlooked.

46. The time and effort spent in this stage of the process should help minimise the risk of making an unsuitable appointment.

Recruitment and selection policy statement

47. Having an explicit written recruitment and selection policy statement and procedures which incorporate an explicit statement about the organisation's commitment to safeguarding and promoting the welfare of vulnerable people are clear ways for an organisation to underline their approach to safeguarding their clients' welfare.

48. The statement may be included in:

• Publicity materials
• Recruitment websites
• Advertisements
• Candidate information packs
• Person specifications
• Job descriptions
• Competency frameworks
• Induction training

Competencies

49. In terms of safer recruitment, as well as employers being clear about the requirements of a particular post, it is important that candidates have the ability to assess their own suitability for the job. The development of accurate job descriptions and person specifications is therefore important. This will often be based on the development of specific competencies for the job.

50. In developing competencies, employers may wish to take account of the National Occupational Standards which have been developed in many sectors. In the social work and social care sector, they have been developed by the Scottish Social Services Council and are available on their website.

Job Description

51. The job description should clearly state:

• the main duties and responsibilities of the post, including:
  • the individual's responsibility for promoting and safeguarding the welfare of service users s/he is responsible for, or comes into contact with.

Person Specification

52. A person specification sets out a profile of the job and of the ideal person to fill it.

53. This should:

• include the qualifications and experience, registration requirements and any other requirements needed to perform the role in relation to working with service users;
• include the competences and qualities that the successful candidate should be able to demonstrate or show the potential to develop;
• explain how these requirements will be tested and assessed during the selection process:

For example:

In addition to candidates' ability to perform the duties of the post, the interview may also explore issues relating to safeguarding and promoting the welfare of vulnerable people including (see section on the 'personal interview'):

• Motivation to work with vulnerable people;
• Ability to form and maintain appropriate relationships and personal boundaries with vulnerable people;
• Emotional resilience in working with challenging behaviours;
• Attitudes to use of authority and maintaining discipline.

Explain that if the applicant is short-listed, any relevant issues arising, for example, from his/her references, if received in advance, will be taken up at interview.

Application Form

54. As one of the early stages in the relationship between the employer and the new employee, the application form provides an employer with an opportunity to emphasise its commitment to safer care and selection. A focused and full application form can make a strong statement about rigour and commitment to safety and can deter those who know their practice is unsafe and encourage those who wish to work in a high quality organisation.

55. Where organisations make use of corporate application forms, serious consideration should be given to developing job specific application forms for posts where contact with vulnerable people is important. At the very least, the additional information sought in relation to such posts should be sought in an addendum to the corporate form.

56. Employers should use an application form to obtain a common set of core data from all applicants. It is not good practice to accept curriculum vitae drawn up by applicants in place of an application form because these will only contain the information the applicant wishes to present and may omit relevant details.

57. For applicants for all types of post the form will often obtain:

• full identifying details of the applicant including current and former names, current address (details such as date of birth and National Insurance number may be collected at the appointment stage);
• a statement of any academic and/or vocational qualifications the applicant has obtained that are relevant to the position for which s/he is applying, with details of the awarding body and date of award;
• details of current or former registration with SSSC or any other relevant regulatory body including registration number(s), declaration of any conditions that apply to current registration and/or applied to former registration and if relevant, reason for ceasing to be registered with previous body;
• a full history in chronological order since leaving secondary education, including periods of any post-secondary education/training, and part-time and voluntary work as well as full time employment, with start and end dates, explanations for periods not in employment or education/training, and reasons for leaving employment;
• a declaration of any family or close relationship to existing employees or employers (including councillors for example);
• details of referees. One referee should be the applicant's current or most recent employer, and normally two or three referees should be sufficient. N.B. where an applicant who is not currently working with vulnerable people has done so in the past it is important that a reference is also obtained from the employer by whom the person was most recently employed in work with vulnerable people.
  • The form should make it clear that references will not be accepted from relatives or from people writing solely in the capacity of friends.
• A statement of the personal qualities and experience that the applicant believes are relevant to his/her suitability for the post advertised and how s/he meets the person specification.
• It should include, where appropriate, an explanation that the post is excluded or excepted from provisions of the Rehabilitation of Offenders Act 1974 and therefore that questions may be asked about all convictions, including those regarded as 'spent'.

And it may require a signed statement that the person:

• is not on the Disqualified from Working with Children List established under the Protection of Children (Scotland) Act 2003;
• is not on any equivalent list in another UK jurisdiction;
• is not subject to sanctions imposed by a regulatory body, e.g. the SSSC;
• either has no convictions or cautions, or has attached details of their record in a sealed envelope marked confidential.

59. It should record where appropriate that:

• the prospective employer will wish to seek references on shortlisted candidates, and permission is being sought to approach previous employers for information to verify particular experience or qualifications, before interview;
• if the applicant is currently working with vulnerable people, on either a paid or voluntary basis, his/her current employer will be asked about disciplinary offences relating to vulnerable people, including any in which the penalty is "time expired" (that is where a warning could no longer be taken into account in any new disciplinary hearing for example) and whether the applicant has been the subject of any vulnerable person protection concerns, and if so, the outcome of any enquiry or disciplinary procedure. If the applicant is not currently working with vulnerable people but has done so in the past, that previous employer will be asked about those issues;
• providing false information could result in the application being rejected, or summary dismissal if the applicant has been selected;
• If the applicant is a registered worker then the relevant regulatory body should be informed about the provision of false information;
• that personnel records will be checked;
• that a screening and/or personal interview will be carried out;
• that agreement to a client/service user record check is being sought (see para. 86);
• the successful applicant will be required to provide a Disclosure Scotland certificate at the appropriate level for the post.

60. Explanatory notes and/or instructions for completing the form should be included in the candidate's information pack.

Information Pack to Candidates

61. The pack should include a copy of:

• the application form and explanatory notes about completing the form;
• the job description and person specification;
• any relevant information about the employing organisation and the recruitment process; and statements of relevant policies such as the employer's policy about equal opportunities, the recruitment of exoffenders, etc.;
• the employing organisation's Child/Vulnerable Adult Protection Policy Statement;
• a statement of the terms and conditions relating to the post;
• an explicit statement about the employing organisation's commitment to safeguarding and promoting the welfare of vulnerable people.

Scrutinising and Short listing

62. All applications should be scrutinised to ensure that they are fully and properly completed; that the information provided is consistent and does not contain any discrepancies, and to identify any gaps in employment. Incomplete applications should not be accepted and should be returned for completion. Any anomalies or discrepancies or gaps in employment identified by the scrutiny should be noted so that they can be taken up as part of the consideration of whether to short list the applicant. As well as reasons for obvious gaps in employment, the reasons for a history of repeated changes of employment without any clear career or salary progression need to be explored and verified.

63. All candidates should be assessed equally against the criteria contained in the person specification without exception or variation. Ideally, this should be carried out by managers who are members of the interview panel.

Screening Interview

64. The purpose of a screening interview is to check the information on the application form. Discrepancies or gaps in employment and the reasons for them are obvious matters to cover. Some employers have found obtaining such information in separate interviews (as opposed to addressing such issues within a panel interview) to be worthwhile and believe that they may act as a deterrent to applicants with something to hide. One point at which they may be carried out is after the short-list has been drawn up and before the panel interview/selection centre begins.

Invitation to Interview

65. In addition to the arrangements for interviews - time and place, directions to the venue, membership of the interview panel (where this is available) - the invitation should remind candidates about how the interview will be conducted and the areas it will explore, including suitability to work with vulnerable people. Enclosing a copy of the person specification can usefully draw attention to the relevant information.

66. The invitation should also stress that the identity of the successful candidate will need to be checked thoroughly to ensure the person is who he or she claims to be. Candidates who have registered with the SSSC will have a certificate of registration which may help to confirm identity, qualifications and any conditions attached to registration (see section on 'Checking Appropriate Registers'). 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.

67. Consequently, all candidates may be instructed to bring with them documentary evidence of their identity, e.g. either a current driving licence or passport including a photograph, or a full birth certificate, plus a document such as a utility bill or financial statement that shows the candidate's current name and address, and where appropriate change of name documentation.

68. Candidates may also be asked to bring documents confirming any educational and professional qualifications that are necessary or relevant for the post, e.g. the original or a certified copy of a certificate, or diploma, or a letter of confirmation from the awarding body. N.B. if the successful candidate cannot produce original documents or certified copies, written confirmation of his/her relevant qualifications must be obtained from the awarding body.

69. A copy of any documents used to verify the successful candidate's identity and qualifications should be kept for the personnel file (where financial statements are presented and employers consider that applicants may be sensitive about the retention of copies of such documentation, one option may be to simply record that such information has been seen). Such documentation should eventually be destroyed in relation to unsuccessful candidates.

Interview Panel

70. Research has shown that panel interviews are not always the most reliable predictor of performance within a job. It is therefore vital that proper training is provided to interviewers and that the interview itself is prepared for and carried out in a thorough and structured manner.

71. Although it is possible for interviews to be conducted by a single person it is not recommended. It is better to have a minimum of two interviewers, and in some cases, e.g. for senior or specialist posts, a larger panel might be appropriate. A panel of at least two people allows one member to observe and assess the candidate, and make notes, while the candidate is talking to the other. It also reduces the possibility of any dispute about what was said or asked during the interview.

72. The members of the panel should:

• have the necessary authority to make decisions about appointment (or effective authority where ultimate authority rests with head of organisation or HR);
• be appropriately trained, including for example, in interviewing skills and in relation to the requirements of the Data Protection Act;
• meet before the interviews to:
  • reach a consensus about the required standard for the job to which they are appointing;
  • consider the issues to be explored with each candidate and who on the panel will ask about each of those;
  • agree their assessment criteria in accordance with the person specification.

73. The panel cannot agree in advance a list of questions for each candidate that they will not deviate from, but they can agree a set of questions they will ask all candidates relating to the requirements of the post, and the issues they will explore with each candidate based on the information provided in the candidate's application and references (if available). A candidate's response to a question about an issue will determine whether and how that is followed up. Where possible it is best to avoid hypothetical questions because they allow theoretical answers. It is better to ask competency based questions that ask a candidate to relate how s/he has responded to, or dealt with, an actual situation, or questions that test a candidate's attitudes and understanding of issues. Past behaviour is often the best predictor of future behaviour.

Scope of the Interview

74. In addition to assessing and evaluating the applicant's suitability for the particular post, the interview panel should also explore other areas, where they will not be covered in separate interviews (see sections on screening and personal interviews), e.g.

• the candidate's attitude towards vulnerable people;
• his/her ability to support the authority/establishment's agenda for safeguarding and promoting the welfare of vulnerable people;
• gaps in the candidate's employment history;
• concerns or discrepancies arising from the information provided by the candidate and/or a referee;
• ask the candidate if they wish to declare anything in light of the requirement for a Disclosure Scotland check.

75. If, for whatever reason, references are not obtained before the interview, the candidate should also be asked at interview if there is anything s/he wishes to declare/discuss in light of the questions that have been (or will be) put to his/her referees. (And it is vital that the references are obtained and scrutinised before a person's appointment is confirmed and before s/he starts work.)

76. During the decision phase, account must be taken of all the available evidence, including those from application forms, references, interviews and screening/ personal interviews and selection centres where they have been carried out. It should be borne in mind at all times that the assessment is being made against the criteria for the job.

Personal Interview

77. The personal interview provides a means to probe the attitudes and behaviour of potential staff who will work with vulnerable people. Its purpose is to identify:

• the ability to promote the physical and emotional well-being of vulnerable people
• the awareness of the need for safe care

78. Areas for inclusion in personal interviews might cover:

• Motivation to work with vulnerable people;
• Ability to form and maintain appropriate relationships and personal boundaries with vulnerable people;
• Emotional resilience in working with challenging behaviours;
• Attitudes to use of authority and maintaining discipline;
• Attitudes towards physical and sexual abuse of vulnerable people;
• Attitudes towards sex and sexuality

79. As the issues raised in personal interviews involve more probing than those typically covered in panel interviews, it is recommended that they should be conducted by staff who have received special training (more than one member of staff should be present). Employers may choose to raise these issues in panel interviews, though this may be considered less effective than a separate interview conducted by a trained member of staff.

Equal Opportunities and Human Rights Considerations

80. Some employers may have concerns about the use of certain practices and strategies in relation to potential conflicts with equal opportunities or human rights legislation. In the past, such legislation has been seen as a barrier to rigorous selection and has led to a reluctance to seek important information. However, such legislation need not conflict with the desire to probe for particular kinds of information, provided all candidates are treated fairly.

81. A tool such as the personal interview has raised particular concerns but providing certain conditions apply, this need not be the case, i.e.

• candidates are made aware at an early stage that this kind of interview is a requirement and that by signing and submitting their application form they are accepting this condition;
• candidates should also be made aware that if they find this kind of probing difficult, they may take the opportunity to withdraw;
• all candidates are asked to address the same issues (though information revealed by individuals may of course take the discussion in varying directions);
• the areas explored must be those which relate to the job

Conditional Offer of Appointment: Pre-Appointment Checks

82. An offer of appointment to the successful candidate should be conditional upon:

• the receipt of at least two satisfactory references (if those have not already been received - see paras 29-38);
• verification of the candidate's identity (if that could not be verified straight after the interview: see paras. 65-69);
• verification of qualifications (if not verified at an interview);
• a Disclosure Scotland check (that will include where appropriate information about whether or not the person's name is included in the lists held in the UK restricting a person from working, for example, with children. It should be noted that there are children's lists across the UK. There are adult lists in England and Wales, and Northern Ireland. There is not an adults' list in Scotland. A proposal to introduce one is included in the Protection of Vulnerable Groups (Scotland) Bill).

83. All checks should be:

• confirmed in writing;
• documented and retained on the personnel file (subject to any legal restrictions);
• followed up where they are unsatisfactory or there are discrepancies in the information provided.

84. If the Disclosure Scotland certificate reveals information that the applicant did not provide on his or her application form, then the discrepancies should be raised with the person concerned. The fact that a person has not revealed a conviction might suggest a misunderstanding about the impact of Rehabilitation of Offenders legislation.

85. If the content of the certificate is accurate and an employer considers that a third party with an interest in the person concerned should be advised, then they should seek their own legal advice about passing the Disclosure information to that third party without the consent of the applicant as they might be committing an offence if they do so. If, however, the criminal record check was: (a) sought for a post that involved paid or unpaid employment with children, and (b) the certificate shows that the applicant's name is included on a list of people disqualified from working with children and (c) the applicant knows that their name is on such a list, then the applicant has committed an offence and the police should be advised.

Client/Service User Records Check

86. Employers may wish to check job applicants' names against their own client/service user records to establish whether this may raise any issues of concern in relation to the applicant. Though carrying out such checks may be a difficult area in relation to a client's right to confidentiality, past events have shown that they may be advisable. One solution may be to ask for an applicant's agreement to carry out such checks on the application form.

Personnel Records Check

87. There have been cases where employees who have been disciplined for poor practice within an organisation, subsequently apply for similar posts within the same organisation. One means of ensuring such information comes to light is for every applicant to be checked against the prospective employer's own personnel records, including details of previous job applications where these are still held on file.

88. In relation to how long such records should be kept, employers will wish to note the requirements of the Data Protection Act, which states that personal data should not be kept for longer than is necessary.

Assessment/Selection Centre Process

89. Some research has pointed to the limited effectiveness of the panel interview in predicting good performance in the job. A key reason for this is that no two interviewers will interpret and evaluate information in the same way. Assessment Centres (or Selection Centres as they are referred to in the Safer Recruitment and Selection Toolkit) offer the opportunity to simulate aspects of a job in order that applicants can demonstrate their ability to respond effectively to them.

90. As well as providing trained assessors for the exercise, the administration of it must be well planned and the candidates advised in advance of what to expect. The activities in an assessment centre usually span a whole day (or more), are carefully designed to be appropriate to the roles to which they are applied and include assessment by managers or other experts. The observations and judgements of the assessors are recorded and brought together into a decision-making forum, often called a 'wash-up'.

91. Some employers who choose to use the assessment centre approach may wish to use them as a means to selecting those who will proceed to a panel interview. Some may opt to use a panel interview to select those who will proceed to an assessment centre. This is a matter of preference.

92. The most important feature of exercises used in the selection of staff is that they must be appropriate for the role being filled. The sort of exercises carried out may include:

Psychometric or Occupational Testing

• these bring a standardised and objective perspective to the selection process
• they will give an indication as to a person's capacity or propensity to think or act in a particular way
• the most common types are ability and personality tests
  • Ability Tests: test aptitude and are designed to predict potential to meet job requirements. The aptitudes tested are usually verbal, numerical and abstract reasoning
  • Personality Tests: generate a profile of the candidate's personality, giving an indication of how they will think, feel and act. Specific indications may be given across a range of dimensions, including interpersonal style, thinking style, leadership style, patterns of coping with stress and team role characteristics.

Other Exercises

• Assessed group exercises: candidates discussing a presented scenario, these groups can be facilitated or not
• Written exercises: candidates providing a written assessment of a presented scenario or an account of a group discussion
• Role play: candidates being assessed in a simulated interaction with someone playing a vulnerable person, this can assess both their initial actions and how they reflect on this afterwards
• Unit visits: candidates visiting units before the assessment centre and using their observations and reflections in a group or individual exercise.

Assessment/Wash-up

93. This is the meeting where all the selectors meet to discuss the scores and make decisions about who goes forward to the next stage of the process. Though the assessment centre offers a rigorous, objective and systematic approach, it is not perfect and judgement will still have to be exercised. However, the volume of focused and relevant material gained from the process will reduce the scope for error or bias.

Up-To-Date Practice

94. Experience of using assessment/selection centres has shown that it is also important to keep up to date with current best practice.

Benefits of Assessment Centre Approach

95. As well as ultimately making a positive contribution to the care experienced by service users through an enhanced and safer recruitment process, the assessment/selection centre approach can prove to have other benefits, such as raising the standard and quality of decision making in the recruitment and selection process, which would include enhanced objectivity and more effective working between operational and HR managers.

96. Whilst initially the cost of running an assessment centre would appear to be greater than 'conventional' approaches using limited interviewing, this needs to be set against the potential impact of improving the skills, knowledge and abilities base within the workforce and reducing attrition rates.

97. If assessment centres are used to recruit employees on a pooled basis, there is a very real opportunity to make economies of scale. In the case of larger authorities/organisations it is possible to use assessment centres to recruit on this pooled basis, and thus recruitment could be limited to specific times in the year, which in turn can have an impact on the costs, e.g. savings arising from the reduction in the number of individual interviews required. In the case of smaller employers it could be possible to enter into partnership arrangements with neighbouring employers to consider the appropriateness of a pooled approach.

98. Apart from the obvious improvements to be achieved in terms of the selection process and potential economies of scale, an assessment centre approach is only part of what is needed to ensure safer recruitment. It is essential that when recruiting, full use is made of other tools highlighted in this document.

Practice Illustration

City of Edinburgh Council's Use of recruitment and development centre process for recruitment to residential child care units: Impact on Practice

99. When asked to assess the impact on practice that the recruitment and development centre process has had in residential units the views of managers were largely positive. They felt the new workers had brought a greater professionalism and focus to their task, the new recruits being characterised by a very child centred focus and a clear desire to work alongside residents. The fact that no workers recruited through this process had subsequently been involved in disciplinary proceedings was also felt to be proof of positive impact, as no workers were being recruited who were proving to be problematic or worrying in their practice.

Involving Service Users in Recruitment and Selection

100. Involving services users in aspects of the recruitment and selection process can send a powerful signal to potential applicants about the philosophy of the organisation. It is likely to encourage applicants who are comfortable with and committed to listening to service users and respecting their rights and wishes. Experience has shown that service users can be more adept than professionals at drawing out a candidate's attitudes and values.

101. There are several ways in which service users can be involved in the process e.g. visits by candidates to the facilities which service users use, such as children's units. Where such visits take place, they must be undertaken and managed carefully so as to take the needs of service users into account.

102. Other methods of involving service users include groups of service users meeting candidates individually where a set of agreed questions is put to the candidates; a group of service users meeting a group of candidates in order to undertake a group exercise; or including a service user as a member of a panel interview. Service users will need appropriate support and preparation for participation in any such activity. More detail on service user involvement is contained in Safer Recruitment and Selection for Staff Working in Child Care ( see 'References' section in Annex B).

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