Disclosure and Barring Policy

Transcription

1 Who Should Read This Policy Target Audience All Trust Staffs Version 1.1 May 2018

2 Ref. Contents Page 1.0 Introduction Purpose Objectives Process Procedures connected to this Policy Links to Relevant Legislation Links to Relevant National Standards Links to other Key Policies References Roles and Responsibilities for this Policy Training Equality Impact Assessment Data Protection and Freedom of Information Monitoring this Policy is Working in Practice 14 Appendices Appendix 1 Appendix 2 Disclosure of Background Information - Form A Disclosure of Background Information - Form B Version 1.1 May

3 Explanation of terms used in this policy DBS - Disclosure and Barring Service DBS Disclosure - where a position meets the criteria for a DBS Check and a provisional offer has been made, employers will need to request a disclosure through the Disclosure and Barring Service. There are two levels of disclosure, standard and enhanced disclosure Disclosure Certificate - certificate that provides details of criminal record activity, dependent upon the level of disclosure requested. Standard DBS Check - A standard DBS check contains details of both spent and unspent convictions, cautions reprimands and final warnings, held in England and Wales on the Police National Computer (PNC). Relevant convictions in Scotland and Northern Ireland may also be included. Enhanced DBS Check - Enhanced checks contain the same information as stated above (standard DBS Check), however may also include any non-conviction information held by local police, whereby they consider it to be relevant to the post. Spent (old) conviction - Convictions defined by the Rehabilitation of Offenders Act 1974 as being spent after specified periods of time. Spent convictions do not need to be brought to the attention of the Trust unless the work or the post is covered by the Rehabilitation of Offenders Exception Order Unspent (current) conviction - A conviction is described as unspent (current) if the rehabilitation period associated with it has not yet lapsed. A rehabilitation period is a set length of time from the date of conviction, according to the sentence imposed. The Rehabilitation of Offenders Act 1974 (ROA 1974) - provides that after a period of time people who have been convicted of criminal offences and who have served their sentences are; with some exceptions, not obliged to disclose those convictions. The Rehabilitation of Offenders Act 1974 (Exceptions) Order provides that people employed in certain occupations and professions are obliged to disclose all convictions including those that may otherwise be regarded as spent. Regulated Activity - Where an individual is engaging either in paid work or as a volunteer, in a regulated activity. Activities relating to regulated is outlined below for vulnerable Adults and Children: Regulated Activity Relating to Adults: healthcare for adults provided by, or under the direction or supervision of a regulated health care professional personal care for adults involving hand-on physical assistance with washing and dressing, eating, drinking and toileting; prompting and supervising an adult with any of these tasks because of their age, illness or disability; or teaching someone to do one of these tasks social work - provision by a social care worker of social work which is required in connection with any health services or social services assistance with an adult s cash, bills or shopping because of their age, illness or disability arranged via a third party assisting in the conduct of an adult s own affairs under a formal appointment conveying adults for reasons of age, illness or disability to, from, or between places, where they receive healthcare, personal care or social work arranged via a third party Regulated Activity Relating to Children Unsupervised activities: teach, train care or supervise children or provide advice/guidance on wellbeing, moderate a public electronic interactive service or drive a vehicle only for children on a frequent intensive or overnight basis. Work for a limited range of establishment s (schools, nursery schools, childcare premises, children s homes, children s centres) with the opportunity for contact with children carried out on a frequent, intensive or overnight basis. Version 1.1 May

4 Activities by a person who is contracted (or volunteering) to provide occasional or temporary services (which are not teaching, training or supervision of children) is no longer Regulated Activity (e.g. maintenance contractors). However supervised paid employees in specified establishments are in Regulated Activity if unsupervised. Providing healthcare provision by a healthcare professional or under the direction or supervision of one. This may include psychotherapy and counselling, first aid administered on behalf of an organisation established for the purpose of providing first aid. This does not include workplace first aider s members of peer support groups or life coaching. Registered child minders and foster carers Day to day management or supervision of individuals carrying out Regulated Activity relating to children. Version 1.1 May

5 1.0 Introduction Disclosure and Barring Policy The Black Country Partnership NHS Foundation Trust is committed to demonstrating professional, fair and safe employment practices that protect service users, staff, carers and members of the public from any individual who may cause harm and to protect the Trust from potential fraudulent actions. The Disclosure and Barring Service was introduced to allow employers to make appropriate checks on an individual s criminal background. Through the Disclosure and Barring Service the Trust is provided with factual information on which to base decisions about an individual's suitability for employment. A fair and balanced view of the relevance of any disclosed conviction should be formed based on the particular role in making an appointment decision. The DBS check is one element in a range of pre-employment checks and clearances and should not be used in isolation but as one aspect to support the employment decision. As well as a key part of the pre-employment clearance process, the Trust will continue to use the DBS Checks to make regular, three-yearly checks on employees who are required to have an up-todate disclosure as part of their role to continue to ensure the employee s suitability for employment. In addition, all employees are contractually required to declare any new convictions, cautions, reprimands or final warnings to the Trust as soon as possible. 2.0 Purpose The purpose of this policy is to ensure that the Trust fully complies with relevant legislation and follows a best practice approach. This includes compliance with the Rehabilitation of Offenders Act 1974, Equality Act 2010 and Data Protection Act 1998 and, in doing so, ensures that the Trust protects service users, staff and members of the public by recruiting staff that will not cause harm to others. This policy complies with the Disclosure and Barring Code of Practice and NHS Employment Check Standards and undertakes to treat applicants and employees fairly. It undertakes not to discriminate unfairly against any subject of a DBS Check on the basis of a conviction or other information revealed. This policy sets out the procedure to ensure that, when determining the suitability of its employees, the Trust strikes a balance between the need to provide a safe healthcare environment and to ensure unfair discrimination against those with criminal record information does not take place when those individuals may potentially possess the right attributes to perform the job. 3.0 Objectives The Disclosure and Barring Policy will apply to all those indicated below as follows: New staff: Applicants will be asked to disclose any convictions on Part A of the Application Form. Any successful candidate identified as requiring a DBS check will be informed that this must be carried out and approved (along with any other pre-employment checks) before an unconditional offer of employment can be made (see Section 7 for further details). Existing staff: It is a condition of employment that any convictions, cautions, reprimands issued by the police that are acquired during employment must be declared to the Trust as soon as possible. The Trust will repeat a DBS check on staff requiring a DBS as part of their role once every three years. Additionally, all employees will be required to sign an Annual Statement of Declaration Form to declare any convictions, cautions, reprimands or final warnings received in the previous 12 months. (See Section 8 for further details.) Version 1.1 May

6 Seconded staff: If it is a requirement of their role, staff seconded to the Trust from an external organisation must undergo a new DBS check before commencing their secondment regardless of whether the external organisation carried out their own DBS check. Temporary, Bank, Agency Staff and Locums: Managers should liaise with the Trust Bank & Rostering Team or the Medical Staffing Officer for the recruitment of temporary, bank, agency or locum staff. Managers should not recruit temporary staff directly with an external employment agency, but only with those preapproved by the Trust Bank & Rostering or Medical Staffing departments. These approved agencies are obliged to meet the requirements set out in the NHS Employment Checks Standards before supplying workers to the Trust, which includes appropriate DBS screening. An appropriate DBS Disclosure should be received for all staff requiring an up-to date DBS Disclosure as part of a requirement for their role, prior to commencement. Volunteers: If a volunteer s role involves direct contact with service users they should receive a DBS Disclosure prior to undertaking any voluntary work on Trust premises. The DBS will issue a disclosure free of charge for volunteers. Doctors in training: Doctors on educationally-approved rotational training will be regarded as being in continuous employment during the term of training and are therefore required to have a DBS check, as a minimum, once every three years, rather than each time they change rotation. (See Section 7.6 for further details.) Apprenticeship/Honorary Contract posts: For those individuals undertaking an Apprenticeship with the Trust or honorary role which involves direct contact with vulnerable groups, a DBS check should be completed prior to commencement. Work Experience: Managers must not apply for DBS Checks for individuals under the age of 16. Students who are on work experience placements and are engaged in an activity with vulnerable groups will also not be required to have a DBS check on the basis that they will be observing or undertaking minor roles with the full supervision of someone who is in a regulated activity. 4.0 Process 4.1 Staff requiring a Disclosure and Barring Check It is a mandatory requirement for all those engaged in regulated activities during the course of their normal duties to undertake a Disclosure and Barring Check prior to their commencement with the Trust. This includes all those identified in Section 4 of this policy. 4.2 Types of DBS Checks and Eligibility There are three levels of check currently available through the Disclosure and Barring Service, these include: Standard DBS Check A Standard DBS Check is required for those individuals who have a type of work which enables the person to have access to persons in receipt of such services in the course of their normal duties i.e. clinical staff. Access to persons does not include positions which only allows limited or incidental contact with patients i.e. where there is no more opportunity for contact with patients than that of a visitor to the hospital site or where staff are required to pass through patient areas to get to their normal place of work i.e. admin and clerical staff. This level of check does not show whether a person is barred from working with Children or Adults and therefore should not be applied for where the individual will be undertaking regulated activity as defined in section 3. Version 1.1 May

7 4.2.2 Enhanced DBS Check (without barred list information) An Enhanced DBS Check is required for those individuals who are involved in providing one of the following activities at least once a week on an on-going basis, more than four days in any 30 day period, or at any time between the hours of 2.00am and 6.00am: Care or supervision Treatment or therapy Teaching, training instruction, assistance, advice or guidance on emotional, physical or educational wellbeing mainly for Children or Adults in receipt of a health care service The management of people engaging in any of the above activities on a day to day basis Enhanced DBS Check (with barred list information): The Trust has a legislative requirement to request checks against the relevant vulnerable adult and children barring lists for individuals who are in positions defined as regulated activity as outlined in section On Application and Appointment Application Forms: All applicants to the Trust must fully complete the Trust s Application Form. This requires that details of convictions be provided on the application form. Failure to reveal information could lead to a withdrawal of an offer of appointment or dismissal following appointment. The Trust is committed to ensuring that shortlisted candidates will be offered an opportunity for an open and measured discussion on the subject of offences at interview, or in a separate discussion with the Recruiting Manager and prior to any selection decision being made. At Interview: Where shortlisted candidates have declared convictions on their application forms, the Recruiting Manager is responsible for questioning the applicant at interview to establish the following: What the offence was Why it occurred How recently the offence occurred What sanction was given The candidate s responses should be included with the recruitment documentation. The Recruiting Manager is then responsible for verifying whether the individual is suitable to undertake the duties of the post based on the information provided (advice and support is available from Human Resources). See Section 9 for further details. Offer of Employment: Any offer of employment will be made subject to the satisfactory receipt of all relevant pre-employment clearances including DBS check and the completion of the Disclosure of Background Information Form (see 7.4 below), as appropriate. (For further information on other pre-employment clearances please refer to the Trust s Recruitment and Selection Policy and Professional Registration Policy for further information). Disclosure of Background Information Form: In accordance with the NHS Employment Check Standards, where it is justifiable in terms of the position being offered, the Human Resources Department will ensure that applicants offered employment with the Trust are required to complete a Disclosure of Background Information Form prior to their commencement with the Trust. Model Declaration Form A (Appendix 1) should be completed for the purpose of obtaining information on positions which are exempt under the act in relation to convictions that are spent and unspent convictions and cautions (including reprimands and final warnings). Version 1.1 May

8 Model Declaration Form B (Appendix 2) should be used for the purpose of obtaining information on positions which are non-exempt and where the Trust can ask for information on current unspent convictions and cautions (including reprimands and final warnings only). Where the vacancy is advertised on NHS jobs these do not need to be issued as the self-declaration questions will form part of the application interface. Staff recruited from overseas: A certificate of good character or overseas criminal record check should be requested when recruiting staff from abroad. Currently, the DBS cannot access criminal records held overseas. However, in a small number of cases, overseas criminal records are also held on the Police National Computer (PNC) and these would be revealed as part of a DBS check. Where the position meets the criteria for a Disclosure, even if the applicant claims they have never lived in the UK before, a DBS check should still be obtained in addition to the individual s overseas criminal records. Guidance on filling in a DBS check application form for individuals who do not have a five year history of address in the UK can be found on the DBS website at: All overseas police checks must be in accordance with that country s justice system and UK requirements. Contact for countries that have a representative in the UK can be found on the Foreign and Commonwealth website at or by telephoning Internal movement of staff: If a current employee of the Trust takes up a post that is different in nature to the post already held (e.g. different service area/increased responsibilities for budgets/working with a different client group/ moving into a post that requires checks against the ISA Children s and/or Vulnerable Adults Barred Lists) and therefore the previous level of Disclosure is not sufficient, a new DBS Check must be obtained prior to commencement in the new role. Where there is no change in nature to the post obtained, a new DBS Check will not be required as long as the appropriate level of check was carried out within the last three years. If a member of staff has had a break from Trust employment for three months or longer they will be required to obtain a new DBS check. Doctors in training: Doctors on educationally-approved rotational training will be regarded as being in continuous employment during the term of training and are therefore required to have a DBS check, as a minimum, once every three years, rather than each time they change rotation. In all cases, the HR department will seek written assurances from the host/previous employer that appropriate clearances have been obtained within the last three years. The Trust may undertake DBS checks more frequently, but any additional checks must be proportionate to risk. Where the individual has previously had a check against the ISA Children s and/or Vulnerable Adults Barred Lists then there is no legal requirement for the Trust to undertake a further check until that three year period elapses. Where it is highly likely that the individual will be working with both children and/or vulnerable adults at an early stage in their training programme, DBS checks should be requested against both ISA Barred Lists from the outset. Students All students who are required to carry out a clinical placement where they will undertake a regulated activity are required to DBS Check. Version 1.1 May

9 Managers should ensure that they seek written assurance from the Higher Education Institution (HEI) that they have carried out the appropriate check at the correct level. Where this assurance cannot be provided, managers should request a new check. Where there is a delay in obtaining a DBS Check, students may take up their placement providing managers can ensure appropriate safeguards are put in place to supervise the individual until appropriate clearances have been given. Where possible, managers should encourage students to subscribe to the Disclosure and Barring Update Service as part of their application for a DBS Check. Starting work prior to receipt of DBS Check With the exception of students, it is strongly recommended that no individual is permitted to commence employment with the Trust until all required pre-employment checks are carried out and verified, including the appropriate DBS Check. In very exceptional circumstances, the Trust can make a risk-based decision to appoint applicants before the receipt of a DBS Check is received, however this must only be where there is an urgent need to appoint because of an identified risk to patient safety or welfare, or where the individual is required to undertake induction training. In any such cases, the Recruiting Manager must ensure that: the situation has been discussed and approved by a Human Resources Business Partner; an appropriate DBS Check has been applied for; A risk assessment has been undertaken and safeguards are put in place to manage any risks associated with employing the individual before receipt of the DBS check, such as restricted access to children and/or vulnerable adults, or appropriate supervision, until the Disclosure has been obtained; the individual is notified that the offer of employment remains conditional subject to the satisfactory outcome of the DBS Check. 4.4 Monitoring Existing Staff Repeated DBS checks: In line with best practice, the Trust is committed to undertaking regular DBS checks for those staff that are required to have a DBS check as a condition of their role. As such, those staff members will be required to undertake a DBS Check every three years. Where an employee is willing to sign up to the Disclosure and Barring Update Service, the Trust will check the status of the employee s DBS check online on an annual basis. Employees who agree to use this service will be reimbursed for the annual fee in respect of the costs incurred. It will be the responsibility of Human Resources to contact individuals to request a repeated DBS check; however, the individual will take responsibility for complying with the request and providing HR with the relevant documentation. Revealed Disclosures (previously undisclosed): If an Annual Statement of Declaration or a repeated DBS check reveals any convictions, cautions, reprimands or final warnings that have not otherwise been disclosed to the Trust, their line manager (in conjunction with the Divisional HR Business Partner/HR Advisor) will discuss and agree appropriate action to take. Firstly, the line manager and HR representative should review whether the employee is safe and suitable to continue in their current post based on the details of the conviction (see Section 9.0 below). Secondly, the employee s lack of compliance with this policy by not declaring criminal record information should be managed as a conduct issue (see Trust Disciplinary Policy). Action will vary depending on the nature Version 1.1 May

10 of the conviction and the circumstances of the case but could include action up to and including dismissal. 4.5 Declared Criminal Record Information Recruitment of Ex-Offenders: The Trust actively promotes equality of opportunity for all with the right mix of talent, skills and potential and welcomes applications from a wide range of candidates, including those with criminal records. We select all candidates for interview based on their skills, qualifications, experience and attitude. Where applicants or existing employees declare criminal record information on their Application Form, Disclosure of Background Information Form, Annual Statement of Declaration or if criminal record information is identified from a DBS Check, the Recruiting/Line Manager must strike a balance between the need to provide a safe healthcare environment and to ensure unfair discrimination against rehabilitated ex-offenders does not take place when those individuals may potentially possess the right attributes to perform the role. NB: Having a criminal record does not automatically make an applicant unsuitable for employment. Human Resources will be available to offer advice and guidance in making this decision to ensure that this process is compliant with the Rehabilitation of Offenders Act The Recruiting/Line Manager, in conjunction with Human Resources, must take into account: any legal or regulatory requirements for the role; the nature of the offence; the length and type of sentence issued; the date that it was committed; its relevance to the post in question; whether the applicant/employee has a pattern of offending behaviour; whether the applicant/employee s circumstances have changed since the offending behaviour; the circumstances surrounding the offending behaviour and the explanation offered by the convicted individual. whether the applicant/employee has declared the information previously (e.g. on an Application Form, Disclosure of Background Information Form and on their DBS Application Form). Before a decision is made to withdraw a conditional offer of employment or to remove an employee from their post and decide on the relevant action to be taken, the Recruiting/Line Manager must have had an open and measured discussion with the individual regarding their DBS Disclosure. This could be at interview or in separate meeting. (Also see 8.3 above). Applicants/employees named on the ISA Children s and/or Vulnerable Adults Barred Lists: It is illegal for any person who is barred from working with children and/or vulnerable adults to apply for, or engage in, regulated activity with that vulnerable group. It is also an offence for an employer to 'knowingly' offer such a person this type of work or to allow them to engage in regulated activity. By law, the Trust must also immediately remove any existing member of staff from regulated activity where they are working or volunteering with children and/or vulnerable adults, if they discover that they are included on the ISA s barred lists. 4.6 Referral to Disclosure and Barring Service The Trust has a legal duty to refer information to the Disclosure and Barring service should an employee or volunteer has harmed, or poses a risk of harm to vulnerable groups and where they have been subject to disciplinary proceedings which in turn has led to dismissal or has been removed from working in a regulated activity with Adults and/or Children. Version 1.1 May

11 4.7 Handling and Usage of DBS Disclosure Disclosure and Barring Policy Handling: In accordance with section 124 of the Police Act 1997, Disclosure information is only passed to those who are authorised to receive it in the course of their duties. Usage: Disclosure information is only used for the specific purpose for which it was requested and for which the applicant s full consent has been given. A record of the DBS Check will be held centrally by the HR Department, on the ESR database. Managers will be provided with a clearance slip from the HR Department detailing the date for which the applicant s disclosure was returned indicating that they are clear to work. This should be retained on the Personal File. 5.0 Procedures connected to this Policy There are no procedures connected to this policy. 6.0 Links to Relevant Legislation Rehabilitation of Offenders Act 1974 Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 Equality Act 2010 Data Protection Act 1998 Police Act Links to Relevant National Standards Care Quality Commission(CQC) NHS Litigation Authority (NHSLA) National Institute for Health & Clinical Excellence (NICE) NHS Employment Check Standards NHS Litigation Authority (NHSLA) 6.2 Links to other Key Policies Recruitment and Selection Policy Disciplinary Policy Work Experience Placement Policy Volunteers Policy 6.3 References DBS Code of Practice, Home Office ( Criminal Record Checks, NHS Employment Check Standards, NHS Employers, July 2013 ( Criminal record checks: an introduction, Directgov ( Version 1.1 May

12 7.0 Roles and Responsibilities for this Policy Disclosure and Barring Policy Title Role Key Responsibilities Recruiting/ Line Managers Human Resources Applicants, Employees, Volunteers, Workers Responsible Specialist Advice and Support Adherence Recruiting/ Line Managers are responsible for: - Identifying the level of DBS Check required. This will clearly be identified before submitting the request to Human Resources. It is illegal to carry out a DBS check on a post that does not require one. - Ensuring that they abide by and reinforce this policy to members of staff that they are responsible for. - Attending training to update their skills and knowledge of recruitment and selection processes, and how this policy applies to these practices. - Where shortlisted candidates have declared convictions on their application forms, the recruiting manager is responsible for questioning the applicant at interview to establish the following: What the offence was Why it occurred How recently the offence occurred What sanction was given. - Where shortlisted candidates or current employees declare a conviction, the manager is responsible for establishing whether the conviction impacts on the role and therefore whether the individual is appropriate to undertake the duties of the post (with advice and support from Human Resources). - Liaising with Human Resources wherever they have concerns about an employee s suitability for the post with regards to information provided on their Disclosure and Barring Check. - Monitoring and supporting the facilitation of the three yearly Disclosure and Barring Check for of all staff who require a Disclosure as a requirement of their role (see section 4.2.2). Human Resources (including Recruitment, Medical Staffing and Bank/ Rostering Team) are responsible for: - Including in relevant job advertisements that posts are subject to satisfactory Disclosure and Barring Check and the level required. - Ensuring effective and robust systems and processes are in place for undertaking Disclosure and barring and other preemployment checks that are in line with up-to-date legislation and best practice. - Carrying out the required pre-employment checks including Disclosure and Barring Check. - Ensuring that DBS disclosures are recorded onto ESR in a timely manner, upon receipt from the appointed candidate/existing member of staff - Ensuring managers have access to adequate, up-to-date training in the application of recruitment and selection processes. - Supporting line/recruiting managers in their decisions regarding the suitability of employees/candidates where criminal information is declared. - Carry out repeated DBS checks on existing members of staff who are eligible as stated in Section 10 every 3 years - Monitoring compliance with employment legislation, the Disclosure and Barring Code of Practice and requirements under documents such as NHS Employment Check Standards. - Updating the Disclosure and Barring Policy, where necessary (see Section 4.5) Applicants, Employees, Volunteers, Workers and Students are responsible for: - Declaring convictions, cautions, reprimands or final warnings and any other background information requested, on their recruitment Application Form and Declaration of Background Information Form (see Appendix 1 and 2) as part of pre- Version 1.1 May

13 and Students Disclosure and Barring Policy employment processes. - Declaring convictions, cautions, reprimands or final warnings information and any other background information requested, or changes to the status of their checks, to their line manager as soon as possible during employment. - Attending appointments with Human Resources to undertake their Disclosure and Barring Check as and when required, and providing requested information in a timely manner to assist the Trust in carrying out appropriate DBS checks against them every 3 years, or as and when required. - Providing the Trust with a copy of the DBS Disclosure in a timely manner prior to commencement, as part of the preemployment checks process. 8.0 Training What aspect(s) of this policy will require staff training? How to manage implementation Which staff groups require this training? All Staff Is this training covered in the Trust s Mandatory and Risk Management Training Needs Analysis document? No, staff will receive specific training in relation to this policy where it is identified in their individual training needs analysis as part of their development for their particular role and responsibilities If no, how will the training be delivered? Who will deliver the training? How often will staff require training Who will ensure and monitor that staff have this training? N/A N/A N/A Workforce Committee 9.0 Equality Impact Assessment Black Country Partnership NHS Foundation Trust is committed to ensuring that the way we provide services and the way we recruit and treat staff reflects individual needs, promotes equality and does not discriminate unfairly against any particular individual or group. The Equality Impact Assessment for this policy has been completed and is readily available on the Intranet. If you require this in a different format e.g. larger print, Braille, different languages or audio tape, please contact the Equality & Diversity Team on Ext or bcpft.equalityimpactassessment@nhs.net 10.0 Data Protection and Freedom of Information Data Protection Act provides controls for the way information is handled and to gives legal rights to individuals in relation to the use of their data. It sets out strict rules for people who use or store data about individuals and gives rights to those people whose data has been collected. The law applies to all personal data held including electronic and manual records. The Information Commissioner s Office has powers to enforce the Data Version 1.1 May

14 Protection Act and can do this through the use of compulsory audits, warrants, notices and monetary penalties which can be up to 20million or 4% of the Trusts annual turnover for serious breaches of the Data Protection Act. In addition to this the Information Commissioner can limit or stop data processing activities where there has been a serious breach of the Act and there remains a risk to the data. The Freedom of Information Act provides public access to information held by public authorities. The main principle behind freedom of information legislation is that people have a right to know about the activities of public authorities, unless there is a good reason for them not to. The Freedom of Information Act applies to corporate data and personal data generally cannot be released under this Act. All staffs have a responsibility to ensure that they do not disclose information about the Trust s activities; this includes information about service users in its care, staff members and corporate documentation to unauthorised individuals. This responsibility applies whether you are currently employed or after your employment ends and in certain aspects of your personal life e.g. use of social networking sites etc. The Trust seeks to ensure a high level of transparency in all its business activities but reserves the right not to disclose information where relevant legislation applies. The Information Governance Team provides a central point for release of information under Data Protection and Freedom of Information following formal requests for information; any queries about the disclosure of information can be forwarded to the Information Governance Team Monitoring this Policy is Working in Practice Recruitment/Appointment: The HR Recruitment Team/ Bank & Rostering Team/ Volunteers Service will manage the administration of the Disclosure and Barring checking process as appropriate. An appointment checklist will be completed to ensure all relevant pre-employment clearances are received prior to the commencement of a new employee/volunteer. This will be kept on the personal file. Upon receipt of the confirmation of DBS checks the HR Recruitment Team will liaise with the Recruiting/Line Manager as appropriate. A record of DBS Applications/Disclosures is maintained and held centrally by the Human Resources Department. A record of the DBS check is also recorded on ESR. DBS Application Forms: Upon completion of a DBS Check Application Form, an authorised Trust DBS Counter signatory will check, verify the information provided and sign the form prior to sending to the Disclosure and Barring Service DBS Audit: As a Registered Body, the Disclosure and Barring Service regularly monitor the Trust s compliance when submitting DBS Check Application Forms and will contact the Trust on an as and when required basis if an external audit visit is required. Existing Employees: A central record will be kept within the Human Resources Department to identify which employees are required to have a three yearly DBS check. Version 1.1 May

15 Policy Review: This policy will be reviewed after two years from the date of issue unless there are changes in relation to legislation/best practice/other related Trust policies or procedures, which will require the policy to be amended prior to the review date. What key elements will be monitored? (measurable policy objectives) Where described in policy? How will they be monitored? (method + sample size) Compliance Section 4 Monthly Check by Workforce Information Who will undertake this monitoring? How Frequently? Group/Committee that will receive and review results Group/Committee to ensure actions are completed Human Resources Monthly Workforce Committee Workforce Committee Audit Evidence this has happened Version 1.1 May

16 Appendix 1 Guidance for applicants DECLARATION FORM A The position you have applied for is exempt from the Rehabilitation of Offenders Act 1974 (as amended in England and Wales). When Black Country Partnership NHS Foundation Trust is assessing your character and suitability for any such appointment, it is legally permitted to ask for and consider any information relating to unspent (current) and spent (old) criminal convictions, police cautions, final warnings or reprimands which are not protected (or filtered out) by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (Amendment) (England and Wales) Order You are not legally obliged to declare any convictions or cautions which are protected under the Exceptions Order. Employers must not ask for, or consider any such information as part of their recruitment process. Before completing this form it will be important for you to read the useful guidance section on page two which provides additional advice about the type of criminal history information you must declare. Where relevant to the role, the organisation may also ask you to provide any information about any investigations and/or formal action taken against you by a regulatory or licencing body which may have had an impact on your professional registration and/or fitness to practise in your chosen profession. Any information you declare when completing this form will be verified by undertaking a follow-up check with the relevant body. It will also include carrying out a standard or enhanced disclosure through the Disclosure and Barring Services (known as a DBS check). Enhanced disclosures may also include other non-conviction information which may be held on central police databases, where this is regarded as relevant to the position you are applying for. If the position has, in addition, been identified as a regulated activity under the Safeguarding Vulnerable Groups Act 2006 (as amended by the Protection of Freedom s Act 2012), the enhanced disclosure will also include any information that may be held about you on the children s and/or adults barred list(s). Our fair recruitment promise Black Country Partnership NHS Foundation Trust aims to promote equality of opportunity and is committed to treating all applicants for positions fairly and on merit regardless of ethnicity, disability, age, gender or gender re-assignment, religion or belief, sexual orientation, pregnancy or maternity, marriage or civil partnership. The organisation does not discriminate unfairly against applicants on the basis of criminal conviction or other such information declared. If we believe that the information you have declared is relevant to the position you are applying for, we will discuss this with you prior to making our final recruitment decision. If information is not raised with you, this is because we do not believe that this should be taken into account. In any event, you remain free to discuss the matter with the recruiting manager or human resources department should you wish to do so. Version 1.1 May

17 All information will be examined on a case-by-case basis alongside the full range of information we gain about you as part of our recruitment process. It is important to stress that answering yes to any of the questions in the attached form does not mean that you will be prevented from taking up an appointment in the NHS. How will my information be used? The information that you provide in this declaration form will be processed in accordance with the Data Protection Act It will only be used for the purpose of determining your application for this position. It will also be used for purposes of enquiries in relation to the prevention and detection of fraud. If you have declared any information relating to criminal convictions or other such offences, we will consider the following: The relevancy of the conviction/offence to the position being applied for. The seriousness of the offence(s). Your age when you committed the offence(s). The length of time since the offence(s) occurred. If there is a pattern of offending behaviour. The circumstances surrounding the offence(s). Any evidence you provide to demonstrate that your circumstances have changed since the offending behaviour. It is important to be aware, that the failure to disclose all spent and unspent convictions which you are legally obliged to declare (i.e. those that are not protected by Exceptions Order of the Rehabilitation of Offenders Act (as amended in England and Wales), could result in disciplinary proceedings or dismissal. Please ensure that you take the time to read the supplementary guidance that we sent to you with your application form. This provides you with detailed information about how we will process your application, the persons to whom information will be disclosed, and the range of checks that we will undertake as part of our recruitment process. Useful guidance If you have a criminal history, it will be important for you to refer to the easy to read guidance documents provided on the Unlock website. Unlock is a charity body that provides information and advice to individuals to help them gain a greater understanding about the type of information employers are likely to seek about their criminal history, which convictions and cautions are protected under the Exceptions Order (i.e. will never be disclosed as part of a DBS check and do not need to be declared when completing this form) and their rights. Version 1.1 May

18 DECLARATION FORM A Before completing this form, it is important to note the following points: 1. You must answer all the questions in this form. 2. Before ticking yes or no, please ensure that you to read the explanatory notes which are provided underneath each of the questions. These notes are intended to guide you in determining what additional information you will be required to provide to support your answers. 3. If you answer yes to any of the questions, please use the space provided to include any relevant information about your suitability for the position you are applying for. 4. If you would like any additional supplementary evidence to support your application to be considered, please ensure it is attached or uploaded with this form when you return it. 5. You are not required to disclose information about parking offences. Applicant details Full name (in block capitals) Contact details Role applied for 1. Are you currently bound over, or have you ever been convicted of any offence by a Court or Court-Martial in the United Kingdom or in any other country? You should tick no, if any convictions are protected (or filtered out) by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (Amendment) (England and Wales) Please refer to information about protected convictions and cautions in the useful guidance section. Yes No If you have ticked yes, please provide details of the order binding you over and/or the nature of the offence, penalty, sentence or order of the Court, the date and place of the Court hearing in the section below 2. Have you ever received a police caution, reprimand or final warning in the United Kingdom or in any other country? You should tick no, if any cautions, reprimands or final warnings are protected (or filtered out) by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (Amendment) (England and Wales) Please refer to further information about protected convictions and cautions in the useful guidance section. Yes No If you have ticked yes, please provide details of the caution, reprimand or final warning, including the date and reason administered in the section below 3. Have you been charged with any offence in the United Kingdom or in any other country that has not yet been disposed of? Yes No Please note that you must inform us immediately if you are charged with any offence in the United Kingdom or in any other country after you complete this form and before taking up any position offered to you. If you have ticked yes, please provide details of the nature of the offence with which you are charged, date on which you were charged, and details of any on-going proceedings by a prosecuting body in the section below Version 1.1 May

19 4. Are you aware of any current investigations being undertaken by the police following allegations being made against you in the United Kingdom or in any other country? Yes No If you have ticked yes, please provide details of the nature of the allegations made against you and, if known to you, any action to be taken against you by the police in the section below Please note that we will only take into account any current investigations which might be relevant to the position you are applying for. 5. Have you ever been investigated by the NHS Business Services Authority (formerly NHS Counter Fraud and Security Management Services) or any other investigatory body resulting in a current or past conviction or any formal action being taken against you? If you have ticked yes, please provide details of the offence, including any dates in the section below. Yes No Investigatory bodies may include: HM Revenue & Customs, the Financial Services Authority, Department for Business, Energy and Industrial Strategy (formerly the Department of Trade & Industry), Department of Work and Pensions, Home Office, UK Visas and Immigration and local authorities. This list is intended as a guide only; you must declare any investigation conducted by an investigatory body. 6. Have you ever been dismissed by reason of misconduct from any employment, volunteering, office, or other position previously held by you? Yes No If you have ticked yes, please provide details of the employment, volunteering, office, or other position held, the date that you were dismissed and the nature of allegations of misconduct made against you in the section below. 7. Are you currently subject to a fitness to practise investigation and/or proceedings of any nature by a regulatory or licensing body in the UK or in any other country? Yes No If you have ticked yes, please provide the reasons given for the investigation and, where applicable, the details of any warnings, conditions or sanctions (including limitations, suspension or any other restrictions) that apply to your professional registration and, the name and address of the regulatory or licensing body concerned in the section below. Please note that we will only take into account any current fitness to practise investigation or proceedings which might be relevant to the position you are applying for. 8. Have you ever been removed from the register, or have conditions or sanctions been placed on your registration, or have you been issued with a warning by a regulatory or licensing body in the UK or in any other country? Yes No You should tick no, where any right to appeal has been upheld and where that appeal has resulted in your case being fully exonerated. If you have ticked yes, please provide details of any conditions or sanctions (including limitations, suspension or any other restrictions) that apply to your registration and/or any warnings issued, where relevant and, the name and address of the regulatory or licensing body concerned in the section below. 9. Are you subject to any other prohibition, limitation, or restriction that means we are/or may be unable to consider you for the position for which you are applying? If you have ticked yes, please include details of the nature of the prohibition, restriction or limitation and by whom it was made in the section below. Yes No Continuation sheet: If you have answered yes to any of the questions above, please use the space below to provide any additional information you wish us to consider as part of your application. You may continue on a separate sheet or attach any additional evidence, if you wish to do so. Version 1.1 May

20 Please clearly indicate the number of the question to which the information relates. Disclosure and Barring Policy Version 1.1 May

21 Declaration IMPORTANT The Data Protection Act 1998 requires us to advise you that we will be processing your personal data. Processing includes: holding, obtaining, recording, using, sharing and deleting information. The Act defines sensitive personal data as racial or ethnic origin, political opinions, religious or other beliefs, trade union membership, physical or mental health, sexual life, criminal offences, criminal convictions, criminal proceedings, disposal or sentence. The information that you provide in this declaration form will be processed in accordance with the Data Protection Act It will be used for the purpose of determining your application for this position. It will also be used for purposes of enquiries in relation to the prevention and detection of fraud. Once a decision has been made concerning your appointment, Black Country Partnership NHS Foundation Trust will not retain this declaration form any longer than is necessary - see further details in the supplementary guidance notes for applicants which we provided with your application form. This declaration will be kept securely and in confidence. Access to this information will be restricted to designated persons within the organisation who are authorised to view it as a necessary part of their work. In signing the declaration on this form, you are explicitly consenting for the data you provide to be processed in the manner described above. I confirm that the information that I have provided in this declaration form is correct and complete. I understand and accept that if I knowingly withhold information, or provide false or misleading information, this may result in my application being rejected, or if I am appointed, in my dismissal, and I may be liable to prosecution. Please sign and date this form. Full name (in block capitals) Signature Date If you need any assistance or advice before returning this form to us, or you wish to withdraw your consent at any time after you have submitted this form, please contact The Recruitment Team. Version 1.1 May