Document Type: POLICY Title: Employment Checks - Disclosure and Barring Service (DBS) Policy Target Audience: Trust Wide Author / Originator and Job Title: Andrea Padgeon, Medical Workforce Manager Replaces: Criminal Records Bureau Disclosures Version 5 CORP/POL/202 Managing CRB Policy in Community (Blackpool Locality), Version 1.1, HR/011 Validated (Technical Approval) by: HR Policy Forum Ratified (Management Approval) by: Joint Negotiating Consultative Committee (JNCC) Description of amendments: Total policy review Validation Date: 08/09/2016 Ratified Date: 20/12/2016 Review dates and version numbers may alter if any significant changes are made Unique Identifier: CORP/POL/571 Version Number: 1 Status: Ratified Divisional and Department: Human Resources Directorate Risk Assessment: Not Applicable Which Principles of the NHS Constitution Apply? 1-4 Issue Date: 20/12/2016 Review Date: 01/12/2019 aims to design and implement services, policies and measures that meet the diverse needs of our service, population and workforce, ensuring that they are not placed at a disadvantage over others. The Equality Impact Assessment Tool is designed to help you consider the needs and assess the impact of your policy in the final Appendix.
CONTENTS 1 Purpose... 3 2 Target Audience... 3 3 Policy... 3 3.1 Disclosure and Barring Service (DBS)... 3 3.2 Levels and Eligibility for DBS checks... 3 3.2.1 Standard Checks... 4 3.2.2 Enhanced DBS Checks... 4 3.2.3 Enhanced DBS Checks with children s and/or adults barred list check... 4 3.3 DBS Update Service... 4 3.4 Fit and Proper Person Test... 5 3.5 Overseas Candidates... 5 3.6 Paying for DBS Checks... 5 3.6.1 External applicants... 5 3.6.2 Internal applicants... 5 3.6.3 Organisational Change... 5 3.7 Contractual Requirements... 5 3.8 Self-Declaration of Information... 6 3.9 Recruitment of Ex-Offenders... 7 3.10 Risk Assessment of Candidates with Disclosures... 7 3.11 Regulatory Framework... 7 3.12 Referrals... 8 3.13 Suspicion of Fraudulent Activity... 8 4 Attachments... 8 5 Procedural Document Storage (Hard and Electronic Copies)... 8 6 Locations this Document Issued to... 8 7 Other Relevant / Associated Documents... 8 8 Supporting References / Evidence Based Documents... 9 9 Consultation / Acknowledgements with Staff, Peers, Patients and the Public... 9 10 Definitions / Glossary of Terms... 9 11 Author / Divisional / Directorate Manager Approval... 10 Appendix 1: Posts Eligible for DBS Checks... 11 Appendix 2: Policy Statement on the Recruitment of Ex-Offenders... 12 Appendix 3: Equality Impact Assessment Form... 13 Page 2 of 14
1 PURPOSE This policy sets out the requirements of Blackpool Teaching Hospitals NHS Foundation Trust (the Trust) in carrying out criminal records checks, in line with the NHS Employers Check Standards. The criminal record and barring checks are designed to help prevent unsuitable people from entering the NHS workforce and gaining access to vulnerable groups. A Disclosure and Barring Scheme check (DBS) is carried out to reduce the risk by providing data held about an individual s criminal convictions and other police records. This policy will: Identify the posts which are subject to a DBS check. Promote the use of relevant DBS checks, in line with the DBS code of practice. Provide managers with guidance in relation to DBS checking and the use of the information provided by the DBS. Ensure consistent and fair treatment for all. 2 TARGET AUDIENCE This policy will apply to all prospective and existing employees employed on a substantive, fixed term, temporary or secondment basis. This policy will also apply to bank and agency staff, clinical placements, staff retiring and returning to work, honorary appointments and volunteers for roles in which they have direct access to patients, vulnerable adults and/or children, and access to confidential patient data. 3 POLICY 3.1 Disclosure and Barring Service (DBS) The Disclosure and Barring Service (DBS) replaced the Criminal Records Bureau (CRB) and the Independent Safeguarding Authority (ISA) and is responsible for helping employers make safer recruitment decisions and preventing unsuitable people from working with vulnerable groups, including children and adults at increased risk. The DBS undertakes criminal records checks, received safeguarding referrals and makes decisions in relation to barring individuals from undertaking Regulated activity (See Section 10). 3.2 Levels and Eligibility for DBS checks There are three levels of DBS check available and an explanation of each is given below. Appendix 1 provides a list of frequently used posts and the level of check required. Further information regarding the level of check required is available from: https://www.gov.uk/government/publications/dbs-check-eligible-positions-guidance. Employers are only legally permitted to carry out DBS checks on positions that are identified as exempt under the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 i.e. where individuals have contact with patients in the course of their normal duties. Page 3 of 14
Should DBS checks be made for posts not identified as exempt the Trust may be prosecuted. DBS checks are submitted via the Trusts recruitment software provider TRAC on behalf of the Trust. As TRAC act as counter-signatory on all applications they may question the level of check requested, as they are legally required to ensure that unnecessary and unfair checks are not submitted. 3.2.1 Standard Checks Standard checks provide detail of any convictions, cautions, reprimands and final warnings held on the Police National Computer (PNC) and includes both spent (old) and unspent (current) convictions. To be eligible for a standard check the position must be included in the Rehabilitation of Offenders Act (ROA) 1974 (Exceptions) Order 1975. Section 13 of the Act refers to employment in the provision of health services i.e. where the type of work enables the person to have access to persons in receipt of such services in the course of normal duties. The term access relates only to posts in which individuals have direct, physical contact with patients as part of their day-to-day activities. It does not cover posts which have 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. 3.2.2 Enhanced DBS Checks An enhanced check contains the same information as a standard check but also includes any information held by local police, where they consider it to be relevant to the post. This information is referred to as approved information on the enhanced check certificate. To be eligible for an enhanced check the position applied for must be included in the ROA Exceptions Order and in the Police Act 1997 (Criminal Records) Regulations. 3.2.3 Enhanced DBS Checks with children s and/or adults barred list check This check provides the same information as an enhanced check, but also checks against the children s and/or adults barred list. To be eligible for this check the position must be eligible for an enhanced check, be engaged in regulated activity and be specifically listed in the Police Act 1997 (Criminal Records) Regulations as able to check the barred list(s). 3.3 DBS Update Service The DBS provide an update service which allows applicants to personally subscribe to the update service for a yearly fee. This allows applicants to take their check from role to role (and organisation to organisation) where the same level of check is required. As an employer, with the consent of the applicant, an on-line check on the status of the applicant s certificate can be performed and the result is immediately available. Page 4 of 14
3.4 Fit and Proper Person Test (See Section 10) The Trust is required to ensure that all director level appointments meet the fit and proper persons test. This does not mean that all directors must have a DBS check. The same rules apply as for any other staff group and it is dependent upon the role that they will be fulfilling within the Trust. 3.5 Overseas Candidates When recruiting candidates from overseas the candidate must obtain a certificate of good standing from the police service in the country in which they were residing. DBS checks only relate to activity within the UK and would not add any further information, however if they have been resident in the UK at any stage within the last five years both a certificate of good standing and a DBS check will be required. 3.6 Paying for DBS Checks 3.6.1 External applicants All applicants will be responsible for paying for their own DBS check. The DBS check will only be carried out once a conditional offer of employment has been made. Applicants for substantive posts will have the option to pay either as a one off charge, to be deducted from their first salary, or to spread the cost over the first three months salary. Bank workers will be required to pay for the DBS check in advance as this cannot be deducted from their salary. 3.6.2 Internal applicants Where applicants already hold the correct level of DBS check they will be required to complete a declaration as part of the recruitment process (See Section 3.8). Where they currently do not hold a position that requires a DBS check, or the level of DBS check for the new post is different applicants will be required to pay for the DBS check to be conducted. They will have the option to pay either as a one off charge, to be deducted from their salary, or to spread the cost over a three month period. 3.6.3 Organisational Change Where an employee s job changes as a consequence of an organisational change introduced by the Trust, then the applicant will not be liable for any costs associated with a DBS check. 3.7 Contractual Requirements All employees, employed on a substantive, fixed term, temporary or secondment basis, bank and agency staff, clinical placements, honorary appointments and volunteers are required to report any police allegations, convictions, cautions (in any format), police resolutions and restorative justice, reprimands, warnings, or interviews with the Police Page 5 of 14
either voluntarily or whilst under arrest that occur during the course of their employment, whether at home or overseas to their line manager within 5 working days, or as soon as reasonably practical. This does not include minor driving offences unless this results in a withdrawal of a driving licence or interviews in which the employee is a witness. Failure to do so may be treated as a disciplinary offence and could be referred to the Trust Local Counter Fraud Specialist for further enquiries. Line Managers are responsible for discussing any reported incidents with the Human Resources Team to identify if any action is required. Failure to report any form of official action that a staff member has received from an appropriate body could be considered as a fraudulent action contract to the Fraud Act 2006. Where concerns arise regarding the possible non-reporting of a conviction(s) obtained whilst employed by the Trust, the Trust reserves the right to require the employee to undergo a DBS disclosure. The cost for this check will be borne by the Trust. If the disclosure reveals undeclared criminal conviction(s), this will be dealt with under the Trust s Disciplinary Policy and could be referred to the Trust Local Counter Fraud Specialist for further enquiries. If an employee applies for an internal promotion / transfer and a DBS check reveals conviction(s) that have not previously been declared the matter will be dealt with under the Trusts Disciplinary Policy. 3.8 Self-Declaration of Information All candidates are asked to declare information regarding: Unspent convictions and cautions (including reprimands, police resolutions, restorative justice and warnings). Restrictions on practice imposed by any professional registration body (such as the General Medical Council (GMC)), either in the UK or overseas. Any on-going investigations or proceedings by a professional registration body, either in the UK or overseas. This information will not be available to recruiting managers until the post has been offered to the candidate. Once a conditional offer of employment is made candidates are also asked to complete a declaration form relating to their previous conduct. If any declaration is made the recruiting manager the line manager should notify the Human Resource Team and invite the candidate to a meeting to discuss the declaration. The Trust will also carry out a rolling programme of self-declaration to all staff eligible for a DBS check. All staff will be asked to complete a self-declaration form every three years. This will be issued by the Resourcing and Contracts team. Failure to engage in the self-declaration process will be dealt with under the Trust Disciplinary Policy. Page 6 of 14
3.9 Recruitment of Ex-Offenders The Trust is required by the DBS Code of Practice to treat DBS applicants who have a criminal record fairly and not discriminate because of a conviction or other information revealed. Appendix 2 provides the policy statement for the recruitment of ex-offenders. Should any conviction or other information be revealed on a DBS check the recruiting manager should notify the Human Resources Team and Safeguarding Team, were appropriate and invite the candidate to a meeting to assess the risk posed in light of the disclosure. 3.10 Risk Assessment of Candidates with Disclosures When discussing with a candidate any declared information, or information revealed through a DBS check the recruiting manager, Safeguarding team and HR team should consider the following points: The nature of the disclosure. How long ago it took place. The age of the candidate at the time of the incident. Is this an isolated incident or are there a series of incidents. How relevant is the conviction to the post. The risks which may arise. Whether the candidate self-declared, or was the information only revealed in the DBS check. The recruiting manager and HR team should record details of the conversation with the candidate and decide whether in light of the information gathered they are able to offer the post. If the nature of the disclosure is such that they are unable to offer the post then the offer should be withdrawn. Full details of the reasons for withdrawing the offer must be recorded. If the line manager and HR team are satisfied that the information revealed will not have a significant impact on the decision to hire then the recruitment process should continue. Should the candidate dispute the information revealed on a DBS disclosure they must contact DBS directly. The recruiting manager must endeavour to keep the post open whilst this matter is resolved. 3.11 Regulatory Framework The Department of Health has devolved responsibility for providing advice and guidance on safer recruitment to NHS Employers. This guidance covers all the employment checks that the Trust is required to undertake before appointing anyone to work within the Trust. This is designed to prevent unsuitable people obtaining employment in the Trust. The Trust complies fully with the recommendations which include Disclosure and Barring checks. Page 7 of 14
3.12 Referrals Under the Safeguarding Vulnerable Groups Act 2006, the Trust has a legal duty to refer information to the Disclosure and Barring Service if an employee or volunteer has been cautioned or convicted of a relevant (automatic barring) offence, harmed or poses a risk of harm to vulnerable groups and where they have dismissed them, or removed them from working in regulated activity with children or adults. This duty equally applies where an individual has resigned before a formal decision to dismiss or remove them from regulated activity has been made. Evidence gathering and an investigation should first be undertaken prior to making a referral to DBS in order to establish if the allegation has foundation, this may be part of the internal disciplinary process. The DBS is required to clearly evidence its reasons for including a person in a barred list and the Trust must be able to provide this information. For further details on referrals please see http://fcsharepoint/trustdocuments/documents/corp-proc-594.docx 3.13 Suspicion of Fraudulent Activity Any suspicion of fraudulent activity will be referred to the Trust Local Counter Fraud Specialist for investigation, in accordance with the Trust Counter Fraud and Corruption Policy. 4 ATTACHMENTS Appendix Number Title 1 Posts Eligible for DBS Checks 2 Policy Statement on the Recruitment of Ex-Offenders 5 PROCEDURAL DOCUMENT STORAGE (HARD AND ELECTRONIC COPIES) Electronic Database for Procedural Documents Held by Procedural Document and Leaflet Coordinator 6 LOCATIONS THIS DOCUMENT ISSUED TO Copy No Location Date Issued 1 Intranet 20/12/2016 2 Wards, Departments and Service 20/12/2016 7 OTHER RELEVANT / ASSOCIATED DOCUMENTS Unique Identifier Title and web links from the document library CORP/POL/525 Disciplinary Policy http://fcsharepoint/trustdocuments/documents/corp-pol- 525.docx CORP/POL/532 Recruitment and Selection http://fcsharepoint/trustdocuments/documents/corp-pol- 532.docx CORP/PROC/594 Referral to the NMC and Health Professionals Council http://fcsharepoint/trustdocuments/documents/corp-proc- 594.docx Page 8 of 14
8 SUPPORTING REFERENCES / EVIDENCE BASED DOCUMENTS References In Full Crown. (1975). The Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975. Available: http://www.legislation.gov.uk/uksi/1975/1023/contents/made. Last accessed 30/12/2016. Crown. (2006). Fraud Act 2006. Available: http://www.legislation.gov.uk/ukpga/2006/35/contents. Last accessed 30/12/2016. Crown. (2006). Safeguarding Vulnerable Groups Act 2006. Available: http://www.legislation.gov.uk/ukpga/2006/47/contents. Last accessed 30/12/2016. Disclosure and Barring Service. (12/05/2016). DBS guide to eligibility. Available: https://www.gov.uk/government/publications/dbs-check-eligible-positions-guidance. Last accessed 30/12/2016. Home Office and Disclosure and Barring Service. (March 2013, Last Updated October 2016). DBS checks: guidance for employers. Available: https://www.gov.uk/guidance/dbscheck-requests-guidance-for-employers. Last accessed 17/07/2017. NHS Employers An Employers Guide to Using the DBS Update System: http://www.nhsemployers.org/~/media/employers/documents/recruit/guide_using_%20d BS%20_Update_Service.pd NHS Employers NHS Employment Checks Standards: http://www.nhsemployers.org/your-workforce/recruit/employment-checks NHS Employers Eligibility for DBS Scenarios: http://www.nhsemployers.org/casestudies-and-resources/2014/07/eligibility-for-dbs-checks-scenarios 9 CONSULTATION / ACKNOWLEDGEMENTS WITH STAFF, PEERS, PATIENTS AND THE PUBLIC Name Designation Date Response Received Kath Barker Recruitment Team Leader October 2015 Gill Evans Resource and Contracts Team Leader October 2015 John Marsden Local Fraud Management Specialist September 16 10 DEFINITIONS / GLOSSARY OF TERMS CRB Criminal Records Bureau DBS Disclosure and Barring Scheme check Fit and Proper Test The Fit and Proper person test is designed to ensure that all Directors of NHS Organisations are of good character and have the skills and qualifications to carry out the role they have been appointed into GMC General Medical Council ISA Independent Safeguarding Authority PNC Police National Computer Regulated Activity Regulated activities are the activities that the Disclosure and Barring Service can bar people from doing. It is a criminal offence for a barred person to seek to work, or work in, activities from which they are barred. It is also a criminal offence for employers or voluntary organisations to knowingly employ a barred person in regulated activity ROA Rehabilitation of Offenders Act Page 9 of 14
10 DEFINITIONS / GLOSSARY OF TERMS the Trust 11 AUTHOR / DIVISIONAL / DIRECTORATE MANAGER APPROVAL Issued By Andrea Padgeon Checked By Eleanor Palmer- Rigby Job Title Medical Workforce Job Title Manager Date September 2016 Date September 2016 Page 10 of 14
APPENDIX 1: POSTS ELIGIBLE FOR DBS CHECKS Adults and Children s Barred Check Adult Barred Check Standard Check No Check Audiologists Consultants Cardiac Technicans Chaplains Dentists Dieticians Doctors Health Visitors Healthcare Support Workers (Bank) Radiotherapists Mortuary Staff Midwife Nurse (Bank) Occupational Therapist Operating Department Practitioner Optician Porters Phlebotomists Physiotherapists Radiographers Speech and Language Therapists Adult Psychologist Healthcare Support Workers (adult) Nurse (adult wards) District Nurses (adult only) Any staff member providing health and personal care Children s Barred Check Child Psychologist Nursery Staff School Nurse Healthcare Support Workers (Paediatrics) Nurse (Paediatrics) District Nurse (Paediatrics) Any staff member providing health and personal care for children Pharmacist Finance Staff if registered with the financial services authority or qualified and accountant or equivalent level Board Members Domestic Staff Ward Clerk Administrators Audit / Clinical Audit Booking Clerks Catering Assistants Complaints Manager Contractors (nonclinical environment) Directorate managers Finance staff (nonregistered) Human Resource Staff IT Staff Laboratory Technicians Maintenance staff Medical Records Medical Secretaries Patient experience staff PharmacyStaff (nonregistered) Procurement Staff Post Room Staff Receptionists Please note this list is not exhaustive. Please refer to DBS guidelines for further information or contact the recruitment team. Page 11 of 14
APPENDIX 2: POLICY STATEMENT ON THE RECRUITMENT OF EX-OFFENDERS As an organisation assessing applicants suitability for positions which are included in the Rehabilitation of Offenders Act 1974 (Exceptions) Order using criminal records checks processed through the Disclosure and Barring Service (DBS), Blackpool Teaching Hospitals NHS Foundation Trust (the Trust) complies fully with the Code of Practice and undertakes to treat all applicants fairly. The Trust undertakes not to discriminate unfairly against any subject of a criminal record check on the basis of a conviction or any other information revealed. The Trust can only ask an individual to provide details of convictions and cautions that the Trust is legally entitled to know about. Where a DBS certificate at either standard or enhanced level can legally be requested (where the position is one that is included in the Rehabilitation of Offenders Act 1974 (Exemptions) Order 1975 as amended) the Trust can only ask an individual about convictions and cautions that are not protected. The Trust is committed to the fair treatment of its staff, potential staff or users of its services, regardless of race, gender, religion, sexual orientation, responsibilities for dependents, age, physical / mental disability, or offending background. The Trust has a written policy which is made available to all DBS applicants at the outset of the recruitment process. The Trust actively promotes equality of opportunity for all with the right mix of talent, skills and potential and welcome applications from a wide range of candidates, including those with criminal records. The Trust selects all candidates for interview based on their skills, qualifications and experience. An application for a criminal record check is only submitted to DBS after a thorough risk assessment has indicated that one is both proportionate and relevant to the position concerned. For those positions where a criminal record check is identified as necessary, job adverts will contain a statement that an application for a DBS certificate will be submitted in the event of the individual being offered the position. The Trust ensures that all those in the Trust who are involved in the recruitment process have been suitably trained to identify and assess the relevance and circumstances of offences. The Trust also ensures that they have received appropriate guidance and training in the relevant legislation relating to the employment of ex-offenders. At interview, or in a separate discussion, the Trust ensures that an open and measured discussion takes place on the subject of any offences or other matter that might be relevant to the position. Failure to reveal information that is directly relevant to the position sought could lead to withdrawal of the offer of employment. The Trust makes every subject of a criminal record check submitted to DBS aware of the existence of the Code of Practice and makes a copy available on request. The Trust undertakes to discuss any matter revealed on DBS certificate with the individual seeking the position before withdrawing a conditional offer of employment. Page 12 of 14
APPENDIX 3: EQUALITY IMPACT ASSESSMENT FORM Department Recruitment Service or Policy DBS Policy Date Completed: 21.12.16 GROUPS TO BE CONSIDERED Deprived communities, homeless, substance misusers, people who have a disability, learning disability, older people, children and families, young people, Lesbian Gay Bi-sexual or Transgender, minority ethnic communities, Gypsy/Roma/Travellers, women/men, parents, carers, staff, wider community, offenders. EQUALITY PROTECTED CHARACTERISTICS TO BE CONSIDERED Age, gender, disability, race, sexual orientation, gender identity (or reassignment), religion and belief, carers, Human Rights and social economic / deprivation. QUESTION RESPONSE IMPACT What is the service, leaflet or policy None development? What are its aims, who are the target audience? Does the service, leaflet or policy/ Yes development impact on community safety Crime Community cohesion Is there any evidence that groups who No should benefit do not? i.e. equal opportunity monitoring of service users and/or staff. If none/insufficient local or national data available consider what information you need. Does the service, leaflet or development/ No policy have a negative impact on any geographical or sub group of the population? How does the service, leaflet or policy/ N/A development promote equality and diversity? Does the service, leaflet or policy/ No development explicitly include a commitment to equality and diversity and meeting needs? How does it demonstrate its impact? Does the Organisation or service Yes workforce reflect the local population? Do we employ people from disadvantaged groups Will the service, leaflet or policy/ No development i. Improve economic social conditions in deprived areas ii. Use brown field sites iii. Improve public spaces including creation of green spaces? Does the service, leaflet or policy/ N/A development promote equity of lifelong learning? Does the service, leaflet or policy/ N/A development encourage healthy lifestyles and reduce risks to health? Does the service, leaflet or policy/ N/A development impact on transport? What are the implications of this? Does the service, leaflet or N/A policy/development impact on housing, housing needs, homelessness, or a person s ability to remain at home? Are there any groups for whom this No policy/ service/leaflet would have an impact? Is it an adverse/negative impact? Does it or could it (or is the perception that it could exclude disadvantaged or marginalised groups? Does the policy/development promote n/a access to services and facilities for any group in particular? Issue Action Positive Negative X Page 13 of 14
APPENDIX 3: EQUALITY IMPACT ASSESSMENT FORM Does the service, leaflet or policy/development impact on the environment During development At implementation? No ACTION: Please identify if you are now required to carry out a Full Equality No (Please delete as Analysis appropriate) Name of Author: Signature of Author: Andrea Padgeon Date Signed: 21.12.16 Name of Lead Person: Signature of Lead Person: Name of Manager: Signature of Manager Andrea Padgeon Date Signed: 21.12.16 Andrea Padgeon Date Signed: 21.12.16 Page 14 of 14