Good Practice Recommendations – Part 1
The parts of the Code in this section are:
1.1 Advertising
1.2 Applications
1.3 Verification
1.4 Short-listing
1.5 Interviews
1.6 Pre-employment vetting
1.7 Retention of recruitment records
1.1 Advertising
This sub-section covers any method used to notify potential applicants of job vacancies, using such media as notices, newspapers, radio, television and the internet.
1.1.1 Inform individuals responding to job advertisements of the name of the organisation to which they will be providing their information and how it will be used unless this is self-evident.
Key points and possible actions
- Ensure that the name of your organisation appears in all recruitment advertisements.
- Ensure that your organisation is named on the answerphone message which invites potential applicants to leave details.
- Ensure that your organisation is named on your website before personal information is collected on an online application form.
- To the extent that it is not self evident describe in the advertisement the purposes for which you may use personal information, for example, to market your organisations products and service.
1.1.2 Recruitment agencies, used on behalf of an employer, should identify themselves and explain how personal information they receive will be used and disclosed unless this is self-evident.
Key points and possible actions
- If you use a recruitment agency check that it identifies itself in any advertisement, and that it informs applicants if the information requested is to be used for any purpose of which the applicant is unlikely to be aware.
1.1.3 On receiving identifiable particulars of applicants from an agency ensure, as soon as you can, that the applicants are aware of the name of the organisation holding their information.
Key points and possible actions
- Inform the applicant as soon as you can of the employer’s identity and of any uses that the employer might make of the information received that are not self-evident.
OR
- If the employer does not wish to be identified at an early stage in the recruitment process, ensure the agency only sends anonymised information about applicants. Ensure the employer is identified to individuals whose applications are to be pursued further.
1.2 Applications
This sub-section covers CVs sent ‘on spec’ as well as more formal responses to job
advertisements.
1.2.1 State, on any application form, to whom the information is being provided and how it will be used if this is not self-evident.
Key points and possible actions
- Ensure the name of your organisation is stated on the application form.
- If information from the application form will be used for any other purpose than to recruit for a specific job or passed to anyone else, make sure that this purpose is stated on the application form.
1.2.2 Only seek personal information that is relevant to the recruitment decision to be made.
Key points and possible actions
- Determine whether all questions are relevant for all applicants.
- Consider customising application forms where posts justify the collection of more intrusive personal information.
- Remove or amend any questions which require the applicant to provide information extraneous to the recruitment decision.
- Remove questions that are only relevant to people your organisation goes on to employ (e.g. banking details) but are not relevant to unsuccessful applicants.
1.2.3 Only request information about an applicant’s criminal convictions if and to the extent that the information can be justified in terms of the role offered. If this information is justified, make it clear that spent convictions do not have to be declared, unless the job being filled is covered by the Exceptions Order to the Rehabilitation of Offenders Act 1974.
Key points and possible actions
- Consider whether the collection of information about criminal convictions can be justified for each job for which it is sought.
- Check that it is stated that spent convictions do not have to be declared (unless the job is one covered by the Exceptions Order).
- In any case limit the collection of information to offences that have a direct bearing on suitability for the job in question.
1.2.4 Explain the nature of and sources from which information might be obtained about the applicant in addition to the information supplied directly by the applicant.
Key points and possible actions
- Ensure there is a clear statement on the application form or surrounding documents, explaining what information will be sought and from whom.
1.2.5 If sensitive data are collected ensure a sensitive data condition is satisfied.
Key points and possible actions
- Assess whether the collection of sensitive data is relevant to the recruitment process.
- Remove any questions about sensitive data that do not have to be asked at the in itial application stage.
- Ensure that the purpose of collecting any relevant sensitive data is explained on the application form or surrounding documentation.
- Ensure the purpose of collection satisfies one of the sensitive data conditions.
- If health information is to be collected, refer to Part 4 of the Code: Information About Workers’ Health.
1.2.6 Provide a secure method for sending applications.
Key points and possible actions
- Ensure that a secure method of transmission is used for sending applications online. (E.g. encryption-based software).
- Ensure that once electronic applications are received, they are saved in a directory or
drive which has access limited to those involved in the recruitment process. - Ensure that postal applications are given directly to the person or people processing the
applications and that these are stored in a locked drawer. - Ensure that faxed applications are given directly to the person or people processing the
applications and that these are stored in a locked drawer. - If applications are processed by line managers, make sure line managers are aware of
how to gather and store applications.
1.3 Verification
1.3.1 Explain to applicants as early as is reasonably practicable in the recruitment process the nature of the verification process and the methods used to carry it out.
Key points and possible actions
- Ensure that information provided to applicants for example on an application form or associated documents explains what information will be verified and how, including in particular any external sources that will be used.
- Do not force applicants to use their subject access rights to obtain records from another organisation (i.e. by making such a requirement a condition of getting a job).
1.3.2 Where the need to protect the employer’s business, customers, clients or others warrants the collection and verification of details of an applicant’s criminal convictions use only a disclosure from the Criminal Records Bureau (CRB) or Disclosure Scotland for this verification.
Key points and possible actions
- Do not attempt to obtain information about criminal convictions by forcing an applicant to use his/her subject access right or from sources other than the CRB, Disclosure Scotland or the applicant.
- Confine the obtaining of a disclosure, as far as practicable, to an applicant it is intended to appoint. Avoid requiring all short-listed applicants to obtain a disclosure.
- Do not share with other employers the information obtained through a “disclosure”.
- Abide by the CRB or Disclosure Scotland’s Code of Practice in obtaining and handling disclosure information.
1.3.3 If it is necessary to secure the release of documents or information from another organisation or person, obtain a signed consent form from the applicant unless consent to their release has been indicated in some other way.
Key points and possible actions
- Ensure applicants provide signed consent if this is required to secure the release of documents to you from another organisation or person.
- Remember that if you mislead another person or organisation into giving you personal information about an applicant you may be committing a criminal offence.
1.3.4 Give the applicant an opportunity to make representations should any of the checks produce discrepancies.
Key points and possible actions
- Ensure that those staff who are involved in verification in your organisation are aware what to do should inconsistencies emerge between what the applicant said in the application and what your checks have discovered.
- Make sure that in this situation, staff inform the applicant and allow them the opportunity to provide an explanation of the inconsistencies.
- Ensure this feedback to the applicant is incorporated into any recruitment procedures.
1.4 Short-listing
1.4.1 Be consistent in the way personal information is used in the process of short-listing candidates for a particular position.
Key points and possible actions
- Check shortlist methods with sources of good practice such as the Equal Opportunities Commission or Commission for Racial Equality.
See Supplementary Guidance for contact details. (Clicking this link opens a new window)
1.4.2 Inform applicants if an automated short-listing system will be used as the sole basis of making a decision. Make provisions to consider representations from applicants about this and to take these into account before making the final decision.
Key points and possible actions
- Ensure all the applicants are informed that an automated system is used as the sole basis of short-listing and of how to make representations against any adverse decision.
- Test and keep the results produced by the system under review to ensure they properly and fairly apply your short-listing criteria to all applicants.
1.4.3 Ensure that tests based on the interpretation of scientific evidence, such as psychological tests, are only used and interpreted by those who have received appropriate training.
Key points and possible actions
- Determine which such tests are used within your organisation.
- Ensure all tests are assessed by properly qualified persons.
1.5 Interviews
1.5.1 Ensure that personal information that is recorded and retained following interview can be justified as relevant to, and necessary for, the recruitment process itself, or for defending the process against challenge.
Key points and possible actions
- Ensure that all interviewers are aware that interviewees may have a right to request access to their interview notes.
- Ensure that all interviewers are given instructions on how to store interview notes.
- Make provisions for interview notes to be destroyed after a reasonable time, allowing the organisation to protect itself from any potential claims such as those for race or sex discrimination.
- Explain to interviewers or those in contact with applicants, how to deal with a request for access to interview notes.
1.6 Pre-employment vetting
1.6.1 Only use vetting where there are particular and significant risks involved to the employer, clients, customers or others, and where there is no less intrusive and reasonably practicable alternative.
Key points and possible actions
- Find out for which jobs, if any, pre-employment vetting takes place.
- Consider whether pre-employment vetting is justified for each of these jobs and whether the information could be obtained in a less intrusive way.
- Wherever practicable obtain relevant information directly from the applicant and, if necessary, verify it rather than undertake pre-employment vetting.
- Do not vet workers just because a customer for your products or services imposes a condition requiring you to do so, unless you can satisfy yourself that the condition is justified.
1.6.2 Only carry out pre-employment vetting on an applicant as at late a stage as is practicable in the recruitment process.
Key points and possible actions
- Ascertain at which point pre-employment vetting takes place and who is subject to it. Eliminate any comprehensive pre-employment vetting that takes place for all shortlisted applicants (only the people selected for the job should be submitted to comprehensive pre-employment vetting).
1.6.3 Make it clear early in the recruitment process that vetting will take place and how it will be conducted.
Key points and possible actions
- Provide information about any vetting that might take place on application forms or other recruitment material. This should explain the nature, extent and range of sources to be used to carry out the vetting.
- Make clear the extent to which you will release information about the applicant to the sources you use.
1.6.4 Only use vetting as a means of obtaining specific information, not as a means of general intelligence gathering. Ensure that the extent and nature of information sought is justified.
Key points and possible actions
- Ensure that there are clearly stated objectives in any vetting process.
- Consider the extent and nature of information that is sought against these objectives.
- Eliminate any vetting that consists of general intelligence-gathering. Ensure that it is clearly focussed information that will have a significant bearing on the employment decision.
1.6.5 Only seek information from sources where it is likely that relevant information will be revealed. Only approach the applicant’s family or close associates in exceptional cases.
Key points and possible actions
- Ensure that those who will seek the information are briefed about which sources to use, ensuring that those sources are likely to produce relevant information.
- Ensure that if family members or close associates are approached it can be justified by the special nature of the job.
1.6.6 Do not place reliance on information collected from possibly unreliable sources. Allow the applicant to make representations regarding information that will affect the decision to finally appoint.
Key points and possible actions
- Ensure that information that has been collected from a vetting process is evaluated in the light of the reliability of the sources.
- Ensure that no recruitment decision is made solely on the basis of information obtained from a source that may be unreliable.
- Ensure that if information received will lead to the applicant not being appointed, then this will be made known to the applicant.
- Put in place a mechanism for providing this feedback, allowing the applicant to respond and obliging those involved in the recruitment decision to take this response into account.
1.6.7 Where information is collected about a person other than the applicant that affects the other person’s privacy, ensure so far as practicable that the other person is made aware of this.
Key points and possible actions
- Ensure that those conducting a vetting process are briefed to avoid discovering information about other people unnecessarily.
- Where substantial personal information has been collected about another person and is to be retained, ensure there is a process in place to inform the other person of this and of how the information will be used.
1.6.8 If it is necessary to secure the release of documents or information from a third party, obtain a signed consent from the applicant.
Key points and possible actions
- If you are asking a third party, such as a previous employer, to disclose confidential personal information to you the third party will need the applicant’s permission before doing so.
- It may be easier for you to obtain this permission from the applicant and pass it on to the third party than for the third party to obtain permission directly.
1.7 Retention of recruitment records
1.7.1 Establish and adhere to retention periods for recruitment records that are based on a clear business need.
Key points and possible actions
- Assess who in your organisation retains recruitment records (e.g. are they held centrally, at departmental level or in the line).
- Ensure that no recruitment record is held beyond the statutory period in which a claim arising from the recruitment process may be brought unless there is a clear business reason for exceeding this period.
- Consider anonymising any recruitment information that is to be held longer than the period necessary for responding to claims.
1.7.2 Destroy information obtained by a vetting exercise as soon as possible, or in any case within 6 months. A record of the result of vetting or verification can be retained.
Key points and possible actions
- Check who in your organisation retains information from vetting. Ensure that vetting records are destroyed after 6 months. Manual records should be shredded and electronic files permanently deleted from the system.
- Inform those responsible for the destruction of this information that they may keep a
record that vetting was carried out, the result and the recruitment decision taken.
1.7.3 Consider carefully which information contained on an application form is to be transferred to the worker’s employment record. Do not retain information that has no bearing on the on-going employment relationship.
Key points and possible actions
- Check how information is transferred from recruitment records to employment records.
- Ensure those responsible for such transfers only move information relevant to on-going employment to employment files.
1.7.4 Delete information about criminal convictions collected in the course of the recruitment process once it has been verified through a Criminal Records Bureau disclosure unless, in exceptional circumstances, the information is clearly relevant to the on-going employment relationship.
Key points and possible actions
- Make sure it is only recorded whether a check has yielded a satisfactory or an unsatisfactory result. Delete other information.
1.7.5 If it is your practice to do so advise unsuccessful applicants that there is an intention to keep their names on file for future vacancies (if appropriate) and give them the opportunity to have their details removed from the file.
Key points and possible actions
- Ensure that application forms or surrounding documentation tell applicants that, should they be unsuccessful, their details will be kept on file unless they specifically request that this should not be the case.
1.7.6 Ensure that personal information received during the recruitment process are securely stored or are destroyed.
Key points and possible actions
- Assess who in your organisation presently processes recruitment information.
- Inform them that manual records should be kept securely, for example in a locked filing cabinet.
- Make sure that electronic files are kept securely, for example by using passwords and other technical security measures.