Disclosure and Barring Service (DBS) Checks Guidance to Applicants Mae'r ddogfen hon hefyd ar gael yn Gymraeg / This document is also available in Welsh Type Process Guidance Version V3.0 Author Process Enabling Team Date September 2017 Review Date April 2018
Disclosure and Barring Service Checks Guidance to Applicants CSSIW must carry out criminal record and barred list checks with the Disclosure and Barring Service (DBS) for specific people linked to registered services. This guidance provides the following information: 1. Who needs to apply for a DBS check with CSSIW?... 2 2. How do I arrange for a DBS check with CSSIW?... 2 3. How do I submit my DBS application to CSSIW?... 2 4. How do I present my DBS certificate to CSSIW?... 4 5. What will happen if I have a conviction or caution included on my DBS certificate?... 5 6. What if I lose my DBS certificate?... 5 7. What if I change my name?... 5 8. Do I have to renew my DBS certificate through CSSIW?... 6 9. Have you considered subscribing to the DBS Update service?... 6 10. If I subscribe to the DBS Update service, can CSSIW undertake a status check through the Update service rather than requiring me to apply for a new DBS check?... 7 11. How do I enable CSSIW to carry out status checks relating to my current DBS certificate through the DBS update service?... 7 12. Information sharing between Welsh Government/CSSIW and DBS... 8 13. As an employer can I start an employee on a POVA First check?... 9 14. As an employer how often do I need to renew my employees DBS checks?... 10 Annex 1 - Who needs to apply for a DBS check with CSSIW?... 12 Annex 2 - Which documents do I need to produce to support my application?... 14 1
Disclosure and Barring Service Checks Guidance to Applicants 1. Who needs to apply for a DBS check with CSSIW? For a full list of people who are required to make a DBS application and/or renew their DBS certificate via the CSSIW please see Annex 1. Where people need to register or undertake checks with CSSIW they will need to make a new DBS application. This application will be counter-signed and sent to the Disclosure and Barring Service by CSSIW. 2. How do I arrange for a DBS check with CSSIW? a. Contact your regional office and request a DBS application form. Note: you must complete an application form provided by CSSIW. b. Complete the DBS application form. The DBS application forms: guide-forapplicants is available and this will provide you with step-by-step guidance on completing your form. c. Provide identity documents in accordance with DBS guidance and submit with your DBS application: Important: It is your responsibility to ensure you correctly complete the application form and submit the appropriate current and valid documents. Failure to do so will prevent your application from being countersigned and may possibly delay your application to register, or result in us being unable to complete your registration. 3. How do I submit my DBS application to CSSIW? You can submit your completed application in one of two ways. You may a. submit your application in person at a regional office or b. submit it by post a. To submit your DBS application in person you need to; Telephone your local regional office to arrange a time and location to bring your fully completed DBS application and identification documents. If you are submitting a registration application at the same time, you will need to allow approximately one hour for your DBS application and identification documents to be checked and photocopied. Please note: Incomplete applications cannot be accepted. If you bring with you an application we cannot accept or supporting documentation that is incorrect 2
you may be asked to resubmit or return with the correct documentation. This is likely to delay your registration application and in the event of a DBS certificate renewal you may be at risk of delaying your check and breaching your registration requirements. b. To apply by post using the Post Office Document Certification Service to certify photocopies of your identification documents. If you don t live near or have difficulty travelling to a regional office, you can use the Post Office Documentation Certification Service to verify photocopies of your identification documents to support your postal application. It is your responsibility to ensure that the identification documents you provide are current and valid and are relevant to your DBS application (see also Annex 2). This will not be checked by the Post Office their role is simply to certify that the photocopies are a true likeness of the originals presented to them). The Post Office does not verify copies of birth or marriage certificates. You should ensure that you do not include these among the three documents you present at the Post Office. For a fee, the Post Office will check and certify up to three photocopied documents and confirm each document with "this copy is a true likeness of the original". Additional documents can be verified for an additional charge. Further information on how to use the Post Office Document Checking Service, to find your nearest branch that offers the service and download the ID service checking form Important: not all Post Office branches provide the Document Certification Service. It is advisable to check whether or not this is the case before you go and confirm which branches offer this service. You will then need to; Photocopy the identification documents that are required for your DBS application. (Important: Pay particular attention to the DBS guidance notes on their website and please note that copies of birth and marriage certificates cannot be verified using the Post Office Document Certification Service ). Take your original identification documents and photocopies to the Post Office for document certification. Send the certified photocopies of your identity documents, your ID Checking Service Form that has been stamped and signed by the Post Office, together with your DBS application, to your local CSSIW office (Do not send your original identification documents). CSSIW cannot accept responsibility for any personal information lost in the post on the way from the applicant to CSSIW. (A recorded delivery or track and trace 3
service for example will provide proof that you have sent your verified documents and application). Please note: CSSIW will still need to see your original identification documents at some point in the registration process. This can usually be done during a fit person s interview, site visit or other meeting related to the registration process. Important: Your DBS application must be submitted to your regional CSSIW office do not send it directly to the Disclosure and Barring Service. Your application will be checked, completed, counter-signed and sent to DBS by CSSIW on behalf of the Welsh Ministers. Please note: Incomplete applications will be returned to you for resubmission. This is likely to delay your registration application and, in the event of a DBS certificate renewal you may be at risk of delaying your check and breaching your registration requirements. When CSSIW receive your application and certified copies of your identity documents we will check them to make sure they are complete and relevant. Where this is the case we will counter-sign your application and send it to the Disclosure and Barring Service. 4. How do I present my DBS certificate to CSSIW? Important: CSSIW will not receive a copy of your DBS certificate and you will therefore need to present your original certificate to CSSIW. To present your DBS certificate to CSSIW you can: Contact your local CSSIW office to arrange an appointment to present your certificate in person. Where relevant, this can also be done during a fit person s interview, site visit or other meeting linked to the registration process. Or: Post your original certificate, (not a copy), to your local CSSIW office. (A recorded delivery or track and trace service for example will provide proof that you have sent the documents) CSSIW cannot accept responsibility for any DBS certificate lost in the post on the way from the applicant to CSSIW. Please note: CSSIW will return your certificate to you, at the address you have provided, by recorded delivery CSSIW will take a copy of your DBS certificate. If the DBS certificate includes details of offences, someone may be in touch with you to discuss this further 4
A delay in presenting your DBS certificate, or refusal to do so, may delay your application to register or result in us being unable to complete, and therefore determine, your registration. In the case of a DBS renewal any delay or failure may put at risk your continuing registration status. For a DBS certificate renewal, an incomplete application or one with the incorrect supporting documentation will be returned to you for resubmission. This may delay your application being sent to DBS and processed by them. Where the certificate is provided after the expiry date of your previous DBS certificate you will be in breach of your registration requirements and your registration status may be at risk. 5. What will happen if I have a conviction or caution included on my DBS certificate? If CSSIW are presented with a positive certificate (ie.one which contains details of a conviction or caution), we will need to consider it further. We will look at the nature of the offence, how long ago it took place, how old you were at the time and whether it was an isolated issue. In some cases we will need to discuss this with you. 6. What if I lose my DBS certificate? Your DBS certificate will only be sent to you. CSSIW will not receive a copy, nor will the DBS re-issue your certificate. If you lose or mislay your certificate and are therefore unable to present it to CSSIW as required, you will need to make a new application. This will delay your registration application. In the case of a DBS renewal any delay in renewing your certificate may put you at risk of breaching the requirements of your registration. Your registration status may be at risk as a result. Note: The DBS allow applicants to request a Subject Access Request of their information. However, this will only include the certificate number and details of all information held about you. It will not confirm the date of issue or the fact that CSSIW were the counter-signatory. CSSIW is therefore unable to accept a Subject Access Request statement in place of a current certificate. 7. What if I change my name? Many applicants will need to provide details in their DBS application relating to a change of name for example as a result of marriage, Deed Poll or following divorce for example. You will be required to tell CSSIW about all previous names you have used or been known by. You will need to provide documentary evidence to support each change of name. Again, you will need to use the identification documents listed in 5
Annex 2. Where possible, Route One documents should be relied upon in the first instance. If you cannot provide full documentary evidence to support each name change we will take a reasonable and proportionate approach. We will clarify with you any gaps in supporting documentation and the reasons you give will be recorded. A senior manager will be asked to consider situations where supporting documentation cannot be provided and they will decide whether this will affect the outcome of your registration application. 8. Do I have to renew my DBS certificate through CSSIW? A majority of people who are registered with CSSIW are required to renew their DBS certificate with us on a three yearly basis (See Annex 1). Responsibility for this lies with you as the certificate holder and not with CSSIW. Please contact CSSIW to request a DBS application form at least three months before your current certificate expires. If you fail to submit a DBS application to renew your certificate and your current certificate expires, CSSIW will consider you to have breached the terms of your registration. The area inspector for your service will be informed and they will consider what action is appropriate to take. For services that fall under the Children & Families (Wales) Measure 2010 (ie. a Child Minding or Children's Day Care service) however, if you subscribe to the DBS Update Service (see sections 9, 10 and 11 below) you will not need to renew your certificate with us unless a) new information comes to light or b) you fail to maintain your subscription to the service. 9. Have you considered subscribing to the DBS Update service? For an annual subscription you can have your DBS Certificate kept up-to-date and take it with you from job to job within the same workforce area and where the same type and level of check is required. The benefits to you are: It can save you time and money compared with having to repeatedly renew your certificate; You can take your certificate from job to job within the same workforce area; and You are in control of your DBS certificate. Further information on the Disclosure and Barring Update Service is also available 6
10. If I subscribe to the DBS Update service, can CSSIW undertake a status check through the Update service rather than requiring me to apply for a new DBS check? If you work in a childcare and play service and have a current (ie. no more than three years old) DBS certificate that: We (CSSIW) have seen; relates to the workforce area you are applying for; relates to the required check level (Standard or Enhanced); and your are registered with the DBS Update Service in relation to this certificate and pay the annual subscription fee; and give CSSIW consent to carry out a status check on your DBS through the Update Service we will accept this regardless of whether your original certificate was countersigned by Welsh Ministers: Important: If you work in an adult or children s home service your uploaded certificate must have been countersigned by Welsh Ministers. If you meet the above criteria, then go to section 11 below If you do not meet any one of these criteria, you will need to complete a DBS application form and have it countersigned by CSSIW on behalf of the Welsh Ministers. Important: If you don t keep up your payments of the annual subscription fee to DBS Update Service, you ll need to apply for a new DBS check. 11. How do I enable CSSIW to carry out status checks relating to my current DBS certificate through the DBS update service? For CSSIW to carry out a status check you will need to either: Contact your local CSSIW office to arrange an appointment to present your certificate in person. You will need to give your permission to allow CSSIW access to your DBS check via the update service. Or Post your original certificate, (not a copy), to your local CSSIW office with written permission that you are happy for CSSIW to carry out an update service status check on your certificate. We strongly recommend that you use, for example, a recorded delivery or track and trace service as proof that you have 7
sent your certificate to us. CSSIW cannot accept responsibility for any DBS certificate lost in the post on the way from the applicant to CSSIW. CSSIW will return your certificate to you by recorded delivery. Important: A delay in presenting your DBS certificate may delay your application to register or result in us being unable to complete your registration. In the case of a DBS renewal any delay may put at risk your continuing registration status. 12. Information sharing between Welsh Government/CSSIW and DBS Welsh Government/CSSIW and DBS are required by law to share information in certain circumstances. These include; Where CSSIW have de-registered an individual associated with working in a regulated activity because of a caution or conviction that constitutes a relevant (automatic barring) offence. Where DBS requests information regarding a current or former registered individual Where the DBS advises of its decision on whether or not to place an employee/worker on a barred list Where, following a specific request from CSSIW, DBS makes a status check for prospective registered individuals who will be carrying out work defined a regulated activity relating to children and vulnerable adults In addition, CSSIW has a power to refer an individual to DBS where it has concerns relating to: a) A caution or conviction for a relevant (automatic barring) offence; or where a person has been or is engaged in relevant conduct; or they satisfy the harm test And b) CSSIW believe that the person has been or might in future be engaged in regulated activity and may consider it appropriate for the person to be included in a barred list. Referral to DBS will take place even where the person has applied to voluntarily de-register, or have left or been dismissed from their employment. We will always inform you if we refer you to DBS and this will be done in writing at the time of the referral. We will provide you with details of the referral upon 8
request any information we hold about you will be managed securely and shared on a need to know basis. Where DBS are considering whether to include or remove a person from a barred list, CSSIW may be required to provide DBS with any prescribed information it holds in relation to that person. CSSIW must comply with these requests. 13. As an employer can I start an employee on a POVA First check? With the inception of DBS, the POVA First check has been replaced by the DBS Adult First check. This check can only be used for people working in adult care homes and Adult Family Placement schemes; it cannot be used for people working in domiciliary care agencies and is not available for people employed to work with children. It provides a check against the adult barring list and is not a substitute for a fully checked DBS certificate. It is always best practice for employers to ensure that prospective employees apply for and present their full DBS certificate before they commence work. The DBS First check is designed to be used in exceptional circumstances and should not be seen as a standard recruitment approach. The DBS First check is not a short cut for addressing staff shortages or other recruitment/retention issues. Examples where it might be considered could include; An unforeseen staff shortage caused by the illness, death or resignation of staff members which has the potential to place people using the service at risk; or A situation where specific skills are required in response to, or in anticipation of, the changing needs of a person using the service and the employer must recruit the right staff at short notice. Where an employee is appointed on the basis of a DBS First check, all other recruitment checks (for example references; proof of qualifications, identity; professional registration or medical reference) must be in place and be satisfactory. Staff appointed on this basis should not be permitted to work in the service unsupervised until their fully checked DBS certificate is issued to them and presented to their future employer. Where they are required to directly support a person using the service they should only do so when accompanied by an established staff member. The prospective employee should not be required to work alone. This general rule should be applied irrespective of the nature of their involvement and whether 9
that involves providing direct personal care or socialising with people using the service. It is entirely appropriate for a prospective employee who is subject to a DBS First check to be able to take part in induction and other necessary training or become familiar with prospective colleagues, the organisation of the service, its policies and procedures and the needs of people who use it. Important: Registered providers are responsible for ensuring that the people they employ do not pose a potential risk to the people they support and that every reasonable step has been taken to ensure this. Not doing so may constitute a regulatory failure and may be the subject of enforcement measures up to and including prosecution. Go to the DBS web site for further information and to request a DBS Adult First check 14. As an employer how often do I need to renew my employees DBS checks? For services that fall under the Children & Families (Wales) Measure 2010 (ie. a Child Minding or Children's Day Care service) the law requires employers to renew their employees (enhanced) DBS checks every three years. This requirement extends to any person over the age of 16 who lives, works or is otherwise on the premises and has, or is likely to have, regular contact with relevant children. Registered Day Care Providers and Child Minders are required to renew their (enhanced) DBS checks every three years. These applications must be countersigned by CSSIW (Persons subscribing to the Update Service are not required to process or renew their certificate via CSSIW if they have given permission for us to carry out a status check of their on-line certificate). In respect of day care services this requirement also extends to Responsible Individuals and Persons in Charge. Failure to do so will constitute a breach of the Regulations. For services that fall under the Care Standards Act 2000 (Care and nursing homes for adults and children; Domiciliary Care Agencies; Nurse/Employment Agencies; Adult Placement Schemes; Fostering and Adoption agencies or Residential Family Centres) the various regulations provide that registered persons must not allow a person to work or volunteer at the service unless they are fit to do so. This includes a requirement that each person must have a DBS certificate. Registered persons are required to assure themselves of the ongoing fitness of their workers. This includes ensuring that people who are employed in their 10
service continue not to pose a risk to the people who use it. Failure of a registered person to do so will call into question their own fitness. CSSIW will expect to see evidence that registered persons keep the suitability of their workers under review. Requiring employees to renew and present their DBS certificate on a regular basis will help evidence this. Where employees have subscribed to the DBS Update Service (see Sections 9-11 of this guidance), employers can, with their employees agreement, regularly check current DBS certificates without the need for a formal renewal application. 11
Annex 1 - Who needs to apply for a DBS check with CSSIW? Initial Applications Renewals* Adult & Children services operating under the Care Standards Act 2000 Registered Provider New Registered Provider Responsible Individual (Initial appointment only**) New Responsible Individual (succeeding an initial appointment) Manager New Manager *Persons subscribing to the Update Service are not required to renew their certificate via CSSIW if they have given permission for us to carry out a status check of their on-line certificate. **ie. The first responsible individual (RI) appointed by an organisation as part of an initial application to register, but not; a) Other RIs subsequently appointed to work in parallel with that responsible individual within the same organisation; b) Or a responsible individual already acting for a registered service/provider, but who is now looking to take on that role as part of a new initial application for another service or provider. Children s Day Care services operating under the Children & Families (Wales) Measure 2010 Registered Person Initial Applications* Renewals* 12
New Registered Person Responsible Individual (at initial appointment) New Responsible Individual (succeeding an initial appointment) Person in Charge New Person in Charge Child Minders Child Minder s Household members** Child Minder Assistant*** *Persons subscribing to the Update Service are not required to process or renew their certificate via CSSIW if they have given permission for us to carry out a status check of their on-line certificate. **Important: In Child Minding services all household members who have reached the age of 16 years are required to have a current DBS certificate. ***Where a registered Child Minder employs one or more assistants, they too will require a current certificate. 13
Annex 2 - Which documents do I need to produce to support my application? Please check the list of documents you are required to provide. You should be mindful of the fact that Group 2b documents are time limited; documents produced outside of the specified dates will not be accepted. You should then follow the three routes as outlined below. Route One (all applicants must initially consider this) Can you produce a Group 1 document? If yes, then you must produce 3 documents as follows: 1 document from Group 1 (refer to list of Valid Identity Documents); and 2 further documents from Group 1, 2a or 2b; one of which must verify your current address. If you have satisfied this route, then the document check is complete. If you cannot produce a Group 1 document then go to Route Two. Route Two You must produce: 3 documents from Group 2 comprising of; 1 document from Group 2a; and 2 further documents from Group 2a or 2b; one of which must verify your current address. And CSSIW will then need to ensure an appropriate external ID validation service is used to check your identity against our records to confirm your name and living history footprint. If Route Two has been tried but has been unable to validate your identity successfully, you may consider proceeding to Route Three. Route Three Please be advised that Route Three should only be used in exceptional circumstances. 14
CSSIW will hold a discussion with you about the likely reasons why your identity has not been validated before considering using Route Three. A record of this discussion will be kept as it is CSSIW s responsibility to establish the true identity of the applicant through the examination of a range of documents. Should you still be unable to validate your identity using Routes One, Two or Three, then CSSIW will record this on the application form at Box W59 and return the form to the DBS. You will then need to be sent for fingerprinting by the Police, which you should be aware is likely to cause delay to the DBS application process and subsequently to the registration process. Please note: 1) You must only provide valid, current and original documentation. 2) You must not provide photocopies (except where verified copies are provided via the Post Office Document Certification Service. Original copies will be viewed later in the registration process in any case). 3) You must not provide documentation printed from the internet (internet Energy or Bank statements for example). 4) Documentary evidence confirming your name, date of birth and home address as recorded in Sections A and B of the application form must be validated by CSSIW. All documents used for identification purposes must be in your current name. Note: If you choose to use the Post Office Documentation Certification service you should note that they do not verify birth or marriage certificates. You should ensure that you do not include these among the three documents you present at the Post Office. 15