Effective Recruitment and Selection

Human Resources HRG161 Issue 2July 2012

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Effective Recruitment and Selection:A Guide for Selectors

Human Resources - Version updated July 2012

Human Resources HRG161 Issue 2July 2012

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Contents

1. Introduction 3

2. Job descriptions 3

3. Person specifications 4

4. Advertisements 7

5. Application packs 8

6. Short listing 9

7. Interviewing 10

8. Additional selection methods 16

9. Use of references in the selection process 17

10. Disabled applicants 18

11. Use of other communications media for interviewing 19

12. Further advice 19

13. Feedback on recruitment and selection procedures 19

14. Overview of stages in recruitment and selection 20

Links to useful forms on the HR intranet:Reason for Not Interviewing Form (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Reason-For-Not-Interviewing-Form-HRF047.doc)

Interview Rating Form for assessing the Valued Ways of Working (that are relevant to the role) (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Interview-Rating-Form-HRF086.doc)

Reason for Not Appointing Form (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Reason-for-Not-Appointing-Form-HRF046.doc)

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1. Introduction

To ensure The Open University provides a high quality service and continues to meet its mission of improving people’s lives through education, it needs to be able to recruit and select the best quality staff: fairly and cost-effectively; in the right numbers; with the right capabilities and experience; and at the right time.

To achieve this there must be fair, robust and efficient recruitment and selection processes, which comply with current legislation and best practice. In accordance with our equality and diversity policies, job applicants will be treated solely on the basis of their merits, regardless of gender, colour, ethnic or national origin, age, background, disability, religious or political beliefs, family circumstance, sexual orientation or other irrelevant distinction. Not everyone with the right skills and experience is able to work full-time. Offering flexible working opportunities is one way of enabling the University to meet its objectives and assist staff recruitment and retention.

Applicants make their own selection decision about The Open University as an employer based on how they are treated in the recruitment and selection process. It is therefore essential to ensure that the experience is a good one.

This guide is written for all staff involved in the recruitment and selection process.

It provides:

Practical advice on fair, efficient and effective practice in the recruitment and selection of all categories of staff, in line with the University equality and diversity policies.

Guidelines for interviewers to enable them to gather information effectively from candidates.

Guidance on legislation and other University policies and how they relate to recruitment and selection.

The recruitment process at The Open University is devolved to Units. Heads of Unit/Sub-units should ensure that all staff involved in recruitment and selection have received appropriate training, including equality and diversity awareness, before being appointed to a panel. Most Units have Recruitment Co-ordinator whose role is to liaise with Human Resources (HR) and ensure appropriate procedures are followed in the Unit. They should also take local responsibility for the quality of application packs (see Section 5).

2. Job Descriptions

A job description describes the main tasks and responsibilities expected of the jobholder. It is not meant to be an exhaustive list of job duties, rather an outline of what the job entails.

The job description and person specification (see Section 3 below) are core to the recruitment and selection process and together provide the basis for the advertisement, further particulars, short-listing, interview questioning and other testing of candidates.

Existing job descriptions should be reviewed and updated prior to recruitment. It can be useful to discuss the content with the most recent jobholder to ensure that particular tasks are still relevant. Significant changes will require the job to be submitted for regrading. Any flexibility available in filling the job should be considered. Could the job be filled on a part time or job share basis thus enabling candidates with other

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commitments to apply? The University’s Job Sharing Policy was developed to help recruit and retain skilled and experienced staff requiring flexible working patterns.

The job description will set out:

Job Title Purpose of the job – two or three bullet points giving an overview of the job

purpose and how it fits with Unit and/or university objectives Reporting relationships Managerial and financial responsibilities Summary of main duties and responsibilities – divided into three or four

sections, covering the main duties expected of the jobholder and indicating the approximate percentage of time spent on each. Some of these tasks will be professional/academic/technical (e.g. provide support in general office duties such as typing, photocopying, filing etc) others will be behavioural (e.g.the role offers the opportunity to manage one’s own workload).

Avoid making the job description too long and/or too detailed as it will become incomprehensible to external applicants and reduce later flexibility.

Check for unintentional discrimination implications in your job description for the nine protected characteristics i.e. gender, race, age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, religion or belief or sexual orientation.

Although the behavioural competencies of the Valued Ways of Working framework will be most relevant to the person specification it is important to bear in mind that certain elements of the job description are relevant to it as well. When writing the job description, aim to use the Valued Ways of Working to shape the language used in the job description. This will allow the Valued Ways of Working to be referred to later as part of induction, probation, CDSA etc.

3. Person Specifications

The person specification plays a vital role in the recruitment process. It must be written carefully to avoid any kind of discrimination, which could then be perpetuated throughout the whole recruitment process. Candidates must be assessed against the person specification and not against each other.

The job description and the person specification must be devised in accordance with the Valued Ways of Working behavioural framework to help in short listing and to score candidates against whatever assessment is used at the interview stage.

The person specification defines the qualifications, experience and capabilities of the person doing the job to the required standard. It should specify the essential requirements for satisfactory performance in the job. It may also set out desirable qualities, which an ideal candidate might possess, but these should be kept to a minimum. The line manager or someone with direct knowledge of the job should be involved in the process of drawing up the person specification.

A well-written person specification helps:

Maintain objectivity, avoiding bias and discrimination. To design an effective advertisement. Prospective applicants decide whether they have the qualifications and

capabilities required to make an effective application. Provide clear criteria for short-listing and final selection.

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Generate interview questions. Provide structured feedback to non-short-listed and unsuccessful candidates. Investigate any subsequent complaints from unsuccessful applicants.

It is not appropriate to include all behavioural competencies from the Valued Ways of Working. Choose which competencies are most important for the role then pick which example would be most useful to measure the candidates against eg Working Together Collaboratively – looks for win-win solutions. Also be sure to make a note of the used example’s opposing undesirable behaviour (eg ignores input of others). This ensures consistency when later marking candidates against the example used.

Aim for a 60:40 split between professional/academic/technical competencies and behavioural (the Valued Ways of Working) competencies. There may be roles where the split differs eg a trainee role may require greater emphasis on behavioural competencies given as a trainee they may not yet have the technical experience.

For each competency (professional/academic/technical and behavioural) decide whether the competency is essential or desirable.

Encouraging Diversity in the Person Specification

The Open University has a policy of enhancing and enriching its workforce by improving the representation of under-represented groups such as people from minority ethnic backgrounds and people with disabilities.

To achieve this it is essential to avoid unnecessary barriers which may be created throughout the selection process by:

Avoiding the use of inappropriate language, OU jargon and acronyms, or unnecessary job requirements.

Creating person specifications which, where feasible, allow for potential ability and behaviours and do not rigidly adhere to qualifications and past experience – allowing this to counterbalance some shortfalls in applicants’ current capabilities or experience. For example, a requirement to have experience of using a specific IT package might be expressed as ‘evidence of ability to learn a variety of IT packages’ or ability to write reports/draft correspondence might instead say ‘evidence of written communication skills in work, study, or a personal context’. Where selectors are prepared to consider potential ability against any of the person specification requirements this should be made clear in the recruitment documentation e.g. application pack, person specification.

Making it clear to candidates that selection will be on the basis of evidence of capability, not just experience and qualifications.

Being prepared to recognise that experience gained in other environments (e.g. voluntary work), can provide evidence of meeting the person specification ‘experience’ criteria.

Avoiding the inclusion of unnecessary or marginal requirements, e.g. insisting on UK qualifications. This can lead to unintentional discrimination.

Being aware of the danger of including culturally derived and subjective attributes such as ‘a sense of humour’.

Writing the Person Specification

The following guidelines will help you to prepare a person specification that is discrimination-free and will give you the best chance of selecting someone who will succeed in the job.

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From the job description identify the key duties, grouping similar tasks together.

Translate these duties into capabilities needed to do the job. In addition, you will need to identify any specialist or functional capabilities required in the role. Wherever possible identify the level required, in terms of quality and quantity.

Where relevant, specify the qualifications and other exam-based knowledge and skills required. You should be clear in your own mind about what ability or range of abilities is tested in each qualification and how this relates to the job. Do not make a particular qualification a requirement unless these abilities are absolutely essential and can be justified.

Identify any other knowledge requirements for the job. Distinguish between what candidates should already know and what they can learn on the job.

Identify any experience required to be able to carry out the duties, taking into account the possible transferability of experience and skills gained outside work as well as in previous jobs.

Be clear about the mechanisms you will use to search for evidence of each required attribute, e.g. application form, interview questioning, selection tests, presentations by candidates, certificates etc.

Other points to bear in mind:

Can the qualifications, experience and capabilities you specify be justified in relation to the job? Being too specific about particular qualifications could disadvantage people on several grounds. For example, asking for an NVQ3 in administration disadvantages those over a certain age whose vocational training took place prior to the existence of that qualification. Similarly, requiring GCSEs potentially disadvantages those from different cultural backgrounds and educational systems.

It may be counter productive to require a degree if this is not essential in order to perform the job. As a desirable item a degree may represent an indicator of critical faculties, ability to acquire new knowledge or develop new skills, but these skills may have been gained in other ways.

Care should be taken to ensure person specifications meet the requirements of the Equality Act 2010. Remember words like ‘young’ or ‘old’ are directly discriminatory and should not be used; time-linked experience is indirectly discriminatory and should not be used.

Wording such as ‘familiarity or experience of organisational budgeting and financial reporting systems’ is fairer to external candidates than ‘familiarity with Open University monitoring and budget system or inter-unit planning and contracting’.

The appropriate level or stage in each capability should be carefully considered. Care needs to be taken not to set the required level too high, or too low.

Take care with the wording of both essential and desirable criteria to avoid unintentional barriers. For example, when the criterion is ‘ability to travel’, this does not necessarily mean that the candidate must be a car owner/driver as other means of transport might be acceptable. Similarly, asking for energetic people in largely sedentary work might discriminate against some disabled people.

Having drafted the person specification, it is advisable to check it to ensure that it is clear, contains only relevant and necessary criteria for the job and encourages and enables a wide range of applicants. Ensure the final version of the person specification is sent to candidates with the application pack.

The person specification must be retained for six months after the appointment is made for feedback and analysis purposes. In the event of a complaint to HR on any aspect of recruitment the starting point for investigation will be the person specification.

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4. Advertisements

The advertisement will reflect the most important criteria of the person specification, which must be justifiable and objective as an advertisement can be challenged on discrimination grounds. The advertisement should not be too wordy – as a guide no more than 150 words excluding the standard paragraphs – otherwise its potential impact is lost and it becomes costly. In order to enhance the University’s brand, a house style has been adopted for all advertisements and this will be applied automatically by our recruitment agency.

Whether on a website or in print, the advertisement should deliver the maximum amount of information in the minimum number of words that enables people to decide whether or not to apply.

It should also include:

how to apply a contact for disabled applicants or for documentation in alternative formats,

such as large print or audio cassette tape application closure date salary scale location at least one of the key behavioural (Valued Ways of Working) competencies

identified for the post is included in the advert.

Language and images used in advertising material should reflect the nature of the organisation and our intention to reflect the diversity of the society that we serve. Check that the language used is inclusive of the full range of people who could be eligible to apply. When specific qualifications are necessary it should be made clear that equivalent qualifications are acceptable so that applicants from different education systems are not disadvantaged. Care should also be taken not to discriminate in terms of gender – use ‘she/he’ or ‘you’. Age restrictions should never be stated or implied.

The aim should be to convey accurately some of the details of the job in an informal style. In particular, the use of OU jargon or acronyms may deter external candidates. Information about the department and details of benefits should be available from the application pack and/or website rather than from a lengthy advertisement.

The attractions, challenges and opportunities of the job should be described, bearing in mind that potential applicants spend around 20 seconds deciding whether a job is worth pursuing.

The advertisement should state whether applications from candidates wishing to work part time or job share would be considered. Alternatively, jobs can be advertised as job share only. Where job share applications are considered each applicant is interviewed separately and both candidates must meet the person specification.

All advertisements will include the University’s current equality and diversity statement. Other statements may be included in advertisements to encourage applications from sections of the community that are under-represented in the particular work area. The wording of any such positive action statement should be agreed with the relevant HR Adviser.

It is important to implement a schedule for the whole recruitment exercise. Make sure that the membership of the panel is decided, that the members will be available for short-listing immediately after the closing date and for interviewing shortly thereafter, allowing sufficient time for notifying short-listed candidates of the date and time of the

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interview. Fix a date for the interview at this stage so that it may be included in the advertisement and/or the application pack. Flexibility about dates and times will be required in respect of applicants with a protected characteristic e.g. applicants with a mobility impairment who needs to travel by public transport off-peak; and people with religious observance requirements.

Although it is not always possible to achieve a balance, consideration should be given to the constitution of interviewing panels in terms of equality and diversity e.g. gender, age, race and disability.

If advertising is restricted to ‘internal only’ for any reason, only those candidates who hold salaried appointments with the University at the time of advertising may apply i.e. fixed-term contract staff, Associate Lecturers with ‘live’ appointments and Day Contracts (with contracts current for the advertising period) but not temporary agency staff.

5. Application Packs

The application pack should include:

job description person specification general information about The Open University and the Unit/Department main benefits of employment a reminder to applicants of the need to prove their eligibility to work in the UK dates of interviews if known, details of selection panel membership and of any

assessment tests that will be used as part of the selection process.

A standard format for general information and benefits is included in the Standard Further Particulars form, available on the HR intranet site. High quality paper/colour printing for material sent to potential candidates will create a good first impression. Folders for packs of information are available from HR; these are pre-printed with general text about the University. Where literature is sent to applicants this should include the following statement: ‘We promote diversity in employment and welcome applications from all sections of the community. Further particulars are available in large print, disk or audiotape. (Minicom 01908 654901 for hard of hearing).’

Recruitment Co-ordinators can add information to the Standard Further Particulars (e.g. job description and person specification) relating to their Unit. This ensures that the candidate has online access to all the relevant information as well as providing a more effective web-based recruitment service.

Units may decide to accept CVs instead of, or supplementary to, the standard application form. If you decide to accept CVs, you may wish to add the statement to the following information sent to those who are submitting a CV:

‘Please remove any information from your CV that might give an indication of your age, race, religion, belief, or sexual orientation etc. as these details are irrelevant to your application. We ask for these details on the monitoring form for monitoring purposes, this information will not be passed to the selection panel.’

For each particular job it must be clear to the candidate exactly what is required of them e.g. that they must address each element of the person specification in a covering letter.

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Proof of Eligibility to Work in the UK

There are legal restrictions on who may undertake employment in the UK. Please refer to the Immigration procedures for full details of who may be considered eligible for employment.

Candidates who are invited for interview will be required to provide proof of their eligibility to work in the UK by producing verifiable documents. Details of the required documents should be sent to those candidates who are invited for interview and the relevant original documents must be brought along to the interview for checking, signing and copying. Full details can be found in the Immigration Procedures.

6. Short Listing

Short listing should take place as soon as possible after the closing date. The whole panel or a sub-group may do it but, in line with equality and diversity guidelines, it should not be undertaken by only one person. Where an agency is undertaking short listing on your behalf, at least one member of the panel should be involved.

The short list criteria should consist of the elements of the person specification e.g. qualifications and experience for which evidence can be obtained from the application form/CV/covering letter. Evidence of capabilities such as collaborative working or delivering customer satisfaction will normally only emerge at interview through effective questioning or some form of testing. However, if you have specifically asked candidates to show how they meet the person specification, these should include examples of all essential criteria, including interpersonal or customer service skills. You may reject a candidate who has not given examples of how these personal qualities have been applied.

A shortlist is arrived at by comparing each application against the agreed criteria. Not all criteria will necessarily carry equal weight or importance, but where weighting is applied, the panel should agree this before short listing begins. The essential requirements should be used as the first short listing criteria. If a large number of applicants provide evidence of meeting these, the desirable factors can be used as a further filter.

The University keeps records of reasons for not short listing candidates for monitoring purposes to check the effectiveness of our processes and for evidence in the event of an unlawful discrimination claim. Units should keep details of reasons for not interviewing along with the original application form in the Unit for at least 6 months. A ‘Reasons for Not Interviewing form’ (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Reason-For-Not-Interviewing-Form-HRF047.doc) available from the HR intranet (under Forms) should be retained by the Unit along with the original application forms for at least 6 months. The reasons for not interviewing must relate to the requirements listed in the person specification and must be entirely relevant to the job. They must be justifiable in the event of challenge. ‘Too experienced’ and ‘over qualified’ should be avoided as reasons for not short listing. Using these reasons could unfairly discriminate against older or disabled candidates seeking work of a different kind to fit their current circumstances.

Candidates, including internal applicants, who have not provided adequate evidence of meeting the person specification, should not be short listed. The chair of the panel should contact those unsuccessful internal candidates giving reasons for notinterviewing. Feedback should be given in a constructive and confidential manner (see section 7).

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For academic appointments, references are generally taken up after short listing the candidates as the peer judgements are of significant value in selection. For academic vacancies, writing a letter requesting a reference tends to get a more positive response than a standard request form. In addition, for more senior academic-related staff vacancies i.e. on Bands 1 to 5, references may exceptionally be called for short listed candidates (where the applicant has given permission).

If an internal candidate has been given notice of the termination of a fixed-term contract – usually six months before their contract comes to an end – they should nevertheless be interviewed if they meet the essential criteria of the person specification. HR provide an enclosure slip for use with internal applications.

It is unlawful and contrary to OU policy to treat a disabled applicant less favourably because of their disability. If a disabled applicant requires adjustments to the recruitment process, or to the duties of the job, the workplace or working practices, those adjustments must be made providing they are reasonable (see also section 10). Further information on reasonable adjustments is available in the Disability Awareness Resource pack on the HR Intranet site. For specific advice in individual circumstances consult your team HR Adviser.

7. Interviewing

Preparation

Training

Members of staff involved in the selection process should have undertaken the appropriate training. This would normally be by attending the University’s training course but may be via another organization. The Chair of the panel should ensure that all its members have appropriate training or briefing on OU recruitment and selection policy. If this poses a problem you should contact your appropriate HR Adviser for advice.

Constitution of the Panel

Panels should have a minimum of two people. The number of panel members may be larger for particular levels and types of job (guidelines for panels for academic posts are explained in the Government Structure Handbook, which also indicates who should Chair). Generally, best practice is to keep the panel as small as possible as this is less intimidating for candidates. The Chair should be an experienced interviewer and have a good knowledge of the job, although this may not necessarily be the most senior person present or in the reporting line for the job. Although it is not always possible to achieve a balance, consideration should be given to the constitution of panels in terms of the nine protected characteristics e.g. age, gender, race and disability. Staff should not take part in any recruitment involving a relative, or someone with whom they have a personal relationship or where there might be a conflict of interests. It is for panel members to make any such relationships/ conflicts known.

The Role of the Panel Chair

The Chair is responsible for:

Ensuring the procedural integrity of the whole recruitment and selection process.

Ensuring that equality and diversity policies are actively pursued and that no unlawful or other discriminatory action takes place at any stage in the process.

Convening the short-listing meeting and ensuring agreement on short-list criteria and weighting, where appropriate.

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Introducing the panel and explaining the process to each candidate. Helping arrive at a consensus when members of the panel have opposing

views. Communicating with candidates on behalf of the panel. Arranging for feedback to unsuccessful candidates where they request this.

Job Share Interviews

Where two candidates wishing to job share have made a joint application, they should be interviewed separately. Similar arrangements apply to two people unknown to each other who apply for a job share vacancy. Each person involved in a job share application must meet the essentials of the person specification in their own right. It is not acceptable to combine individuals’ qualities and experience in order to consider whether they meet the person specification between them. Further information on Open University Job Share Policy is available on the HR website.

Invitation to Interview

Preparation includes contacting the candidates and inviting them to be interviewed. The letter inviting the candidates for interview should allow time to make any special arrangements that might be necessary. It should include:

a request for details of any particular needs/adjustments to the interviewprocess in respect of a disability. If candidates do not specify any adjustments prior to interview and arrive for interview and ask for adjustments, or it is clear that adjustments need to be made then these must be made, where it is reasonable to do so.

date/time, location/maps starting and finishing times (including time to complete any selection

exercises) details of tests (see Section 8) names and job roles of panel members instruction to bring qualification certificates, or professional memberships, if

required. Instruction to bring proof of eligibility to work in the UK

Flexibility about the dates and times will be required e.g. try to avoid dates of important religious festivals when arranging interviews. The Equality and Diversity Office website contains details of these. Internal and external candidates should be interviewed on the same day.

Organising the Panel

Interview preparation is fundamental to successful interviewing; the need for this cannot be over-emphasized. The panel should meet before the interviews to decide:

the role and area of questioning of each panel member the structure of the interview the lines of questioning necessary to establish whether each candidate meets

the person specification the procedure by which a decision will be made how notes will be taken and by whom.

Arrangements on the Day of the Interview

The physical layout of the room should help candidates feel at ease. For example, chairs should all be at the same level and tables, rather than work desks, should be used between the selectors and the candidates. Place a sign on the door of the

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interview room to avoid interruptions. Re-check the application information to ensure that particular needs e.g. sign language facilitators, wheelchair access have been provided and any other items requested are to hand. Reception arrangements should be made for candidates’ arrival. Arrangements would normally be made to collect the applicant from Reception. Ensure applicant confidentiality by placing paperwork out of sight when it is not in use by the panel. Verify the proof of eligibility documentation and take a copy for the file.

The Interview Process

Before beginning the interview, make sure that the process for competency based interviewing is explained to the candidate as they may not have experienced it before and techniques used may confuse or unsettle them.

A competency based interview is a structured interview in which the questions relate to a number of specific competencies. You ask the candidate for examples of situation when he/she has demonstrated the required behaviours. In this way you can build up a picture of their relative strengths and weaknesses against each competency.

Contact your HR Adviser for further assistance with preparing competency based interview questions.

The purpose of a selection interview is to:

Collect evidence against the person specification in order to predict how successfully the candidate would perform in the job.

Give candidates information about the job and the OU to facilitate their decision making.

Research shows that structured interviews are significantly more likely to serve this dual purpose and lead to successful appointments. A structured interview will also:

Ensure consistency throughout the interviews. Help promote a positive image of the University. Enable the panel to make the best use of available time in reaching a

decision.

Nerves can play a big part in an interview and affect candidates differently. Some people perform better at interview than others – but this is not necessarily an indication of how well they would perform in the job. Do not rely on first impressions – ask supplementary questions to give the candidate opportunity to provide sufficient evidence.

Be aware that some applicants will avoid eye contact for cultural reasons. Some applicants may not wish to shake hands – take your cue from the candidate.

Questioning

The same basic areas of questioning as determined by the person specification must be put to all candidates, including internal candidates. It is not necessary to use entirely the same wording. It is often more effective to refer to the individual’s application and request more details in order to try and satisfy the requirements of the person specification. Supplementary questions for each candidate may be used to encourage individuals to provide evidence of how they have demonstrated the capabilities specified.

Interviewers should not imply discrimination by asking questions about personal circumstances which are unrelated to the job – for example about gender, age, race,

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disability and health, sexual orientation, marital status, personal circumstances, religion or belief. Those questions may unlawfully discriminate and in all cases would be contrary to the University’s equality and diversity policies.

If a panel member pursues a line of questioning which is discriminatory it should be immediately ruled out by the Chair and not be allowed to continue. Any panel member who is unhappy about the conduct of an interview should discuss this with the Head of Unit or their appropriate HR Adviser.

Selection panels should test candidates’ diversity commitment at a level appropriate to the job as an integral part of the selection process, particularly for posts with management/supervisory responsibility.

Where appropriate ensure these questions are phrased to give the candidate the opportunity to demonstrate the desired key behavioural competencies.

Note Taking

Note taking is vital to ensure that relevant information is not forgotten when assessing all the candidates at the end of the interviews. Applicants should be made aware that notes will be taken during the interview. Notes of a personal nature (e.g. on personal appearance or dress) are irrelevant to ability to perform the job and should not be used. Notes should be legible, fair and objective. Candidates may subsequently demand to see any notes kept about them (under the Data Protection Act) or as part of a discrimination claim through an Employment Tribunal.

Questions about Disability and Health

Since the introduction of the Equality Act 2010, questions relating to health and disability during the recruitment process is not normally allowed. The Act states that except in very exceptional circumstances or for very restricted purposes (such as monitoring or making adjustments for interview), job applicants should not be asked about their health or any disability until they have been offered a job (either outright or conditionally). This includes asking about someone’s previous sickness absence record. If this information is very exceptionally obtained it must not be made available to the interview panel or anyone else involved in shortlisting.

Validation of Qualifications

Candidates should be asked to provide original certificates etc of the qualifications they have stated on their application form that they possess. This is particularly important where it is a requirement of the job that the candidate possesses a certain qualification or professional institution membership. These should be seen and a copy taken at interview, or prior to any offer of employment.

Structuring the Interview

A useful method for the structuring of an interview is: ‘Greet, Acquire, Supply, and Part’ (GASP), as described below.

Greet

Spend time establishing rapport. Introduce each member of the panel. Where large panels are interviewing it is

helpful to provide each candidate with a seating plan showing names and titles.

Explain how the interview will be structured and approximately how long it will take. If other selection methods are being used it is helpful to explain how these will be used.

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Explain that panel members will be taking notes so that it does not distract the candidate during the interview.

Acquire Information

Begin with open and easy questions, which encourage the candidate to talk and relax as much as possible e.g. ‘What attracted you to the job?’

Next, use specific open-ended questions to explore capabilities required in the person specification e.g. ‘You say in your application that you are good at communicating with a wide range of people. Tell me about a specific example that illustrates this?’

Draw on other aspects of the candidate’s previous experience (both work related and other), e.g. ‘Tell me about an occasion when you had to use your initiative to solve a problem?’

The candidate should be talking for 70–80% of the time. Allow silences after asking your questions for the candidate to gather his or

her thoughts before answering. The questioner should interrupt politely if the candidate is straying from the

point or has clearly misunderstood the question. Ascertain the candidate’s salary expectations, but remember that no

commitment can be made or implied.

Supply Information

Ensure that the candidate has sufficient information about the University, the vacancy and the relevant terms and conditions.

Ask the candidate if they have any questions or anything to add which has not been covered during the interview.

Part

If appropriate, ask questions to establish whether they will be able to carry out a function that is intrinsic to the work concerned e.g. scaffolder’s ability to climb ladders and consider whether reasonable adjustments would enable them to do the job.

Give a clear statement of when and how the outcome will be communicated to the candidate.

Thank the candidate for attending. If another part of the process follows, introduce the candidate to the person

who will be supervising it. Ensure that candidates can find their way out of the building and escort them

as necessary. Interviewees should finish the interview process feeling that they have been

properly and fairly assessed and that they would want to work at The Open University.

Selecting

The panel may use assessment forms, which enable them to make notes during interview against each question asked. The candidate can then be scored against each criterion. A possible scoring scheme could be:

Very strong evidence = 3 Individual clearly evidences and demonstrates high level achievement of the criteria

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Good evidence = 2Individual evidences and demonstrates achievement of the criteria to the appropriate level for the job

Some evidence = 1Individual demonstrates some evidence of the criteria – the gap in information could be used when giving feedback

Little or no evidence = 0Individual fails to demonstrate the competency required for the job (no evidence for short-listing criteria or insufficient to satisfy the panel)

A candidate rating form (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Candidate-Rating-Form-HRF087.doc) can be used to assess the candidates.

The panel may have agreed to weight the criteria. The most suitable candidate would then be the one with the highest score. However, the scoring process should be a stimulus for discussion rather than an end in itself.

Where there is a difference of view, the Chair should help the panel to reach a consensus. Where selectors agree that an appointment should be made but there is no consensus on the best candidate, the Chair may decide to break and reconvene within 24 hours to reach a decision. It is important that power and hierarchy within the interview panel do not affect the final selection process and discussion. Care should be taken when considering issues of ‘fitting in’ to ensure that this does not introduce factors outside of the person specification and discriminate against candidates unfairly. Selection decisions must not be unconsciously influenced by factors such as the race, gender or age of the previous jobholder or colleagues in the team.

The successful candidate may be contacted and told that a formal offer can only be made in writing from HR, but that you are recommending them for the job.

The Valued Ways of Working framework provides a clear framework that the behavioural competencies can be scored against in an interview setting (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Interview-Rating-Form-HRF086.doc).

Not Appointing

Once the appointment decision has been made, a ‘Reasons for Not Appointing form’(http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Reason-for-Not-Appointing-Form-HRF046.doc) should be completed for each unsuccessful candidate. Justifiable and objective reasons for not appointing after interview are essential. These reasons must relate to areas where the individual did not meet the requirements of the person specification. HR may require sight of these forms in the event of a challenge to the fairness of the process.

Candidates should be informed of outcomes at the earliest opportunity. In the event that timescales indicated at interview cannot be met, candidates should be kept advised of the delay and given a date when a decision is likely to be reached. This also applies to second choice candidates on ‘hold’.

The proceedings of the interview panel are confidential and selectors are not permitted to divulge any information (except for the decision reached after all applicants have been informed) to anyone other than panel members.

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Make sure that the ‘Reasons for Not Appointing’ form (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Reason-for-Not-Appointing-Form-HRF046.doc) is used to record where each candidate does and does not meet the Valued Ways of Working behavioural competencies for feedback later.

Providing Feedback to Unsuccessful Internal Candidates

The Chair of the panel should arrange to contact all unsuccessful internal candidates. If requested, feedback should be constructive and confidential. Internal candidates may wish to arrange a follow-up discussion. Feedback should:

Refer to particular items in the person specification – indicate where the panel felt the candidate’s strengths and weaknesses lay.

Be specific – e.g. ‘We felt that you were weak in relation to the requirement for understanding project management. You might have talked about Gantt Charts and Critical Path Analysis as tools to help with this’. This approach can minimize challenges and enable candidates to recognize that they have been fairly treated.

Avoid generalities that attempt to be kind to the candidate. This can leave them confused about why they did not get the job. Avoid saying for example ‘It was a really strong field and you were just pipped at the post’. If necessary, without naming them, explain how the successful candidate better met the person specification.

Explain the capabilities the individual would probably need to demonstrate in order to secure a similar job in the future.

Discuss only items which are relevant to the person specification. Do not get into arguments with the candidate – they may be disappointed or

emotional – try to keep matters objective and factual.

8. Additional Selection Methods

Additional selection methods may be used to supplement the interview, and provide further evidence for the panel in reaching a decision. Some suggestions are given below. There is evidence that job-related tests have high validity and can be a useful complement to a structured interview process.

Any supplementary methods used in addition to interviews must be justifiable inrelation to the requirements of the job description and person specification. Any supplementary techniques must be scrutinized for fairness when applied to each candidate. Tests must be free from any unjustifiable bias in content or in scoring. This is particularly relevant in relation to disabilities, for example dyslexia or for candidates unused to the local cultural norms. All candidates should be asked in the invitation to interview letter if they need any adjustments to the interview process in respect of a disability. If the requested adjustments are reasonable then they should be made.

Possible methods include:

Asking candidates to produce a piece of work on a given subject in advance of the interview – this can be used to check writing skills, ability to structure an argument or research subject knowledge.

Asking candidates to make a presentation on a given subject – tests presentation skills and subject knowledge.

Asking candidates to read a document and discussing it at the interview –tests ability to foster thoughts clearly and quickly.

A typing/word-processing test – tests speed and accuracy.

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A written test (e.g. drafting correspondence) – tests ability to work under pressure and produce quality written work to deadlines.

An assessment centre combining various exercises, tests and interviews. An assessment centre may also require candidates to engage in a group exercise during which assessors observe their interpersonal skills.

An in-tray exercise – assesses ability to prioritize and plan workload. Psychometric tests – occupational personality questionnaires and ability tests

such as verbal reasoning, logical thinking, numeracy tests etc. The personality questionnaires give an indication of a person’s style and preferred approach to situations at work and the ability tests provide information about specific skills.

The University has a set of psychometric tests for use in recruitment. Where the use of such tests is envisaged panels need to:

Agree that the use of tests is appropriate (see the Psychometric Test Guidelines).

Ensure that the outcomes relate clearly to an item on the person specification. Arrange for candidates to receive feedback on the outcomes of the test.

Maintain confidentiality in respect of test results and the retention of completed documentation.

Provide test practice leaflets to candidates when invited to interview. Consider whether the test may have a discriminatory effect for any disabled

candidates or candidates from different cultural backgrounds and if so discuss with your HR Adviser.

Psychometric tests of all kinds should be administered, scored and feedback given only by a trained and licensed user. Advice on the use of such tests and support in testing is available from your HR Adviser.

Candidates should be notified of any tests and the conditions under which they will be conducted – which must take into consideration the needs of candidates with disabilities – in the application pack. Internal and external candidates should be asked to undertake the same tests. The test or exercise MUST be relevant to the job in question e.g. a presentation may be irrelevant unless it would be part of the normal duties of the job or demonstrates a required skill. Selection tests should be checked to ensure that they are valid and measure only what is relevant to do (or train for) the job. Care should be taken to ensure that they do not discriminate indirectly through, for example, assumptions about candidates’ backgrounds or interests or assume any prior knowledge of the University.

Arrange to give the candidate feedback on results. In the case of psychometrics such feedback should only be given by persons who are professionally qualified.

Where a Unit wishes to use an external agency, or executive search consultants, this should be discussed with your HR Adviser before any action is taken, in order to ensure that the process meets the University’s equality and diversity obligations.

9. Use of References in the Selection Process

Many panels struggle with the idea of weighting the evidence of suitability for employment from references with the actual evidence of suitability derived from interview or testing. Peer references are particularly useful for academic appointments but for non-academic appointments, other than more senior jobs, University policy isthat references will be sought only for the successful candidate. The evidence of suitability from references should form only one part of the selection process. References should be used as supporting evidence against the person specification

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and validation of evidence gained from interview and other selection methods. Receipt of a glowing reference in itself should not be used as major evidence for appointment. Consider asking specific questions in your request for references e.g. did the individual lead the team that wrote the report mentioned in the application?

At a minimum, a reference must be sought from the most recent employer of any proposed external appointee. Offers will be made subject to receipt of satisfactory references where a reference from the last employer has not been received when the offer is made. Personal references are often unable to address many aspects of the person specification and employment references should be sought where at all possible. All references should be treated with caution, particularly where the referee’s relationship with the candidate is unknown.

Since the introduction of the Equality Act 2010, reference requests that are sent out at the pre-offer stage for external candidates should not contain any questions relating to health or disability including questions about the candidate’s sickness record.

Employing People with Criminal Records

Having a criminal record will not necessarily bar someone from working for the University (see Policy on Recruitment of Ex-offenders for further details). Any issues arising from an applicant’s documentation or answers at interview may be discussed with your HR Adviser.

Criminal Records Bureau

Disclosures using the Criminal Records Bureau are required for posts where appointees are involved in regularly caring for, training, supervising, being in sole charge of those under 18, or of vulnerable adults. Please contact your HR Adviser for advice on procedures etc.

10. Disabled Applicants

It is the University’s policy that a disabled applicant shall not be prevented from employment on the grounds of their disability. It is also unlawful under the Equality Act 2010 for an employer to treat a disabled job applicant less favourably than non-disabled applicants because of their disability or a reason related to their disability.

The majority of disabled applicants will not require any adjustments either during the recruitment process or in order to do the job. However, an employer has a duty to make reasonable adjustments to prevent a disabled job applicant or employee from being placed at a substantial disadvantage. Therefore, reasonable adjustments must be made to the recruitment process (including any tests) to enable a disabled applicant to compete fairly and demonstrate their ability to do the job.

Applicants should be asked in the invitation to interview letter if they need any adjustments for the interview process. If the adjustments requested are reasonable then they should be made. If they request any adjustments then this should be discussed with them.

Questions about health and disability are not permitted before an offer or conditional offer is made. The offer of appointment letter will ask candidates to contact the Unit if they need adjustments to do the job.

The Government’s Access to Work Scheme can provide funding to cover costs of reasonable adjustments, subject to certain conditions.

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Further information is available in the Disability Awareness Resource pack on the HR Intranet site. For specific advice in individual circumstances consult your team HR Adviser.

11. Use of other Communications Media for Interviewing

Normally interviews will be conducted face to face. There may be situations where this is not possible – for example if the candidate is working or researching overseas. In this situation it may be possible to conduct a telephone or video interview via conferencing links. Where this is considered, the panel need to take account of several factors before proceeding:

The type of job and whether the candidate’s interpersonal skills would normally be assessed at this interview. The panel would need to consider how best to test this.Whether other requirements in the person specification can be assessed by remote communications.

Whether remote communications disadvantages or advantages other candidates.The acceptability of such arrangements to all concerned. Where this does take place, the interview structure and process should mirror that for candidates interviewed face to face and the principles in this guidance should apply. As with written reference requests questions about health or disability (including sickness absence) must not be asked until an offer or provisional offer has been made.

12. Further Advice

Further advice about the contents of this guide, complaints about any particular recruitment process, or on any recruitment and selection issue is available from the appropriate HR Adviser. If you are unsure about which HR Adviser covers your area, information is available on the HR intranet site.

13. Feedback on Recruitment and Selection Procedures

We welcome feedback on recruitment and selection procedures and the way they operate. We are interested to know of any possible or actual adverse impact that these procedures may have on any groups in respect of gender or marital status, race, disability, sexual orientation, religion or belief, age or other characteristics.

Feedback can be provided via the HR Policy Feedback button or in writing to the Head of Human Resources.

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14. Overview of Stages in Recruitment and Selection

Stage Supporting Considerations

Vacancy arises or new vacancy released

Determine precise nature of work to be undertaken. Check whether any organizational changes are required

to deal with work. Obtain appropriate level of authority to release the post. If

post is not permanent make sure it falls within approved criteria for the use of fixed-term contracts.

At this point it is useful to include the Valued Ways of Working framework in your considerations as it will be easier to include it in later stages if the post has already been devised in line with them.

Analysis and consideration of parts of job

Consider whether the job content needs to be revised. Are there any additions to the existing tasks or changes in emphasis?

Consider whether the job could be part-time or job share. Make sure that any implications of changes are

considered for their impact on the Valued Ways of Working behavioural competencies.

Develop up-to-date job description

Ensure the job description sets out key duties and responsibilities and, where possible, the outcomes of successful job performance.

A new or changed post may need to be (re)graded depending on staff category.

Although the behavioural competencies of the Valued Ways of Working will be most relevant to the person specification, it is important to bear in mind that certain elements of the job description are relevant to it as well. If similar language to the Valued Ways of Working is used then it helps to frame the candidate’s expectations.

Derive personspecification

Consider the experience, technical skills, capabilities and knowledge required to do the job, as well as the behaviours and capabilities required to perform it really well.The job description and the person specification must be devised in accordance with the Valued Ways of Working to help in short listing and to score candidates against whatever assessment is used at interview stage.Ensure specific criteria are justifiable in relation to jobdescription and avoid unjustifiable requirements e.g. inrelation to length of experience, or qualifications.It is not appropriate to include all behavioural competencies from the Valued Ways of Working. Find which competencies are most important for the role then pick which example would be most useful to measure the candidates against eg Working Together Collaboratively – looks for win-win solutions. Also be sure to make a note of the used example’s opposing undesirable behaviour (eg ignores input of others). This ensures consistency when later marking candidates against the example used.

Consider recruitmentand selection methods

Consider means of assessing the candidate againsteach item on the person specification: interview;

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application form; references; some other form of testing (e.g. ability and personality questionnaires); in-tray exercises; group exercises.HR can advise on these. Decide on dates for the interview and any tests.

Prepare application pack Standard information available on HR intranet site.Consider advertisingmedia

Press – local and/or national? Specialist/professionalpublications – including journals Internet – e.g.www.jobs.ac.uk, or specialist interest groups andmailbases. Consider cost and coverage/reach.

Prepare and placeAdvertisement

Closing date is normally 3 weeks from the insertion of the advertisement (2 weeks for support staff vacancies).

HR can advise on deadlines for advertisements to appear in specialist media.

Ensure that some of the key behavioural competencies identified for the post are included in the advert. Do not use previous adverts as jobs should go through a screening process each time so they are up to date.

Receive applications Ensure applications are dealt with promptly and confidentially.Shortlist Panel should meet for a short-listing discussion if

possible. Short listing should be against agreed criteria that can be

evidenced from the application form – not qualities such as interpersonal skills, which need to be assessed at interview, or through other means.

Although the behavioural competencies of the Valued Ways of Working could be seen as qualities they have examples that compliance can be clearly defined against even at the application form stage.

Record decisions using the Reason for Not Interviewing Form

Take up references In exceptional cases (i.e. academic, research & senior academic-related appointments) references may be sought at this stage.

Make sure references are not sought where the candidate has indicated they should not be taken up at this stage.

Where references are sought at this stage, allow enough time between short-listing and interview for the return of references.

Panel should agree on status of references and their role in reaching a final decision on the most suitable candidate.

References at the pre-offer stage should not contain any questions relating to sickness absence.

Prepare for interviews Agree roles of panel members and the line of questioning for each. Agree the process of assessment – Scoring system? Written assessment? How will the panel arrive at a final selection? Further particulars or invitations to interview should include names of panel members and give details of any testing that will take place.

The Valued Ways of Working provides a clear framework that the behavioural competencies can be scored against

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in an interview setting. When determining what questions to use it is recommended to use a 60:40 division between professional/academic/technical questions and the Valued Ways of Working behavioural competencies. This is only a rough guide however and the interviewers should use their own discretion depending on the focus of the role.

Interview and otherselection processes

Observe an interview structure – Allow the candidate the opportunity to talk for 70–80%of

the time. Use probing questions to assess the transferability of any

previous experience to the new job. Before beginning the interview, make sure that the

process for competency based interviewing is explained to the candidate as they may not have experienced it before and techniques used may confuse or unsettle them.

Where appropriate, ensure questions are phrased to give the candidate the opportunity to demonstrate the desired key behavioural competencies you are looking for.

Allow time for the candidate’s questions and the supply of further information.

Ensure that the candidate knows when a decision will be taken and the next steps.

If references have not already been taken up, advise the candidate that any decision taken by the panel will be on the basis of receiving satisfactory references.

Feedback results of any tests or additional selection process.

Offer option of feedback on interview to candidates and tell them whom to contact.

Make sure that the ‘Reasons for Not Appointing’ form is used to record where each candidate does and does not meet the Valued Ways of Working behavioural competencies for feedback later. Use the Interview Rating Form (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Interview-Rating-Form-HRF086.doc) for assessing the Valued Ways of Working (that are relevant to the role).

A candidate rating form (http://intranet6.open.ac.uk/human-resources/documentum/humanresources/policies-and-procedures/r/recruitment/Candidate-Rating-Form-HRF087.doc) can be used to assess the candidates.

Panel decision Use a predetermined scoring system or method of assessment. Re-convene next day to conclude if no decision can be reached. Inform number one candidate that a formal offer can only be made in writing from HR but that you are recommending them for the job.

Appointment offers If references have not been taken up from the last employer prior to interview, the offer will be made subject to receipt of satisfactory references.

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Offer subject to medical and proof of eligibility to work in the UK

HR send offer letter and medical form.

Medical Medical details considered by the Occupational HealthDepartment and notified to HR.

Confirmation of start date/offer HR write to the successful candidate making the offer date/offer unconditional.

Take any action required in relation to adjustments fordisabled appointees

The line manager should ensure that once an offer has been accepted any action required in respect of adjustments identified by disabled appointees is taken.

Induction andperformance review

Unit draw up local induction/training plans and decide on the process for reviewing performance (including sickness absence management) through the probation period.

Review of success of recruitment exercise

In light of the performance of new members of staff, Units may wish to review the effectiveness of the recruitment and selection process.