Scope
The FPPT is applicable to all board members in NHS trusts, foundation trusts, integrated care boards (ICBs) and arm’s-length bodies (ALBs) – the Care Quality Commission (CQC) and NHS England – in scope.
This guidance is for those who will be conducting the testing, entering the information into the Electronic Staff Record (ESR), and signing off the FPPT. This is likely to include the:
- chair
- chief executive
- company secretary
- HR director/chief people officer
- senior independent director (SID)/deputy chair
- HR and recruitment managers.
The chair may seek support in completing the tasks from a senior member of staff such as the company secretary/HR director (or equivalent) in matters of final assessment and sign off.
Introduction
This document should be read alongside the FPPT Framework and the guidance we have published for chairs. This document has been developed to describe how to record completion of fit and proper person testing in ESR.
Documentation to evidence the FPPT and the overall conclusion reached for each board member must be retained separately by organisations; for example, right to work documentation, screen shots for disqualified director check, case management records, settlement agreement, etc.
ESR should be used to record that testing has been conducted and that the chair has reviewed and ‘signed off’ as complete for each individual. Separate records must also be retained for mitigating actions or additional considerations taken into account in reaching a conclusion for each board member’s FPPT.
The annual FPPT submission made by the chair to the NHS England regional director is where the declaration of FPP status is made. To enable them to complete the annual submission, chairs will review that testing is complete in ESR and review the evidence files for each board member.
The annual submission will identify the outcome of the FPPT for each individual board member for each organisation.
The process below sets out the suggested approach to the initial and annual FPPT:
FPPT process
Step 1: (carried out by) Company secretary*
- Sends out request to all board members for the annual fit and proper self-attestation forms to be completed.
- Carries out tests for individual board members, collates evidence and updates local FPPT folders for each board member.
- Enters outcomes of FPPT onto ESR (other than the final chair sign-off) and runs the ESR FPPT business intelligence (BI) dashboard report.
Step 2: Chair for CEO, non-executive directors (NEDs), chief executive for executive directors
- Review FPPT dashboard and evidence and conclude for each individual board member whether they are fit and proper.
- Any adverse findings (breach) or mitigations must be evidenced with a written record.
- Is there a breach?
- Yes/No: (See Framework for Breaches)
Step 3: Chair
- Reviews the executive director FPPT results.
- Once satisfied that the testing for all board members is complete, ESR has been updated accurately and a conclusion can be drawn, the FPPT sign-off field should be completed on ESR for each board member.
- SID/deputy chair to carry out FPPT on the chair and sign-off.
- for a foundation trust: additional governance process via the council of governors.
Step 4: Company secretary*
- Annual submission form completed by company secretary* to record the outcome of tests for each board member.
- Chair to review and check and sign declaration form.
- for a foundation trust: additional governance process via the council of governors.
- Submission to NHS England regional director (alternative arrangements for ALBs).
Step 5: NHS England regional director (RD)
- RD will review annual submission (and any ad hoc submissions) and respond back to the NHS organisation as a record of receipt.
- RD will copy to FPPT Central team (NHS England – WTE directorate).
Step 6: FPPT Central team
- FPPT team will collate records from NHS England regions.
* Or senior members of staff nominated by and on behalf of the chair, eg HR director.
Access
All board members should be recorded on ESR, including NEDs.
Access should be given to the relevant members of staff who have a responsibility to record employment check/recruitment-related information for all staff.
The user responsibility profiles (URPs) are not restricted to cohorts of staff, and therefore existing access for recruitment/HR teams across the NHS will already enable access to these forms and any existing information that is recorded in ESR.
The chair and chief executive may be supported by these appointed persons as well as suitably senior members of staff in conducting the entries and reporting within ESR:
- Chair
- CEO
- HR director
- Company secretary
- HR and recruitment teams
- SID/deputy chair
How to request access
Local access to ESR will continue to be maintained by each organisation’s local system administrator. This person(s) can assign URPs upon request/approval via each organisation’s own established local process.
FPPT data fields and ESR entry requirements
Completion of the FPPT in ESR is via the data fields described below.
The data fields are located within the HR and employee relations modules in ESR, either as individual data points or as an FPPT extra information type (EIT) for the additional fields from ESR’s release 57.
The table below outlines each data field and their module location within ESR (Browse Content – ESR Hub – NHS Electronic Staff Record).
|
HR administration |
Employee relations |
Learning administration | |
|
Personal details |
Disqualified directors register check |
Disciplinary |
Training and development |
|
Employment history |
Employment tribunal judgement |
Grievance |
|
|
Qualifications |
Disclosure and barring service (DBS) |
|
|
|
Reference |
Date of medical clearance |
|
|
|
Board member reference |
Insolvency check |
|
|
|
Appraisals |
Date of professional registration check |
|
|
|
Social media | Self-attestation |
|
|
|
Disqualification from being a charitable trustee |
Fit and proper person chair sign-off |
|
|
| Settlement agreements | |||
Personal details
Enter details at time of recruitment. Annual check thereafter if details have been updated.
(Please note – this does not detract from updating details in real time throughout the assessment period.)
Employment history
Enter details at time of recruitment. This is a one-time-only check at recruitment.
Training and development
Enter details at time of recruitment. Annual update thereafter to enter additional training and development completed within the reviewed period.
(Please note – this does not detract from updating details in real time throughout the assessment period.)
References
Recruitment reference: enter details at time of recruitment, this is a one-time-only check. Please state if the Board Member Reference template was used in obtaining the reference under ‘Reference Type’.
Board member reference (where applicable)
This needs to be included as part of the current leaver process. Enter the date that the reference has been completed for a board member who has left their board role within the reviewed period, for whatever reason.
The reference must be retained in line with the FPPT framework: Browse Content – ESR Hub – NHS Electronic Staff Record
Appraisals
Check and confirm that an appraisal has been conducted with a satisfactory outcome; enter date of appraisal.
The performance appraisal should cover consideration against the NHS Leadership Competency Framework, as well as individually-set, role-related objectives.
Disciplinary
The FPPT entry is no different to the normal process for recording disciplinary matters in line with local policy. Details to be entered and updated as the case progresses.
All employee relations and whistleblowing cases to have a disciplinary investigation process started at the point of being raised and to be documented as such within the ‘specific allegation’ section.
If any employee relations cases raised are upheld, ‘Employee relations findings upheld’ needs to be entered in the ‘investigation outcome’ section.
For the purposes of the BMR, a record should also be retained of any ongoing and/or discontinued investigations.
Grievance
The FPPT entry is no different to the normal process for recording disciplinary matters in line with local policy. Details to be entered and updated as the case progresses.
Social media
Entering a date confirms the social media test is complete for the latest assessment and no adverse FPPT findings discovered.
Disqualification from being a charitable trustee
If the board member is found to be disqualified, leave this data point blank.
If there is no such disqualification, enter the date of check.
Disqualified directors register check
If the board member is found to be disqualified, leave this data point blank.
If there is no such disqualification, enter the date of check.
Employment tribunal judgement
If an adverse employment tribunal judgement (that could be in the name of the organisation rather than the name of the individual) is found where the board member was implicated, leave this data point blank.
If there is no such finding, enter the date of check.
Disclosure and barring service (DBS)
Enter the date of the check that DBS status is in line with local policy.
Date of medical clearance
This is a one-time-only check at recruitment unless a review is required in line with local policy. Enter date of the original check where the board member was found to be fit to carry out the role required.
Insolvency check
If the board member is found to be insolvent, leave this data point blank.
If there is no such finding, enter the date of check.
Settlement agreements
If the board member is found to have settlement agreement(s), enter Yes.
If there is no such finding, enter No.
Date of professional registration check
Enter the date of the check to confirm that professional registration is valid and up to date.
Self-attestation form
Enter the date of receipt of the annual/new starter self-attestation where it is signed by the board member with no issues.
If there are issues which need to be considered by the chair or the form is not received, leave this data point blank.
FPP chair sign-off
For each individual board member, the chair to enter date of sign off.
There is a free text box which can be used if required. The free text box is to be used to confirm that a board member is cleared or not cleared as FPP or to detail the development and/or management put in place to support any sign off pertaining to mitigating circumstances.
Other considerations
One element of the FPPT is to consider whether an applying or current board member has any settlement agreements (where disclosable) and if so, what the impact might be on determining whether they are fit and proper.
This is described in full in the FPPT Framework. There is currently no data field in ESR to record this; however, it must be considered as part of the FPPT, and the overall conclusion reached for all individual board members.
The existence of a settlement agreement does not, of course, in and of itself determine that a person is not fit and proper to be a board member.
Business intelligence (BI) reporting
ESR BI includes a FPPT page within the NHS Employment Checklist Dashboard.
The dashboard is available from the URPs below and can be accessed through ‘Business Intelligence’ within the navigator in ESR. The dashboard is available under the ‘Dashboards’ drop-down within the upper toolbar in ESR BI.
- XXX BI Administration
- XXX HR Administration
- XXX HR Administration (with registration authority [RA])
- XXX HR Management
- XXX Recruitment and Applicant Enrolment Administration
- XXX Recruitment and Applicant Enrolment Administration (with RA)
Further information about the NHS Standard Dashboard can be found here: http://www.esrsupport.co.uk/ESRBI/guide/v2/Employment%20Checklist%20Dashboard/
Summary of data fields and the FPPT BI dashboard
An amber representation on the BI report should be investigated further as this could indicate an incomplete or an unsatisfactory outcome.
Useful information
All details to be entered as per the ESR user manual and the ESR How to guides.
Please see section 1.4 of the Framework on personal data.
Completing an inter-authority transfer (IAT) when recruiting from within the NHS organisation
The submission of an IAT will transfer data currently held in ESR on the applicant to your organisation: How to complete an Inter Authority Transfer (IAT) check in NHS Jobs user guide (nhsbsa.nhs.uk)
Appendix 1: Guidance to support FPPT recording on ESR
This document has been developed to assist navigation of ESR for the purpose of recording the completion of testing for the fit and proper person assessment.
For further assistance on matters relating to access or any other ESR functionality queries not addressed in the guidance, please contact your regional functional account manager About Communications and Engagement Team – ESR Hub – NHS Electronic Staff Record.
Personal details
Enter HR Personal Information – Combined.
Enter details at time of recruitment. Annual check thereafter if details have been updated.
(Please note – this does not detract from updating details in real time throughout the assessment period).
Employment history
Enter HR personal information – Combined > Others > Previous Employment.
Enter details at time of recruitment. This is a one-time-only check at recruitment.
Training and development
Enter HR Personal Information – Combined > Others > Competence Profile.
Enter details at time of recruitment. Annual update thereafter to enter additional training and development completed within the reviewed period.
(Please note – this does not detract from updating details in real time throughout the assessment period).
Qualifications
Enter HR Personal Information – Combined > Others > Qualifications
References
Enter HR Personal Information – Combined > Others > Mandatory NHS Employment Checks > References (view details).
Recruitment reference: enter details at time of recruitment, this is a one-time-only check. Please state if the Board Member Reference template was used in obtaining the reference under ‘Reference Type’.
Board member reference
Enter HR Personal Information – Combined > Others > End Employment > Add’l Period of Service Det’s.
This needs to be included as part of the current leaver process. Enter the date that the reference has been completed for a board member who has left their board role within the reviewed period. The reference must be retained in line with the FPPT framework: Browse Content – ESR Hub – NHS Electronic Staff Record .
Appraisals
Enter HR Personal Information – Combined > Assignment > Others > Extra Assignment Information > Appraisals and Development Summary.
Check and confirm that an appraisal has been conducted with a satisfactory outcome; enter date of appraisal.
The performance appraisal should cover consideration against the NHS Leadership Competency Framework, as well as individually-set, role-related objectives.
Disciplinary
Employee Relations Details > Disciplinary.
The FPPT entry is no different to the normal process for recording disciplinary matters in line with local policy. Details to be entered and updated as the case progresses.
All employee relations and whistleblowing cases to have a disciplinary investigation process started at the point of being raised and to be documented as such within the ‘specific allegation’ section.
If any employee relations cases raised are upheld, ‘Employee relations findings upheld’ needs to be entered in the ‘investigation outcome’ section.
For the purposes of the BMR, a record should also be retained of any ongoing and/or discontinued investigations.
Grievance
Employee Relations Details > Grievance.
The FPPT entry is no different to the normal process for recording disciplinary matters in line with local policy. Details to be entered and updated as the case progresses.
Social media
Enter HR Personal Information – Combined > Others > Extra Information > Fit and Proper Person Test.
Entering a date confirms the social media test is complete for the latest assessment and no adverse FPPT findings discovered.
Disqualification from being a Charitable Trustee
Enter HR Personal Information – Combined > Others > Extra Information > Fit and Proper Person Test.
If the board member is found to be disqualified, leave this data point blank.
If there is no such disqualification, enter the date of check.
Disqualified directors register test
Enter HR Personal Information – Combined > Others > Extra Information > Fit and Proper Person Test.
If the board member is found to be disqualified, leave this data point blank.
If there is no such disqualification, enter the date of check.
Employment tribunal judgment
Enter HR Personal Information – Combined > Others > Extra Information > Fit and Proper Person Test.
If an adverse employment tribunal judgement (that could be in the name of the organisation rather than the name of the individual) is found where the board member was implicated, leave this data point blank.
If there is no such finding, enter the date of check.
Disclosure and Barring Service (DBS)
Enter HR Personal Information – Combined > Others > Extra Information > DBS Checklist.
Enter the date of the check that DBS status is in line with local policy.
Date of medical clearance
Enter HR Personal Information – Combined > Others > Extra Information > Employment Checklist Details.
This is a one-time-only check at recruitment unless a review is required in line with local policy. Enter date of the original check where the board member was found to be fit to carry out the role required.
Insolvency check
Enter HR Personal Information – Combined > Others > Extra Information > Fit and Proper Person Test.
If the board member is found to be insolvent, leave this data point blank.
If there is no such finding, enter the date of check.
Settlement agreements
Enter HR Personal Information – Combined > Others > Extra Information > Fit and Proper Person Test
If the board member is found to have settlement agreement(s), enter Yes. If there is no such finding, enter No.
Date of professional registration check
Enter HR Personal Information – Combined > Others > Extra Information > Employment Checklist Details.
Enter the date of the check to confirm that professional registration is valid and up to date.
Self-attestation form signed
Enter HR Personal Information – Combined > Others > Extra Information > Fit and Proper Person Test.
Enter the date of receipt of the annual/new starter self-attestation where it is signed by the board member with no issues.
If there are issues which need to be considered by the chair or the form is not received, leave this data point blank.
FPP chair sign-off
Enter HR Personal Information – Combined > Others > Extra Information > Fit and Proper Person Test.
For each individual board member, the chair to enter date of sign off.
There is a free text box which can be used if required. The free text box is to be used to confirm that a board member is cleared or not cleared as FPP or to detail the development and/or management put in place to support any sign off pertaining to mitigating circumstances.
Publication reference: PRN00238_iv