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1 Trust Policy and Procedure Disclosure and Barring Policy Document ref. no: PP(17)125 For use in: For use by: For use for: Document owner: Status: All areas of Trust clinical and non-clinical All staff groups Protection of Children & Vulnerable Adults Executive Director of Workforce and Communications Approved Purpose of this document This policy gives clear guidance on the processes that must be followed for the appointment and ongoing employment of all eligible individuals at West Suffolk NHS Foundation Trust in relation to criminal record checks. To ensure that new and existing staff (including permanent, fixed term, WSP Bank, volunteers, students and agency staff) are suitable to work in regulated activity working with children or vulnerable adults. The policy also gives guidance to ensure compliance with the DBS Code of Practice, the Data Protection Act 1998 and the Recruitment of Ex-Offenders. This policy should be used in conjunction with the NHS Employment Check Standards Criminal Record checks, the Recruitment & Selection Policy PP()049 and the Eligibility to Work Policy PP()245. Contents Page 1. Disclosure and Barring Service 3 2. NHS Employment Check Standards Criminal Records Checks 3 3. The Police Act Rehabilitation of Offenders Act 1974 (as amended) 4 5. The DBS Code of Practice 4 6. Barred Lists 4 7. Barred Status 5 8. Types of DBS checks and Eligibility 8.1 Standard DBS Check 8.2 Enhanced DBS Check Definition of Regulated Activity WSH Positions DBS Eligibility Filtering Recruitment Process, including e-dbs Cost of Disclosures Roles & Responsibilities New Staff Working before DBS Result Current Employees Overseas Employees 14 Issue Date: October 2017 Review date: October 2020 Page 1 of 25

2 18. Volunteers Students Work Experience Placements Contractors Checking Authenticity of DBS Certificates Negative Disclosure Result Portability of Disclosures 24.1 General Staff 24.2 Medical Staff 25. Ongoing DBS checks Update Service Handling, Data Protection & Safe Storage Duty to Refer to ISA Review & Monitoring Document Configuration 19 Appendix Appendix 1 DBS Valid Identity Documents 20 Appendix 2 Risk Assessment Form 23 Appendix 3 Guidance on the Recruitment of Ex-Offenders Issue Date: October 2017 Review date: October 2020 Page 2 of 25

3 1. DISCLOSURE AND BARRING SERVICE The DBS check is the service provided by the Disclosure and Barring Service (DBS) at the Home Office. The purpose of the DBS check is to help employers make sound recruitment appointments to protect children and vulnerable adults. The DBS provides access to information across England and Wales regarding a person s criminal record including convictions, cautions, reprimands and warnings held on the Police National Computer (PNC). The DBS also employ a body of experts to make decisions to bar individuals who present a risk of harm to children and/or vulnerable adults, and to prevent these people from working with children and/or vulnerable adults. This process is known as Vetting and Barring. The DBS (barring section) has three main statutory responsibilities: Maintain the Children s Barred List and the Adults Barred List, with the names of the individuals who are barred from regulated activity (See Section 9) with children and/or vulnerable Adults. Make decisions on who should be included on the barred lists. Make decisions on the removal of an individual from the barred lists, following a formal review In some circumstances additional information held by local Police Forces may be shared with employers when an enhanced DBS check is applied for, where it is thought necessary in the interest of preventing or detecting a crime. This information is only supplied to the Counter signatory of the employer requesting the DBS, who must not disclose this to the applicant or anyone else not involved in the recruitment process. The Trust processes all DBS applications electronically via the e-dbs Portal. This provides an efficient process, reducing the number of rejected applications and overall processing time. 2. NHS EMPLOYMENT CHECK STANDARDS CRIMINAL RECORD CHECKS This document details the criminal record check procedures that NHS Organisations must carry out prior to appointment and for the ongoing employment of all eligible staff. All NHS Organisations are required to provide evidence to the Care Quality Commission that they comply with the NHS Employment Check Standards. All NHS Organisations must comply with the DBS Code of Practice and the Data Protection Act POLICE ACT 1997 The Police Act 1997 (s113a) allows standard DBS checks on individuals applying to, or working in a role listed in the Rehabilitation of Offenders Act 1994(Exceptions) order 1975 (as amended) ( the Exceptions Order ). This includes the provision of health services enabling a person access to persons in receipt of these services in the course of their normal duties. The Police Act 1997 (s113b) allows enhanced DBS checks to be requested for the purposes prescribed in the Police Act 1997 (Criminal Records) Regulations Issue Date: October 2017 Review date: October 2020 Page 3 of 25

4 A role is only subject to a DBS check if it falls within the Rehabilitation of Offenders Act 1974 (Exceptions) 1975 Order. The level of check allowed is dependent upon the role falling within the Police Act regulations. The Trust will make an assessment against the role, activities and the responsibilities of the role in determining if a DBS check can be made and at what level. 4. REHABILITATION OF OFFENDERS ACT 1974 (as amended) In order to protect certain vulnerable groups within society, there are a number of posts and professions that are exempt from the provisions of the Rehabilitation of Offenders Act These include posts where, in the normal course of their duties, successful applicants will have access to persons in receipt of health services. If the post applied for falls within the above category, it will be exempt from the provision of the Rehabilitation of Offenders Act by virtue of the Rehabilitation of Offenders Act (Exceptions Order) Applicants are therefore not entitled to withhold information about convictions which for other purposes are Spent under the provisions of the Act. In the event of employment employers can take this information into account when assessing an individual s suitability for the post being offered. Any failure to disclose such convictions could result in disciplinary action being taken, including dismissal. A conditional offer of employment will be made subject to a range of pre employment checks including a satisfactory e-dbs check at the appropriate level. Failure to reveal information relating to any conviction or caution could lead to the withdrawal of an offer of employment. 5. THE DBS CODE OF PRACTICE The Trust is a registered body of the DBS and as such has to abide by the Code of Practice, to ensure that information released by the DBS is used fairly, and only for the purpose for which it was obtained. It also ensures information is handled and stored securely. The key elements of the code of practice are: Treat all applicants fairly and without discrimination All applicants for eligible positions must be notified in advance that a DBS check will be obtained. Have a written policy on the recruitment of ex-offenders that can be given to all applicants where DBS information will be requested (See Appendix 3). Have a written policy on the correct handling and safe storage of DBS information (See Section 27) Ensure that DBS information is only supplied for the purpose of a recruitment (or other relevant) decision Discuss the content of the DBS certificate with an applicant before withdrawing an offer of employment Ensure compliance with DBS guidance on the portability of DBS checks and their contents 6. BARRED LISTS Children s Barred List - this list replaces the Protection of Children Act List (POCA). All staff being appointed into regulated activity with children must be checked against the list prior to appointment. The Trust will not employ any person in regulated activity (see Section 9) with children until a satisfactory DBS result has been obtained. Issue Date: October 2017 Review date: October 2020 Page 4 of 25

5 A child is defined under the Safeguarding Vulnerable Groups Act (2006) as: A person who has not yet attained the age of 18 Adults Barred List this list replaces the Protection of Vulnerable Adults (PoVA). All staff being appointed into regulated activity with vulnerable adults must be checked against the list prior to appointment. The Trust will not employ any person in regulated activity (see Section 9) with vulnerable adults until a satisfactory DBS result has been obtained. A vulnerable adult is defined under the Safeguarding Vulnerable Groups Act (2006) as, a person who is aged 18 years or older and: Is receiving any form of health care 7. BARRED STATUS If an applicant is barred by the DBS the Trust are legally not be able to employ that person in regulated activity. If a conditional offer of employment has been issued this will be withdrawn and the candidate sent a letter to explain the reasons why. If an existing employee working in regulated activity becomes barred, the Trust will immediately suspend the employee whilst an investigation is carried out, using the Trust Disciplinary Policy PP()040. The Trust will not legally be able to continue to employ that person in regulated activity but may be able to consider alternative employment. The Trust will be under no legal obligation to find alternative employment for an employee in regulated activity that becomes barred from working with children or adults. 8. TYPES OF DBS CHECKS AND ELIGIBILITY The Trust must ensure that posts being recruited to are regarded as eligible for a DBS check under the Rehabilitation of Offenders Act 1974(exceptions) Order 1975(as amended) and the Police Act 1997 (Criminal Record). To carry out a DBS check on a person not being considered for an eligible position is unlawful. The job roles within the West Suffolk Hospital NHS Trust are regularly reviewed against the criteria for regulated activity to determine the type of and amount of contact with either children or vulnerable adults, and the level of DBS check required. There are three levels of checks currently available from the DBS: Standard Enhanced without barred list information Enhanced with barred list information (adults, child s or both) 8.1 STANDARD DBS CHECK Standard checks contain the following: Unspent and spent Convictions, Cautions, Reprimands and Final Warnings held in England and Wales on the Police National Computer (PNC) that are not subject to the Filtering Rules (See Section 11). Most of the relevant convictions in Scotland and Northern Ireland may also be included; Issue Date: October 2017 Review date: October 2020 Page 5 of 25

6 A standard DBS does not show if a person is barred from working with children or adults and therefore this level of check should not be used if the person will be engaging in regulated activity. ELIGIBILITY FOR A STANDARD CHECK Requested to determine the suitability for work listed in the Exceptions Order the type of work allows the person to have access to persons in receipt of such services in the course of their normal duties. This does not include posts that have no contact with patients, or only limited or incidental contact with patients. Purely having access to patient records does not qualify for a standard DBS check. Employers should refer to the Exceptions Order to make an informed decision against positions which may be eligible. A copy of the Exceptions Order is kept in the HR & Communications Directorate. 8.2 ENHANCED DBS CHECK Enhanced checks contain the same information as Standard checks and any non-conviction information held by the local police, where thought relevant to the application. ELIGIBILITY FOR AN ENHANCED CHECK To be eligible for an enhanced check the position must be included in both the Rehabilitation of Offenders Act 19974(Exceptions) Oder 1975 and the Police Act 1997 (Criminal Records) Regulations 2002, amended by the Regulations This includes work and/or volunteering with vulnerable groups. There are two levels of an enhanced Disclosure check as follows: ENHANCED DBS WITHOUT A BARRED LIST CHECK This can be requested for positions described as work with adults in The Police Act 1997 (Criminal Records) (Amendment) regulations To qualify for this type of DBS check the person has to be providing one of the following at least once a week, or on an on-going basis, or more than four days in any 30 day period, or at any time between 2am and 6am. care or supervision treatment of therapy teaching, training instruction, assistance, advice/guidance on emotional, physical or educational well-being (usually for children or adults in receipt of health care) The management of persons carrying out any of the above on a daily basis *Please note that any individual providing any of the above in an unsupervised capacity for children, would be classed as engaging in Regulated Activity and be eligible for a Enhanced DBS with a barred list check, please see below. ENHANCED DBS WITH A BARRED LIST CHECK The Trust has a legislative requirement to carry out this level of check on people in regulated activity positions, under the Protection of Freedom s Act Issue Date: October 2017 Review date: October 2020 Page 6 of 25

7 9. DEFINITION OF REGULATED ACTIVITY There are six categories of Regulated activity as defined by the Protection of Freedom s Act 2012 as follows: Healthcare Personal care Social work Assistance with cash, bills or shopping Assistance with the conduct of their own affairs Conveying services Any person engaging in regulated activity (paid or unpaid) must have an enhanced DBS check with barred list information. It is an offence for the Trust to appoint or continue to employ a person in regulated activity knowing they are barred from working with children and/or adults Regulated activity also includes a person providing unsupervised teaching, training, instruction, caring for or supervision of children where these activities are carried out on a frequent basis. To be eligible to apply for a DBS check for regulated activity the activity required in the post must be carried out frequently, intensively or overnight. Frequently Intensively Overnight In the health sector the activity must be carried out once a month or more. In all sectors the activity is carried out four days or more in any 30 day period. In all sectors the activity is carried out between the ours of 2am and 6am Issue Date: October 2017 Review date: October 2020 Page 7 of 25

8 The following diagram shows the various levels of checks including checks against the Childrens Barred List, the Adults Barred List, or both. Issue Date: October 2017 Review date: October 2020 Page 8 of 25

9 10. WSH POSITIONS DBS ELIGIBILITY To support the recruitment process the table below gives advice on a variety of posts within the WSH and the level of DBS check required. This list is not exclusive, for any job role not listed advice from the HR & Communications Directorate should be sought. STAFF GROUP NONE STANDARD ENHANCED without barred list ENHANCED with barred list A& E Receptionists Chaplaincy Volunteers & Chaplains Doctors Domestics Nursing Assistants (all areas) Midwifery Care Assistants Midwives Near Patient Pharmacists Nursery Nurses Nurses (all areas) Dieticians Occupational Therapy Orthoptists Phlebotomists Physiotherapists Physiotherapy/OT Assistants Porters Radiographers Theatre staff Volunteers (Assist with feeding) Volunteers (Reception) Volunteers Students Ward Clerks Care Co-ordinators Pharmacists Pharmacy Technicians Estates (Maintenance staff) Pharmacy Assistants Pathology all posts Mortuary Posts Medical Secretaries Health Records General Administration Posts General Admin Posts (with patient assistance) General Reception Posts General Reception Posts (with patient assistance) Catering Issue Date: October 2017 Review date: October 2020 Page 9 of 25

10 11. FILTERING On the 29 th May 2013 new Statutory Instruments came into force amending the definition of relevant matters in the Police Act This affects the information which should be shown on a standard or enhanced DBS check. Certain spent convictions and cautions will be protected if specific conditions are met and will not be disclosed in the DBS check. Convictions Adult Eleven years since date of the conviction Not listed as a specific offence that must always be disclosed Did not result in a custodial sentence Person does not have more than one conviction Cautions Adult Will not be disclosed where the following two conditions are met: Six years have elapsed since date of caution, and The caution does not appear on the specified list of offences Convictions Under the aged of 18 Will not be disclosed where the following four conditions are met:: Five and a half years have elapsed Not listed as a specific offence that must always be disclosed Did not result in a custodial sentence Person does not have more than one conviction Caution Under the aged of 18 Will not be disclosed where the following two conditions are met: Two years have elapsed since date of caution, and The caution does not appear on the specified list of offences To protect patient safety there are some convictions and cautions that will always be shown on a DBS check, the list of these offences can be found on the DBS website. Police forces will still be able to use their common law powers to disclose information which they feel is relevant. 12. RECRUITMENT PROCESS All positions that require a DBS check must be identified and the advertisement for the post must clearly advise potential candidates that if successful, they will be required to apply for a DBS check and whether they will be responsible for the cost of the check (see Section 13). All applicants applying for a post that requires a DBS check must complete a Fitness to Practice Form. This must be completed and brought to interview. At interview stage candidates must be reminded that they will be required to apply for a DBS check if they are successful. Original identification documents must be seen, photocopied, initialed and dated at the interview stage. Please see Appendix 1 for the full list of valid documents and routes for the disclosure application process. Issue Date: October 2017 Review date: October 2020 Page 10 of 25

11 Any offer of employment will be subject to a satisfactory DBS check being obtained, if the post requires it. This will be clearly stated in the Conditional Offer letter with guidance on how to start the DBS application process via the e-dbs portal. HR will create an applicant user account via the e-dbs portal. Once created the DBS system will generate an to the applicant with further details regarding the application process. HR will monitor individual applicants via the DBS Tracking service and inform the manager once a DBS check is returned. Once the DBS check is completed, DBS will send a certificate listing the results to the applicant. The applicant will need to show this evidence to the HR recruitment team. All applicants for all posts must accurately and truthfully complete the e-dbs application process, detailing any pending, spent or unspent convictions or any cautions. The HR & Communications Directorate will keep an electronic record of those posts that require a DBS check and will inform the appropriate manager when the DBS check result has been received. In accordance with section 124 of the Police Act 1997, disclosure information is only passed or disclosed to those who are authorised to receive it in the course of their recruitment and selection duties. Information contained in DBS checks will be used for no other purpose. For full details of the West Suffolk NHS Foundation Trust policy on recruitment please refer to the Recruitment & Selection Policy PP() COST OF DISCLOSURES The Trust will pay the DBS check fee for new staff in Bands 1 and 2. However, if a Band 1 or Band 2 employee leaves the Trust within 6 months of commencing a post a 10 administration fee will be deducted from their final pay. Employees appointed into Band 3 posts or above will be required to pay for their own DBS check. The Trust will pay the initial cost and this payment will be deducted in installments from the employee s salary over the first three months of employment. Employees appointed to Band 3 posts of above who leave the Trust within the first six months of employment will have any outstanding DBS check fee deducted from their final salary plus a 10 administration fee. Candidates who accepts an unconditional offer of employment and a DBS check is applied for, but then do not take up the post will be invoiced for the cost of the DBS check plus a 10 administration fee. These arrangements will be clearly communicated to all new staff in the appointment letter. 14. ROLES & RESPONSIBILITIES The following details the roles and responsibilities of specific people and departments to ensure that all staff requiring a DBS check adhere to the correct process and the DBS check result is received within an acceptable time scale. Issue Date: October 2017 Review date: October 2020 Page 11 of 25

12 Recruiting Manager Identifies their vacancy as requiring a DBS check and at what level, and ensures this is clearly marked on the Vacancy Approval Form and sent to the Recruitment Team in the HR Directorate. Identify any cautions/convictions on the application form when shortlisting and consider risk to patients. Discuss at interview any cautions/convictions with the applicant and make a record of the response. Discuss with the HR Manager and make a joint decision on the level of risk to patients if candidate is appointed. Liaise with the HR Recruitment team on the DBS check result. HR Recruiting Team Ensures that all posts that are eligible for a DBS check are identified at the appropriate level. Ensures the vacancy is loaded onto NHS Jobs, clearly stating that a DBS check will be required and at what level. Ensure that the Chair Person has received a link to the Disclosure and Barring Policy. Ensures that the Unconditional Offer letter states that the offer is subject to a successful DBS check being obtained, and that if they leave the Trust within 6 months any outstanding cost of the Disclosure and a 10 administration fee will be deducted from their final salary, dependant on the Banding of the post involved. Records the result on the DBS database, ESR, the employment checklist in the personal file and informs the recruiting manager. Informs Payroll via the P4 Form of any leavers within 6 months of appointment so that any outstanding cost of the DBS check plus a 10 administration fee is deducted from the final salary. Interview Chair Person Ensures that all candidates are told during the interview that if successful, they will be required to apply for a DBS check via the e-dbs portal and once they receive the DBS they will need to show HR. Identifies any cautions or convictions detailed on the application form and investigates the reasons during interview. Ensures that original identification documents and documents for the DBS application form are seen at interview (See Eligibility to Work Policy PP()245 and APPENDIX 1 ) and photocopies taken, signed and dated. Completes the interview record form, ensuring that the Self Declaration question is asked to each candidate. Issue Date: October 2017 Review date: October 2020 Page 12 of 25

13 15. NEW STAFF - WORKING BEFORE DBS RESULT If the post requires a DBS check The Trust will not allow the applicant to take up the post before the DBS check result is known. It is an offence under the Safeguarding Vulnerable Groups Act to knowingly employ someone in regulated activity that is barred. It is also an offence for a barred person to undertaken any form of regulated activity. Following interview the Trust will issue a conditional offer of employment to the preferred candidate, subject to a satisfactory DBS check and other pre employment checks. The Trust will send a link to the candidate for the e-dbs Portal, and will only issue an unconditional offer letter once this and the other pre employment checks have been satisfactorily completed. In very exceptional circumstances, usually where there would be a significant impact on the service we can provide, NHS Employers advise a risk based decision can be made to allow staff to start work before the DBS check is received. This must only be where the individual is required to undertake induction training, or to undertake duties not defined as regulated activity Managers must use Appendix 2 Risk Assessment form in these circumstances, ensure an appropriate DBS check has been applied for and that full supervision is in place to protect patients until the DBS check is received. HR must be informed prior to anyone starting on a risk assessment basis. 16. CURRENT EMPLOYEES All staff working in high risk areas and all staff working with children and/or adults are checked on appointment. A three yearly rolling programme is in place to renew DBS checks for Medical Staff (Doctors see point 24.2) working in the high risk areas. Current employees who apply for a new post in the Trust will be required to obtain a DBS check if one of the following applies: They have not been checked before by the Trust and are taking up a position that requires a DBS check. The level of DBS check required will be relevant to the roles and responsibilities of the new post. They have a standard DBS check but the new post includes regulated activity which requires an Enhanced DBS check with barring list information. There is a break in service of more than 3 months between posts. All staff in this category must apply via the e-dbs Portal and provide up to date identification. Failure to follow this management request within a reasonable timescale may lead to the offer for the new post being revoked and may lead to the disciplinary process being implemented. The cost of any DBS check required for existing staff will be met by the Trust. Existing staff may be subject to disciplinary action and possible dismissal if they knowingly fail to disclose relevant information regarding their criminal record or barred list status. Issue Date: October 2017 Review date: October 2020 Page 13 of 25

14 17. OVERSEAS EMPLOYEES NHS Employers strongly recommend employers request a certificate of good conduct or an overseas criminal records check when recruiting from overseas. The DBS cannot access criminal records that are held overseas. The DBS website gives guidance on how to access criminal records information from a variety of overseas countries. This web site will also give information on completing an DBS application form on an individual who does not have a five year UK address history. If your post meets the eligibility criteria you should still obtain a DBS check even if your applicant has not lived in the UK, in addition to obtaining information from overseas. For post requiring a Children s Barred List check, there is a legal requirement for the candidate to be checked against this list regardless of whether they are recruited from inside or outside of the UK. 18. VOLUNTEERS The cost of a DBS check is met by the Trust for all eligible volunteers. The term volunteer is defined in the Police Act 1997 (Criminal Records) Regulations 2002 as: Any person engaged in an activity which involves spending time, unpaid (except for travel and other approved out-of-pocket expenses), doing something which aims to benefit some third party and not a close relative. To qualify for a free DBS check the applicant must not directly benefit from the position the DBS check is being submitted for. The applicant must not: Receive any payment (except for travel and other approved out-of-pocket expenses). Be on a work placement Be on a course that requires them to do the job role Be in a trainee position that will lead to a full time role/qualification If you have any queries on whether a volunteer is eligible for a free DBS check please contact the HR & Communications Directorate. 19. STUDENTS DBS checks will apply to students who as part of their professional qualification carry out clinical placements and undertake work that comes under the Exceptions Order, Police Act regulations and/or any regulated activity. The DBS check should be carried out by the Higher Educational Institute (HEI) at the beginning of the student s course to cover them for the duration of the course. A new DBS check should be carried out when the student takes up their first employment in the NHS. The Trust should have written assurance from the HEI that appropriate checks have been carried out to the correct level for the placement. Issue Date: October 2017 Review date: October 2020 Page 14 of 25

15 20. WORK EXPERIENCE PLACEMENTS The minimum age for a disclosure request is 16. Students aged in placements involving activity with vulnerable groups would not require a Disclosure as the role would be carrying out minor duties or observing under full supervision. 21. CONTRACTORS Tradespersons are not listed in the Rehabilitation of Offenders Act and the work of a tradesperson does not fall within the definition of Regulated Activity. Therefore, the Trust does not have to carry out DBS checks on external contractors. However any tradesperson coming onto Trust premises and to an area where they will be in close contact with adults or children must be supervised whilst carrying out their work. This supervision can be provided by a member of the ward team or, if not practicable, a member of the Estates team who has a valid Disclosure check. 22. CHECKING AUTHENTICITY OF DBS CERTIFICATES As the DBS Certificates are only sent to the applicant, it is necessary for the applicant to bring in the original DBS Certificate to the HR Directorate prior to an unconditional offer of employment. A scanned copy can be sent initially to the HR Department subject to the original DBS Certificate being brought to the HR Department on the employee s first day of employment. It is necessary to be able to identify the security features on a DBS certificate to ensure it is genuine. The security features include: crown seal watermark down the right hand side of the certificate Background design showing the words disclosure in a wave like pattern, on both sides. The colour is uniform on the front of the certificate and pink and green on the reverse side. Fluorescent inks and fibres visible under UV light Ink and paper that change colour in water or solvent-based liquid 23. NEGATIVE DISCLOSURE RESULT NEW STAFF - If a DBS check reveals a conviction, caution or other information, the Trust will make a fair, non-discriminatory assessment based on the individual s skills, experience and suitability for the post being applied for, and the information revealed on the DBS check. A decision to continue with the application will be considered on a case by case basis involving the recruiting manager and the HR Directorate. The decision will be made based on the following: The candidate s honesty when completing the application form, Fitness to Practice form and at interview. The seriousness of the information on the DBS check The length and type of sentence issued The pattern of offending behaviour The position being applied for regulated activity The perceived risk to patients The circumstances and explanation given by the candidate Issue Date: October 2017 Review date: October 2020 Page 15 of 25

16 If the DBS check reveals a barring decision has been made against the applicant, it will be illegal for the Trust to appoint that person into regulated activity. If the decision is not to proceed with the application as it is perceived there would be a risk to our patients, the Trust will write to the candidate withdrawing the conditional offer of employment. EXISTING STAFF - If a negative DBS check is received on an existing employee the Line Manager and HR would meet with the employee to discuss the implications and risk to patients. In addition to the above list, consideration should also be given to the person s employment record with the Trust. This may lead to the Trust s Disciplinary Procedures being implemented, and may result in the termination of employment of the employee. Employees will have the right to be accompanied by either a Trade Union Representative or a colleague acting in a non official capacity at any relevant meeting. 24. PORTABILITY OF DISCLOSURES Portability refers to a DBS check obtained for a position in one Organisation and later used for another position in another Organisation. A DBS check carries no period of validity, and the information provided is as known at the issue date. Employers can accept a previously issued DBS certificate but do so at their own risk. The Trust has made the following decisions regarding portability: 24.1 General Staff Following the East of England Recruitment Streamlining Project, it has been agreed that Trusts will accept DBS check results from other Organisations in the recruitment of employees into general posts, so long as it meets the following criteria: The DBS check is at the correct level for the new post The candidate produces the original certificate for verification (within 3 years of issue) Portability would be applicable for all staffing groups A DBS Declaration form is completed to ensure no changes since the last check The date and level of the last DBS check is included on the factual reference template. If the criteria is not met, then a new DBS check will be undertaken Medical Staff Due to the frequency of rotational short term doctor posts within the NHS, the Trust have agreed to accept DBS checks from other NHS Organisations, using the following criteria: The original DBS certificate is seen The DBS check level is appropriate for the new post The DBS check is less than 3 years old The candidate has been continually employed in the NHS since the DBS certificate was obtained. For areas designated as high risk, DBS checks will only be accepted if they are less than 12 months old. High risk areas are Accident & Emergency, Medical Surgery and Anaesthetics, Maternity, Paediatrics, Neonatal, F1, Radiology and Nursing, and OT, Physiotherapy and Dieticians. Issue Date: October 2017 Review date: October 2020 Page 16 of 25

17 25. ONGOING DBS CHECKS There is no legal requirement to carry out retrospective (periodic) DBS checks. However, the Trust has taken the following decisions regarding DBS checks: All staff eligible for a DBS will be checked on appointment, unless they have a DBS certificate that meets section 24.1 Existing staff moving to new areas that have not been checked at the appropriate level will require a DBS There will be a 3 yearly rolling programme for Medical Staff working in the high risk* areas in the Trust. Some Community Post, as deemed appropriate due to the nature of the role and the environment. *High Risk areas A&E, Medical (Surgery & Anaesthetics), Maternity, Paediatrics, Neonatal, F1, Radiology & Nursing, OT & Physio & Dieticians. 26. UPDATE SERVICE This service was introduced in June 2103 and makes DBS check more portable. Employers can check online for new criminal information on anyone who applied for a DBS check on or after the 17 th June 2013 and who has subscribed to the Update Service. The Update Service will only provide an indication on where there has been new information, which should prompt a new DBS check to be undertaken. For further information see HANDLING, DATA PROTECTION & SAFE STORAGE As a registered body with the DBS the Trust have to observe the Code of Practice for registered persons and other recipients of disclosure information (April 2009) General Principles The West Suffolk NHS Foundation Trust complies fully with the DBS Code of Practice and the Data Protection Act 1998 regarding the correct handling, use, storage, retention and disposal of Disclosures and related information Storage and Access DBS information will be kept securely in a lockable, nonportable storage container with strictly controlled access, limited to those who are entitled to see it as part of their duties Handling To comply with section 24 of the Police Act 1997, DBS information will only be given to those who are authorised to receive it in the course of their duties Usage The Trust will only use the DBS information for the specific purpose for which it was requested and for which the applicant s full consent has been given Retention Once the recruitment decision has been made DBS information is not kept longer than is necessary. This is normally for a period of up to 6 months to cover any queries regarding the information or recruitment decision. If it is necessary to keep DBS information longer than 6 months the Trust will consult with the DBS and give consideration to the data protection and human rights of the applicant. The usual conditions of safe storage and controlled access will remain place. Issue Date: October 2017 Review date: October 2020 Page 17 of 25

18 27.6 Disposal All DBS information will be destroyed by secure shredding. The Trust will not keep any photocopy or other image of a DBS check. The Trust will retain a record of the following on ESR and a database: The issue date of the disclosure certificate The name of the individual The level of disclosure check requested, including checks against the barred lists The position the disclosure was requested for The unique DBS check reference number Individual s unique Update Service reference number, if subscribed 28. DUTY TO REFER TO DBS The Trust has a legal duty to refer to the DBS in the following situations: If an employee has been removed from regulated activity due to a safe guarding concern through dismissal or permanent removal from regulated activity. If an employee would have been removed from regulated activity if they had not left, resigned, retired or been made redundant AND Believe the person has been cautioned or convicted of a relevant (automatic barring) offence Believe the person has engaged in relevant conduct with children and or adults, that has caused harm or put them at risk of harm Has satisfied the Harm Test in relation to children and or adults. Failure to refer the above to the DBS is a criminal offence and could incur a penalty of up to The HR Directorate will be responsible for making any referral to the DBS, in line with the guidelines as set out in the Criminal record and barring checks guidance. 29. REVIEW & MONITORING The HR Recruitment team will ensure that this policy is followed for all new and existing employees requiring a DBS check. DBS check details will be recorded on ESR. In addition all DBS check details will be recorded on a secure Excel Database which will be used to monitor the progress of all DBS applications ensuring that all results are received and fed back to the Recruiting Manager. This policy and procedure will be reviewed and monitored annually by the Executive Director of Workforce and Communications in consultation with Trust Council. Issue Date: October 2017 Review date: October 2020 Page 18 of 25

19 30. DOCUMENT CONFIGURATION Author(s): Angie Manning, HR Manager Other contributors: Approvals and endorsements: Trust Council Consultation: Trust Council Issue no: 9 File name: CharlieS/Personnel/Angie/policies/Disclosure Policy Supercedes: PP(13)125 Equality Assessed Yes form completed Implementation Policies will be distributed by the IG Manager to General Managers, Service Managers and all Ward/Department Managers. Policy will be available on the Trust Intranet Site. Monitoring: (give brief details Implementation, compliance and effectiveness of this policy will how this will be done) be monitored by the HR & Communications Directorate on an ongoing basis. This will be achieved by monitoring the use of the policy using a secure excel database. At recruitment stage checks are made to ensure the correct DBS requirements are recorded and placed in the advert. The database is used to ensure all DBS checks are requested and received by the organisation. 100% compliance is required on the return of Disclosure checks. Other relevant policies/documents & references: Recruitment & Selection Policy PP()049 Eligibility to Work Policy PP()245 Rehabilitation of Offenders Act 1974 Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (SI 1975/1023) Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2003 (SI 2003/231) Data Protection Act 1998 The Protection of Children Act 1999 Care Standard Act Protection of Vulnerable Adults. NHS Employment Check Standards 2012 DBS Code of Practice DBS Guidelines Safeguarding Vulnerable Groups Act 2006 (2006 Act) Issue Date: October 2017 Review date: October 2020 Page 19 of 25

20 DBS VALID IDENTITY DOCUMENTS APPENDIX 1 Please tick the appropriate box for each document you provide. Please bring this form, along with original documents and a photocopy of each document provided. All applicants MUST provide documents where possible for ROUTE 1 ROUTE 1 ROUTE 2 ROUTE 3 3 documents must be seen 1 from Group 1 plus any 2 documents from Groups 1, 2a and 2b (one must verify current address) 3 documents must be seen from Group 2 comprising of 1 Document from Group 2a and 2 documents from group 2a or 2b (one must verify current address) Certified copy of a UK Birth Certificate, and 4 further documents from Group 2, 1 from 2a and 3 documents from 2a or 2b (one to verify address) ROUTE 1 All EEA and Non EEA Nationals must provide documents via this route. If you are unable to provide these documents, please contact the HR Department on Group 1 Primary identity documents Passport - Any current and valid passport Biometric Residence Permit UK Current Driving Licence photo card (full or provisional) UK Isle of Man & Channel Islands and EU Birth certificate - issued within 12 months of birth UK, Isle of Man and Channel Islands- including those issued by UK authorities overseas, e.g. embassies, High Commissions and HM Forces Adoption certificate UK and Channel Islands Group 2a - Trusted government documents Current driving Licence photo card - (full or provisional) All countries outside the EU (excluding Isle of Man and Channel Islands) Current driving licence (full or provisional) paper version (if issued before 1998) UK, Isle of Man, Channel Islands and EU Birth certificate - issued after time of birth UK, Isle of Man and Channel Islands Marriage/civil partnership certificate UK and Channel Islands HM Forces Identity card UK Firearms licence UK, Channel Islands and Isle of Man Issue Date: October 2017 Review date: October 2020 Page 20 of 25

21 Group 2b: Financial and social history documents Mortgage statement UK or EEA - Issued in last 12 months Bank or building society statement UK and Channel Islands or EEA -Issued in last 3 months Bank or building society account opening confirmation letter - UK Issued in last 3 months Credit card statement UK or EEA- Issued in last 3 months Financial statement, e.g. pension or endowment UK -Issued in last 12 months P45 or P60 statement UK and Channel Islands - Issued in last 12 months Council Tax statement UK and Channel Islands Issued in last 12 months Work permit or visa UK -Valid up to expiry date Letter of sponsorship from future employment provider - Non-UK or non-eea only - valid only for applicants residing outside of the UK at time of application Must still be valid Utility bill UK not mobile telephone bill - Issued in last 3 months Benefit statement, e.g. Child Benefit, Pension UK - Issued in last 3 months Central or local government, government agency, or local council document giving entitlement, e.g. from the Department for Work and Pensions, the Employment Service, HMRC UK and Channel Islands - Issued in last 3 months EU National ID card - Must still be valid Cards carrying the PASS accreditation logo - UK, Isle of Man and Channel Islands - Must still be valid Letter from head teacher or college principal UK - for 16 to 19 year olds in full time education - only used in exceptional circumstances if other documents cannot be provided - Must still be valid Route 2 If you cannot provide documents from Route 1, the Trust will be required to use the ID Validation Service. If this applies to you, please contact the number below for a discussion with HR. Route 3 If you cannot provide documents from Routes 1 or 2, please contact the number below for a discussion with an HR Advisor. Please telephone the HR Department on if you have any queries, or are unable to provide any of the above documents. The DBS will no longer automatically issue a copy of your DBS Certificate to the Registered Body who countersigned your DBS application form. Issue Date: October 2017 Review date: October 2020 Page 21 of 25

22 If you are the successful applicant we will ask you for sight of your DBS Certificate. **Please note the question on section e55 of the DBS application should be treated as- Do you have any convictions, cautions, reprimands or final warnings that are not protected as defined by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (as amended in 2013) by SI ? You can visit the below link to read up on the Rehabilitation of Offenders Act: Issue Date: October 2017 Review date: October 2020 Page 22 of 25

23 Risk Assessment Form APPENDIX 2 Risk Assessment Form for employees for whom a valid DBS certificate has not been received at the time she/he is due to commence duties. This form is only for use in exceptional cases to request an exemption from the requirement to obtain a valid DBS check prior to appointing a member of staff to work with children. It should not be used as an alternative to submitting a DBS check application. This form must be retained on the employee s personal file indefinitely. Post to be filled Date post became/becomes vacant Alternative arrangements for covering post if employee does not commence duties Date of interview Date DBS form submitted to HR Has HR chased progress on application Level of DBS check required Name of current/last employer Length of service with current/last employer Has there been a break in employment since last employer Has any break in employment been satisfactorily explained by employee Has advice from HR been sought if there are any concerns about the employee s background SERVICE MANAGER S DECLARATION I confirm that this post is essential to the organisation s operation. I confirm that I have obtained references from at least one referee with recent and relevant knowledge of the employee. I am satisfied that the referee has no reservations as to the candidate s suitability to work with children and vulnerable adults. I confirm that Occupational Health clearance has been granted I confirm that I will ensure appropriate levels of supervision/monitoring are in place at all times. I confirm that the employee will not be given responsibility for high risk activities until appropriate DBS check result is received. I confirm that the established child protection procedures, standards and ethos of the Trust provide clear expectations of all staff in the matters of child protection I confirm that as part of the employee s induction, the above standards and expectations will be made clear. I have discussed the details of this appointment and assessed the potential risk with the HR Directorate. Issue Date: October 2017 Review date: October 2020 Page 23 of 25

24 Signed Job Title Name Directorate HR Signed Name Job Title Decision endorsed YES/NO Issue Date: October 2017 Review date: October 2020 Page 24 of 25

25 Appendix 3 Guidance on the recruitment of ex-offenders This document will be used as part of the Trust s policy on the recruitment of ex-offenders and may be given to job applicants. Purpose The aim of this guidance is to state the Trust s approach towards employing people who have criminal convictions. The Trust is committed to equality of opportunity for all job applicants and aims to select people for employment on the basis of their individual skills, abilities, experience, knowledge and, where appropriate, qualifications and training. The Trust will therefore consider ex-offenders for employment on their individual merits, the approach to employing ex-offenders will differ depending on whether the job advertised is or is not exempt from the provisions of the Rehabilitation of Offenders Act Jobs covered by the Rehabilitation of Offenders Act 1974 The Trust will not automatically refuse to employ a particular individual just because they have a previous criminal conviction. During job interviews, the organisation will ask job applicants to disclose any unspent convictions, but will not ask job applicants questions about spent convictions, nor expect them to disclose any spent convictions. If an applicant has a conviction that is not spent and if the nature of the offence is relevant to the job for which they have applied, the panel chairman will review the individual circumstances and may decline to select that individual for employment. Jobs that are exempt from the Rehabilitation of Offenders Act 1974 If the vacancy is one of the excluded jobs listed in the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 or the Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2003, the Trust will require the applicant to disclose all convictions, whether spent or unspent. The Trust will not refuse to employ a particular individual unless the nature of the conviction has some relevance to the job for which they have applied. If the job is exempt, the Trust will, once it has selected the person to whom it wishes to offer employment, seek documentary evidence about that individual s criminal convictions. The Trust will obtain permission to make a joint application to the Disclosure and Barring Service (DBS) for a standard or enhanced disclosure (as appropriate). Further advice and guidance can be obtained from the HR & Communications Directorate. Issue Date: October 2017 Review date: October 2020 Page 25 of 25