Human Resources People and Organisational Development Disclosure and Barring Service (DBS) Checks Guidelines for Managers and Employees 1
Contents What is the DBS?... 3 Assessing the need to conduct a check... 3 What types of DBS check are available?... 4 Definition of regulated activity in relation to children and vulnerable adults from September 2012.. 5 Regulated activity in relation to children (from September 2012)... 5 Regulated activity in relation to adults (from September 2012)... 6 Definition of regulated activity in relation to children and vulnerable adults pre-september 2012... 7 How to apply for a new DBS check... 8 Renewing DBS checks... 9 DBS online update service... 10 Tracking applications... 11 DBS fees... 11 Adult First service... 12 Overseas applicants... 12 Agency workers and external suppliers... 12 Work experience... 13 Dealing with criminal disclosures... 13 Storage, retention and disposal of records... 13 Confidentiality... 14 2
1 What is the DBS? 1.1 The Disclosure and Barring Service (DBS) helps employers to make safer recruitment decisions by checking information about individuals held on police records. 1.2 Under the Rehabilitation of Offender Act (ROA) 1974, a refusal to employ a rehabilitated person on the grounds of a spent conviction is unlawful. However there are areas of employment that are exempt from ROA, listed in the ROA exceptions order 1975, for which employers may ask the DBS questions about both spent and unspent convictions. These exempt areas of employment include working with vulnerable groups, including children. See the Recruitment and Selection Policy section 11.2, Criminal records checks and recruitment of ex-offenders. 1.3 The DBS holds two separate lists of individuals: those who are barred from working with children and those who are barred from working with vulnerable adults, known as barred lists. The Protection of Freedoms Act 2012 ( the Act ), states all those who will be working in regulated activity with either children or vulnerable adults, must be checked against the relevant barred list. Regulated activity is defined in the Act - see section 4 of this guidance. 1.4 It is a criminal offence for an employer to knowingly employ (either on a paid or unpaid basis) a barred person in regulated activity. 1.5 The information provided by the DBS is included on a certificate, known as a disclosure. The disclosure will be sent directly to the applicant, and the applicant will be required to share the disclosure with the university as a condition of their appointment. A copy of the disclosure will be taken and stored and retained in accordance with section 15 of this guidance. 1.6 All employees, contractors and volunteers (including students) working for or on behalf of the university will be required to obtain a standard or enhanced disclosure from the DBS if they are working in a role that is eligible for a DBS disclosure see Assessing the need to conduct a check. 2 Assessing the need to conduct a check 2.1 The need for a DBS disclosure should be determined when drawing up the duties of the role as part of the job design stage. The requirement should be included in the job description, person specification and advert for the role, to highlight to job applicants at the start of the recruitment process that a satisfactory DBS disclosure will need to be obtained. 2.2 Recruiting managers are required to complete the DBS check assessment form to be included with the Post Authorisation Form when obtaining approval to recruit. The form will support recruiting managers in determining whether a DBS disclosure is necessary and the level of disclosure required eg standard, enhanced or enhanced with barred list check see What types of DBS check are available?. 3
2.3 The final decision for whether a satisfactory DBS disclosure is required rests with the PVC/Dean or Director for the work area, in conjunction with the HR Partner and/or lead counter-signatory. In all circumstances the decision to request a DBS disclosure will be made in accordance with the Rehabilitation of Offenders Act 1974 or other relevant legislation. 2.4 Where a DBS disclosure is required, the preferred candidate must not start employment until a satisfactory disclosure has been obtained (and any other conditions of appointment have been satisfied). The individual should only be permitted to start employment in advance of a satisfactory disclosure being received in exceptional circumstances and in consultation with HR. In such circumstances, a risk assessment must always be completed, and appropriate safeguarding measures implemented before an individual is allowed to start employment pending the outcome of a DBS check. 3 What types of DBS check are available? 3.1 The following table details the different types of DBS check available and provides examples of when they are required. It should be noted that the examples provided are for guidance purposes only, they are not an exhaustive list. Type of check Standard When check is required When the position is included in the Rehabilitation of Offenders Act 1974 (Exemptions) Order 1975. For certain specified occupations, licences and entry into certain specified professions. Example Role at DMU Treasury Manager / Head of Governance and Legal Services What the check contains Details of spent and unspent convictions, cautions, reprimands and final warnings from the Police National Computer (PNC). (Excluding certain old and minor convictions known as a protected caution or protected conviction ). Enhanced When the position is included in the Rehabilitation of Offenders (ROA) Act 1974 (Exemptions) Order 1975 and the Police Act Regulations (listed in Part V of the ROA Act). Counsellors Same as the standard check, plus a check of police records held locally. For those carrying out activities such 4
as gaming and lottery licences and judicial appointments; or working with children or vulnerable adults (meeting the pre September 2012 definition of regulated activity (see section 5). Enhanced with a check against the children s barred list When individuals are in regulated activity with children (see section 4.1) Outreach Officer (regular/frequent unsupervised contact with children in schools) Same as enhanced check, plus a check against the children s barred list. Enhanced with a check against the adults barred list When individuals are in regulated activity with vulnerable adults (see section 4.2) None identified Same as enhanced check, plus a check against the adults barred list. Enhanced with a check against the children s and adults barred list When individuals are in regulated activity with children and vulnerable adults (see sections 4.1 and 4.2). None identified Same as enhanced check, plus a check against both the children s and adults barred lists. 3.2 For further information on roles eligible for DBS checking, refer to the DBS eligibility guidance. 4 Definition of regulated activity in relation to children and vulnerable adults from September 2012 4.1 Regulated activity in relation to children (from September 2012) 4.1.1 Children are defined as those under the age of 18. The following (a-d) constitutes regulated activity with children regardless of regularity: a) Registered child-minders or foster carers b) Health care for children provided by, or under the direction or supervision of a regulated health care professional. c) Physical help in connection with eating or drinking for reasons of illness or 5
disability; physical help for reasons of age, illness or disability in connection with toileting, washing, bathing and dressing; or prompting with supervision or training or advice in relation to these examples where the child is unable to decide to carry out the activities without that prompting or advice. d) A person who manages or supervises someone who undertakes a regulated activity is also counted as undertaking a regulated activity. A person who manages someone who is not in regulated activity (but would be except for the fact that they are supervised) is also in regulated activity. The following (e-f) only constitutes regulated activity if it is carried out regularly, either: frequently (once a week or more often), or intensively (four times or more in any 30 days period), or overnight (between 2am and 6am) e) Unsupervised activity including teaching, training, caring for or supervising children, driving a vehicle solely for children. f) Working in a specified establishment where there is opportunity for contact with children. For example an education institution which is exclusively, or mainly for the provision of full-time education to children; children s homes; childcare premises. (This does not include supervised contact by volunteers). 4.1.2 In specified establishments only, work carried out by volunteers supervised to a reasonable level that is in accordance with the statutory guidance on supervision, is not regulated activity. 4.1.3 Should the organisation decide to supervise the employee, with the aim that the employee will then no longer be undertaking regulated activity, the following points must be noted: There must be supervision by a person who is in regulated activity, The supervision must be regular (on an ongoing basis) and day to day, and The supervision must be reasonable in all the circumstances to ensure the protection of children. 4.2 Regulated activity in relation to adults (from September 2012) 4.2.1 The definition of regulated activity in relation to adults identifies the activities which, if any adult requires them, lead to that adult being considered vulnerable at that particular time. The focus therefore is on the activities required by the adult, not the setting in which the activities occur, nor the personal characteristics or circumstances of the adult receiving the activities. (An adult is a person aged 18 years or over). 4.2.2 Six categories of activity fall within the definition of regulated activity for adults, a broad outline of which is given below. 1. Healthcare for adults provided by, or under the direction or supervision of a regulated health care professional. 2. 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. 6
3. Provision by a social care worker of social work which is required in connection with any health services or social services. 4. Assistance with cash, bills and/or shopping due to an individual s age, illness or disability arranged via a third party. 5. Assistance in the conduct of a person s own affairs under a formal appointment. 6. 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. 4.2.3 A person whose role includes the day to day management or supervision of any person engaging in regulated activity, is also in regulated activity. 4.2.4 An individual only needs to engage in the activities listed once to be carrying out regulated activity relating to adults. 5 Definition of regulated activity in relation to children and vulnerable adults pre-september 2012 5.1 Work carried out in specified settings (see 5.2) and/or work that involves specified activities (see 5.3) will constitute regulated activity under the pre September 2012 regulations if it is carried out either: frequently (once a week or more often, except in health or personal care services where frequent means once a month or more often), or intensively (four times a month or more), or overnight (between 2am and 6am), and the activity has the opportunity for contact with children (those under 18) and/or vulnerable adults (see definition in 5.4). 5.2 Specified settings include: Schools (educational institutions exclusively or mainly for the provision of full time education to under 18s) Pupil referral units Childcare premises (including nurseries) Residential homes for children in care Children s hospitals (hospitals exclusively or mainly for the reception and treatment of children) Children s detention centres (institutions exclusively or mainly for the detention of children) Children s centres in England and Wales Adult care homes (residential care or nursing homes in Northern Ireland). 5.3 Specified activities include: Teaching, provided wholly or mainly for children/vulnerable adults Training, provided wholly or mainly for children/vulnerable adults Supervising 7
Advice Treatment Transporting 5.4 A person is a vulnerable adult if they have attained the age of 18 and who: 1. Is living in residential accommodation, such as a care home or a residential special school; 2. Is living in sheltered housing; 3. Is receiving domiciliary care in their own home; 4. Is receiving any form of healthcare; 5. Is detailed in lawful custody (in a prison, remand centre, young offender institution, secure training centre or attendance centre, or under powers of the Immigration and Asylum Act 1999); 6. Is under supervision of the probation services; 7. Is receiving a welfare service defined as the provision of support, assistance or advice by any person, the purpose of which is to develop an individual s capacity to live independently in accommodation or support their capacity to do so; 8. Is receiving a service or participating in an activity for people who have particular needs because of their age or who have any form of disability; 9. Is an expectant or nursing mother living in residential care; 10. Is receiving direct payments from a local authority or health and social care trust in lieu of social care services or requires assistance in the conduct of their own affairs. 5.5 Whilst an adult may be considered vulnerable due to conditions or circumstances other than those listed, the definition is restricted by legislation to those persons who fall into the categories above. 5.6 Any activity which consists in or involves on a regular basis the day to day management or supervision of a person carrying out an activity listed above is regulated activity relating to vulnerable adults (pre-september 2012) also requires an enhanced check. 6 How to apply for a DBS disclosure 6.1 Individuals must apply for their own DBS check. The type of DBS check required (as described in section 3) will be detailed on the offer of employment letter for new employees. Existing employees should refer to the DBS check assessment form completed by their line manager which determines the type of DBS disclosure required. Individuals should speak with their line manager or HR adviser if they are unsure what type of disclosure to apply for. 6.2 Individuals can apply for their DBS disclosure following the guidance below: Telephone the DBS on 08709 090 844 to request an application form. Provide the DBS with the university s registered body number 20193200001. Advise the DBS what type of disclosure is being applied for. The DBS will ask a number of questions and send the application form directly to the employee. The form will already be partly completed based on the information provided. The DBS will also enclose guidance on how individuals should complete the rest of the form and what documentary evidence will need to be provided in 8
person, to the university, for identification. Once individuals have completed the form, they should contact the Human Resources Services Team (HRST) on (0116) 250 6018 to arrange a convenient time for the form and evidence to be checked by a member of the HRST. Original documents must be seen and they will be returned to the applicant at the time of the meeting. 6.3 As soon as an application has been submitted to the HRST, individuals should subscribe to the DBS online update service (see section 8). 7 Renewing DBS disclosures 7.1 Re-checking of DBS disclosures for existing employees should take place in line with regulatory requirements if a particular period is specified. In other circumstances, rechecks should be carried out every three years from the date of the initial disclosure. Rechecking may also be required if a criminal allegation is made against an individual in the course of their employment that has implications for their employment with the university. 7.2 Employees who have left the university and are applying to rejoin after a three-month break in service must complete an application form for a new DBS disclosure. Employees returning within three months will not normally need to be re-checked unless their previous disclosure is over three years old. 7.3 If a new or existing employee is already subscribed to the update service (see section 8) and the DBS disclosure is of the required type for the post, a satisfactory online status check will be sufficient. 7.4 If the DBS disclosure is not of the required type for the post, a new DBS disclosure will be required. See the following table for examples and reasons why a new disclosure is necessary: Type of DBS disclosure required Type of DBS disclosure already held Why does a new disclosure of the required type need to be obtained? Standard Enhanced If the university relied on this disclosure it would be accessing more personal information than it is legally permitted to see and would be in breech of the DBS code of practice; the ROA 1974 (Exceptions) Order and the Data Protection Act 1998 Enhanced with a check Enhanced without a barred The university must check 9
against the children s barred list list check anyone working in regulated activity with children against the children s barred list. The university would be in breach of the DBS code of practice; the ROA 1974 (Exceptions) Order; the Safeguarding Vulnerable Groups Act 2006 and the Data Protection Act 1998 7.5 Where it is not possible to use the online update service a new DBS disclosure should be applied for. DMU will not accept disclosures carried out by other organisations unless they can be checked via the update service and the disclosure is of the required type for the post. 7.6 Individuals who refuse to undertake a DBS check where it is required will be subject to the Disciplinary Procedure if they are an existing employee or, if they have a conditional offer of employment, the offer will be withdrawn. 8 DBS online update service 8.1 Where a DBS disclosure is required, applicants will be required to subscribe to the DBS online update service. By doing so, the applicant, or the university (with the applicant s consent) can then obtain a status check at any time. 8.2 Applicants can subscribe to the update service, either at the same time as they apply for a new DBS disclosure (noting the DBS application form must be received by the DBS within 28 days of subscribing) or alternatively within 14 days of the disclosure being issued. See the DBS website for details about the service, the cost, and how to subscribe. (Also see section 10, DBS fees). 8.3 Subscription to the online update service will need to be renewed by the individual on an annual basis. Reminders about this will be sent from the DBS direct to the individual. 8.4 New employees who have already subscribed to the update service will be asked to present their latest disclosure to HR for checking that it is the required type of disclosure for the post. 8.5 HR will ask the individual s permission to take a copy of the disclosure and carry out an online status update. 8.6 An online status check allows organisations to see if any relevant information has been identified about the individual since their disclosure certificate was last issued. 8.7 The outcome of a valid status check will be one of the following: 10
Outcome of status update What this means? What further action is required? This certificate did not reveal any information and remains current as no further information has been identified since its issue. This means that the individual s certificate contains no criminality or barring information and no new information is available. Status to be checked again in three years. This certificate did reveal a criminal record and remains current as no further information has been identified since its issue. The certificate is no longer current. Please apply for a new DBS disclosure to get the most up to date information. This means that the individual s certificate did contain criminality or barring information and no new information is available. This means that the individual s certificate should not be relied upon as new information is now available. For new employees the certificate should be dealt with in line with guidance section 15. If employment is then confirmed, status to be checked again in three years. For existing employees, status to be checked again in three years. A new DBS certificate is required, see section 6. 9 Tracking applications 9.1 The DBS provides a free, online tracking service that allows individuals and the university to follow the progress of applications showing: what stage the application has reached in the checking process if an application had to be returned due to errors if the results of the criminal record check have been dispatched. 9.2 Applications can be tracked on the DBS website. 10 DBS fees 10.1 There is a cost for the completion of DBS checks and to subscribe to the update service. 10.2 The university will pay for new DBS disclosures for employees and will refund employee subscriptions to the update service where this is a requirement of their role for the 11
university. However if individuals forget to subscribe or renew their subscription to the update service, they will be liable to pay for the next required DBS disclosure. 10.3 The latest costs for DBS disclosures can be found on the DBS website. 11 Adult First service 11.1 When a contract of employment is subject to a satisfactory enhanced DBS disclosure and a check against the adults barred list, then the Adult First service permits individuals to start work, under supervision, before a DBS disclosure has been obtained, depending on the result. This would need to be requested on the DBS application form. 11.2 DBS Adult First is not a substitute for a DBS disclosure and a conditional offer of employment must not be confirmed until a full satisfactory DBS disclosure has been received. DBS Adult First checks should be used only in exceptional circumstances and when absolutely necessary. 11.3 A DBS Adult First check is not appropriate where a person intends to work with both children and adults. Those working with both groups will need to wait for the DBS disclosure to be returned to find out whether a person is barred from working with children. There is no equivalent quick check of the children's barred list. 11.4 The Adult First service also incurs an additional charge for the university and the use of the service would need to be approved by the lead counter-signatory. 12 Overseas applicants 12.1 When a DBS disclosure is required for a post which is to be filled by an overseas applicant, the DBS disclosure should still be completed, however other checks will also need to be made, as the DBS cannot provide employers with an accurate picture of an overseas applicant s criminal record. 12.2 The HR Services Team (HRST) will contact the embassy or high commission of the country in question, contact details of which can be found on the Foreign and Commonweatlh Office (FCO) website. 12.3 Overseas applicants must produce a criminal record check from their home country, commonly referred to as a certificate of good conduct, certificate of clearance or certificate of no criminal conviction. 12.4 Guidance on how to obtain one of these certificates can be found on the FCO website. For residence overseas, the application for a certificate should be made before they leave the country. 13 Agency workers and external suppliers 13.1 Managers are responsible for ensuring that agency workers and external suppliers have been DBS checked at the appropriate level by the agency/external supplier prior to 12
commencing work. 13.2 See agency workers guidelines for managers. 13.3 Where external suppliers are used, managers must ensure there is a contractual obligation for the external supplier to conduct the necessary DBS checks, and provide written confirmation to the university that a satisfactory DBS disclosure was obtained. 13.4 Managers must assess the need for a DBS disclosure in line with this guidance and use the DBS check assessment form before liaising with the agency/external supplier. 14 Work experience 14.1 If children under 18 are granted permission to carry out work experience on university premises, the DBS check assessment form should be completed for those who will be looking after the child throughout their work experience to determine whether or not they will require a DBS disclosure. 15 Dealing with criminal disclosures 15.1 Any DBS disclosure returned with criminal convictions will be referred to the recruiting manager and HR adviser for the relevant work area. A meeting will take place with the individual to determine whether it is or is not appropriate for the individual to be employed in the role. The aim of the meeting will be to obtain further information and to achieve an open and honest dialogue between the parties. Information divulged as part of these discussions will be treated in the strictest confidence. 15.2 Consideration will be given to the offences in line with the Recruitment and Selection Policy section 11.2, Criminal records check and recruitment of ex-offenders. The decision should be made on the basis of a risk assessment to enable the applicant s criminal record and circumstances to be assessed in relation to the tasks they will be required to perform, and the circumstances in which the work is to be carried out. 15.3 The lead counter-signatory for the university will also be consulted on the recommended decision to ensure a consistent overview across the university. 15.4 Where an individual s DBS disclosure has been determined as satisfactory, DMU employees are under a continuing obligation to inform the university if in the future they face any criminal charges in line with the Code of Conduct for DMU Staff, Disclosure of criminal charges or convictions. 16 Storage, retention and disposal of records 16.1 It is acknowledged DBS disclosures contain sensitive personal data and therefore the university strictly follows the DBS Code of Practice For Registered Persons to ensure any information the certificates contain is handled fairly and used properly. 13
16.2 The university will report any malpractice in relation to the code or misuse of DBS certificates, and when required by the DBS, the university will undertake assurance checks. 16.3 The correct handling, usage, storage, retention and disposal of information from a DBS certificate is important. The DBS code of practice requires that the information revealed is considered only for the purpose for which it was obtained and it should be destroyed after a suitable period has passed, which is not usually more than six months. Once the retention period has elapsed, all DBS disclosure information will be destroyed immediately by shredding. 16.4 Disclosure information will be kept securely with access strictly controlled and limited to those who are required to access it as part of their duties. 16.5 The university will keep confirmation of any satisfactory disclosures and a brief summary of the factual information such as the date of issue, the name of the subject and the unique reference number on its electronic system and on the employee s personal file indefinitely. 16.6 Control measures outlined in risk assessments undertaken for DBS disclosures containing convictions or for individuals working in regulated activity, will be placed in the employee s personal file. 17 Confidentiality 17.1 The university will not share DBS disclosures with unauthorised internal or external parties. Information will only be passed to those who are required to receive it for the purposes of making a recruitment decision or for a valid reason relating to the individual s employment. 17.2 All records will be kept confidential in accordance with the Data Protection Act 1998. 14