Screening Checks

All offers of employment are conditional subject to the satisfactory completion of any required screening checks. Whether an outcome of a check is satisfactory will be determined by the University (where this is not defined by legislation). University institutions are expected to carry out basic screening checks for all staff, and (with support from the HR Division and Security Office) to identify any higher level checks which are required and ensure that they are undertaken.

Basic Level Checks

The majority of University employees will require no more than basic screening, which is the minimum that should be undertaken for all prospective staff.

  • Right to Work

Must include any visa requirements. More information on how to check a candidate's right to work can be found on the Immigration Webpages.

  • Qualifications

Including any professional qualifications

  • References

The number of which is dependent on the staff type

Health Declaration

Requires completion of the OHF30 form

Higher Level Checks

However, those working in sensitive areas, involved in certain types of activity or with access to sensitive information will require more in-depth screening. The number and type of additional checks which will be undertaken varies according to which of these types of work a role involves.

  • DBS
  • Basic Disclosure
  • Security Checks
  • SIA Licence

  • Health Assessment
     

    Please note: there should never be a requirement for a role to have a DBS check and a basic disclosure; these are different types of criminal records checks and the most appropriate one for the vacancy must be identified. Please speak to the Compliance Team if you are unsure after reading the eligibility guidance within the sub-sections for each type of check.

Certain checks are required in law to be completed before employment can commence, including right to work in the UK and, in very limited circumstances, Disclosure and Barring Service (DBS) checks for certain professions governed by a regulatory body. Such checks are referred to as ‘Essential’ checks in the University because they are essential before an individual can start any work.

Where other checks are needed but there is no legal requirement for them to be completed before employment commences, the checks are referred to as ‘Non-essential’ in the University. This is because it may be possible to agree with the HR Division, or the Security Office in relation to security checks, that an individual can begin work before the check is completed if:

  • A risk assessment is carried out in advance and this indicates the level of risk is minimal;
  • The individual does not carry out the activity which requires them to have the check until it has been completed satisfactorily OR
  • that they will be supervised at all times by a person who has been checked when carrying out the activity concerned.

Detailed guidance on when checks should be essential or non-essential is found in the Identifying required screening checks section.

Screening Policy

The Screening Policy provides an overarching statement of the University's approach to safeguarding individuals, buildings, property and assets through an appropriate and transparent screening process. The process for DBS, basic disclosure and security checks is set out in the Screening Policy Process Map.

Institutions should have been determined at the start of the recruitment process whether any additional screening is required, the eligibility requirements for higher level screening checks and whether any of the higher level checks should be treated as essential before employment commences. Whether the checks are actually carried out should be determined by assessing (with support from the HR Division / Security Office):

  • The nature of the role;
  • The level of risk arising from the duties/responsibilities of the role;
  • Whether certain checks would be relevant to managing that risk;
  • If there are more effective alternative means of managing the risk.

See all check types and actions required to take below:-

  • Right to Work, Qualifications and References:- These checks are managed and requested by the Institution. Advice and guidance on issues related to immigration is provided by the HR Immigration and Compliance team.
  • Basic Disclosure / Security Check:- To request a basic disclosure or screening check, the HR21 form should be completed and returned to the HR Immigration and Compliance team.
  • DBS Check:- To request a DBS check, the institution should complete the HR19 form and return this to the HR Immigration and Compliance team for processing.
  • SIA Licence:- Where a role requires an SIA licence, the candidate applies directly using the online application on the SIA website. Advice on the requirement or process for SIA licences can be provided by the Security Office.

As shown in the flowchart below, the new employee health assessment is separated into two processes based on the Job Hazard Evaluation Form and Guidance—see OHF29 and OHG03. Only jobs that require health surveillance/immunisation to protect the employee against health risks or in jobs where sudden incapacity could pose a risk to safety, or jobs where there is a regulatory or safety requirement for a health assessment (most clinical, animal facility, garden maintenance and workshop staff) will require specific health screening by Occupational Health (OH).

OHG02 Occupational Health Recruitment Guidance Flowchart

If health screening/surveillance is required as determined by the Job Hazard Evaluation Form (OHF29), OH will be notified by the recruiter and conduct the relevant baseline health surveillance prior to or on commencement and inform the department or the outcome. In some circumstances the department should not allow individuals to commence specific duties until OH advice has been received e.g., classified radiation work; work with hazard group 3 pathogens.

However, in no circumstances should a requirement for a health screening/surveillance be treated as essential before employment (i.e. recorded as essential in CHRIS and RAS). This is because it should always be possible for new employees to conduct other duties which do not require health screening/surveillance if this process has not been completed before they commence employment. The aim of health screening/surveillance is to protect employees against risks to their health and identify any required reasonable adjustments, rather than to exclude individuals from employment.

Assessment procedures for staff needing health screening/surveillance will be simpler and quicker, e.g., someone needing a health assessment because of work with laboratory animals will now only have to complete a single questionnaire, rather than two.

For all new employees (academic, academic-related, researchers and assistant staff) a simple work health declaration will be sent with the job offer letter (OHF30) and the new staff member asked to return the completed declaration to the recruiting officer before the individual starts work. This will be kept in the person's departmental personal file. Occupational Health will not routinely be involved in this assessment, unless health surveillance or screening is also indicated. Should specific advice be required from the individual or the recruiting officer in relation to work and health, the applicant will be referred to Occupational Health using the OHF04 On-Offer Referral Form. Administration and office based support staff will not routinely be screened by occupational health but complete the simple work health declaration.

For some jobs (marked with * in the eligibility section), screening will be delayed until the person is due to start the specific work for which a health assessment is required, although individuals who are aware they have health problems which may require additional attention will be encouraged to advise Occupational Health at the earliest opportunity to ensure they are adequately protected in the workplace.

Institutions will be informed by the HR Division or the Security Office as appropriate when a screening check for a preferred candidate has been completed.

Where a check required for a post is not completed satisfactorily for a preferred candidate, the consequences of this will depend on:

  • The check concerned.
  • The reason for the check (check for a new employee, a recheck for an existing employee or a check for an existing employee in a new post);
  • Relevant legislation.
  • The post.

The matter will be reviewed by the Resourcing Team / the University Security Officer, before being referred to the Assistant Director/Director of HR for objective assessment and a decision. Input will be requested from the institution as appropriate. Possible outcomes include amended duties, redeployment, withdrawal of an offer of employment or, where the individual has started work before the relevant pre-employment check has been completed, dismissal.

If you are in any doubt about the checks required for a post or how to request them, please contact the following: