PROCEDURE/GUIDANCE FOR THE EMPLOYMENT OF PEOPLE WITH CRIMINAL RECORDS Prepared by:
Barry Lane
Responsible Area: Approval Information:
Human Resources Date Approved: COMMITTEE:-
PCT Board-30 November 2004
Approved By:
Sign
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Print Name
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Reference to Standards for Better Health Domain Core/Development standard Performance indicators
Version No. Approved:
(2) PCT Forum: 23rd November 2006
Review Date:
Date: November 2009
Example : Department of Health 2004 Standards for Better Health First domain Safety Fourth domain Patient focused Seventh domain Public Health Department of Health 2004 Example: Core Standard C4 C13B C24 1. 2. 3.
(Key measure(s) to demonstrate policy, protocol or guideline is working (minimum 1, maximum 3)
1.
OPERATIONAL PROCEDURE/RESPONSIBILITIES
1.1
Where a CRB disclosure is a condition of appointment, all applicants for jobs with the PCT will be asked to declare all criminal convictions including spent convictions. The successful applicant will, as a condition of their employment, be required to complete, as appropriate, a pre numbered and personal criminal records declaration form A or B (depending upon the nature of the job which they have applied for). All the information provided will only be used to assess the person’s suitability for the job. Where a CRB disclosure is not a condition of appointment all applicants for these jobs will only need to declare unspent convictions.
1.2
A disclosure will only be requested after a thorough risk assessment has indicated that one is both proportionate and relevant to the job concerned. For those positions where a disclosure is required, all advertisements and job descriptions will contain a statement that a disclosure will be requested in the event that the person is offered the job. Volunteers may also be the subject of a CRB disclosure especially if they have patient contact as part of their role. A volunteer is classed as unpaid and benefits individuals or groups, but does not include their own relatives. Volunteers are eligible for a free disclosure. Students or people undertaking course/work placements are not eligible for a free disclosure.
1.3
Where a CRB disclosure is a condition of appointment, the PCT will encourage all applicants to provide, on the application form details of their criminal record, including any spent convictions The PCT will ensure that the only staff who will see this information will be the manager(s) and human resource representative responsible for the appointment. On very rare occasions a director or senior human resources representative may need to make a decision concerning the applicant following receipt of disclosure information in which case the information will be shared more widely.
1.4
Where a CRB disclosure is a condition of appointment at interview, managers will be able to ask questions about the person’s entire criminal record.
1.5
The PCT will arrange for all managers involved in the recruitment process to receive training on recruitment matters including information about how to identify and assess the relevance and circumstances of criminal offences and to be fully aware of legislation relating to the employment of ex-offenders. Appendix 1 provides details of the PCTs policy concerning the employment of ex-offenders.
1.6
At interview managers will ensure there is an open and measured discussion on the subject of any offences that might be relevant to the job. Should a candidate for a job fail to reveal this information this could lead to withdrawal of an offer of employment, if subsequently the CRB disclosure information identifies a criminal record. A file record must be made of any decision.
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1.7
The PCT will make every person, who is subject to a CRB disclosure request, aware of the existence of the CRB Code of Practice and make a copy available on request.
1.8
The person who is the subject of a CRB disclosure will provide to the HR department suitable identification documents for example, passport, birth certificate. In cases where the applicant fails to produce suitable identification then the CRB can arrange for finger printing to be undertaken although this process may delay the outcome of the recruitment process.
1.9
Any person who commences working with the PCT and the offer of employment is the subject of a CRB disclosure then they must be supervised by another member of staff (who has been subject to a CRB disclosure check themselves) until clearance is received. All such offers will be made subject to satisfactory pre-employment checks. In the event that the offer of employment is to be withdrawn following receipt of ‘additional information’ by the CRB (also see paragraph 3.4) the PCT will not indicate that the decision to withdraw has been influenced by this information and instead advise they were rejected on the basis of the usual pre-employment checks. In the event that the applicant is not satisfied with this explanation, then legal advice or advice should be obtained from the police force who released the information.
1.10
In cases where an individual has received a conditional offer of employment which is subject to a CRB disclosure check and when received the disclosure reveals a conviction that the individual has not disclosed the circumstances must be discussed with the individual concerned. Advice should be obtained from the Head of Human Resources in such cases. A decision will then be taken concerning the individual’s suitability to continue in employment. A file record must be kept regarding this decision.
1.11
The Head of Human Resources will be responsible for the security of staff records and for ensuring that the correct operational procedures for carrying out CRB checks are undertaken. Managers are responsible for advising on the level of CRB check required for individual posts.
2.
CRB DISCLOSURE SERVICE
2.1
The CRB will issue two types of disclosure information (standard and enhanced.)
2.2
Standard and enhanced requests are only available through a registered body such as the Kirklees PCT (Human Resources Shared Service)
2.2.1 Definitions •
Standard disclosure: these will be available in respect of positions and professions within the terms of the Exemptions Order under the Rehabilitation of Offenders Act eg healthcare workers. A standard disclosure will contain details of any spent and unspent convictions, as well as cautions, reprimands and warnings, recorded by the police
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centrally. It will also indicate if there are no such matters on record. If an individual is applying for a position working with children, the standard disclosure will also reveal whether the individual is barred from working with children by virtue of inclusion on lists maintained by the Departments of Education, Employment and Health. (processing time = 1 week) •
Enhanced disclosure: will be available under the terms of the Exemptions Order above and will be available for posts principally where there is regular caring for, training, supervising or being in sole charge of those aged 18 or under, or vulnerable adults. Vulnerable adults includes persons aged 18 or over receiving nursing or personal services in a care home, nursing or personal care/support to live independently in their own home, social services or learning and physical difficulties services. An enhanced disclosure will contain the same details as a standard disclosure. It may also contain non-conviction information from local police records which a chief police officer thinks may be relevant in connection with the matter in question. (processing time = 3 weeks)
2.3
A standard disclosure request will be available to the PCT where the job is concerned with the provision of health services and has direct access to persons receiving those services as part of their normal duties. Additionally and following a risk assessment of the job, other non-healthcare staff may also need to be covered by this level of assessment. An example of the type of staff who have contact with patients, as part of their job, will include Directors and certain Managers. Disclosure application forms need to be clear concerning the nature of the patient contact for example, clerical officer – patient contact.
2.4
An enhanced disclosure is only intended for jobs which are particularly sensitive, involving responsibility for children and vulnerable adults. (see definition above)
2.5
The assessment of risk must be applied to each job individually. The above definitions are provided to give an indication of the type of services covered but in cases of doubt refer to the Human Resource Department for further advice.
3.
ASSESSING CRIMINAL RECORDS
3.1
Disclosure information from the CRB is an important tool in aiding safer recruitment and patient safety. The information provided by the CRB needs to be treated in a confidential manner and carefully considered.
3.2
The existence of a criminal conviction does not in itself prevent anyone from working in the PCT. However, some types of offence, for example, those involving violence or sexual abuse may indicate that an applicant is unsuitable to have access to patients and should not be employed.
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3.3
The information provided should be considered in the light of relevant circumstances, including the nature of the offence, the date when the offence was committed, the applicant’s subsequent record and the relevance of the offence to the post applied for.
3.4
Any information provided by the CRB as ‘additional information’ on the CRB disclosure form must not be released to the applicant or any other person without the written permission of the Chief Police Officer who released the information. Failure to comply with this requirement would constitute a criminal offence.
3.5
The disclosure information is only one element in the pre and post employment checks required by good recruitment practice and should be considered in the overall context.
3.6
Currently General Practitioners, Pharmacists, Opticians and Dentists are covered by West Yorkshire Central Services Agency.
3.7
Disclosure information carries no period of validity as it is designed for immediate use. Information may only be shared with the applicants written consent where, the applicant is also applying to another PCT in the Calderdale and Kirklees area. Disclosure may only be made to other organisations following the written consent of the applicant
3.8
Staff applying for a different post with the PCT (for example from a post not needing a CRB check to one that does, or from a post only needing a standard check to one requiring an enhanced check, then in such cases there would then be the need for a further disclosure check.
3.9
Existing staff will be subject to the same level of CRB check as new staff. This check will be made when the member of staff’s professional registration is due or at three year intervals, as applicable. Should the check identify a criminal conviction its relevance will be assessed against the job in question and appropriate action taken as necessary.
3.10
If during employment with the PCT a member of staff is charged or receives a criminal conviction which could be work or non work related, they must inform their manager immediately. Appropriate action will have to be taken but this will depend upon the nature of the charge or conviction.
4.
PROCEDURES FOR MEETING THE DATA PROTECTION ACT
4.1
Disclosure information, including the completed criminal record declaration form A or B, will not be kept on the applicant’s personal file. Instead it will be kept in the Human Resources Department in lockable, non-portable, storage cabinets with access strictly controlled and limited only to those who are entitled to see it as part of their duties. Further details concerning the PCTs policy concerning storage and security issues is given at Appendix 2. The staff who may be entitled to see the disclosure information would include for example, a manager or supervisor of the member of staff concerned. It is a
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criminal offence (Police Act 1997) to pass this information to anyone who is not entitled to receive it. 4.2
The information will only be used for the specific purpose for which it was requested and for which the applicant’s full consent was given. In cases where information is requested by a third party (for example the need to provide a reference for a member of staff) the referee should seek the written consent of the individual to release any CRB information and ensure that information released is materially relevant to the job in question. In cases of doubt advice may be sought from the Human Resources Department.
4.3
Once a recruitment decision has been reached the disclosure information will be retained for a period of 6 months and then destroyed, together with the recruitment file. Should the information be needed longer the permission of the CRB must be obtained and full consideration will also be given to the data protection and human rights implications.
4.4
Prior to disposal of the information a brief record will be maintained including date of issue, name of subject, type of disclosure requested, the post, unique reference number and details of the recruitment decision (standard record attached as Appendix 3). This information will be retained indefinitely.
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PORTABILITY (TRANSFER) OF CRB CHECKS-RISK ASESSMENT ADVICE
5.1
Some candidates may present a previous CRB disclosure which was obtained for a position in another organisation.
5.2
In such cases the PCT will undertake a risk assessment to assess if a new disclosure is needed and take the following action: Get the written consent of the applicant to contact the organisation that requested the original disclosure and undertake identification checks to confirm the validity of the disclosure presented Check the disclosure is at the right level for the job applied for eg standard or enhanced Check the age of the disclosure and remember that the information may not be up to date If the job involves working with children or vulnerable adults you may be required under the Protection of Children and Protection of Vulnerable Adults Acts to carry out a fresh check Only accept original disclosure certificates not photocopies Ensure that you are satisfied that the previous employer will have undertaken a proper risk assessment and identification check of the prospective employee
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Check that the prospective employee is still living at the same address as the one printed on the disclosure certificate presented
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APPENDIX 1 STATEMENT ON THE RECRUITMENT OF EX-OFFENDERS It is the requirement of the CRB’s Code of Practice that all Registered Bodies must treat Disclosure applicants who have a criminal record fairly and do not discriminate because of a conviction or other information revealed. It also obliges Registered Bodies to have written policy on the recruitment of ex-offenders. As an organisation using the Criminal Records Bureau (CRB) Disclosure service to assess applicants’ suitability for positions of trust, the Primary Care Trust (PCT) complies fully with the CRB code of practice and undertakes to treat all applicants for positions fairly. It undertakes not to discriminate unfairly against any subject of a Disclosure on the basis of a conviction or other information revealed. The PCT is committed to the fair treatment of all its staff, potential staff or users of its services, regardless of race, gender, religion, sexual orientation, responsibilities for dependants, age, physical/mental disability or offending background. We have a written policy on the recruitment of ex-offenders, which is made available to all Disclosure applicants. The PCT actively promote equality of opportunity for all and welcome applications from a wide range of candidates, including those with criminal records. We select all candidates for interview based on their skills, qualifications and experience. The PCT will not necessarily prevent anyone with a criminal record from working in the organisation. Each case will depend on the nature of the job and the circumstances and background of the offences. Kirklees PCT is a Registered Body for the use of the Criminal Records Bureau (CRB) Disclosure. A Disclosure is only requested after a risk assessment has indicated that one is both proportionate and relevant to the position concerned. For those positions where a Disclosure is required, all application forms, job adverts and recruitment briefs will contain a statement that a Disclosure will be requested in the event of the individual being offered the position. Where a Disclosure is to form part of the recruiting process, we encourage all applicants called for interview to provide details of their criminal record at an early stage in the application process. We request that this information is declared on the application form. We guarantee that this information will only be seen by those who need to see it as part of the recruitment process. The PCT will ensure that all those involved in the recruitment process have been suitably trained to identify and assess the relevance and circumstances of any offences. We also ensure that they have received appropriate guidance and training in the relevant legislation relating to the employment of ex-offenders, eg the Rehabilitation of Offenders Act 1974. We will make every subject of a CRB Disclosure aware of the existence of the CRB code of practice.
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At interview, or in a separate discussion, we ensure 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 an offer of employment. We undertake to discuss any matter revealed in a Disclosure with the person seeking the position before withdrawing a conditional offer of employment. Where Disclosure information is sought in relation to an existing employee, in the event that an individuals Disclosure reveals information that has not been disclosed, an investigation will be undertaken which may lead to disciplinary action. Having a criminal record will not necessarily bar you from working with us. This will depend on the nature of the position and the circumstances and background of your offences.
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APPENDIX 2 STATEMENT ON THE SECURE STORAGE, HANDLING, USE, RETENTION AND DISPOSAL OF DISCLOSURES AND DISCLOSURE INFORMATION It is a requirement of the CRB’s Code of Practice that all Registered Bodies must have a written policy on the correct handling and safekeeping of Disclosure Information. General Principles As an organisation using the Criminal Records Bureau (CRB) Disclosure service to help assess the suitability of applicants for positions of trust, the PCT complies fully with the CRB Code of Practice regarding the correct handling, use, storage, retention and disposal of Disclosures and Disclosure Information. It also complies fully with its obligations under the Data Protection Act 1998 and other relevant legislation pertaining to the safe handling, use, storage, retention and disposal of Disclosure Information and has a written policy on these matters, which is available to those who wish to see it on request. Storage and Access Disclosure Information should be kept securely, in lockable, non-portable, storage containers with access strictly controlled and limited to those who are entitled to see it as part of their duties. 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. We maintain a record of all those to whom Disclosures or Disclosure Information had been revealed and it is a criminal offence to pass this information to anyone who is not entitled to receive it. 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. Retention Once a recruitment (or other relevant) decision has been made, we do not keep Disclosure Information for any longer than necessary. This is generally for a period of up to six months, to allow for the consideration and resolution of any disputes or complaints. If, in very exceptional circumstances, it is considered necessary to keep Disclosure Information for longer than six months, we will consult the CRB about this and will give full consideration to the data protection and human rights of the individual before doing so.
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Disposal When the retention period has elapsed, we will ensure that any Disclosure Information is immediately destroyed by shredding. We will not keep any photocopy or other image of the Disclosure. However we may keep a record of the date of issue of a Disclosure, the name of the subject, the type of Disclosure requested, the position for which the Disclosure was requested, the reference number of the Disclosure and details of the recruitment decision taken.
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APPENDIX 3
CRIMINAL RECORDS BUREAU – DISCLOSURE INFORMATION
Primary Care Trust Post Reference number HR Officer responsible for post
Applicants name Date information issued Type of disclosure requested: standard enhanced Applicant appointed Applicant not appointed Date CRB information destroyed
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APPENDIX 4 GUIDANCE FOR HR STAFF AND MANAGERS TO DECIDE APPROPRIATE LEVEL OF CRIMINAL RECORDS BUREAU CHECK 1. Does the job involve responsibility for direct patient contact or provision of services to patients
NO YES
2. Does the job have any contact in patient sensitive areas under questions 3/4 below? 3. Does the patient sensitive area involve caring for, training or supervising, on a regular basis, people aged under 18 years?
4. Does the patient sensitive area involve caring for vulnerable adults, on a regular basis, and who receive these services in establishments and as a consequence of their condition/disability? (definitions detailed below)
No check required Standard check required and successful applicant to complete criminal record declaration form B
NO
Review job again to see if question 1 applies
YES
Refer to questions 3/4 below
NO
Refer to question 4 below Enhanced check required and successful applicant to complete criminal record declaration form A
YES
YES
Enhanced check required and successful applicant to complete criminal record declaration form A
Definitions:
Vulnerable adult means: A person aged 18 or over receiving health care services described below Service s means:
Accommodation and nursing or personal care services described below Personal care or nursing or support to live independently in own home Services provided by an independent hospital, clinic, medical agency or NHS body Social Services care Services provided in an establishment catering for people with learning difficulties
Conditions means:
Learning or physical disability Physical or mental illness, chronic or otherwise, including an addiction 13
to alcohol or drugs A reduction in mental capacity Disability means:
A dependency upon others in the performance of, requirement for assistance in the performance of basic physical functions Severe impairment in the ability to communicate with others Impairment in a persons ability to protect themselves from assault, abuse or neglect
Standard disclosure
These will be available in respect of positions and professions within the terms of the Exemptions Order under the Rehabilitation of Offenders Act eg healthcare workers. A standard disclosure will contain details of any spent and unspent convictions, as well as cautions, reprimands and warnings, recorded by the police centrally. It will also indicate if there are no such matters on record. If an individual is applying for a position working with children, the standard disclosure will also reveal whether the individual is barred from working with children by virtue of inclusion on lists maintained by the Departments of Education, Employment and Health. (processing time = 1 week).
Enhanced disclosure
Will be available under the terms of the Exemptions Order above and will be available for posts principally where there is regular caring for, training, supervising or being in sole charge of those aged 18 or under, or vulnerable adults. An enhanced disclosure will contain the same details as a standard disclosure. It may also contain non-conviction information from local police records which a chief police officer thinks may be relevant in connection with the matter in question. (processing time = 3 weeks). Standard and enhanced requests are only available through a registered body such as the PCT (Human Resources Shared Service)
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