DBS DISCLOSURE CHECKS - Policy and Guidance

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DBS DISCLOSURE CHECKS - Policy and Guidance

                                                          PRINCIPLES
   Introduction
                                                          The Disclosure & Barring Service (DBS)
   Newport City Council recognises the                    (Formerly known as CRB) helps organisations to
   importance of pre and post employment                  make safer recruitment decisions. It provides
   DBS checks, particularly for posts which               access to a range of different types of information
   involve working with vulnerable groups                 such as police records and information held on
   including children. The Council fully                  the barred list for children & adults.
   complies with the Disclosure & Barring
   Service Code of Practice.                              Employers are empowered to ask for information
                                                          in relation to a person’s history under the
                                                          Exceptions Order to the Rehabilitation Act (ROA)
                                                          1974 (as amended) which particularly applies
                                                          where employees work with vulnerable groups
                                                          including children.
   Aims of the Policy / Guidance
                                                          Council Policy on DBS Checks and
   This document outlines the Council’s policy            Recruitment
   in relation to DBS Checks and recruitment.
   It provides guidance on DBS checks the                 It is the City Council’s policy that, where a post
   application process and the Council’s                  has been identified as requiring either a Criminal
   management of that process.                            Conviction Certificate, Criminal Record Certificate
                                                          or Enhanced Criminal Record Certificate, a
                                                          prospective employee may not commence work
                                                          until the disclosure check has been received from
                                                          the DBS and assessed by Human Resources and
                                                          the Appointing Manager.
   Scope
                                                          In exceptional circumstances a manager may
   This policy applies to all employees with              request that an employee be allowed to
   the exception of those employees working               commence employment prior to a DBS disclosure
   in maintained schools under the direct                 check having been received and assessed. A
   control of a School Governing Body.                    Business Case, including a Risk Assessment
                                                          form, will need to be completed outlining the
   School Based Employees:                                exceptional reasons for the request. All requests
   Newport City Council commend this policy               are subject to approval by the relevant Head of
   to individual Governing Bodies for                     Service.
   adoption. If adopted by a Governing Body,
   the policy will apply to all employees under           School Based Employees
   the direct control of that Governing Body.             This policy is commended to school Governing
                                                          Bodies for adoption. It is therefore a matter for
                                                          each Governing Body to determine whether or
                                                          not they will allow employees to commence work
                                                          prior to a DBS disclosure check having been
                                                          received and assessed by the Headteacher.

  To be read in conjunction with:                         However, the Council strongly recommends
                                                          that, due to the potential safeguarding risks,
   Employee Code of Conduct                               Governing Bodies adopt the Council’s
   Recruitment and Selection Policy                       recommended policy in this matter.
   Disciplinary Policy
   Rehabilitation of Offenders Act Guidance               Where a school chooses not to adopt this policy
                                                          and allows employees to commence employment
                                                          prior to a DBS disclosure check being received
                                                          and assessed, they should ensure that a Risk
                                                          Assessment form is completed for each
                                                          prospective employee prior to their

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DBS DISCLOSURE CHECKS - Policy and Guidance

 commencement of employment.

 FREQUENCY OF DBS CHECKS

 There is no legal requirement to “repeat” or “renew” a DBS disclosure check for any employees, other than
 those who work within social services environments where specific statutory requirements apply (see
 below). The Council’s policy is that serving employees will only be asked to undergo a DBS check in the
 following circumstances:
   1.   Where they have not previously been eligible for a DBS disclosure check and move to a post that
        involves significantly greater responsibility for vulnerable groups including children

   2.   When they seek a new appointment within the Council and have a DBS check which is more than
        12 months old
 Further information can be found in the section on “Portability of DBS Checks” and “DBS Update Service”
 below.

 In addition, it must be noted that, within the Council’s Employee Code of Conduct, an employee is
 required to inform their Manager / Headteacher of any criminal offence/s that occur during their
 employment (which relates to their employment) at the earliest opportunity. Failure to disclose any criminal
 offence may be treated as a disciplinary matter.

 Employees who are required to be registered with the Care Standards Inspectorate for Wales
 The Care Standards Inspectorate for Wales (CSIW) is a statutory regulatory body covering staff working
 within social services environments. It is a requirement that employees working for the City Council in
 these environments are registered with the CSIW and part of the registration process requires that DBS
 disclosure checks are repeated on a 3 yearly basis.

 Existing employees who are in posts that require DBS checks will have their check renewed every 3 years.
 Staff will be notified in writing three months before the disclosure is required.

 School Based Employees
 There is no ESTYN requirement to “repeat” or “renew” DBS disclosure checks for school based
 employees. However, a school Governing Body may make a decision to ask the Council to “renew” DBS
 disclosure checks for employees under their direct control if they so wish. Any such decision should be
 taken by the full Governing Body or relevant Committee with delegated powers. Supplementary Guidance
 is available from Estyn.

 “PORTABILITY” OF DBS CHECKS

 Portability refers to the re-use of disclosure information which has been obtained for the same (or different)
 post either in the same or different organisation. As a DBS disclosure check only contains information as at
 the date the check was produced by the DBS, there are risks in relying on portability. For this reason the
 DBS recommends that organisations do not accept DBS disclosure checks from other organisations.

 The Council’s policy in relation to the portability of DBS disclosure checks is as follows:

 New Starters to the Council
 A new DBS disclosure check must be undertaken for any new starter to the Council (i.e. someone who is
 not already employed elsewhere in Newport City Council) where their new post requires it. The Council will
 not accept DBS disclosure checks which have been undertaken for the individual in other organizations
 unless the new starter is a member of the DBS Update Service (see “DBS Update Service” below).

 Existing Newport City Council employees
 1. Transfer between post not requiring any DBS disclosure check to new post requiring a check

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     If an employee transfers within the Council from a post which does not require a DBS disclosure check
     to a new post requiring either a Criminal Conviction Certificate, Criminal Record Certificate or
     Enhanced Criminal Record Certificate, the necessary check needs to be undertaken (unless the
     employee is a member of the Update Service). The employee will not be able to start their new post
     until the disclosure check is received from the DBS and has been assessed by the Appointing Manager
     / Headteacher.

 2. Transfer between post requiring Criminal Record Certificate to new post requiring Enhanced Criminal
    Record Certificate
    If an employee transfers within the Council from a post requiring a Criminal Record Certificate check to
    a new post requiring an enhanced check, a new, enhanced, check needs to be undertaken (unless the
    employee is a member of the Update Service). The employee will not be able to start their new post
    until the disclosure check is received from the DBS and has been assessed by the Appointing Manager
    / Headteacher.

 3. Transfer within Council or between schools where disclosure check is more than 12 months old
    In these circumstances a new DBS disclosure check should be undertaken (unless the employee is a
    member of the Update Service). The employee will not be able to start their new post until the
    disclosure check is received from the DBS and has been assessed by the Appointing Manager /
    Headteacher.

 4. Transfer within Council or between schools where disclosure check is less than 12 months old
    In these circumstances a new DBS disclosure check will not be required and the employee will be able
    to commence their new post (subject to any other pre-employment requirements that apply). This is, of
    course, subject to there being no convictions disclosed on the disclosure check which impact on
    employment in the new post.

 DBS UPDATE SERVICE

 Individuals can now subscribe to the DBS’ “Update Service” for an annual subscription. This allows the
 individual to take their DBS check from role to role, within the same workforce, where the same type and
 level of check is required.

 The Update Service will allow the Council to check new recruits or those who require a check whilst
 employed by the Council without the need to submit an application. The Council will need to seek the
 permission of the individual to use their current DBS Certificate to carry out a free, online check to see if
 any new information has come to light since its issue.

 The Update Service can only be used for those who have registered and are members of this service. If an
 individual has a “manual” DBS that has not been produced through the DBS update system, this will not
 link to the Update Service. Individuals will receive a letter with their DBS Certificate explaining whether they
 have a manual DBS Certificate and not a system generated one.

 BARRED LIST INFORMATION

 It is now a criminal offence for individuals barred by DBS to work or apply to work with vulnerable groups
 including children in a wide range of posts, and equally for the Council to employ barred individuals in what
 would be deemed ‘regulated activity’. A summary of the definitions of regulated activity can be found at
 appendix 3. The Authority also has a duty to refer individuals and provide information to DBS where they
 consider employees have caused harm or pose a risk of harm to vulnerable groups including children.

 In order to establish if an individual is barred an enhanced check must be undertaken.

 CONFIDENTIALITY

 The information supplied by DBS and in disclosure checks can be extremely sensitive and personal, and is

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 covered by the “sensitive personal data” provisions of the Data Protection Act 1998. It is a criminal
 offence to pass information contained on a DBS disclosure check to anyone who is not entitled to receive
 it.

 Any abuse of DBS disclosure information by any Council employee is unacceptable and may lead to
 disciplinary action.

 Guidance
 DBS DISCLOSURE CHECKS

 There are three levels of disclosure which an employer can request from the DBS. These are the Criminal
 Conviction Certificate, Criminal Record Certificate and the Enhanced Criminal Record Certificate.
 Managers, in conjunction with Employment Services, are required to assess whether a standard or an
 enhanced disclosure is required for a specific role. The decision on whether a post requires a standard or
 an enhanced check is dependent on the specific duties undertaken by the postholder in their job, and
 whether these duties meet the statutory requirements for a DBS disclosure check to be undertaken.

 Criminal Conviction Certificate

 The Criminal Conviction Certificate, also known as the basic check, records information about unspent
 convictions and cautions

 Criminal Records Certificate (‘CRC’) - Previously known as standard disclosure, the standard check is
 available for duties, positions and licences included in Rehabilitation of Offenders Act 1974 (Exceptions)
 Order 1975. The standard level certificate shows current and spent convictions, cautions, reprimands and
 warnings held on the Police National Computer (PNC).

 Enhanced Criminal Record Certificate (‘ECRC’) - Previously known as enhanced disclosure, the
 enhanced check is available for specific duties, positions and licences included in Rehabilitation of
 Offenders Act 1974 (Exceptions) Order 1975.and the Police Act 1997, The enhanced level certificate
 contains the same information as a Criminal Records Certificate but with the addition of any relevant and
 proportionate information which a Chief Police Officer reasonably believes ought to be included and a
 check on the DBS Children’s and / or Adult’s Barred Lists where requested.

 The Safeguarding Vulnerable Persons Act 2006 makes it a requirement that where an individual works with
 children or vulnerable groups, and undertakes activities which are deemed to be ‘regulated’ activity under
 the Act, an Enhanced Certificate check must be undertaken and received prior to appointment. Further
 information on what constitutes a regulated activity is available at appendix 3 or from Employment
 Services.

 PRE-EMPLOYMENT CHECKS AND DBS DISCLOSURE CHECK APPLICATION PROCESS

 General
 Where a Criminal Record Certificate or an Enhanced Criminal Record Certificate is required for a post, the
 Council makes it a condition of the offer of employment that a “satisfactory” check is received. The decision
 on what constitutes a “satisfactory” check is for the Council to make.

 A significant proportion of the UK population will have a caution, bindover, reprimand or conviction that will
 show on either certificate. . Therefore, it must be remembered that a “satisfactory” check does not
 necessarily mean a “clear” check (i.e. one where no convictions at all are disclosed) and that certain
 convictions will not preclude an individual being employed.

 Adverts
 When a post which requires either a Criminal Record Certificate or Enhanced Criminal Record Certificate is

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 advertised, the advert must clearly specify that a satisfactory disclosure check will be required prior to
 appointment.

 Application Form
 The City Council’s job application forms include the following wording:
       “Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 & Police Act 1997
       If the Job Description has indicated that the post for which you are applying will be subject to a
       Disclosure and Barring Disclosure, the Authority will require you to reveal any criminal
       convictions, bind-over orders or cautions, including those which would normally be regarded as
       spent.”

 Applicants for posts requiring either a CRC or ECRC must therefore declare any criminal convictions,
 cautions, reprimands and warnings, even if these would be regarding as “spent” under the Rehabilitation of
 Offenders Act (see Guidance on Rehabilitation of Ex-Offenders).

 Applicants are also required to sign a declaration at the end of the application form confirming that the
 information on their application is “complete and true”.

 Invitation to Interview
 Following the shortlisting process, those candidates invited to interview will be asked to provide evidence
 of their identity by providing original documents from the DBS’s designated list (Appendix 2). To enable a
 speedy recruitment process, the Appointing Manager / Headteacher should, where possible, obtain original
 documentation from the candidates at the time of interview. If the candidate is a member of the DBS
 Update Service, the Appointing Manager/Headteacher can complete a DBS Certificate Verification Form to
 collect details of the certificate. However, the Appointing Manager/Headteacher must see the original copy
 of the candidate’s DBS certificate (but a copy must not be taken).

 When obtaining documentation at interview, the Appointing Manager / Headteacher or their nominee must
 carefully check the documents supplied to be sure that they are original documents and as far as is
 possible, are satisfied that they are genuine documents. Copies should then be taken of the documents
 provided by the applicants; each document should be certified as a true copy by writing the phrase
        “I certify that this is a true copy of the original document”
 on each document copy. The Appointing Manager / Headteacher or their nominee should then sign and
 date each document underneath this declaration.

 Following completion of the interview process, the copies of the original documents for the successful
 applicant/s only should be forwarded to Employment Services with the rest of the recruitment paperwork.

 Copies of original documentation taken at interview for candidates who are then unsuccessful should be
 destroyed by the Appointing Manager / Headteacher; the documents should be treated as confidential
 waste and destroyed accordingly.

 Interview Process
 During any interview process for recruitment to a post, the Appointing Manager / Headteacher should:
     Remind all applicants of the requirements for the DBS disclosure check
     Remind all applicants of the requirement on the application form for them to disclose any criminal
        convictions, bind-over orders or cautions, including those which would normally be regarded as
        spent (as defined by the DBS).
     Ask each applicant to confirm the information they have supplied on their application form (including
        nil disclosures) is complete and accurate.
     Advise applicants of the consequences of non-disclosure of a criminal record i.e. it is likely that any
        offer of employment would be withdrawn.

 Offer of Employment

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 When a successful candidate has been offered a post, a DBS disclosure application form will be sent to the
 successful candidate’s home address, unless already completed at an earlier stage. If the required
 identification documentation for the successful candidate was not obtained at the time of interview, this
 documentation will be obtained at this stage by Employment Services. This may include seeking
 permission from a candidate who is a member of the Update Service to complete an online check (where
 relevant).

 Processing of completed DBS application form
 Once Employment Services have received 1) the fully completed application form and
 2) all the necessary supporting documentation, the application form for the disclosure check will be
 forwarded to the DBS.

 Timing for receipt of Disclosure Check from DBS
 Guidance from the DBS suggests that the anticipated turnaround time for a CRC will be between 7 – 10
 days and up to 4 weeks for an ECRC . A copy of the disclosure check will also be sent to the individual on
 whom the check is being undertaken.

 The DBS will no longer automatically issue a copy of an applicant’s DBS Certificate to a Registered Body
 (ie the Council) who countersigned the DBS application form. The Council will need to ask the applicant for
 sight of their DBS Certificate.

 COMMENCEMENT OF EMPLOYMENT PRIOR TO RECEIPT OF DISCLOSURE CHECK FROM DBS

 Where a post has been identified as requiring either a CRC or ECRC, a prospective employee must not
 commence work until the disclosure check has been provided by the applicant or an online check has been
 completed by the Council and assessed by Human Resources and the Appointing Manager.

 In exceptional circumstances and in order to meet the needs of the Service, a manager may request that
 an employee be allowed to commence employment prior to the DBS disclosure check having been
 received and assessed. In this situation, the manager will need to compile a Business Case, which must
 include a completed Risk Assessment Form outlining the exceptional reasons for the request. All requests
 are subject to approval from the relevant Head of Service, who will consult with Human Resources before
 approving any request.

 Even in these exceptional circumstances, new employees are not able to commence employment unless
 the Council has submitted their DBS application to the DBS i.e. a completed application form and all
 necessary documentation have been received.

 Where an employee commences employment in the above circumstances, the Risk Assessment Form
 must be sent to Employment Services with all other new starter documentation prior to commencement of
 employment, in order for the employee to be entered onto the Council’s payroll system.

 School Based Employees
 It is a matter for each school Governing Body to determine whether or not they will allow employees to
 commence work prior to a DBS disclosure check having been received and assessed by the Headteacher.

 Even in these circumstances, new employees should not commence employment unless the Council has
 submitted their DBS application to the DBS i.e. a completed application form and all necessary
 documentation have been received.

 Where a Governing Body chooses to allow employees to commence employment prior to a DBS disclosure
 check being received and assessed, they must ensure that a Risk Assessment Form is completed for each
 prospective employee. Completed Risk Assessment forms must be sent to Employment Services with all
 other new starter documentation prior to commencement of employment, in order for the employee to be
 entered onto the Council’s payroll system.

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 INFORMATION PROVIDED ON THE DBS DISCLOSURE CHECK - WHERE INDIVIDUAL HAS NOT YET
 COMMENCED EMPLOYMENT

 “Clear Checks”
 Where the DBS disclosure check is “clear” i.e. there are no convictions, cautions, reprimands and / or
 warnings disclosed, the offer of employment is able to proceed.

 Checks where information is disclosed
 However, where the DBS disclosure check is not “clear”, the Appointing Manager / Headteacher will need
 to assess the information disclosed in conjunction with Employment Services:
     1      If the DBS disclosure check confirms information disclosed by the applicant on their application
            form and which was known by the Appointing Manager / Headteacher at the time of the offer of
            appointment, then it is likely that there will be no further action to be taken, and the appointment
            will proceed.

     2      However, if the DBS disclosure check either
             Provides different or additional information to that disclosed by the applicant on their
               application form OR
             Discloses details of convictions where the applicant made a “nil” disclosure on their
               application form Employment Services will discuss the implication of the information
               provided on the offer of employment with the Appointing Manager / Headteacher.

            Each case must be reviewed on its own merit and consideration made of the date and nature of
            the offence, and whether or not the conviction is “live” or “spent”, and how these issues impact
            on the post the individual has applied for. (See Guidance on Rehabilitation of Ex-Offenders for
            further information).

            The Appointing Manager / Headteacher should discuss the discrepancies between the DBS
            disclosure check and the information provided on the application form with the applicant prior to
            making a decision as to whether the offer of employment should proceed or be withdrawn. The
            withdrawal of an offer of employment must be made in writing following consultation with
            Human Resources.

 INFORMATION PROVIDED ON THE DBS DISCLOSURE CHECK - WHERE INDIVIDUAL HAS
 ALREADY COMMENCED EMPLOYMENT

 As outlined above, in exceptional circumstances, a Head of Service / Governing Body may determine that
 the prospective employee may commence employment prior to the DBS check being returned to the
 Council. When the DBS Disclosure check is received, the guidance outlined above in relation to “clear”
 disclosures applies.

 Checks where information is disclosed
 However, where the DBS disclosure check is not “clear”, the Appointing Manager / Headteacher will need
 to assess the information disclosed in conjunction with Transactional HR and Payroll Team:
     1      If the DBS disclosure check confirms information disclosed by the applicant on their application
            form and which was known by the Appointing Manager / Headteacher at the time of the offer of
            appointment, then it is likely that there will be no further action to be taken, and the appointment
            can be confirmed.

     2      However, if the DBS disclosure check either
             Provides different or additional information to that disclosed by the applicant on their
               application form OR
             Discloses details of convictions where the applicant made a “nil” disclosure on their
               application form

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             Employment Services will discuss the implication of the information provided on the offer of
            employment with the Appointing Manager / Headteacher.

            Each case must be reviewed on its own merit and considerations are as outlined above (for
            employees who have not already commenced employment). The same process regarding
            discussing discrepancies between the DBS disclosure check and the information provided on
            the application form should be applied. Prior to making any decision regarding what action is to
            be taken, the Appointing Manager should discuss the matter with their Head of Service, and a
            Headteacher with their Chair of Governors.

               Non-disclosure of a “spent” conviction
                If the conviction disclosed is already “spent” and is not relevant to the post applied to, it
                should not normally be necessary to withdraw the offer of employment, although this option
                remains available. Consideration should, however, be given to whether disciplinary action is
                required against the employee for non-disclosure of the conviction. If a decision is made not
                to take disciplinary action, the individual should be notified of this in writing to raise concern
                of the non-disclosure.

                 Written documentation detailing a Head of Service/Headteacher’s decision relating to action
                taken under this guidance note must be provided to Employment Services for placing on the
                personal file.

               Non-disclosure of live convictions and/or spent convictions if job requires at time of job
                application
                If the individual has a “live” conviction that has not been disclosed, the situation will be
                investigated and may lead to the offer of employment being withdrawn.

                The offer of employment may be withdrawn after an individual commences employment
                without the requirement to investigate under the Disciplinary Policy. This is because no
                contract exists until the applicant has accepted an offer and all conditions under which the
                offer was made have been satisfied. The withdrawal of an offer of employment must be
                made in writing following consultation with Human Resources.

                If, because the “live” conviction is not relevant to the post applied for, a decision is made not
                to withdraw the offer of employment, Consideration should, however, be given to whether
                disciplinary action is required against the employee for non-disclosure of the conviction. If a
                decision is made not to take disciplinary action, the individual should be notified of this in
                writing to raise concern of the non-disclosure.

 PROVISION OF “ADDITIONAL” DISCLOSURE INFORMATION

 When an application for an Enhanced Certificate is made, a Chief Police Officer may choose to use
 common law powers to provide ‘additional’ information to the Council about the individual. This “additional”
 information is released to the Council only and will relate to non-conviction information provided by the
 police from their local records when necessary, for example to prevent crime or harm to others.

 It is therefore essential that any additional information provided must:
            not be shown or revealed to the applicant in any way
            not be shown or revealed to any other person not involved in the recruitment decision

 It is a criminal offence to reveal “additional” information to anyone other than those immediately involved
 in making the recruitment decision.

 Any additional information should be handled, stored and retained in the same way as any other
 disclosure.

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 Where additional information is received, advice must be sought from Human Resources regarding the
 implication of this information on the recruitment decision. If a decision is made to withdraw the provisional
 offer of appointment, the applicant will need to be informed of that decision in writing.

 HANDLING DBS CHECKS / CONFIDENTIALITY

 Disclosure information is only passed to those who are authorised to receive the information in the course
 of their duties. A list of all those Council employees to whom disclosures or disclosure information has
 been revealed is retained by the Council. It is a criminal offence to pass information to anyone who is not
 entitled to receive it.

 It must be clearly understood that disclosure information is sensitive and highly confidential; abuse of this
 information by any Council employee is unacceptable and may lead to disciplinary action.

 STORAGE

 Disclosure information is never kept on employee’s personal files but will be stored in a locked non-
 portable storage container. Access to the information is strictly controlled and limited to those who are
 entitled to access the information as part of their duties.

 ACCESS TO DBS ONLINE CHECKING SERVICE

 The Council can carry out a status check using the online service as it is legally entitled to carry out a DBS
 check (as a Registered Body). The Council will be asked to confirm our eligibility to carry out such a check
 and be able to comply with the DBS Code of Practice. As such, access to the online checking service (for
 employment checks) will be limited to Employment Services.

 RETENTION OF DISCLOSURE INFORMATION

 Once a recruitment decision has been made, the Council will retain the disclosure check for no more than
 six months to allow consideration for disputes or complaints – this retention limit is set by the DBS.

 The Council will retain a record of the following disclosure information:
     name of the subject and the DBS unique identifying number
     date and type of disclosure
     date of renewal (only where CSSIW registration is required for the post)
     the recruitment decision made.
 Images or photocopies of the disclosures must not be retained.

 If in exceptional circumstances it is felt that a disclosure check should be retained for longer than six
 months, the Council will contact the DBS. The DBS will review each situation individually and will then
 authorise / not authorise the Council to retain the disclosure check. However, the rights of the subject
 under the Human Rights Act and Data Protection legislation will determine the outcome.

 DISPOSAL

 Once the retention period has passed disclosure checks will be destroyed by a suitable secure means
 e.g. shredding, burning etc. Whilst awaiting destruction, disclosure information will be stored securely.

 DISCLOSURE DISPUTES

 Where an individual disputes the information provided in a DBS disclosure check, it is their responsibility to
 resolve the dispute with the DBS. The dispute must be raised with the DBS within three months of the date
 the disclosure was issued.

 Where there is information contained on the DBS disclosure check which potentially affects the decision to
 employ / appoint the individual to the post and the information is disputed, the Council would need to
 postpone a decision to employ / appoint until the dispute is resolved. However, depending on the

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 timescales for resolution of the dispute, the Council may need to consider whether or not to withdraw the
 offer of employment.

 Where the information contained on the check does not affect the decision to employ / appoint the
 individual to the post, the appointment may proceed – the dispute is a matter between the employee and
 the DBS. On conclusion of the dispute, the Council will receive (if applicable) a revised DBS disclosure
 check for the individual.

 VOLUNTEERS

 Where a Service Area / school is actively seeking regular volunteers or is approached by parents well
 known to the school who wish to volunteer, the same recruitment measures should be adopted as for paid
 employees working in the same area e.g. application form, references, DBS check, etc. This provides the
 Service Area / school with adequate information about the volunteer which may not otherwise be made
 available if a recruitment process is not followed and ensures that children and vulnerable adults are
 appropriately safeguarded.

 If a volunteer’s role will be ad-hoc e.g. accompanying teachers and pupils on a trip, helping at a concert or
 school fete, it is not necessary to conduct a recruitment process providing that the volunteer is not to be
 left alone and unsupervised in charge of children.

 Regular contact with children is defined as three or more times in a 30 day period.

 FOR FURTHER INFORMATION ON DBS, VISIT https://www.gov.uk/government/organisations/disclosure-
 and-barring-service

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                                                                                              Post becomes vacant

                                Appendix 1
                       Process For Completion of DBS
                                  Checks
                                                                                                   Level of DBS
                                                                                                      check
                                                                                                  determined for
                                                                                                       post

                                                                                                Post is advertised

                                                                                       Candidates shortlisted and called to
                                                                                                   interview

               Is the candidate registered for the Update                                                                     At interview Appointing Officer will remind
                                Service?                                                                                         candidates of the DBS requirements

                 Yes                         No

  The Appointing Manager must          At the interview stage the candidate
    complete a DBS Recording           will provide their original supporting
  Form and ask candidate to give                  documentation.
     permission to use current         Copies are taken and verified by the
            certificate                          Appointing Officer                                              Offer of
                                                                                                               appointment
                                                                                                                  made

                                                                    DBS application form sent to individual’s home address to be completed and returned
  Employment Services                                                                         (Unless completed at interview)
    check Update                              Yes
        Service

                                                                                        Is the candidate registered for the Update Service?                                 No

                                                                         DBS application processed by Employment Services and forwarded to DBS

                                                                                    Original copy of DBS Certificate will be sent to
                                                                                                   candidate ONLY

                                                                                    Once received, candidate MUST bring original
                                                                                       copy of DBS Certificate to Employment
                                                                                        Services or the Appointing Manager

                                                                                       Employment Services or the Appointing
                                                                                    Manager will record details of cerificate on DBS
                                                                                    Verification Form (scanned copy must be sent
                                                                                               to Employment Services)

                                                                                                                                            Convictions disclosed
                                                    No convictions disclosed
                                                                                                                                               on the check

                                                                                                                                            Did the employee
                                                            Individual can                                                                     disclose the
                                                              commence                                                                         conviction?
                                                             employment

                                                                                                      Yes

                                                                                                                                                                    No

                                                                                         Does the DBS disclosure check
                                                                                       confirm the information provided by
                                                                                                  the applicant?

                                                                        Yes
                                                                                                                                       No                                       Decision on employment
                                                                                                                                                                               needs to be taken, which
                                                                                                                                                                             could result in withdrawal of
                                                                                                                                                                              the offer of employment or
                                                                                                                                                                               for existing employees an
                                                                   Individual can                                                                                             investigation and possible
                                                                     commence                                      Review the case & discuss with applicant                  disciplinary action – a note
                                                                    employment                                      prior to consider whether to proceed or                     should be placed on file
                                                                                                                                 withdraw offer

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DBS Disclosure Checks - Policy and Guidance
        List of Valid Identity Documents                                                                       Appendix 2

You should follow one of three routes to provide proof of your ID (in order of preference);

                   Route 1                                     Route 2                                       Route 3

          1 document from Group 1                     3 documents from Group 2             Only when you cannot follow routes 1
   2 further documents from Group 1 or 2                    comprising of;                                and 2;
    (one of which must verify your current         1 document from Group 2a and
                  address)                       2 further documents from Group 2a                     You must produce:
                                                                 or 2b                      A certified copy of a UK birth certificate
  All Non-UK/Non-EAA nationals must be              (one of which must verify your                            AND
            validated via Route 1;                         current address)                    4 further documents from Group 2
            Current passport and                                 AND                                       comprising;
    Biometric Residence Permit or Work           An external ID validation organised            1 document from Group 2a and
               Permit/Visa and                              by the Council                 3 further documents from Group 2a or 2b
  1 further document from Group 2a or 2b                                                     (one of which must verify your current
       (which verifies current address)                                                                     address)

At least one document must confirm the applicant’s current address and at least one document must confirm the
applicant’s date of birth. *Documentation should be less than three months old **Issued within the past 12 months

                                                                       Group 2b
 Group 1                                                               Financial/Social History Documents
 Primary Trusted Identity Credentials

 Passport – Any current and valid passport
                                                                       Mortgage Statement ** UK or EEA
 (photocopies are not acceptable.)
                                                                       Bank/Building Society Statement* (excluding statements
 Biometric Residence Permit (UK)
                                                                       printed from internet) UK and Channels Islands or EEA
                                                                       Bank or building society account opening confirmation letter
 Current Driving Licence (UK) Isle of Man /Channel Islands and
 EU (Full or provisional) photocard with counterpart where one is
                                                                       Credit Card Statement * UK 0r EEA
 issued. All licences must be valid in line with current DVLA
 requirements (photocopies are not acceptable.)
 Birth Certificate (UK & Channel Islands) - issued at the time of
 birth – full or short form acceptable including those issued by UK
                                                                       Financial Statement* - e.g. pension, endowment, ISA (UK)
 authorities overseas, such as Embassies, High Commissions
 and HM Forces (photocopies are not acceptable.)

 Group 2a
                                                                       P45/P60 Statement **(UK & Channel Islands)
 Trusted Government/State Issued Documents

 Current driving licence - All countries (full or provisional)
 All licences must be valid in line with current DVLA requirements     Council Tax Statement (UK & Channel Islands) **
 (photocopies are not acceptable.)
 Current UK driving licence paper version (UK) Isle of Man
                                                                       Work Permit/Visa (UK) **
 /Channel Islands and EU (Full or provisional)
 Birth Certificate (UK & Channel Islands) - issued after the time of
                                                                       Utility Bill* - electricity, gas, water, telephone – excluding
 birth by the General Register Office/relevant authority. i.e.
                                                                       mobile phone contract/bill
 Registrars. (Photocopies are not acceptable.)
 Marriage/Civil Partnership Certificate (UK and Channel Islands)       Benefit statement * e.g child allowance, pension (UK)
                                                                       A document from Central/Local Government/Government
 HM Forces ID Card (UK)                                                Agency/Local Authority giving entitlement (UK & Channel
                                                                       Islands)* e.g. from the DWP, Employment Service, HMRC

  Fire Arms Licence (UK Channel Islands and Isle of Man)               EU National Identity Card
                                                                       Cards carrying the PASS accreditation logo (UK & Channel
                                                                       Islands)
                                                                       Letter from a Head Teacher* (16/17 year olds) in
                                                                       exceptional circumstances

     PEOPLE & BUSINESS CHANGE                                Version 1.8 – November 2018
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DBS Disclosure Checks - Policy and Guidance

                                                                                                    Appendix 3
 SUMMARY DEFINITION OF REGULATED ACTIVITY

     1. Regulated activity relating to children

     The new definition of regulated activity relating to children comprises only:

     (i)        Unsupervised activities: teach, train, instruct, care for or supervise children, or provide
                advice/guidance on well-being, or drive a vehicle only for children;

     (ii)       Work for a limited range of establishments (‘specified places’), with opportunity for contact: for
                example, schools, children’s homes, childcare premises. Not work by supervised volunteers;

     Work under (i) or (ii) is regulated activity only if done regularly. We are providing statutory guidance
     about supervision of activity which would be regulated activity if unsupervised.

     (iii)      Relevant personal care, for example washing or dressing; or health care by or supervised by a
                professional;

     (iv)       Registered childminding; and foster-carers.

     2. Regulated activity relating to adults

     The new definition of regulated activity relating to adults no longer labels adults as ‘vulnerable’. Instead,
     the definition identifies the activities which, if any adult requires them, lead to that adult being
     considered vulnerable at that particular time. This means that the focus is on the activities required by
     the adult and not on the setting in which the activity is received, nor on the personal characteristics or
     circumstances of the adult receiving the activities. There is also no longer a requirement for a person to
     do the activities a certain number of times before they are engaging in regulated activity.

     There are six categories of people who will fall within the new definition of regulated activity (and so will
     anyone who provides day to day management or supervision of those people). A broad outline of these
     categories is set out below. For more information please see the Safeguarding Vulnerable Groups Act
     2006, as amended by the Protection of Freedoms Act 2012.

     (i)        Providing health care

             Any health care professional providing health care to an adult, or anyone who provides health care
             to an adult under the direction or supervision of a health care professional. Please see the
             Safeguarding Vulnerable Groups Act 2006, as amended by the Protection of Freedoms Act 2012,
             for further details about what is meant by health care and health care professionals.

     (ii) Providing personal care
          Anyone who:

             • provides physical assistance with eating or drinking, going to the toilet, washing or bathing,
             dressing, oral care or care of the skin, hair or nails because of an adult’s age, illness or disability;

             • prompts and then supervises an adult who, because of their age, illness or disability, cannot make
             the decision to eat or drink, go to the toilet, wash or bathe, get dressed or care for their mouth, skin,
             hair or nails without that prompting or supervision; or

             • trains, instructs or offers advice or guidance which relates to eating or drinking, going to the toilet,
             washing or bathing, dressing, oral care or care of the skin, hair or nails to adults who need it
             because of their age, illness or disability.

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DBS Disclosure Checks - Policy and Guidance

        (iii) Providing social work
             The provision by a social care worker of social work which is required in connection with any health
             care or social services to an adult who is a client or potential client.

     (v)      Assistance with cash, bills and/or shopping

           The provision of assistance to an adult because of their age, illness or disability, if that includes
           managing the person’s cash, paying their bills or shopping on their behalf.

     (v) Assistance in the conduct of a person’s own affairs

           Anyone who provides various forms of assistance in the conduct of an adult’s own affairs, for
           example by virtue of an enduring power of attorney. Please see the Safeguarding Vulnerable
           Groups Act 2006, as amended by the Protection of Freedoms Act 2012, for the further categories
           which are covered here.

     (vi) Conveying

           A person who transports an adult because of their age, illness or disability either to or from their
           place of residence and a place where they have received, or will be receiving, health care, personal
           care or social care; or between places where they have received or will be receiving health care,
           personal care or social care. This will not include family and friends or taxi drivers.

                                    Created By:                  Human Resources
                                    Date Created:                April 2011
                                    Reviewed By:
                                    Date Reviewed:
                                    Current Version:             v1.7

 Document Control
 Version          Date                   Author                  Notes/Changes
 V1               08 April 2011          Human Resources         Corporate Review and New Template
 V1.1             18 January 2012        Human Resources         Minor Amendment
 V1.2             30 May 2012            Human Resources         Minor Amendment
 V1.3             11 September 2012      Human Resources         Accepted identification change
 V1.4             13 November 2012       Human Resources         Change to DBS
                                                                 Service Area to People & Transformation and
 V1.5             22 January 2013        Human Resources
                                                                 Template change
 V1.6             01 July 2013           Human Resources         Minor Amendment
 V1.7             21 September 2017      Human Resources         Version Control Added

PEOPLE & BUSINESS CHANGE                               Version 1.8 – November 2018
PAGE 14
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