UCL HUMAN RESOURCES

POLICY AND PROCEDURE

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Recruitment and Selection Policy

Foreword by the Provost
Recruiting and selecting the right people is of paramount importance to the continued success of
UCL. This Recruitment and Selection Policy sets out how to ensure, as far as possible, that the
best people are recruited on merit and that the recruitment process is free from bias and
discrimination.
Building on the previous guidelines, the main thematic change relates to monitoring the
recruitment process and its outcome. The Equality Act 2010 places a responsibility on
organisations to monitor, amongst other things, their recruitment processes to ensure they are not
discriminatory. Accordingly, this policy sets out a procedure to enable departments to monitor
staff recruitment and to provide information to enable the appropriate committees to monitor
recruitment activity across all of UCL.
By following the policy, in addition to fulfilling employment law requirements, UCL will also
ensure that it continues to uphold its commitment to equal opportunity.
Contents
1. Introduction
2. Scope
3. New Jobs and Job Vacancies
4. Job Description (details of the role)
5. Person Specification
6. Details for Applicant
7. Publicising the Vacancy
8. Advertising on UCL's Website and the Internet
9. Advertisements internal to the University of London
10. Processing Applications
11. Selecting the Interview Panel
12. Monitoring
13. Shortlisting
14. Arrangements for Interviews
15. Interviewing
16. Selection Tests and Presentations
17. Making a Decision after interview
18. References
19. Criminal reference checks
20. Appointment
21. Certificates of Sponsorship
22. Induction and Probation
23. Salary
24. Breaches of Policy

Appendix A Legislation See Equalities Web Site

Appendix B Sample Job Descriptions
Appendix C Procedure for sending advertisements to Human Resources
Appendix D Sample Shortlisting form
Appendix E Procedure for Monitoring the Recruitment & Selection Process
Appendix F Sample letters
Appendix G Questions to Applicants
Appendix H Guidelines for Giving References
Appendix I Information to be provided by CV Applicants
Appendix J Recruitment & Selection Checklist
Appendix K Right to Work Documents
Appendix L UCL Equal Opportunities Policy Statement
Appendix M Standard Terms and Conditions
Appendix N UCL Standard Information
Appendix O Checklist Regarding Disabled Candidates
Appendix P Checklist Management Competencies
Appendix Q Reference Template (only to be used if requesting academic references before
interview/selection for an academic position)
Appendix R Standard Reference Request (only to be used following selection)
Right to Work Guidance for Managers
Complete Set of Recruitment & Selection documentation
Introduction
1. This policy is designed to assist you to recruit and select the best candidate for a vacancy. In
doing so it also enables you to take account of:
 • UCL's equal opportunities policy (see appendix L)
Legislation including the Equality Act 2010,and the Data Protection Act 1998,
• Advice on good practice from the Equality and Human Rights Commission, the
Commission on University Career Opportunity, the Equality Challenge Unit and
Opportunity Now.
• Requirements for compliance with UK Immigration legislation (see paragraphs 58, 59
and 87-90)
See Equalities web site The Law for more information.
2. It is the responsibility of each Head of Department/Division to ensure that this policy is
carefully followed within their department/division. All Heads of Departments/Division should
make members of their staff aware of the obligation to familiarise themselves with and follow
this policy.
3. Advice on any aspect of this policy or procedures allied to it is available from the Human
Resources Division website, at 'www.ucl.ac.uk/hr'. A 'Recruitment and Selection Checklist' is
also provided in Appendix J of this policy.
Scope
4. Normally appointments must be made in accordance with this policy and must, therefore, be
subject to advertisement and interview. The Human Resources Division must approve any
exceptions in advance of formal appointment, for example where a grant awarding body
approves funding for a named individual to work on a particular piece of research and the grant
is dependent on that individual's contribution. Recruiting managers should refer to the guidance
in paragraph 1.3 of the UCL Research Ethics Framework surrounding the approval process to
undertake academic research. All ethical issues relating to a research project should be identified
and brought to the attention of relevant internal and external approval or regulatory bodies before
a position is advertised.
5. When employing temporary or casual staff on a short-term basis the principles of good
practice outlined in this policy should be followed. In summary these are that details of a post
must be publicised, selection must be on the basis of appropriate criteria and merit, a record of
the process and decision must be kept and the monitoring information returned to the HR
Division.
6. It is UCL policy that staff normally retire on the 31st July following their 65th birthday. In
light of its policy on retirement UCL will not normally employ someone who is within six
months of the 31st July following their 65th birthday. Where the best candidate is within six
months of that date, the decision to offer the candidate employment will be made in line with the
criteria for considering requests to work beyond retirement, as set out in UCL's Retirement
Policy.
7. Financial approval for the establishment of a new post or the filling of a vacancy must be
obtained before recruitment commences. Departments should therefore consult with the
appropriate section of the Finance Division - Planning & Management Accounts in respect of
non-research posts and Research Administration in respect of research posts.
New Jobs and Job Vacancies
8. The occurrence of a vacancy is an opportunity to review the necessity for the post and its
duties, responsibilities and grade.
9. Where the duties of a post have changed significantly the Head of Department must seek
confirmation from the Human Resources Consultancy team of the appropriate grade for the post,
ideally before financial approval is sought.
10. When a vacancy arises, consideration must be given to staff whose posts are being made
redundant and for whom redeployment is being sought (see
www.ucl.ac.uk/hr/docs/redeployment ). Details of employees seeking redeployment can be
found on the Redeployment Database. Recruiting managers must view this database and give
consideration where appropriate prior to an advertisement being placed. Recruiting a redeployee
can reduce both the time and the cost incurred in filling a vacancy.
11. When making appointments to posts with management responsibilities1, consideration must
also be given to UCL’s management competency expectations (see /hr/competencies/). For
academic, research and teaching posts, consideration must be given to the expectations outlined
in the document ‘Excellence and the UCL community: a shared endeavour’ (see
/hr/docs/ucl_excellence.php). These will vary according to the needs of the post, and the relevant
elements should be included in the ‘Person Specification’ (see paragraphs 16 - 28, below).
Job Description (details of the role)
12. A job description is a key document in the recruitment process, and must be finalised prior to
taking any other steps in the process (see Appendix B for sample job descriptions). It should
clearly and accurately set out the duties and responsibilities of the job and must include:
• the job title (which must be sex and age neutral)
• the location of the job i.e. department/faculty/division/research group
• grade of the post
• the post to whom the postholder is responsible
• any posts reporting to the postholder
• main purpose of the job
• main duties and responsibilities
• any special working conditions (e.g., unsocial or shift working patterns, the requirement -
for clinical posts - to obtain health clearance from an NHS Trust, the requirement for a
criminal record check - (see paragraph 82)
13. Items that should be included in job descriptions are:
• A note that indicates that, as duties and responsibilities change, the job description will be
reviewed and amended in consultation with the postholder
• An indication that the postholder will carry out any other duties as are within the scope,
spirit and purpose of the job as requested by the line manager or Head of
Department/Division
• A statement that the postholder will actively follow UCL policies including Equal
Opportunities policies
• An indication that the postholder will maintain an awareness and observation of Fire and
Health & Safety Regulations
14. The language in job descriptions should:
• Avoid jargon and unexplained acronyms and abbreviations
 • Be readily understandable to potential applicants for the post
'http://www.plainenglish.co.uk/'can proof documents for accessibility and plain, effective
English
• Avoid ambiguity about responsibilities and be clear about the postholder's accountability
for resources, staff, etc.
• Use inclusive language - for advice on non-discriminatory language see UCL's 'Guide to
non-discriminatory Language', at /hr/docs/non_discrim_language.php.
Person Specification
15. The person specification is of equal importance to the job description and informs the
selection decision. The person specification details the skills, experience, abilities and expertise
that are required to do the job. It should be drawn up after the job description and, with the job
description, should inform the content of the advert. The person specification should be specific,
related to the job, and not unnecessarily restrictive - for example only qualifications strictly
needed to do the job should be specified. The inclusion of criteria that cannot be justified as
essential for the performance of the job may be deemed discriminatory under the Equality Act
2010, if these impact disproportionately to the disadvantage of specific groups.
16. The person specification must form part of the further particulars of a vacancy along with the
job description in order that applicants have a full picture of what the job entails. The person
specification enables potential applicants to make an informed decision about whether to apply
and those who do apply, to give sufficient relevant detail of their skills and experience in their
application. The person specification forms the basis of the selection decision and enables the
selection panel to ensure objectivity in their selection. Sample person specifications can be found
in Appendix B.
17. UCL has agreed a set of management competencies which should inform the person
specification for staff with management responsibilities (‘Competency Expectations of Post
Holders with Management Responsibilities’ - see /hr/competencies/). Similarly, UCL has
outlined a range of expectations which should inform the person specification for all academic,
research, and teaching staff (‘Excellence and the UCL community: a shared endeavour’ (see
/hr/docs/ucl_excellence.php). When developing the person specification, the recruiting manager
will include the relevant competencies and expectations.
Elements of the Person Specification
18. The person specification details the:
• knowledge (including necessary qualifications)
• skills and abilities
• experience
• aptitudes
required to do the job, specifying which are essential and which are desirable; these may be
different from the attributes of the previous postholder.
19. Essential criteria are those without which an appointee would be unable to adequately
perform the job; Desirable criteria are those that may enable the candidate to perform better or
require a shorter familiarisation period.
20. Criteria which are subjective and for which little evidence is likely to be obtained through the
selection process should be avoided (for example, 'a flexible approach' is often too vague to be of
any help in the selection process).
21. Knowledge can be derived in a number of ways, for example through education, training, or
experience.
22. For some jobs a particular qualification(s) may be essential, while for others no single
qualification may be appropriate and a particular type of experience may be just as relevant as a
formal qualification. Where qualifications are deemed essential these should reflect the minimum
requirements necessary to carry out the job to an acceptable standard. UK qualifications should
be stated but (other than for required membership of a UK professional body) it should be made
clear that overseas equivalents will be accepted. The Human Resources Division can assist in
advising on the equivalence of particular overseas qualifications.
23. Candidates will increasingly come forward with National Vocational Qualifications (NVQs).
These qualifications recognise the achievement of employment-led standards of competence.
24. The type of experience required of applicants should be specified; but stipulating the length
of experience must be avoided unless it can be objectively justified because the quality of
experience is more important than its length and the Equality Act make such stipulation unlawful
unless objectively justified. It is also important to remember that experience is sometimes
transferable from one area of work to another, in which case specifying skills is likely to be more
effective than specifying a narrow definition of experience.
25. Required abilities should be expressed in terms of the standards required, not just in terms of
the task to be undertaken. For example, avoid statements such as 'Ability to write reports';
instead, indicate the expected standard, such as 'Ability to write detailed financial reports that
encompass departmental budgeting, annual variances, and forecasting'.
26. Extreme care must be taken if physical requirements are specified. The Equality Act requires
employers to make reasonable adjustments to a workplace or the way a job is carried out to make
them suitable for disabled people. (Further information is available on what is considered
reasonable and a helpful checklist regarding disabled candidates is also available ). It is therefore
important that any physical requirement is stated in terms of the job that needs to be done. For
example a job may require that the appointee 'must be able to travel to a number of different
locations on UCL business'. For driving jobs, it will be appropriate to specify the ability to drive.
27. Personal qualities may affect the ability of an individual to do the job, but they should not be
seen as substitutes for skills. For example, the ability to deal effectively with frustrated
customers is a skill. Simply possessing patience (a personal quality) will not be enough.
Details for Applicants
28. The details of a vacancy or 'further particulars' of a post must include the job description and
person specification for the post together with any other important information that a potential
applicant needs to decide whether to apply. The purpose of advertising a post is to attract the
widest range of high calibre applicants possible and therefore the further particulars sent to or
accessed by applicants must give a clear picture of the post, the department, and of UCL as an
employer.
29. Further particulars must include the following where they apply:
• details of the main terms and conditions of employment (including holiday and pension
arrangements, entitlement to apply for sabbatical leave if appropriate, working hours,
 call-out or shift patterns arrangements if appropriate, etc.). The standard terms and
conditions for research and support or academic roles are automatically inserted and
linked from adverts on Rome.
• details of any relocation benefits - relocation expenses, relocation supplements where
they apply, etc.
• Information about the department (including details about the research strategy or
research interests within the department). Standard information about UCL is
automatically linked from adverts on Rome.
• the Equal Opportunity Policy statement
• guidelines about completing the application form, including the number of referees and
whether there is an intention to seek references before interview
• where a CV is required, candidates should be advised that it must include: education
history (institution name, start and end dates of courses, qualification gained), details of
membership of any professional organisations, details of current or most recent employer
(name and address of current organisation, job title, salary and duties), details of previous
employment and how the applicants' knowledge, skills, and abilities meet the job
requirements;
• in addition, UCL requires applicants applying with a CV to provide standardised
monitoring information as indicated in Appendix I
• where applicable, a statement explaining that only candidates who are shortlisted will be
contacted - see 60
• where applicable, a copy of either ‘Competency Expectations of Post Holders with
Management Responsibilities’ (see 18 and /hr/competencies/) OR ‘Excellence and the
UCL community: a shared endeavour’ (see /hr/docs/ucl_excellence.php)
• reference to the Human Resources website which details UCL's employment policies,
including UK immigration rules
• an indication of the need for a Criminal Records Bureau check, depending on the post
(see paragraph 82 below)
• Proof of Right to work - guidance for candidates
30. General information about UCL is linked from all Rome adverts and can be found here
Appendix M.
31. When requested and where reasonable, documentation should be translated into alternative
formats. For example blind or partially sighted people should be allowed to receive an
application in a different form e.g. via a hard copy. Alternatively the candidate my request
Braille, large print, tape or an electronic format so that their accessibility software can be used.
Assistance with the production of alternative formats is available from UCL's Equal
Opportunities Officer.
Publicising the Vacancy
32. Authorisation needs to be obtained from both the Finance and HR Divisions before a role is
cleared for advertising. Please refer to the Recruitment Approval Policy for further details.
33. All job advertisements must be placed through the online recruitment system (Rome) to
ensure compliance with this policy and because the contract with UCL's advertising agency is
dependent on significant volume discounts. All vacancies will appear on UCL’s external website
and via a link from the The University of London vacancy website. This ensures that vacancies
are open to external applicants. The only exceptions to this are where an individual is named on a
grant application (see paragraph 4 above), where restructuring is taking place or where staff are
facing redundancy and the HR Division is seeking redeployment for existing staff.
34. The majority of posts, however, will also be concurrently advertised in other specialist,
national or international media to maximise the chances of attracting the best candidate. All posts
must be advertised for a minimum of two weeks to help attract the best pool of applicants and
ensure compliance with immigration rules. Attention is drawn to the specific requirements in
relation to advertising for Certificate of Sponsorship (previously work permits) purposes (see
paragraph 88). More information about applications can be found on the Human Resources web
site at: '/hr/docs/wpguide.php'.
35. The Equality and Human Rights Commission advises that 'word of mouth' recruitment is
likely to be indirectly discriminatory in terms of race and/or sex discrimination. It is very
important therefore that all posts are advertised as widely as possible in media that reach
underrepresented groups and that all applicants are dealt with in the same way and given the
same information and opportunity to make an application.
36. To ensure that applicants are fully informed about the vacancy for which they are applying
and to ensure that they provide UCL with all the information we require, adverts must direct
applicants to the further particulars, which will provide more information including how to
apply.
37. An advertisement is written from the job description and person specification and should
contain the following points:
• UCL name and logo (use of the UCL logo is strictly regulated; a guide to 'Using the UCL
Logo' is available from the Development Office (/corporate-identity/artwork)
• title of vacancy
• salary inclusive of London Weighting
• brief details of the job
• key details of the person specification
• the necessity of a criminal records check, if required, see paragraph 82 or an
Occupational Health Assessment
• duration of the appointment (if fixed term)
• how to access further particulars of the vacancies
• closing date for applications (sufficient time should be allowed to enable applicants to
consider the further particulars and make their application)
• where known, date of interview
• A statement reflecting UCL's commitment to equality of opportunity is automatically
included in all recruitment advertisements
38. Assistance with drafting advertisements is available on request from the Human Resources
Division.
39. Heads of Departments must ensure that permission to fill a post has been obtained before
seeking to publicise a vacancy; details are available from the appropriate section of the Finance
Division - Planning & Management Accounts in respect of non-research posts and Research
Administration in respect of research posts.
40. More information about advertising vacancies and targeting advertisements can be found at
Appendix C.
41. A copy of adverts placed in all media should be retained by the department. These are
required to support evidence of the Resident Labour Market Test having been met where a
Certificate of Sponsorship is requested. [link to CoS doc]
Advertising on UCL's Website and the Internet
42. Instructions on how to prepare advertisements for placement on online system (Rome) can be
found on the Human Resources website.
43. The most popular and effective website for posts within Higher Education is
'http://www.jobs.ac.uk'. It advertises vacancies for the academic community and associated areas
of research in both the public and private sector.
Processing Applications
44. Heads of Departments must make their staff aware that when dealing with enquiries about
vacancies it is unlawful to state or imply that applications from one sex or from a particular
racial group would be preferred and to do so may lead to a complaint of race or sex
discrimination against UCL.
45. Care must also be taken when initiating contacts with applicants that all are treated in the
same way, for example with regard to invitations to visit the department, informal meetings to
discuss the vacancy, and provision of information.
46. The confidentiality of applications must be respected by all of those involved in the selection
process.
Selecting the Interview Panel
47. All interviews must be conducted by a panel. The Head of Department/line manager should
select interview panel members prior to the closing date. This allows panel members to assist in
the shortlisting process. Familiarity with the vacancy and preparation for the interview is a key to
successful interviewing.
48. Panels must:
• consist of a minimum of three people including the immediate line manager of the vacant
post, a colleague who is familiar with the area of work and a third person, preferably
from outside the department to balance the panel's perspective.
• consist of staff who have received training in fair recruitment and ideally at least one
member who has received disability awareness training. Courses are provided by the
OSD department http://www.ucl.ac.uk/hr/osd/ .
• consider if the appointment is to a department providing services to the rest of the
College, of inviting an end user of these services to join the panel
• reflect a sex and ethnicity balance wherever possible - the make up of panels will be
monitored to assess how regularly this is achieved
• declare if they already know a candidate
 • be willing and able to attend all interviews for the duration of the recruitment process, to
maintain consistency and to ensure fair treatment of all candidates.
49. UCL's Statutes prescribe the appointment to certain senior posts within UCL. Guidelines on
the composition of appointment panels for academic staff groups are set out in Part C of the
Academic Manual, on UCL's website at /academic-manual/part-e/.
Monitoring
50. UCL is required by the Equality Act 2010 to monitor the ethnic origin, sex and disability
status of applicants for all posts, those shortlisted and appointees. In addition UCL has also
decided to monitor the age, sexual orientation and religious belief of applicants. This informs
UCL how its Equal Opportunities Policy is working in practice and whether its recruitment
practices are having a discriminatory effect on any particular groups. Applicants will complete
equality monitoring information as part of their online application. See Appendix E for a hard
copy of the Recruitment monitoring form which candidates will need to complete if applying off
line for any reason. Panel members should remind themselves of the monitoring information
required of them in relation to their selection decisions before commencing the selection process.
Shortlisting
51. After the closing date has passed the interview panel should assess the applications to
determine which applicants are to be called for interview. At least two members of the interview
panel, including the immediate line manager, should undertake the task of shortlisting. Where the
panel has an external member, that person should take part in the shortlisting wherever
practicable. Shortlisting decisions should be based on evidence that the applicant has met the
requirements of the person specification. Shortlisting panel members should avoid dismissing
applicants who appear to be over-qualified. Assumptions should not be made about their reasons
for applying for the post as they may eliminate an otherwise exemplary candidate. The selection
criteria pro forma at Appendix D can assist with the task of shortlisting.
52. The original applications for all applicants, together with a written note of reasons for
shortlisting or rejecting applicants must be retained for a minimum of 12 months from the date
that an appointment decision is notified, in case of complaint to an Employment Tribunal and to
satisfy Border Agency requirements to keep records for 12 months where a certificate of
sponsorship is required. Data such as applications contained within the online system (Rome) is
automatically kept for 12 months before being deleted.
Arrangements for Interviews
53. Letters or e-mails to shortlisted candidates should include:
• date, time and place of their interview
• instructions on how to find their way to the interview venue
• a request that they contact the author of the letter/message if they have any particular
requirements or to discuss the interview facilities (related to access to the venue or any
other need related to a disability).
• if appropriate, details of any test or presentation they will be required to take or anything
they should bring with them (e.g., examples of work)
• qualification certificates that are essential to the post
• permission to work in the UK documents (or to indicate if a Certificate of Sponsorship is
required)
 • A specimen letter is set out in Appendix F. and is contained within the online system
(Rome)
54. . The Immigration, Asylum and Nationality Act 2006 makes it an offence to employ anyone
who does not have permission to be in, or work in, the UK. To avoid making assumptions about
such permission, it is the Department's responsibility to ask all appointees for evidence of
eligibility to work in the UK. It is unlawful racial discrimination to carry out checks only on
potential employees who by their appearance or accent seem to be other than British. It is
therefore a requirement to ask all candidates attending for interview to bring with them evidence
of their right to work in the UK.
55. Departments must take a copy of the original document, sign to confirm they have seen the
original and send this to HR operations with all starter documentation. See appendix K for
acceptable evidence
56. It is best practice to write to candidates who have not been shortlisted (a specimen letter is set
out at Appendix F), but if this is not possible due to limited resources, the further particulars for
the post should make clear that after a certain period, if they have not heard from UCL,
applicants should consider themselves not to have been shortlisted.
Interviewing
57. In addition to being available to offer advice on any stage of the recruitment process, HR
staff can join an interview panel, if requested in advance.
58. Interviews should be scheduled as soon after the closing date as reasonably possible, as
delays are likely to lead to a loss of candidates.
59. The structure of interviews should be decided in advance by determining who will chair the
panel and what areas of questioning are required to cover all of the elements of the person
specification. The question areas to be explored by each panel member should be agreed in
advance to avoid overlap or repetition and panels may find it helpful to discuss their expectations
of full answers to the questions, prior to the interview.
60. The same areas of questioning should be covered with all candidates and assumptions should
not be made regarding the expertise or abilities of candidates because of their employment
history. Interview questions should be phrased so that they do not favour any one candidate or
group of candidates. Supplementary questions should be used to probe for further information or
clarification where answers are incomplete or ambiguous. Care must be taken to avoid questions
that could be construed as discriminatory (e.g., questions about personal circumstances that are
unrelated to the job). It is, for example, legitimate to ask for confirmation of whether individuals
can comply with the working patterns of the post, but not to ask details of their domestic or child
care arrangements etc. It is the responsibility of the Chair of the panel to ensure that such
questions are not asked. Further guidance on questioning is given at Appendix G.
61. Staff conducting interviews must be aware that, although questions asked may not in
themselves be discriminatory, the interpretation of answers by the panel could exhibit prejudice.
For example, if indications of ambition were to be regarded as a worthy characteristic in
applicants of one sex or ethnic group but not in another. Information regarding personal
circumstances which is offered in a CV or at interview must not be taken into consideration in
reaching a selection decision. For example, the fact that a male candidate shares details of his
domestic circumstances with the panel but a female candidate chooses not to (or vice versa),
should not be taken into account.
62. Interview panels act for UCL in making selection decisions and are accountable for them.
Interview notes must be taken by each panelist to help the panel to make an informed decision
based on the content of the interviews. Such notes must relate to how candidates demonstrate
their knowledge, skills, experience and abilities in relation to the person specification. The Data
Protection Act allows applicants to request disclosure of such notes in the event of a complaint
and an Employment Tribunal would expect UCL to have notes of every selection decision. The
lack of such notes would seriously impede UCL's ability to contest such a complaint. Obviously
any inappropriate or personally derogatory comments contained within the notes could be
considered discriminatory and are unacceptable.
63. It is good practice to offer internal applicants feedback after interviews and it is UCL policy
to respond to requests for feedback from external applicants. Feedback should be specific,
relating to the person specification, and honest. In feeding back to candidates it is good practice
to balance the applicants' weaknesses with some positive points.
Selection Tests and Presentations
64. Consideration should be given to using job-related selection tests or asking candidates to give
presentations as part of the selection process if there are some elements of the person
specification that are difficult to test at interview. If selection tests or presentations are to be
used, all candidates should be given the same written information as to how long they will take,
the topic area(s) they will cover, and what - if anything - they should prepare in advance.
Psychometric tests may only be given by trained test administrators and any department wishing
to use psychometric tests must contact HR Division for advice. In all cases care should be taken
to ensure that job-related tests are well explained in writing for candidates, in plain language,
that all candidates are subject to the same tests under exactly the same conditions, (excluding any
allowances made as 'reasonable adjustments' to disabled candidates) and that presentation topics
do not favour any one candidate. It is very important that selection tests are not unfairly
discriminatory. Advice is available from the Human Resources Division for those wishing to
develop selection tests.
Making a Decision After Interview
65. The information obtained in the application, the interview, any selection tests and in
references (if obtained prior to interview) will allow candidates to be assessed against the person
specification and a selection decision to be made. The Chair of the panel must ensure that a
written note of the reasons for selecting the successful candidate and rejecting others is made and
placed on the recruitment file, together with the original applications and notes of all panel
members, for a minimum of 12 months after the appointment decision has been notified to the
candidates.
66. If a member of a selection panel feels that there has been any irregularity in the recruitment
and selection procedure and the panel cannot resolve the matter at the time, they must report the
matter without delay to the Director of Human Resources.
67. Interview proceedings are confidential and interviewers are free to divulge to others the
decision reached only once the appointee has accepted the post.
68. If references, or other pre employment checks, e.g. the right to work, have not been taken up
prior to sending new starter information through to the Human Resources Division , HR will not
issue a contract to the preferred candidate. Provisional offers may be made, subject to a
certificate of sponsorship being issued and entry clearance gained, Criminal Records Bureau
check or occupational health clearance, where appropriate.
69. Once a provisional offer is made the preferred candidate will be asked to disclose their
sickness/unauthorised absence record. The recruiting manager should consider on a case-by-case
basis the nature of the absence and must, where appropriate, disregard periods related to the
assessment, treatment, and rehabilitation of a disability. For example it may be appropriate to
disregard a period of sickness if it was caused by a one off accident requiring a long term
absence. These decisions are not, however, always straightforward, so recruiting managers
should discuss these cases with their HR Consultancy contact prior to disregarding any sickness
absence periods. If the information returned by the applicant, or the case is not clear for any
other reason, the candidate should be referred to Occupational Health. The candidate’s contract
will be subject to them having a satisfactory sickness/unauthorised absence record.
70. Where the successful candidate is disabled, reasonable adjustments may need to be
considered depending on their disability in consultation with them. This should be done as soon
as possible after appointment. UCL has a duty to consider what reasonable adjustments can be
made to working practices, or premises, or to enable access to goods, facilities and services by
disabled people. (See www.ucl.ac.uk/hr/equalities/disability_the_law for further information on
what is considered reasonable and a helpful checklist at appendix O regarding good practice and
disabled candidates.) Successful applicants who declare a disability or may require adjustments
to their work or working environmentare are referred to the Occupational Health Service, once
they have completed their online staff registration form. The candidate may qualify for the
Government's Access To Work Programme (details of which are available at
/hr/docs/access_to_work.php ).Where reasonable adjustments are agreed these must be recorded
in writing. The candidate should also receive written confirmation of whatever adjustments have
been agreed.
References
71. The further particulars for a post should make clear to candidates the number and status of
referees required and whether the panel intends to seek references before interview (see
paragraphs 30 and 74). References from relatives or friends should not be accepted. Appropriate
referees are those who have direct experience of a candidate's work, education or training:
preferably in a supervisory capacity and a reference must be obtained from the current or
previous employer. Where staff will be working with or for government agencies (armed forces,
civil servants / non departmental public bodies or government contractors, e.g. research
councils), including on secondment or based on their sites, we are required to be compliant with
HMG guidance on Baseline Personnel Security Standards. This requires references that cover
employment for the last three years to be taken up. (Details on public bodies can be found at
http://www.civilservice.gov.uk/documents/pdf/public_bodies/public_bodies_2007.pdf
72. In most cases references must only be taken up once a preferred candidate is selected. Taking
up references before this point should only be used for some academic posts. If it is intended to
take up references before a preferred candidate is selected it is not permissible under the Equality
Act to enquire about the sickness absence record of the applicant. A template pre-interview
reference request form without a question on sickness absence can be found here. Where an
applicant indicates that s/he does not wish his/her current employer to be contacted prior to a
provisional offer being made, this should be respected. In most cases references will be requested
after a preferred candidate is identified. When requesting a reference at this stage information on
the candidate’s sickness/unauthorised absence record should be requested. A model template to
use after interview can be found here.
73. When requesting references, it is helpful to seek precise information and confirm facts, such
as length of employment, relationship of the applicant to the referee, job title, brief details of
responsibilities, reasons for leaving, unauthorised absence, attendance including sickness
absence (providing the reference is requested after selection takes place as per paragraph 72) ,
performance, and any other relevant information. It is helpful to the referee to include a copy of
the job description and person specification of the post to which you are recruiting. Do not make
requests that only elicit generalisations about candidates' attendance, honesty, or subjective
information as to the applicant's suitability for the job. The value of unsolicited references
submitted by candidates and addressed 'To Whom It May Concern' is very limited and should be
disregarded.
74. Telephone references should be avoided but, where time pressures or the location of referees
dictate that this may be appropriate, recruiters should ensure that they are certain as to the
identity of the person to whom they are speaking. When conducting telephone references, it is
helpful to plan the conversation beforehand and to have a list of questions ready. A file note
should be made at the time of the telephone conversation and written confirmation should always
be requested.
75. It should be noted that for appointments in which handling cash or responsibility for
valuables such as computers, stores, etc., is part of the job UCL's insurers require that references
be obtained for the previous three years and that the successful applicant may not start work until
references satisfactory to the Head of Department/Section have been obtained.
76. References are confidential and must be sought 'in confidence'. Any request for disclosure of
references must be forwarded to the Human Resources Division. References should only be used
for the purpose for which they were intended and their confidentiality must be maintained. Panel
members must return all copies of any references with the application forms and their interview
notes to the Chair on completion of the recruitment exercise. References must only be kept on
the recruitment file and the personal file held by the Human Resources Division.
77 Guidance concerning the provision of employment references is set out at Appendix H and on
the Human Resources website.
Criminal reference checks
78. It is UCL policy to require applicants to disclose any 'unspent' criminal convictions as part of
their application. Under the Rehabilitation of Offenders Act 1974 ex-offenders do not have to
disclose ‘spent’ convictions. However certain types of posts, particularly those that involve
working with children or vulnerable adults or other positions of trust or sensitive areas, are
exempt from these provisions, and in these cases all convictions must be declared. For UCL's
policy on the recruitment of staff with criminal records see the CRB checks and criminal
convictions procedure.
79. If a manager believes that the appointee to a vacancy will be working with children or
vulnerable adults in a ‘regulated’ or ‘controlled’ position s/he will require an enhanced criminal
records check before commencing employment. Applicants must be made aware in the advert
and further particulars that a criminal records check will be required of the appointee. See the
CRB checks and criminal convictions procedure.
80. The Safeguarding Vulnerable Groups Act 2006 provides the legislative framework for the
Vetting and Barring Scheme effective from October 2009. The Independent Safeguarding
Authority, a new body under the act works with the Criminal Records Bureau (CRB), and makes
decisions about who will be barred from working with children and vulnerable adults. If a
manager believes that the appointee to a vacancy will be working in a 'regulated' or 'controlled'
position (see Working with Children Guidelines Appendix A) s/he will require an enhanced
criminal records check before commencing employment. The Human Resources Division must
be contacted prior to advertising. Applicants must be made aware early in the recruitment
process that a criminal records check will be required of the appointee. Appointees to such
positions must be briefed on their responsibilities towards safeguarding children and vulnerable
adults (see /hr/docs/working_with_children.php ).
Appointment
81. Only the Human Resources Division issues letters of appointment and places individuals on
the payroll (other than very limited exceptions). If the job offer is conditional on completion of a
qualification, CRB check, visa clearance (see 86) or health screening, this will be made clear in
the appointment letter.
82. Academic qualifications, professional registration, the right to work and any other specifics
considered essential for the post must be verified by the Department at the time of interview. If
requested, Human Resources can advise on the equivalence of overseas qualifications.
83. Nationals from the following new member states of the EU are required to apply to register
with the Home Office under the "Worker Registration Scheme" as soon as they find work in the
UK; Poland, Lithuania, Estonia, Latvia, Slovenia, Slovakia, Hungary and the Czech Republic.
Details are available at www.ucl.ac.uk/hr/docs/wpguide_wrs [update doc]. Nationals from
Bulgaria or Romania are required to register and be issued with a work permit / CoS, unless they
are employed in an exempt profession (see
http://www.ukba.homeoffice.gov.uk/workingintheuk/eea/bulgariaromania/applying/). In cases
where registration is required the satisfactory completion of probation and ongoing employment
will be subject to appropriate and continued registration.
Certificates of Sponsorship
84. If the person to be appointed is a national of a non-EEA country, a Certificate of Sponsorship
may be required. If so, Human Resources Consultancy must be contacted as soon as the
interviews are complete in order that consideration can be given to issuing a Certificate of
Sponsorship (CoS).
Criteria for issuing a CoS:
• The job is in a ‘designated shortage’ occupation
• It passes the Resident Labour Market Test (RLMT)
• The job is at NVQ3 level or above
• Minimum salary levels are met
For more detailed information about current immigration regulations please go to the UK Border
Agency website
http://www.ind.homeoffice.gov.uk/workingintheuk/.
85. Only the Human Resources Division is authorised to issue these certificates. In addition to
the CoS the individual must apply for entry clearance/ leave to remain through the UK Border
Agency and provide personal evidence of competence in English and ongoing maintenance.
86. The process can take up to three months and staff cannot under any circumstances be
employed until permission is given. It is essential to the application that the vacancy has been
advertised in at least one national newspaper or journal normally available throughout the
European Economic Area or on a Home Office approved website, within the preceding 6
months. Such evidence must be submitted to the HR Division. Further details are available from
the Human Resources Consultancy Team or on the Human Resources website.
Induction and Probation
87. It is UCL policy that all staff who are new to UCL undergo a separate induction, followed by
a probationary period during which they will be introduced to the main duties and
responsibilities of their post; details can be found in the Induction and Probation Policy on the
Human Resources website at www.ucl.ac.uk/hr/docs/new_induction_probation. Some appointees
to Probationary Lecturer posts have previous relevant experience, which allows for a reduced
probationary period (which is normally three years) and the Head of Department should bring
such cases to the attention of the Director of Human Resources. (Non clinical Senior Lecturers,
Readers and Professors will not normally be required to a serve a probationary period).
Salary
88. Within the financial provision or established grading of the post, the salary offered should
have regard to the applicant's experience or expertise and will normally be at or above the
incremental point equivalent to the applicant's present salary. The salaries of other staff doing
similar work within the department/division with similar experience should also be taken into
account.
Breaches of Policy
89. Any member of staff with concerns about the application of this policy should raise their
concerns in writing with their Head of Department, or with the manager to whom the Head
reports, if the concern includes the Head's actions. Applicants for employment concerned about
the application of the policy should write to the Director of Human Resources. Recruitment and
monitoring data is reported annually to the Committee for Equal Opportunities.

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