identity checks right to work in the uk · driving licence – other nationalities photocard...

Source: HR and Communications Directorate Status: Approved Document Ref: PP(18)245 Issue Date: October 2018 Review Date: October 2021 of 26

Trust Policy and Procedure Document ref. no: PP(18)245

Identity Checks & Right to Work in the UK

For use in: All areas of Trust clinical and non-clinical

For use by: All staff groups

For use for: Employing all candidates from within and outside of the UK and European Economic Community

Document owner: Executive Director of Workforce & Communication

Status: Approved

Purpose of this document To give clear guidance on the processes to be followed for carrying out the necessary Identification and Right to Work in the UK checks in compliance with the Data Protection Act 2018 and the Asylum and Immigration Act 1996 (and subsequent amendments). The appropriate process should be followed for all candidates from either within or outside of the UK, and the European Economic Area. The purpose of these checks is to ensure the identity of the individual making the application to work and that they have the right to live and work in the UK. To give guidance on the correct recording systems for all employees on a Work Permit, to ensure appropriate checks on the validity of documentation, including Work Permit, Leave to Remain Visa, Passport, Professional Registration and personal contact details (address and telephone). To give guidance on the process to be followed when an employee on a work permit changes post, fails to take up an appointment, resigns from the Trust or fails to attend work without notification. This policy must be used in conjunction with the Trust’s Recruitment & Selection Policy PP()049 and Registration/Statutory Responsibility of Professional Staff PP()096.

Contents Page

1. Identity Checks – Introduction 3

2. Process 3

3. Acceptable Documents to Prove Identity

List 1 – Acceptable photographic personal identification

List 2 – Acceptable confirmation of address documents

List 3 – Acceptable non-photographic personal identification

List 4 – Acceptable documents for those recently left full time education (16-19 year olds)

3

4. Checking Documents Authenticity 6

5. Right to Work in the UK - Introduction 6

6. Three Checks 7

________________________________________________________________________________________________________ Source: HR and Communications Directorate Status: Approved Document Ref: PP(18)245 Issue Date: October 2018 Review Date: October 2021 of 26

7. Statutory Excuse 7

8. Discrimination in the Recruitment Process 7

9. Right to Work Documents LIST A – Acceptable Single Documents LIST A – Acceptable Document Combinations LIST B – Group 1 – Acceptable Single Documents LIST B – Group 1 – Acceptable Document Combinations LIST B – Group 2 – Time-limited Statutory excuse for 6 months

8

10. Frequency of Checks 10.1 Positive Verification Notice 10.2 Refusal to provide documents 10.3 National Insurance Number

10

11. EEA Countries 10

12. Turkish Nationals 11

13. Certificate of Sponsorship 13.1 Points Based System 13.2 Skills Shortage Occupations 13.3 Resident Labour Market Test

11

14. Asylum Seekers 12

15. Refugees 12

16. International Students 13

17. Recruitment Responsibilities 17.1 Interview Chair Person 17.2 HR Responsibilities 17.3 Appointing on a Work Permit

13

18. Validating Documents 18.1 Allowed to Live and Work 18.2 Allowed to Work with Restrictions 18.3 Requires Work Permit and Leave to Remain

14

19. Applying for Certificate of Sponsorship 19.1 – In Country Applications 19.2 – Out of Country Applications 19.3 – Recruitment Delays

15

20. No Right to Work in the UK 16

21. Renewal of a Work Permit 16

22. Non-Starters and Leavers 22.1 Employees failing to commence employment 22.2 General Leavers premature End of Employment 22.3 Contracts Terminated 22.4 Fail to Attend Work

16

23. Changes in Employment 17

24. Record Keeping Duties 17

25. Transfer of Undertakings (TUPE 18

26. Review and Monitor 18

27. Document Configuration 19

Appendices PAGE

Appendix 1 Identity Check List/ID check list 20

Appendix 2 Identity Documents – Validation Guidelines 23

Appendix 3 Right to Work in the UK Check Lists 25


1. IDENTITY CHECKS - INTRODUCTION

This policy takes into account the Mandatory NHS Employment Check Standard – Identity Checks – issued by NHS Employers in September 2017. Identity verification is essential to the pre-employment process and must be done before a candidate’s right to work in the UK is checked. Acceptable Identity checking documentation can be found in Section 3 of this policy.

All NHS providers are required to comply with the Health & Social Care Act 2008(Regulated Activities) Regulations 2010 and the Care Quality Commission (Registration) regulations 2009.

The purpose of carrying out identity checks is to reduce the risk of employing a person in any NHS activity who is an illegal worker, or is impersonating another person.

The Identity check must be the first check to be carried out, as if false all other checks will be invalid.

Identity checks should verify the person is who they say they are by seeing original identity documents and validating the authenticity of those documents.

The identify check is broken down into two elements:

Attributable – evidence of identity from birth (includes name, date and place of birth) and any changes to name.

Biographical – evidence of personal history, such as education, qualifications, addresses, and employment history.

2. PROCESS

The following methods should be used to verify documents;

Receive original documents

Check authenticity of documents

Validate the personal details against reliable external sources Identity fraud is on the increase and it is important to undertake appropriate checks and identify any mismatches. Original documents will confirm:

Full name, first and surname

Signature

Date and place of birth

Current address A combination of identity documents must be seen including documents that contain a photograph and ones that confirm address. A full list of acceptable documents can be found in Section 3:

3. ACCEPTABLE DOCUMENTS TO PROVE IDENTITY Candidates must be able to provide either:

Two ID documents and One proof of residence document or:

One ID documents and Two proof of residence documents


LIST 1 - Acceptable photographic personal identification

Passport – Full, signed UK (Channel Islands, Isle of Man or Irish) or EU/other nationalities.

Passport - of non-EU nationals and other valid evidence relating to immigration status and permission to work.

Driving Licence – UK/EU full or provisional photocard driving licence (if issued by the DVLA you are not required to see the paper counterpart. Licences issued in Northern Ireland by the DVLA must be presented with the paper counterpart).

Driving Licence – Other nationalities photocard driving licence (valid up to 12 months from the date when the individual entered the UK. The person checking the document must be able to assure themselves that the licence looks bona fide).

Biometric Residence Permit

HM Armed Forces Identity card (UK)

ID cards - carrying the PASS (Proof of Age Standards Scheme) accreditation logo (issued in the UK and Channel Islands and Isle of Man only) e.g. a UK Citizen ID card. Organisation identity cards are not acceptable as they do not contain watermarks, holograms or other security markings.

If no acceptable photographic identification documents are available

The following combination of documentary evidence should be requested:

Two documents confirming their current address from List 2 plus

Two forms of non-photographic personal identity from List 3; and

a passport sized photograph of themselves. Each documents provided should be from a different source and photographs must be endorsed on the back with the signature of a person of some standing in their community. This should be either a magistrate, medical practitioner, officer of the armed forces, teacher, lawyer, bank manager or civil servant who has known them for at least three years. The person signing the photograph should also provide a signed statement stating how long they have known the applicant. Check that signature in the statement matches the one on the back of the photograph, and the name is legible, and an address and telephone number has been provided that can be verified.

LIST 2 - Acceptable confirmation of address documents

Utility Bill - gas, water, electricity or land-line telephone, or a certificate from a utility supplier confirming the arrangement to pay for the services on pre-payment terms at a fixed address, which must have been issued within the last 3 months. More than one utility bill may be accepted if these are from two different suppliers. Utility bills in joint names are also permissible (UK).*

Local Authority Tax Statement – for example, a council tax statement (UK and Channel Islands).**

Driving Licence - UK full or provisional– if not already presented as a personal photographic identity (that were issued before the photocard licence in 1998 and remain current and in date). Old-style provisional licences not acceptable).

HM Revenue & Customs Tax Notification - i.e. tax assessment, statement of account, notice of coding but not a P45 or P60).**


Financial Statement - bank, building society, or credit card statement (UK and EEA).* Non EEA statements must not be accepted)

Credit union statement (UK)*

Mortgage statement from a recognised lender** (UK and EEA) Non EEA statements must not be accepted

Local Council rent card or tenancy agreement*

Benefit of entitlement to Department of Work and Pensions Benefits (DWP) for example, child allowance, pension etc. (UK)**

confirmation from an electoral register search that a person of that name lives at the claimed address.**

If providing evidence for previous addresses is difficult, you could carry out an electoral register check. Residence gaps should be handled sensitively and probed at interview to identify reasons for any gaps. If the individual has been living abroad, ask them to provide confirmation of address such as a tenancy agreement or a bank statement.

LIST 3 - Acceptable non-photographic personal identification

Full birth certificate - (UK and Channel Islands) issued after the date of birth by the General Register Office or other relevant authority, for example registrars.

Full birth certificate - issued by UK authorities overseas, such as embassies, high commissions and HM Forces.

Driving Licence - UK full old-style paper (old-style provisional licences are not acceptable).

HM Revenue & Customs (HMRC) tax notification, e.g. an assessment, statement of accounts, P45, P60 or notice of coding (UK and Channel Islands)**

Work/Residency Permit - (UK) valid up to the expiry date. Adoption Certificate- (UK and Channel Islands). Marriage or Civil Partnership Certificate - (UK and Channel Islands). Divorce, Dissolution or Annulment papers - (UK and Channel Islands). Gender Recognition Certificate. Deed Poll Certificate. Firearms Certificate/Licence - (UK, Channel Islands and Isle of Man). Police Registration Document. Certificate of Employment - in the HM Forces (UK)

Benefits evidence of entitlement to Department of Work & Pensions benefits, e.g. child allowance, pension etc. (UK).

Document - from a local/central government authority or local authority giving entitlement such as Employment Services, Job Centre, Social Security Services (UK and Channel Islands).


LIST 4 - Acceptable documents for those who have recently left full time education (16 to 19 year-olds) You should ask for one piece of personal photographic evidence; or where not genuinely possible, a passport sized photograph which is endorsed by a person of some standing in their community as indicated in the section above; and a combination of two of the documents listed below:

Grant or student loan agreement from a local education authority (UK)

Full birth certificate (UK and Channel Islands) issued after the date of birth by the General Register Office or other relevant authority, for example registrars

Full birth certificate issued after the date of birth by UK authorities overseas, such as embassies, high commissions and HM Forces

National Insurance (NI) number or proof of issue of an NI number

Letter from their head teacher or college principal verifying their name and other relevant information for example, address or date of birth (UK)

Document from a local/central government authority or local authority giving entitlement such as Employment Services, Job Centre, Social Security Services (UK and Channel Islands)*

Qualification certificate.

* Document must be dated within last three months ** Document must be dated within the last twelve months

4. CHECKING DOCUMENTS AUTHENTICITY It is essential that all documents provided by candidates are checked for authenticity. A combination of documents should also be used as no single document can be guaranteed to be genuine. All candidates should be aware that their documents will be checked for authenticity as part of the recruitment process. Please see Appendix 2 for guidance on checking.

5. RIGHT TO WORK IN THE UK - INTRODUCTION

This policy takes into account the mandatory NHS Employment Check Standard – Right to Work Checks -issued by NHS Employers in September 2017 and The Prevention of Illegal Working, issued by the UK Government. Guidance on the Right to Work in the UK and acceptable documentation can be found in the body of this Policy. The Immigration, Asylum and Nationality Act (2006) amended from 29 February 2008 states that it is a criminal offence for employers to knowingly employ illegal migrant workers and the Act imposes an ongoing responsibility on employers of migrant workers to ensure their entitlement to work in the UK remains valid.

The civil penalty scheme changed the maximum penalty amount to £20,000 per illegal worker from May 2014.


The West Suffolk NHS Foundation Trust must ensure that all employees have the appropriate authenticated identity and documentation that confirm their right to live and work in the UK.

6. THREE CHECKS – Right to Work in the UK

The following three essential steps must be undertaken during the recruitment process to confirm a candidate has the Right to Work in the UK:

Request right to work documents

Validate the documents in the presence of the holder

Copy all documents, record the date of the validation check, securely store all documents

All recruiting managers must check the eligibility of every candidate to ensure they have the right to work in the UK using the documents in Lists A and B – Section 9.

7. STATUTORY EXCUSE

If the Trust employs an illegal immigrant that has supplied fraudulent documents that could not have been identified as fraudulent, the Trust can try to establish a statutory excuse (‘the excuse’) to avoid the civil penalty being applied. To establish the ‘excuse’ the Trust must be able to evidence a robust recruitment process was followed in line with the regulations.

8. DISCRIMINATION IN THE RECRUITMENT PROCESS

Managers must ensure that there is no discrimination during the any part of the recruitment and selection process.

Assumptions cannot be made regarding a candidate’s immigration status or right to work on the basis of their colour, race, nationality, ethnic or national origins, or time they have been in the UK.

Therefore it is essential that all candidates are treated equally and subjected to the same checks at every stage of the recruitment process. Failure to treat all candidates equally could result in prosecution under the Equality Act 2010, with an unlimited fine levied if the Trust is found guilty of discrimination.


9. RIGHT TO WORK DOCUMENTS

The recruiting manager must see either:

One of the documents or a combination of documents specified in List A or

One of the documents or combinations of documents specified in List B No other documents or combinations of documents are acceptable to confirm the Right to Work in the UK.

LIST A: Acceptable documents to establish a continuous statutory excuse

Passport showing the holder, or a person named in the passport as the child of the holder, is a British citizen or a citizen of the UK and Colonies having the right of abode in the UK.

Passport or national identity card showing that the holder, or a person named in the passport as the child of the holder, is a national of a European Economic Area country or Switzerland.

Registration Certificate or Document Certifying Permanent Residence issued by the Home Office to a national of a European Economic Area country or Switzerland.

Permanent Residence Card issued by the Home Office to the family member of a national of a European Economic Area country or Switzerland.

Current Biometric Immigration Document (Biometric Residence Permit) issued by the Home Office to the holder indicating that the person named is allowed to stay indefinitely in the UK, or has no time limit on their stay in the UK.

Current passport endorsed to show that the holder is exempt from immigration control, is allowed to stay indefinitely in the UK, has the right of abode in the UK, or has no time limit on their stay in the UK.

Current Immigration Status Document issued by the Home Office to the holder with an endorsement indicating that the named person is allowed to stay indefinitely in the UK or has no time limit on their stay in the UK, together with an official document giving the person’s

permanent National Insurance number and their name issued by a Government agency or a previous employer.

Full birth or adoption certificate issued in the UK, which includes the name(s) of at least one of the holder’s parents or adoptive parents, together with an official document giving the person’s permanent National Insurance number and their name issued by a Government agency or a previous employer.

Birth or adoption certificate issued in the Channel Islands, the Isle of Man or Ireland, together with an official document giving the person’s permanent National Insurance number and their name issued by a Government agency or a previous employer.

Certificate of registration or naturalisation as a British citizen, together with an official document giving the person’s permanent National Insurance number and their name issued by a Government agency or a previous employer

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List B Documents are only required from this list if the individual cannot provide a document or combination of documents from List A. If a prospective employee provides one of the single documents, or a combination of documents as outlined in List B, it indicates that they only have Limited Leave to Work in the UK. Employers are required to carry out follow-up checks on this person to establish a time-limited statutory excuse. The frequency of these follow-up checks depends on whether the documents presented are from Group 1 or Group 2. Section 10 below summarise when follow-up checks are required.

LIST B: GROUP 1: Documents where a time-limited statutory excuse lasts until the expiry date of leave.

Current passport endorsed to show that the holder is allowed to stay in the UK and is currently allowed to do the type of work in question

Current Biometric Immigration Document (Biometric Residence Permit) issued by the Home Office to the holder which indicates that the named person can currently stay in the UK and is allowed to do the work in question

Current Residence card (including an Accession Residence Card or a Derivative Residence

Card) issued by the Home Office to a non-European Economic Area national who is a family member of a national of a European Economic Area country or Switzerland or who has a derivative right of residence.

Current Immigration Status Document containing photograph issued by the Home Office to the holder with a valid endorsement indicating that the named person may stay in the UK, and is allowed to do the type of work in question, together with an official document giving the person’s permanent National Insurance number and their name issued by a Government agency or a previous employer

LIST B: GROUP 2: Documents where a time-limited statutory excuse lasts for six months

A Certificate of Application issued by the Home Office under regulation 17(3) or 18A (2) of the Immigration (European Economic Area) Regulations 2006, to a family member of a national of a European Economic Area country or Switzerland stating that the holder is permitted to take employment which is less than 6 months old together with a Positive Verification Notice from the Home Office Employer Checking Service.

An Application Registration Card issued by the Home Office stating that the holder is permitted to take the employment in question, together with a Positive Verification Notice from the Home Office Employer Checking Service.

A Positive Verification Notice issued by the Home Office Employer Checking Service to the employer or prospective employer, which indicates that the named person may stay in the UK and is permitted to do the work in question.


10. FREQUENCY OF CHECKS The Trust has a legal duty to carry out checks in line with the Home Office guidance as follows: List A: Continuous during the pre-employment process, no further checks required for the duration of their employment. List B: Group 1: Time-limited during the pre-employment process and again when permission (indicated on the document) expires. List B: Group 2: Time-limited during the pre-employment process and again after 6 months (Positive Verification Notice – see below) If you are reasonably satisfied that your employee has either submitted an application to the Home Office to extend or vary their permission to be in the UK, or they have made an appeal against an immigration decision, before their right to work document indicates that their permission to work has expired, your statutory excuse will continue from the expiry date of your employee’s document for a further period of up to 28 days. During this period, employers must contact the Home Office Employer Checking Service to verify that the employee continues to have the right to do the work in question whilst their application or appeal is being determined and obtain a Positive Verification Notice. 10.1 Positive Verification Notice - confirms that the named individual is permitted to carry out the type of work in question. Employers are required to take copies of all documentary evidence, including the Positive Verification Notice in order to retain a statutory excuse for six months from the date stated in the Positive Verification Notice. 10.2 Refusal to provide documents when required to do so - If an individual refuses to provide the documents it will be regarded as potential gross misconduct relating to loss of legal authority to continue employment and therefore the individual could face disciplinary action up to and including dismissal. The Trust may also decide to report the individual to the UK Border and Immigration Authority. 10.3 National Insurance Number – On its own a National Insurance number is not proof

enough for identification and Right to Work in the UK for the purposes of having a statutory excuse against a penalty for employing an illegal immigrant.

11. EEA COUNTRIES EEA (European Economic Area) nationals from the following Countries have the right to enter and work in the UK without any restrictions, so long as they can produce a document proving their nationality from LIST A. The immediate family members are also able to work in the UK whilst their EEA family member is legally residing and working here, documentation should still be checked. Austria

Belgium

Bulgaria

Croatia

Cyprus

Czech Republic

France

Finland

Germany

Greece

Hungary

Iceland

Latvia

Liechtenstein

Lithuania

Luxembourg

Malta

Netherlands

Portugal

Romania

Slovenia

Slovakia

Spain

Sweden

Denmark

Estonia

Ireland

Italy

Norway

Poland

United Kingdom


Nationals from Switzerland and their immediate family members also have the right to enter and work in the UK subject to being able to produce a document from LIST A.

12. TURKISH NATIONALS The ECAA (European Community Association Agreement) with Turkey allows certain rights to Turkish nationals who are legally working in the UK when applying to extend their time in the UK, as follows:

Apply to extend permission to stay and work for the same employer after they have worked for that employer for one year.

Move to another employer after 3 years of working in the UK, but must be the same occupation.

Be able to work for any employer in any job after working in the UK for four years. If granted permission to stay as a Turkish ECAA worker, they will be given a vignette in their passports along with a status letter. Both of these documents must been seen, copied and retained as evidence of the individual’s right to live and work in the UK. Further information is available at www.nhsemployers.org/your-workforce/recruit/employer-led-recruitment/international recruitment. Details regarding the process for ECAA Turkish workers can be found at: www.gov.uk/turkish-worker .

13. CERTIFICATE OF SPONSORSHIP To employ foreign nationals from outside the UK/EEA, or to extend the employment of a worker on a work permit when their visa expires, the Trust must have a Sponsorship Licence (Tier 2) and issue a Certificate of Sponsorship (CoS). The Trust currently has a category A Sponsorship Licence and to retain this licence we must adhere to a code of conduct, which includes record keeping duties, compliance and co-operation with the Home Office. If following the recruitment process the preferred candidate is from outside of the UK/EEA you will need to seek advice from HR on the application process for a CoS. The HR Department will apply for a CoS and subject to certain conditions if this is granted, the CoS can then be used by the candidate to apply for leave to remain, or entry to the UK. Foreign nationals from outside the EEA or Switzerland must NOT be employed unless the Trust successfully apply for a CoS and the individual then secures appropriate ‘leave to remain’. Some foreign nationals may have secured a United Kingdom Residence Permit (UKRP) in which case a CoS does not have to be applied for. Evidence of the UKRP must be seen, copied and securely filed.

http://www.nhsemployers.org/your-workforce/recruit/employer-led-recruitment/international%20recruitment

http://www.nhsemployers.org/your-workforce/recruit/employer-led-recruitment/international%20recruitment

http://www.gov.uk/turkish-worker


13.1 Points Based System This system allows the Government to regulate the number of immigrants from outside the UK/EEA who wish to come to the UK to study, train or work. There are 4 Tiers in the Points Based System and the Trust regularly use Tiers 2 and 4.

Tier 2 – Skilled workers with offer of work to fill a gap in the UK work force.

Tier 4 – Students, UK Education providers are able to act as sponsors for students from outside of the UK/EEA. – (See Section 16 for more details)

13.2 Skills Shortage Occupations The Home Office maintain a list of occupations that are difficult to recruit to in the UK and will support an application for a Work permit for one of these occupations.

13.3 Resident Labour Market Test The Home Office will consider applications for a Work Permit for posts that are not recognised as Skills Shortage Occupations if the Trust has carried out a Resident Labour Market Test to provide evidence that it has tried but failed to recruit a UK resident or an EEA national to the position.

14. ASYLUM SEEKERS

An asylum seeker is a person who has made an application for asylum but whose application has not yet received a decision. There are only a small number of asylum seekers who have the right to work in the UK. If they do have the right to work, their Application Registration Card (ACR) will state “employment permitted”. The HR Department is responsible for checking the right to work in the UK of an asylum seeker.

A photocopy of the ARC must be made and kept on the personal file

15. REFUGEES

A refugee is a person who has been given “Leave to Remain” on the basis of a successful asylum application and has rights under the Refugee Convention to be treated no less favourably than citizens of the host nation. In the UK refugees have the right to work and are able to move and reside freely.

Some individuals may not meet the criteria for the refugee status under the Convention but may qualify for Humanitarian Protection (five years) or discretionary leave to remain (up to three years)

Refugees may not hold a passport from their country of origin or have official documents e.g. birth certificate or photo-cards. The UK Government will issue an Immigration Status Document (ISD) to indicate their refugee status. The ISD can be used for identification purposes in recruitment.

The HR Department is responsible for checking the Right to Work in the UK of a refugee and the process for checking the Right to Work in the UK will be the same as for any candidate.


16. INTERNATIONAL STUDENTS

Some international students are able to work part-time whilst studying in the UK, and full-time during term holidays. Other international students will have no right to work in the UK. Further guidance can be found at www.gov.uk/government/publications/right-to-work-checks-employers-guide.

To employ a student with a limited right to work during term time the Trust must see evidence from the student of the academic term and holiday dates for the duration of the study period. The evidence must be from the Educational Institution where they will study.

Evidence that can be accepted:

Printout from the Education Institutes website or other publication, showing the timetable for the student’s course. Websites should be checked to ensure they are genuine.

Copy of a letter or email addressed to the student from the Education Institution which confirms term dates for the student’s course.

Letter from the Education Institute addressed to the Trust confirming the term dates for the student’s course.

The evidence is required to be able to establish and maintain a statutory excuse against liability for a civil penalty.

17. RECRUITMENT RESPONSIBILITES

17.1 Interview Chair Person

The Line Manager or Chair of the Interview Panel is responsible for validating a candidate’s identity using the Identity Checklist – Section 3 and Right to Work in the UK – Section 9 during the formal face to face interview. Guidance on validating these documents can be found as Appendix 2. This includes checking the Professional Registration of the candidate.

Original documents must be seen and photo-copies taken, these copies should be signed and dated by the Line Manager or Panel Chair stating that originals have been seen and sent to the HR Directorate with all interview papers.

If a foreign national is the preferred candidate, the Line Manager/Panel Chair is responsible for advising the HR Directorate, so that a Work Permit application can be made.

17.2 HR Responsibilities

The HR Directorate will check that the Identity and Right to Work in the UK documents

are appropriate and valid, if they are inappropriate or insufficient, HR will obtain the necessary additional or more recent documents.

The HR Directorate will check the photocopy of the passport for an appropriate visa and current ‘Leave to Remain’ status.

It is important to understand that a Work Permit and “Leave to Remain” Visa relate to the post and the Organisation on the original application form and are not transferable to other posts and Organisations.

http://www.gov.uk/government/publications/right-to-work-checks-employers-guide

http://www.gov.uk/government/publications/right-to-work-checks-employers-guide


17.3 APPOINTING ON A WORK PERMIT

When a candidate on a work permit, with appropriate “Leave to Remain” is appointed to the Trust, the HR Directorate will ensure that the original work permit or letter of permission, copies of passport and ‘Leave to Remain’ visa are recorded in the E-Personal file. The E-Personal file must be recorded as a ‘Work Permit’ file on the Electronic filing system.

The details of the work permit / letter of permission must be entered on to the electronic staff record (ESR).

The Contract of Employment will be issued for a fixed term period to link into the period approved on the Work Permit and “Leave to Remain” visa.

Details of the work permit, fixed term expiry date, passport, Professional Registration and ‘Leave to Remain’ visa must also be entered onto the Work Permits Database.

18. VALIDATING DOCUMENTS

Listed below are some key checks that must be carried out on the documentation of all candidates, more detailed information can be found in Appendix 2:

Check any photograph is a good likeness to the candidate being interviewed.

Check date of birth is consistent to other documents presented and to the appearance of the candidate.

Check expiry dates of passport and any ‘Limited Leave to Enter or Remain’ to ensure they are still valid

Check any Government endorsements regarding the type of work the individual can do

If documents show different names, you must obtain further evidence of the name change i.e. marriage certificate, divorce certificate, deed poll, adoption certificate.

All dates must be cross referenced on identity documents and work permits.

18.1 Allowed to Live and Work

If the passport provides evidence that the individual is free to reside in the UK and undertake the type of work and working hours, the HR Directorate will inform the Line Manager and send a conditional offer of employment.

Photocopies of all identity documents and ‘Right to Remain’ and work in the UK must be taken and placed on the E-Personal file.

18.2 Allowed to work with restrictions

If the passport provides evidence that the individual is free to reside in the UK, undertake the type of work available but there are restrictions on working hours, the HR Directorate will inform the Line Manager of these restrictions. The Line Manager will consider if the employment can still be offered with such restrictions, and will advise the HR Directorate if a conditional offer of employment encompassing these restrictions is to be made.

Photocopies of all identity documents and ‘Right to Remain’ and Right to Work in the UK must be taken and placed on the E-Personal file


18.3 Requires Work Permit and Leave to Remain

If the passport provides evidence that the individual requires a work permit or a letter of permission, the HR Directorate will check to see if the occupation falls into the Home Office Skills Shortage List (Section 13.2), and if it does not a Resident Labour Market Test (Section 13.3) would need to be carried out.

The HR Directorate will make an application following the process detailed on the UK Border & Immigration Agency website to obtain the appropriate authorisation. Applications will be made on line on the Points Based System (Section 13.1).

Once the Home Office advises that an ‘Immigration Employment Document‘ has been approved the HR Directorate will proceed in line with the content of the letter. The letter will normally advise of two courses of action, depending on whether the candidate is currently in country or out of country.

19. APPLYING FOR CERTIFICATE OF SPONSORSHIP

19.1 IN COUNTRY APPLICATIONS - If the candidate is currently living and working in the UK.

Usually an offer of employment can be made and the individual will have six months or to the expiry of their current Leave to Remain (whichever is sooner) to obtain further Leave to Remain.

In these circumstances the HR Directorate will issue a conditional offer of employment enclosing the CoS number or letter of permission. The written statement of terms and conditions of employment will state that employment is subject to the Work Permit status.

The individual must apply for further ‘Leave to Remain’ using a FLR(IED) application form and inform the HR Directorate showing evidence of the new Leave to Remain as soon as this is received. The HR Directorate will record the candidate on the Work Permit database and set a diary date to ensure this evidence has been received and regularly reviewed.

19.2 OUT OF COUNTRY APPLICATIONS - If the candidate is currently living outside of the UK.

Usually a conditional offer of employment can be sent to the individual, enclosing the CoS number or letter of permission. The candidate will then need to apply for entry clearance via the British Embassy in their resident country.

19.3 RECRUITMENT DELAYS

If the Immigration Employment Document states that the candidate cannot be employed until the candidate has obtained further ‘Leave to Remain’, the HR Directorate will advise the Line Manager and agree how long it is practicable to hold the vacancy open for (minimum of one month) and issue a conditional offer of employment:

enclosing the Cos number or letter of permission advising that the individual must apply for ‘Leave to Remain’ and they

should contact the HR Department when this is received


advising that only at this point will the Trust be in a position to confirm employment and discuss a start date

advising that if they are unable to confirm they have ‘Leave to Remain’ within the given timeframe the conditional offer will be withdrawn.

20. NO RIGHT TO WORK IN THE UK If during the recruitment process you establish that the candidate is not permitted to

work in the UK, you must not allow them to commence work with the Trust under any circumstances.

The Trust will have the discretion to either withdraw the conditional offer of employment

or give the candidate a two week period to provide evidence that they do have permission to work in the UK.

21. RENEWAL OF A WORK PERMIT

Using the Work Permit database, and reports from ESR, the HR Directorate will contact Line Managers 3 months prior to the expiry of an employee’s work permit to find out whether the Work Permit is to be extended, whether the employee is applying for Permanent Residency or is not intending to remain in the employment of the Trust after the expiry date.

If the work permit is to be renewed Line Managers must provide an authorised Vacancy Approval Form and the HR Directorate will submit an application for a further CoS. If this is approved the employee will then need to apply for further ‘Leave to Remain’, once evidence is seen that this has been granted a further fixed term contract of employment can be produced. The HR Directorate will make a diary entry to ensure the new period of ‘Leave to Remain’ has been obtained within the timescales.

If the employee gains ‘Indefinite Leave to Remain’, a copy of the visa must be taken and placed in the E-Personal file. The Work Permit data base and ESR must be updated with the new details and a permanent contract of employment can be issued.

22. NON-STARTERS & LEAVERS

22.1 Employees failing to commence employment All line managers have the responsibility to inform the HR Directorate when a prospective employee on a work permit basis fails to take up their appointment. The HR Directorate are then responsible for notifying the UK Border & Immigration Agency within 10 working days of the failure to take up the post. This will be done using the 'Notification of Premature End of Employment' form available on the UK Border & Immigration Agency website.

http://www.ukba.homeoffice.gov.uk/workingintheuk/tier2/workpermits/prematureendofemployment/

22.2 General leavers Premature End of Employment All Line Managers must contact the HR Directorate as soon as they receive a resignation from an employee who is employed on a Work Permit. The HR Directorate are responsible for notifying the UK Border & Immigration Agency within 10 working days if a work permit holder leaves employment prematurely.

http://www.ukba.homeoffice.gov.uk/workingintheuk/tier2/workpermits/prematureendofemployment/


This must be done using the 'Notification of Premature End of Employment' form which is available on the UK Border & Immigration Agency website. 22.3 Contracts terminated The Line Managers must contact the HR Directorate to advise of any Contract of Employment being terminated on the grounds that the fixed term period has expired and the contract is not going to be renewed or extended. The HR Directorate will be involved with the termination of any Contract of Employment due to Disciplinary Breaches, Capability or Redundancy. In all cases the HR Directorate are responsible for notifying the UK Border & Immigration Agency within 10 working days of a work permit holder leaving their post prematurely. This must be done using the 'Notification of Premature End of Employment' form which is available on the UK Border & Immigration Agency website. 22.4 Fail to attend work

Line Managers are responsible for informing the HR Directorate of any employee on a Work Permit that fails to turn up for work without prior permission.

The HR Directorate are responsible for notifying the UK Border & Immigration Agency within 10 working days of a work permit holder failing to attend work. This must be done using the 'Notification of Premature End of Employment' form which is available on the UK Border & Immigration Agency website.

23. CHANGES IN EMPLOYMENT

The HR Directorate Departments will inform the UK Border and Immigration Agency using the Change of Circumstances screen on the sponsor management system, of any employee on a Work Permit who is demoted (under capability procedure) or is subject to any other significant change in employment (including a 10% or higher salary change).

24. RECORD KEEPING DUTIES

The Trust have an obligation to maintain robust HR Systems to record and securely store all relevant documents for employees on a Work Permit, and make these documents available to officials of the UK Border & Immigration Agency on request. A record of the date on which a check was carried out must be recorded and signed to provide evidence against a penalty being imposed on the Trust.

All employees on a Work Permit must be recorded on the Excel Database, which includes expiry dates for the Work Permit, Leave to Remain, Contract of Employment, Professional Registration and Passport.

The Database must be able to identify when the above documents need to be revalidated and the new information validated and recorded.

Work permit and fixed term contract dates must be entered into ESR. Reports from ESR can be run on a regular or ad hoc basis to confirm compliance.


Contact details, including address, telephone numbers, and mobile number, must be recorded on ESR and rechecked as appropriate. A copy of these details must be kept in the employee’s E-Personal file.

The Staff Handbook and the Terms and Conditions of Employment clearly state that an employee must inform the HR Directorate of any changes to their home address or contact telephone numbers.

Regular notices are included on all employee pay slips reminding staff they must inform the HR Directorate of any changes to their home address or contact telephone numbers

When copying or scanning a passport or other travel document please ensure that any page with the expiry date, nationality, date of birth, signature, leave expiry date, biometric details and photograph are copied. Along with any page showing proof that the candidate/employee has entitlement to ‘Enter’ or ‘Remain’ in the UK and work in the type of job being offered.

When copying or scanning a Biometric Residence Permit please copy both sides.

A copy of the Work Permit letter, ‘Leave to Remain’ visa stamp, and Passport must be kept in the employee’s E-Personal file.

A copy of the original professional accreditation certificate and evidence of current registration must be kept in the employee’s E-Personal file.

The E-Personal file must be recorded as ‘Work Permit’ status.

All documents will be kept for the duration of the employment and for 6 years once the employee has left in line with the Data Protection Act.

25. TRANSFER OF UNDERTAKINGS (Protection of Employment)

REGULATIONS 2006 (TUPE) Employees acquired as a result of a TUPE transfer are allowed 60 days from the date of transfer to undertake the appropriate document checks. The Trust must carry out their own checks and must not rely on the checks done by the previous employer. The HR Directorate must advise the UK Border and Immigration Agency that it now has responsibility for these employees, using the Change of Circumstances screen on the sponsor management system. If employees on a work permit are transferred to another Organisation under a TUPE transfer, the Trust must advise the transferee of their status.

26. REVIEW & MONITORING

The HR Directorate will ensure that this policy is followed for all new and existing employees. All relevant information surrounding the right to work will be recorded on a secure Excel Database which will be used to track the validity of the information, and on the NHS ESR system.

This policy and procedure will be reviewed and monitored annually by the Executive Director of Workforce and Communications in consultation with Trust Council.


27. DOCUMENT CONFIGURATION

Author(s): Angie Manning, HR Manager

Other contributors:

Approvals and endorsements: Trust Council

Consultation: Trust Council

Issue no: 3

File name: CharlieS/Personnel/Angie/Policies 2018/Eligibility to Work

Supercedes: PP(15)245

Equality Assessed Yes – form completed

Implementation Policies will be distributed by the IG Manager to General Managers, Service Managers and all Ward/Department Managers. Policy will be available on the Trust Intranet Site.

Monitoring: (give brief details how this will be done)

Implementation, compliance and effectiveness of this policy will be monitored by the HR & Communications Directorate on an ongoing basis. This will be achieved by monitoring the use of the policy using a secure excel database. At recruitment stage checks are made to ensure the Work Permit process is followed and recorded. 100% compliance is required on obtaining and maintaining valid work permits and leave to remain.

Other relevant policies/documents & references:

Recruitment & Selection Policy PP()049 Disclosure Policy PP()125 Registration/Statutory Responsibility of Professional Staff PP()096 NHS Employment Check Standards The Prevention of Illegal Working – UK Border & Immigration Agency Data Protection Act 1998 Validating Identify Documents

http://www.ukba.homeoffice.gov.uk/workingintheuk/wrs/




IDENTITY CHECK LIST APPENDIX 1

It is ESSENTIAL that you provide the required documents to prove your identity, as detailed in the following tables. This will ensure our Identity Checks can be carried out quickly. Please note that all documents provided will be checked for authenticity. Please tick the appropriate box for each document you provide. Please bring original documents and a photocopy of each document provided. In Addition it is ESSENTIAL that you provide

Evidence of qualifications

Evidence of Professional Registration (where applicable)

LIST 1 - Acceptable photographic personal identification

Passport – Full, signed UK (Channel Islands, Isle of Man or Irish) or EU/other nationalities.

Passport - of non-EU nationals and other valid evidence relating to immigration status and permission to work.

Driving Licence – UK/EU full or provisional photocard driving licence (if issued by the DVLA you are not required to see the paper counterpart. Licences issued in Northern Ireland by the DVLA must be presented with the paper counterpart).

Driving Licence – Other nationalities photocard driving licence (valid up to 12 months from the date when the individual entered the UK. The person checking the document must be able to assure themselves that the licence looks bona fide).

Biometric Residence Permit

HM Armed Forces Identity card (UK)

ID cards - carrying the PASS (Proof of Age Standards Scheme) accreditation logo (issued in the UK and Channel Islands and Isle of Man only) e.g. a UK Citizen ID card. Organisation identity cards are not acceptable as they do not contain watermarks, holograms or other security markings.

If no acceptable photographic identification documents are available

The following combination of documentary evidence should be requested:

Two documents confirming their current address from List 2 plus

Two forms of non-photographic personal identity from List 3; and

a passport sized photograph of themselves. Each documents provided should be from a different source and photographs must be endorsed on the back with the signature of a person of some standing in their community. This should be either a magistrate, medical practitioner, officer of the armed forces, teacher, lawyer, bank manager or civil servant who has known them for at least three years. The person signing the photograph should also provide a signed statement stating how long they have known the applicant. Check that signature in the statement matches the one on the back of the photograph, and the name is legible, and an address and telephone number has been provided that can be verified.


LIST 2 - Acceptable confirmation of address documents

Utility Bill - gas, water, electricity or land-line telephone, or a certificate from a utility supplier confirming the arrangement to pay for the services on pre-payment terms at a fixed address, which must have been issued within the last 3 months. More than one utility bill may be accepted if these are from two different suppliers. Utility bills in joint names are also permissible (UK).*

Local Authority Tax Statement – for example, a council tax statement (UK and Channel Islands).**

Driving Licence - UK full or provisional– if not already presented as a personal photographic identity (that were issued before the photocard licence in 1998 and remain current and in date). Old-style provisional licences not acceptable).

HM Revenue & Customs Tax Notification - i.e. tax assessment, statement of account, notice of coding but not a P45 or P60).**

Financial Statement - bank, building society, or credit card statement (UK and EEA).* Non EEA statements must not be accepted)

Credit union statement (UK)*

Mortgage statement from a recognised lender** (UK and EEA) Non EEA statements must not be accepted

Local Council rent card or tenancy agreement*

Benefit of entitlement to Department of Work and Pensions Benefits (DWP) for example, child allowance, pension etc. (UK)**

confirmation from an electoral register search that a person of that name lives at the claimed address.**

If providing evidence for previous addresses is difficult, you could carry out an electoral register check. Residence gaps should be handled sensitively and probed at interview to identify reasons for any gaps. If the individual has been living abroad, ask them to provide confirmation of address such as a tenancy agreement or a bank statement.

LIST 3 - Acceptable non-photographic personal identification

Full birth certificate - (UK and Channel Islands) issued after the date of birth by the General Register Office or other relevant authority, for example registrars.

Full birth certificate - issued by UK authorities overseas, such as embassies, high commissions and HM Forces.

Driving Licence - UK full old-style paper (old-style provisional licences are not acceptable).

HM Revenue & Customs (HMRC) tax notification, e.g. an assessment, statement of accounts, P45, P60 or notice of coding (UK and Channel Islands)**

Work/Residency Permit - (UK) valid up to the expiry date. Adoption Certificate- (UK and Channel Islands). Marriage or Civil Partnership Certificate - (UK and Channel Islands). Divorce, Dissolution or Annulment papers - (UK and Channel Islands). Gender Recognition Certificate.


Deed Poll Certificate. Firearms Certificate/Licence - (UK, Channel Islands and Isle of Man). Police Registration Document. Certificate of Employment - in the HM Forces (UK)

Benefits evidence of entitlement to Department of Work & Pensions benefits, e.g. child allowance, pension etc. (UK).

Document - from a local/central government authority or local authority giving entitlement such as Employment Services, Job Centre, Social Security Services (UK and Channel Islands).

LIST 4 - Acceptable documents for those who have recently left full time education (16 to 19 year-olds) You should ask for one piece of personal photographic evidence; or where not genuinely possible, a passport sized photograph which is endorsed by a person of some standing in their community as indicated in the section above; and a combination of two of the documents listed below:

Grant or student loan agreement from a local education authority (UK)

Full birth certificate (UK and Channel Islands) issued after the date of birth by the General Register Office or other relevant authority, for example registrars

Full birth certificate issued after the date of birth by UK authorities overseas, such as embassies, high commissions and HM Forces

National Insurance (NI) number or proof of issue of an NI number

Letter from their head teacher or college principal verifying their name and other relevant information for example, address or date of birth (UK)

Document from a local/central government authority or local authority giving entitlement such as Employment Services, Job Centre, Social Security Services (UK and Channel Islands)*

Qualification certificate.

* Document must be dated within last three months ** Document must be dated within the last twelve months


APPENDIX 2 .

Identity Documents – Validation Guidelines Checking the validity of potential candidates’ identity documents is an integral part of the verification of identity checks. It is the responsibility of the line manager or Chair of the interview panel. This document details the NHS guidance on checking the validity of documents. It is essential that the documents are obtained via a face-to-face meeting between the candidate and Line Manager/Panel Chair, this is usually via a formal interview. Documents can also be brought to the HR Directorate where they will be verified and copied. Responsibility includes: 1. Ensuring that the required documents are obtained and are original. 2. Taking a photocopy of all documents in their entirety. Photocopies of passports will include

any page containing the holder’s personal details, signature, Government and immigration endorsements.

3. Signing and dating each document photocopy. 4. Validating the documents using this guidance. 5. Safe storage of the documents until they are transferred to the responsibility of the HR

department.

Advice for employers on verification of identity

Do not take documents at face value; ensure that they are checked thoroughly. Tax documents, payslips, degree certificates and fake documentation are all available online. Do not check documents in isolation – cross-reference with other data supplied. If the data doesn’t match, ask for further evidence. If in doubt that the documentation is genuine ask the individual to come back for a second interview to give you time to follow up with relevant sources. Checking Signatures

Cross-reference signatures on identity documents with each other and with the signature provided on the application form. Candidates should be asked to sign electronic application forms at interview.

Passports (UK or overseas)

Check the general quality and condition, watch for page substitution, incorrect numbering of pages, damage to cover or spine, poor paper/print quality.

Check that print is clear and even. Check wording, issue and expiry dates – spelling mistakes are common in forged or

counterfeit documents, especially on stamps and visas. Check for damage – ‘accidental’ damage is often used to conceal tampering so treat any

excessive damage with caution. Check photographs for size, signs of damage or for excessive glue – could indicate photo

substitution. There should be an embossed strip which will catch a portion of the photograph.

Check that watermarks can be clearly seen when holding the document up to the light. Check the name of the country of origin – for non-existent countries, or countries no longer

known by their original name.


Visas Check for signs of alteration to the passport number or personal and issue details – make

sure details match passport. Check for security features, such as watermarks. Check image on the visa for signs of substitution Check wording for evidence of alteration or spelling mistakes

Photo driving licences and photo identity cards

New driving licences and photo identity cards now contain similar security features to those present in passports.

Examine the licence carefully looking for any damage or adjustments Ensure that the printed details have not been changed. In the case of a UK driving licence – remove from the plastic wallet and check it is printed

on both sides, check that the details on the counterpart document correspond with those on the photo-card and compare signatures.

Check that watermarks and security features are intact Ensure the valid-to date is the day before the owner’s 70th birthday (if the owner is over 70

this does not apply). Cross-reference the valid-to date with the applicant’s date of birth that appears on other ID.

Birth certificates

Original Certificates are more reliable than recently issued duplicates. Check quality of paper used; genuine certificates use a high grade. Check for visible watermark Signs of smoothness on the surface may mean the original text has been washed or

rubbed away. Check for signs of tampering, changes using liquid paper, overwriting or spelling mistakes.

Supporting documentation

Utility bills and bank statements support an individual’s identity and proof of address but are not identity documents. These documents can be easily obtained or forged and, unlike identity documents, do not have many security features that you can easily check. The following checks will help to identify any inconsistencies or anomalies.

Check that documents are not photocopies. Check the document is on original quality letterhead paper. Pay particular attention to the

company logo – logos lose their quality when photocopied or scanned. Doubts on authenticity of information

If you have any concerns regarding the validity of any document there may be a reasonable explanation, and the situation will need to be dealt with sensitively. If you have concerns:

Contact the Human Resources Department for advice. Call the applicant back for a second interview so that checks can be made with the

relevant sources including the Home Office employers’ helpline.


APPENDIX 3

RIGHT TO WORK IN THE UK CHECK LISTS

It is ESSENTIAL that you provide the required documents to prove your Right to Work in the UK, as detailed in the following tables. This will ensure our Right to Work Checks can be carried out quickly. Please note that all documents provided will be checked for authenticity.

One of the documents or a combination of documents specified in List A

or

One of the documents or combinations of documents specified in List B No other documents or combinations of documents are acceptable to confirm the Right to Work in the UK. F

LIST A: Acceptable documents to establish a continuous statutory excuse

Passport showing the holder, or a person named in the passport as the child of the holder, is a British citizen or a citizen of the UK and Colonies having the right of abode in the UK.

Passport or national identity card showing that the holder, or a person named in the passport as the child of the holder, is a national of a European Economic Area country or Switzerland.

Registration Certificate or Document Certifying Permanent Residence issued by the Home Office to a national of a European Economic Area country or Switzerland.

Permanent Residence Card issued by the Home Office to the family member of a national of a European Economic Area country or Switzerland.

Current Biometric Immigration Document (Biometric Residence Permit) issued by the Home Office to the holder indicating that the person named is allowed to stay indefinitely in the UK, or has no time limit on their stay in the UK.

Current passport endorsed to show that the holder is exempt from immigration control, is allowed to stay indefinitely in the UK, has the right of abode in the UK, or has no time limit on their stay in the UK.

Current Immigration Status Document issued by the Home Office to the holder with an endorsement indicating that the named person is allowed to stay indefinitely in the UK or has no time limit on their stay in the UK, together with an official document giving the person’s

permanent National Insurance number and their name issued by a Government agency or a previous employer.

Full birth or adoption certificate issued in the UK, which includes the name(s) of at least one of the holder’s parents or adoptive parents, together with an official document giving the

person’s permanent National Insurance number and their name issued by a Government agency or a previous employer.

Birth or adoption certificate issued in the Channel Islands, the Isle of Man or Ireland, together with an official document giving the person’s permanent National Insurance number and their name issued by a Government agency or a previous employer.

Certificate of registration or naturalisation as a British citizen, together with an official document giving the person’s permanent National Insurance number and their name issued by a Government agency or a previous employer.


LIST B: GROUP 1: Documents where a time-limited statutory excuse lasts until the expiry date of leave.

Current passport endorsed to show that the holder is allowed to stay in the UK and is currently allowed to do the type of work in question

Current Biometric Immigration Document (Biometric Residence Permit) issued by the Home Office to the holder which indicates that the named person can currently stay in the UK and is allowed to do the work in question

Current Residence card (including an Accession Residence Card or a Derivative Residence

Card) issued by the Home Office to a non-European Economic Area national who is a family member of a national of a European Economic Area country or Switzerland or who has a derivative right of residence.

Current Immigration Status Document containing photograph issued by the Home Office to the holder with a valid endorsement indicating that the named person may stay in the UK, and is allowed to do the type of work in question, together with an official document giving the person’s permanent National Insurance number and their name issued by a Government agency or a previous employer

LIST B: GROUP 2: Documents where a time-limited statutory excuse lasts for six months

A Certificate of Application issued by the Home Office under regulation 17(3) or 18A (2) of the Immigration (European Economic Area) Regulations 2006, to a family member of a national of a European Economic Area country or Switzerland stating that the holder is permitted to take employment which is less than 6 months old together with a Positive Verification Notice from the Home Office Employer Checking Service.

An Application Registration Card issued by the Home Office stating that the holder is permitted to take the employment in question, together with a Positive Verification Notice from the Home Office Employer Checking Service.

A Positive Verification Notice issued by the Home Office Employer Checking Service to the

employer or prospective employer, which indicates that the named person may stay in the UK and is permitted to do the work in question.