HRPOL07 Recruitment of Ex-Offenders and DBS Policy by Provide Community

Recruitment of Ex-Offenders and Disclosure and Barring Service Policy and Procedure

Version: V8

Ratified by: People & Culture Steering Group

Date ratified: 15/08/2023

Job Title of author: Interim Head of People Services

Reviewed by Committee or Expert Group: Staff Partnership Forum

Equality Impact Assessed by:

1. Introduction

Provide aims to deliver high quality and safe services and it recognises that this commitment to quality and safety must be reflected in the work and conduct of all its employees.

Rehabilitation of Offenders Act 1974

The Rehabilitation of Offenders Act 1974 provides that ex-offenders are not required to disclose to prospective employers’ convictions defined as ‘spent’ under the Act. The Act defines time periods after which different types of convictions become ‘spent’. It also makes it illegal for employers to discriminate against an ex-offender on the grounds of a ‘spent’ conviction. In addition, the fact that a person has a spent conviction will not be grounds for Provide refusing to engage that person, unless the person is applying for a position involving regular contact with children or vulnerable adults to which the Exceptions Order to the Act applies.

In order to protect the vulnerable, the Rehabilitation of Offenders Act 1974 (Exemptions) Order 1975 exempts some professions within the health and care sectors. Posts which involve regular contact with children or vulnerable adults must be assessed to establish if they are ‘exempt’ from the Rehabilitation of Offenders Act 1974. Applicants for these positions are not therefore statutorily excused from the obligation to disclose spent convictions where a question is asked in order to assess their suitability for work. Failure to disclose a spent conviction will be considered proper grounds for that person to be refused employment.

Two levels of checks are available through the DBS where an employer is entitled to ask exempted questions under the Exceptions Order to the Rehabilitation of Offenders Act 1974. These are at Enhanced and Standard Levels.

By law, employers cannot request a DBS check on any position that is not identified as exempt from the Act. For all other positions, employers may only request details of any unspent (current) convictions. This is known as a basic disclosure and is currently not available to employers via the DBS in England. Applicants will be asked to complete a Self-Declaration Form as part of the recruitment process. They may also be asked to complete a basic disclosure themselves and disclose the details as part of their recruitment.

The Disclosure and Barring Service (DBS)

The DBS came into effect in November 2012. It assists organisations in screening candidates who have applied to work with children and vulnerable adults by providing a service called ‘disclosure’. The DBS acts as a one-stop-shop where employers can gain access to criminal and other information to support their recruitment activities. In order to safeguard the privacy rights of individuals, no disclosure can be issued without the consent of the job applicant, and the information is provided directly to the individual who is then required to share with others

The Police Act 1997 makes provision for two different levels of criminal record checks: standard and enhanced disclosures. In order to obtain information under a standard or enhanced disclosure, an organisation must be registered with the DBS.

The Protection of Freedoms Act 2012 received Royal Assent in May 2012, with key provisions implemented during the summer of 2012. From 10th September 2012, the following provisions applied:

• Introduction of a new definition of regulated activity

• Introduction of a more rigorous ‘relevancy’ test for when police release information held locally on an enhanced criminal records check.

• Introduction of a minimum age (16 years) for when someone can apply for a criminal records check.

• Repeal of controlled activity

• Repeal of the registration and monitoring aspects of the Vetting and Barring Scheme; and

• Repeal of ‘additional information’, that is information the police were able to pass to prospective employers but not to applicants themselves.

Provide CIC is a registered body for requesting and receiving disclosures. For recruitment purposes, and the renewal of disclosures, the HR Team will process the necessary paperwork and inform the recruiting manager accordingly. The HR Team will also act on request for renewals and for existing staff to be DBS checked in each service area and independent contractors. Independent contractors will be charged an administration fee for this service, in addition to the cost of the DBS check.

When identified as appropriate, the DBS Disclosure is an integral part of the recruitment process at Provide. However, it is only one element in a range of preemployment checks and clearances and should not be used in isolation but to support the recruitment decision.

Revised Code of Practice for DBS Registered Persons (Home Office, November 2015)

As an organisation using the Disclosure and Barring Service to help assess the suitability of applicants, Provide complies fully with the DBS Code of Practice. This document sets out the obligations on registered persons and other recipients of Disclosure information and can be downloaded from https://www.gov.uk/government/publications/dbs-code-of-practice

As defined in the Code, Provide undertakes to use Disclosure information fairly and not to discriminate unfairly against any subject of a Disclosure on the basis of conviction or other information revealed. In addition, Provide will adhere to the Code regarding the correct handling, use, storage, retention and disposal of Disclosures and Disclosure information and will comply with reasonable requests from the DBS to undertake assurance checks. Provide will report to the DBS any suspected malpractice.

2. Scope

This policy will apply to all existing staff and prospective employees of Provide. For clarity, this includes:

• Substantive employees

• Temporary or fixed term employees

• Secondments to Provide

• Bank or agency workers

• Clinical placements/attachments

• Volunteers

• Work experience students in some circumstances

• Advocacy services

• Contractors and staff employed by private contractors

• Students

• Medical and dental staff

Please note that this list is not exhaustive. Whilst the majority of staff will be employed under a contract of employment, there are likely to be arrangements not covered by contractual arrangement. The definition of ‘employment’ used in the Act is designed to ensure that even the most casual connections and voluntary work are covered by the provisions of the Act.

3. Key Principles

The purpose of this policy is to ensure that Provide remains compliant with legislation regarding the recruitment of ex-offenders, to ensure compliance with the requirements as an organisation registered with the Disclosure and Barring Service. Criminal record checks are one aspect of Provide CIC’s approach to ‘Safer Recruitment’.

In addition, this policy will serve as evidence of compliance with the NHS Employers Employment Standard – Criminal Record and Barring Checks (2013). These standards will be complied with as ‘best practice’ when carrying out criminal record or barring checks for employees on other operational contracts.

4. Key Responsibilities

Employees

All representatives of Provide who have access to information regarding criminal convictions of candidates in the recruitment process or of existing employees must ensure that all information is keep confidential.

In addition, all employees are expected to:

• Inform the Human Resources department of any criminal convictions they acquire during their employment with Provide.

• Attend meetings to discuss disclosure/non-disclosure or criminal convictions when requested to do so.

• Comply with any request to have a further DBS check undertaken during employment with Provide if required.

Managers

Managers are responsible for raising awareness of this policy within their own business units and will highlight changes to their teams at meetings. In addition, they are expected to:

• Ensure that a risk assessment is carried out on the post to establish if a DBS check is legally required and that the level of check is proportionate to the risk.

• Ensure that, where the post is identified as requiring a DBS check, all candidates are questioned regarding the Rehabilitation of Offenders Act (1974) during interview and that the responses are recorded on the interview documentation and signed as an accurate record.

• Ensure that when convictions are disclosed that a thorough assessment of risk is undertaken and that candidates are not unfairly discriminated against during the recruitment and selection process on the basis of criminal convictions held.

• Ensure that confidentiality is maintained regarding any convictions disclosed by candidates at any stage of the recruitment process.

• To work in partnership with the HR department regarding the renewal of DBS checks for existing staff if required.

• To ensure that renewals for their staff are processed in a timely manner.

• When renewals are not undertaken by the staff member, that the staff member is removed from a role where they have contact with vulnerable adults or children. This may include suspension and/or disciplinary action.

• Act on any report that an existing member of staff may have a criminal conviction and work in partnership with the HR department.

• Ensure confidentiality of the information and process regarding DBS checks and criminal convictions.

Directors

All Directors are responsible for identifying and ensuring the development of documents relevant to their area of responsibility. The Group Chief People Officer is accountable to the Group Chief Executive and the Provide Board for ensuring this policy is implemented and associated documents become active documents within Provide.

Directors will ensure that this policy is appropriately consulted upon and that all resource implications are highlighted and funding identified. They will ensure that their Senior Managers are informed of progress.

Chief Executive

The Group Chief Executive Officer has overall responsibility for the strategic and operational management of Provide which includes ensuring that this policy & associated documents comply with all legal and statutory requirements.

The Provide Board

The Provide Board is responsible for setting the strategic context in which organisational documents are developed, and for ensuring the formal review and approval of documents takes place.

Additional Responsible Individuals

Lead Signatory

The Lead Signatory for DBS within Provide is the Head of People Services. The responsibilities include:

• Overseeing the introduction, operation and monitoring of this policy

• Ensuring the provision of briefings on the policy, guidance and support for managers on the operation of the policy.

• Ensuring the provision of accurate and regular statistical information as requested.

People Advisors and Partners

The responsibilities are:

• Providing advice and guidance to managers in the implementation of the policy

• Monitoring the implementation of the policy

• Assisting managers in dealing with disclosure/non-disclosure of criminal convictions

• If appointed as registered counter signatories for the DBS application process, People Advisors and Partners must comply with the DBS Code of Practice.

• Work in partnership with senior managers to ensure that any staff transferring into Provide are DBS checked.

HR Services Members

The responsibilities are:

• Ensuring that all job adverts include a reference to DBS Disclosure checks, if required for the post, and the level of disclosure required.

• Ensuring that all information packs, electronic or paper based, include information on the DBS Disclosure process and the policy statement on the Recruitment of Ex-Offenders.

• Ensuring that DBS Disclosures received indicating a conviction are brought to the attention of the appropriate People Partner.

• Ensuring all DBS Disclosures are kept securely and in line with DBS and data and information guidance.

5. Procedure / Implementation

Level of Disclosures

Standard Level

To be eligible for a Standard level criminal record check the position must be included in the Rehabilitation of Offenders Act (ROA) 1974 (Exceptions) Order 1975. The definition is:

‘Any employment or other work which is concerned with the provision of health services and which is of such a kind as to enable the holder of that employment or the person engaged in that work to have access to persons in receipt of such services in the course of his normal duties’.

(Note: The term ‘access’ only relates to where individuals have direct, physical contact with patients as part of their day to day activities; it does not include positions where there is no contact with patients. Positions that purely involve having access to records are not covered under the terms of the Exceptions Order and therefore employers cannot obtain a standard or enhanced criminal record check for these positions).

Enhanced Level

This includes the same as the standard check plus any additional information held by local police that’s reasonably considered relevant to the workforce being applied for (adult, child or ‘other’ workforce).

Assessment of Post and Level of Disclosure

Below are examples of the level of Disclosure (enhanced or standard) for typical posts within Provide. This list is not exhaustive so please seek advice from HR if the job title and level of Disclosure required is not identified below.

Enhanced Standard

• Service Managers – clinical only.

• Team Leaders – clinical only.

• All registered health professionals including Agency & bank staff and those employed by Independent contractors.

• Nursery Nurses.

• Health Care Support Workers.

• Social Workers

• Doctors, Dentists, GPs.

• Those who have direct access to patients e.g. Receptionists/ward clerks working in patient areas.

• Ancillary staff in patient areas, i.e. domestics, care takers, porters who do not convey patients.

• Financial Services positions –obligations under the Financial Services and Markets Act 2000.

• Volunteers – depending on role also could be at Enhanced level

• Office based administrative staff working in children’s centres (e.g. Stapleford House)

• Drivers and assistants who convey patients.

• Porters who convey patients e.g. by trolley or wheelchair

The recruiting manager will carry out an assessment of the post and confirm to the HR Team that a DBS check is applicable and at which level.

Advertising and the Selection Process

Advertising

Information on the requirement for a DBS check will be displayed in the advertisement for the post.

Shortlisting Applicants with convictions

The panel will make decisions on the shortlist based on the merit of the individual’s application in terms of how effectively they demonstrate they meet the criteria of the person specification. Where an applicant declares a conviction, further details can be requested from the individual at interview in order to assess suitability for the post.

Interview

At interview, all applicants should be informed that the post is eligible for a DBS check and confirmation should be sought regarding convictions where spent or unspent. The response should be recorded in the interview notes.

All relevant information declared by an applicant should be explored with them before final selection. The panel should have an open and frank discussion with the applicant in order to satisfy themselves with sufficient detail to establish the precise nature of the offence, its context and the individual’s attitude towards it.

Offers of Employment

All offers of appointment to posts which require a DBS check must be made conditional on the receipt of a DBS check that is satisfactory to Provide, in addition to references, verification of qualifications and medical clearance etc. Provide CIC may withdraw an offer of employment if an individual knowingly withholds information or provides false or misleading information, it is the recruiting manager’s responsibility to ensure that a suitable DBS check is secured before employment commences. This includes offers made as part of a flexible retirement (also known as retire and return) process, and offers made to candidates who are former employees of Provide where the employment break with Provide is greater than three months,

Candidates at the conditional offer stage are asked if they are registered with the DBS update service. The on-line facility can be checked and the result recorded in the personnel file.

During the offer process, candidates are asked to complete a Self-Declaration Form. This form gives information on what convictions the candidate should be declaring e.g. candidates are not required to give information regarding parking offences. The recruitment decision must be based on the applicant’s suitability in terms of abilities, skills, experience and qualifications to carry out the post. Only then should any criminal convictions be considered. The Recruiting Manager must carry out a risk assessment based on the information declared, as part of this process.

Where the applicant is under probation or youth justice supervision, with consent of the individual, the Recruiting Manager may contact the probation officer or the youth justice worker for further advice about the offence(s).

When deciding, recruiting managers must strike a balance between the need to provide a safe healthcare environment and the threat of unfair discrimination against ex-offenders who are rehabilitated and who otherwise potentially possess the right attributes for the post.

Initiating a DBS Check

The HR Team is responsible for informing applicants how to initiate the process of obtaining a Disclosure. The recruiting manager is responsible for ensuring that a suitable check is secured prior to the applicant commencing employment.

The HR Team must be informed of the successful applicants that require DBS checks, in advance of the DBS applicants approaching the HR Team. This is to ensure that only authorised personnel obtain a Disclosure via Provide.

The DBS applicant must complete the Disclosure application and submit this in good time to the HR Team.

DBS applicants will also be required to bring identification (must be originals) as outlined in the DBS guidelines. The applicant must be seen in person so that photo identification can be checked. The HR Team will arrange a suitable time to meet with a member of staff and will verify identity, check accuracy and arrange for the DBS application to be countersigned for Provide.

Should an applicant fail to contact the HR Team and attend an appointment to present identity documents within a 14 calendar day (excluding bank holidays) period from the offer of employment being posted, the conditional offer of employment can be withdrawn.

Single Certificate

Since 2013, the DBS have issued the disclosure certificate to the applicant only. This allows the applicant to dispute and make appropriate representations regarding information released on the disclosure without this information having already been seen by the employer. Provide will be able to track the progress of applications online so that they know whether a certificate has been issued or not, and when. The HR Team will ensure that appropriate processes are in place to ensure safe recruitment.

Starting Work Prior to a DBS Check

The individual must not undertake any form of regulated activity until the outcome of the DBS check is known. Provide may in very exceptional circumstances, make a risk-based decision to conditionally appoint an applicant before the Disclosure is received.

This decision can only be made where there is an urgent need to appoint because of an identified risk to patient safety or welfare if the post is not filled, or where the individual is required to attend induction training. In any such cases, the Recruiting manager should ensure:

• An appropriate DBS check has been applied for

• Safeguards are put in place to manage that individual such as restricted access to children or vulnerable adults or supervision until the DBS Disclosure is obtained.

• A detailed risk assessment has been completed and authorisation from a senior manager (Assistant Director/Head of Service or equivalent) has been obtained

DBS Disclosure Returned

Upon receipt of a satisfactory disclosure the outcome will be recorded in the personnel file and on the Electronic Staff Record (ESR).

In the event that a Disclosure reveals concerns, HR will advise the recruiting manager of the need to discuss the response with the DBS applicant further. The meeting/telephone conversation should be arranged as soon as possible. During the conversation the manager should discuss and consider any matters revealed with the applicant before a final decision is made.

Where the DBS Disclosure confirms information that has already been declared in the recruitment process, the recruiting manager should carry out a risk assessment. The outcome of this assessment will determine if the applicant should be appointed or not.

Where the DBS Disclosure reveals new information that has not previously been declared by the applicant during the recruitment process, this should not be taken lightly as the recruitment pack information clearly states the necessity to declare any criminal records, cautions, bind overs etc regardless of the nature of the offence. In such a case the offer of employment will usually be withdrawn.

The recruiting manager will, with the support of HR, be required to undertake a risk assessment. Once the information has been risk assessed, a decision must be taken on whether or not to appoint the applicant. This decision must be approved by a Director of Provide. Advice should be sought from an HR Business Partner.

In the event that the Disclosure reveals that the applicant is barred from working with children or vulnerable adults, the recruiting manager should be informed immediately followed by an email as well as the applicant being informed, and the offer of employment withdrawn. Advice should also be sought as to whether this is reportable to the Disclosure and Barring Service.

Disputes

Where an applicant disputes the information contained within a DBS Disclosure, they must contact the DBS themselves. Provide have no role in assisting an applicant to appeal or dispute the information provided by the DBS.

If the applicant is not currently employed by Provide, then consideration should be given to the conditional offer of employment should be withdrawn. Senior management will need to take into consideration service provision and the time required by the applicant to appeal.

If the applicant is an existing employee of Provide, then a thorough risk assessment should be completed before any decision is taken. This may result in re-deployment or disciplinary processes during the dispute.

Working with Children

As from 10th September 2012, a new definition was introduced for those working with children. A child is aged under 18. The new definition of ‘regulated activity’ relating to children applies to individuals undertaking the following activity:

Health care

• Health care for children provided by, or under the direction or supervision of a regulated health care professional.

• This is regulated activity even if the activity is only carried out once.

Personal care

• Personal care for children involving hands-on physical assistance with washing and dressing, eating, drinking, toileting; prompting and supervising a child with any of these tasks because of their age, illness or disability; or teaching someone to do one of these tasks.

• This is regulated activity even if the activity is only carried out once.

Day to day management or supervision

• A post which provides day-to-day management or supervision of any person engaging in regulated activity, is also in regulated activity

Unsupervised activities

• These activities are teaching, training, instructing, caring for or supervising children or providing advice/guidance on wellbeing or driving a vehicle solely for children.

• ‘Supervision’ means day to day supervision as is reasonable in all the circumstances for the purpose of protecting any children concerned. Further guidance available if you are not sure if the post is ‘unsupervised’ or not.

Work for a limited range of establishments (specified places)

• These establishments are premises wholly dedicated to children with the opportunity for contact with children e.g. schools, children’s homes and children’s centres.

• Work carried out by volunteers supervised to a reasonable level, in accordance with the statutory guidance on supervision, in these establishments is not regulated activity. However a supervised paid employee working for a specified establishment does come under regulated activity.

• Work carried out involving either an unsupervised activity or in one of the listed establishments is only regulated activity relating to children if done regularly. Regularly means carried out by the same person frequently (once a week or more often), or on 4 or more days in a 30 day period (or in some cases overnight between 2am and 6am).

This includes a situation where the individual may already be employed by Provide other than in a position working with children, but is applying for a childcare post.

Managers are required to carry out an assessment of the post to establish if it is eligible for a Disclosure. A post meeting the eligibility would also qualify for a check against the ‘Barred List’.

Posts assessed as meeting the above criteria are eligible for an Enhanced Disclosure and a check against the Barred List.

Working with Vulnerable Adults

As from 10th September 2012, a new definition was introduced for those posts working with Adults. An adult refers to any individual who is aged 18 years or over. The definition focuses on those activities which, should they be needed by any adult, mean that an adult is considered vulnerable at the point of receiving them. It is any activity involving working or volunteering with adults that is of the specific nature below. An individual only needs to engage in the activities listed below once to be carrying out regulated activity relating to adults.

Health care

• Health care for vulnerable adults provided by, or under the direction or supervision of a regulated health care professional.

• This is regulated activity even if the activity is only carried out once.

Personal care

• Personal care for vulnerable adults involving hands-on physical assistance with washing and dressing, eating, drinking, toileting, or bathing, dressing, oral care or care of the skin, hair or nails because of an adult’s age, illness or disability;

• prompts and then supervises an adult who, because of their age, illness or disability, cannot make the decision to eat or drink, go to the toilet,

wash or bathe, get dressed or care for their mouth, skin, hair or nails without that prompting or supervision; or

• trains, instructs or offers advice or guidance which relates to eating or drinking, going to the toilet, washing or bathing, dressing, oral care or care of the skin, hair or nails to adults who need it because of their age, illness or disability.

• NOTE: Personal care, excludes any physical assistance provided to an adult in the relation to the care of their hair. For example, a hairdresser based on a hospital site, or who comes onto a ward to cut patients hair would not be in regulated activity.

Day to day management or supervision

A post which provides day-to-day management or supervision of any person engaging in regulated activity, is also in regulated activity

Providing social work

The activities of regulated social workers in relation to adults who are clients or potential clients are aregulated activity. These activities include assessing or reviewing the need for health or social care services, and providing on-going support to clients.

Assistance with cash, bills and/or shopping

The provision of assistance to an adult because of their age, illness or disability, if that includes managing the person’s cash, paying their bills or shopping on their behalf.

Assistance in the conduct of a person’s own affairs

Anyone who provides various forms of assistance in the conduct of an adult’s own affairs, for example, by virtue of an enduring power of attorney.

Conveying

Drivers and their assistants who transport an adult because of their age, illness or disability to or from places where they have received, or will be receiving: health care, personal care or social care, for the purpose of enabling them to receive these services, as outlined above.

NOTE: This does not include family and friends or licensed taxi drivers or licensed private hire drivers; and does not include trips taken for purposes other than to receive health care, personal care or social work, for example, trips for pleasure.

Examples of those providing conveying services include: emergency care assistants (ECA’s), ambulance technicians and Patient Transport Service drivers (PTS’s). Conveying may also include hospital porters where they are transporting adults - this would not include porters who provide non-patient transport – for example those who purely have responsibility for transporting laundry or samples to a laboratory, for instance.

Posts assessed as meeting the above criteria are eligible for an Enhanced Disclosure and a check against the Barred List.

Use of Temporary Staff

There may be occasions where Provide has to use locum, temporary or agency staff, who, may be working with children or vulnerable adults.

Temporary staff supplied by an agency, including locums and staff working as part of a ‘bank’, are required to have DBS checks annually. Temporary staff should be encouraged to register with the DBS update service. Provide must obtain written assurances from the agency that an appropriate check at the correct level has been carried out within the last year. More frequent checks may be carried out by employers where any such assurances cannot be provided, or where there is a concern about an individual’s practice.

The annual check does not apply to individuals who are working on a Provide bank or are registered with NHS Professionals, in addition to holding a substantive contract with Provide. When an individual applies to join the ‘bank’ or NHS Professionals, the DBS records will need to be reviewed to ensure that this person has had the appropriate level of DBS check. (This will also apply to permanent employees who carry out additional work under a ‘zero hours’ contract). The HR Team can pass information to NHS Professionals providing written consent has been received from the individual. If the appropriate level of DBS check has not been completed or no DBS check has been completed, then a fresh check may be requested at this time.

If the individual leaves their substantive post, or where there is a break in service of three months or more prior to them applying to join a trust bank or NHS Professionals, then a new DBS check should always be requested.

If the situation arises that Provide needs to use an agency worker who will be working with children or vulnerable adults, when making the request to the agency it should be clearly stated on the phone and request form that you are only looking for a worker who has a current DBS check. If the agency is unable to accommodate this request you should then seek alternative staffing from another preferred supplier.

Once the agency worker had been booked then each manager / team leader is responsible to make the necessary checks and authorisation of the workers DBS check. In the case that an agency worker is requested at short notice (is required for the same or next day) the worker will be expected to bring with original copy of their Disclosure, if they fail this requirement they are to be sent away and you should contact the Agency.

Under no circumstances should the agency worker be allowed to commence agency work with Provide. (Please refer to the CCPOL01 Engagement of Temporary Workers Policy)

Highly Mobile Staff

Staff who are highly mobile, such as clinical staff who hold a substantive post within one health and social care provider but are required to work across a number of similar providers or to provide emergency cover in another organisation, do not necessarily need a fresh DBS check each time they move. The employing organisation must seek written assurances from the individual’s host/substantive employer that appropriate checks have been carried out at the correct level. Where such assurances cannot be obtained, the employing organisation may request a fresh check. Any additional checks should be proportionate to risk.

These staff will be regarded as being in continuous employment unless they have had a break in service of three months or more, in which case a fresh check is required. Highly mobile staff are to be encouraged to register with the DBS update service.

Healthcare Students

Healthcare students are required to be DBS checked at the start of their university training by the university and then again when they are offered a post at Provide. Provide will work in partnership with the relevant universities to ensure that appropriate checks are in place before commencement of work placements. In cases where there is a delay in processing a disclosure the student may commence their placement/new post subject to a thorough risk assessment being carried out by Provide management.

Work Experience Students and Volunteers

Work experience students under the age of 16 are not eligible for criminal record checks. Those over the age of 16 will be subject to risk assessment to establish if a criminal record check is appropriate taking into account the length of the placement and the supervision being provided.

Volunteers over the age of 16 are eligible for a criminal record check and the role will need to be assessed to establish the appropriate level of check. Volunteers are subject to the full range of pre-employment checks based on the role they are undertaking.

Work experience students and volunteers are subject to separate guidance. Please refer to HRPRO07 Procedure on Managing Work Experience Placements and IPHPOL01 Engagement of Volunteers Policy

Doctors in Training

Doctors on educationally-approved rotational training will be regarded as being in continuous employment during the term of training and are therefore required to have a DBS check, as a minimum, every three years, rather than each time they change rotation

In all cases, employers must seek written assurances from the host/previous employer that appropriate clearances have been obtained within the last three years. Provide may undertake DBS checks more frequently, but any additional checks must be proportionate to risk. For example, where assurances cannot be obtained, or the new post changes the level of check required under the terms of the Safeguarding Vulnerable Groups Act, or where there is a specific concern about the individual’s practice.

Where it is highly likely that the individual will be working with both children and vulnerable adults at an early stage in their training programme, it is strongly recommended that clearances are requested against both barred lists from the outset.

Private Contractors

The Contracts Team is responsible for drawing up and awarding contracts and must ensure that the requirement for the sole contractor and/or staff who work for them to be DBS checked is incorporated into all contracts. The Contracts Team are responsible for ensuring that the individuals are assessed for risk and the level of check carried out proportional to the risk identified.

The HR Recruitment team can provide a service to process the DBS checks for these staff for the cost of the Disclosure plus an administration fee.

Staff transferring into Provide under Transfer of Undertakings (Protection of Employment) Regulations 1981 (TUPE)

These regulations provide protection of an individual’s terms and conditions of employment and continuity of employment for any member of staff transferred into Provide from another employer, regardless of whether they are part of the NHS or not.

Where an individual is identified to be transferred into Provide under TUPE and their post meets the requirement for either a standard or enhanced disclosure, it is the HR departments responsibility to ensure that during the initial consultation process confirmation is sought from transferring employer that a DBS check has been completed satisfactorily. Where this confirmation cannot be evidenced, Provide will request that a DBS disclosure is obtained. Each situation will be looked at on an individual basis.

Portability of Current DBS Clearance

DBS checks are not transferable from other employers including NHS Employers. Provide does not accept DBS Disclosures that have been requested by other employers or third parties other than those obtained via the DBS Update Service. In exceptional circumstances an employee may commence work providing a thorough risk assessment has been carried out by management. See section 12 on starting work prior to DBS clearance.

Before the applicant commences their employment they will have to complete the online DBS application form to apply for a new DBS Disclosure.

Candidates in the recruitment process are encouraged to register for the DBS update service.

Candidates with a Non-UK Passport

The Police National Computer only has a limited number of overseas convictions on record and data is not comprehensive. In respect of overseas applicants a request may be submitted to the DBS who have access to data from 15 countries. Where countries do not offer this service applicants can be asked to provide a ‘Certificate of Good Conduct’ from the appropriate embassy or a copy of their own criminal record from overseas.

They will also be required to sign a ‘declaration’ relating to starting employment prior to receiving an up to date DBS Disclosure. The declaration must be deemed satisfactory by Provide. In the case that a non-UK passport holder declares a criminal conviction/caution/reprimand/final warning/bind overs which, does not automatically bar them from the work for which they have applied, advice will need to be sought from the HR Team however the final decision regarding employment lies with the senior manager following completion of a risk assessment, and this must be ratified by a Provide Director.

Existing Employees & Further Disclosures

Existing Employees offered to a new post

Where an existing employee is offered a new post within Provide or where an employee is retiring and returning to work, a review will be undertaken of the DBS records for this individual. The following will apply:

• If the individual has never completed a DBS check, the appropriate level of check for the new post will be undertaken.

• If the individual has a DBS check, but this is not at the appropriate level i.e. a standard check is on record, but an enhanced check is required for the new post, then a new enhanced check will be undertaken.

• If the individual has a DBS check, within the last five years, at the appropriate level, no new DBS check needs to be undertaken but the individual will be required to complete a Criminal Record declaration form.

• If the individual has a DBS check but not for the appropriate workforce i.e adults or children, then the HR Team will undertake a Barring List check.

• Existing employees will be given updated information on the declaration of any criminal convictions during the recruitment process.

Existing Employees

Existing employees who are currently employed in any of the posts listed in Section 5.3 are not routinely required to undertake a further DBS check if they have remained in the same post. However, Provide reserves the right to request an employee to undergo a further DBS check as part of sample auditing.

Existing employees are required to advise the HR department, in writing, of any criminal convictions, cautions, warnings or bindings over received during their employment with Provide. This does not include parking offences. The matter will be discussed with senior management and any necessary action determined according to individual circumstances. These principles of risk assessment will also apply in the case of existing employees. Failure to disclose any information of this nature may result in disciplinary action. Where concerns arise regarding the reporting or possible non-reporting of a conviction obtained whilst employed by Provide, Provide will reserve the right to follow the procedure set out for exceptional circumstances as detailed below.

Exceptional Circumstances

In exceptional circumstances it may be necessary for Provide to request a further DBS Disclosure on a current member of staff. Such a situation may be an on-going investigation into a serious incident/allegation or where previously unrevealed information comes to light, or alternatively where a change in policy has occurred. It should be stressed that this will be in exceptional circumstances and based on individual risk assessment of the situation.

In such circumstances the individual will be advised of the situation and will be requested to complete and sign the necessary documentation. A failure to comply with this request may instigate the disciplinary process.

The contracts of employment will include the requirement to renew DBS checks as necessary and the duty to disclose criminal convictions/caution/bind overs and confirmation of accuracy of requirement information.

Referral to Disclosure and Barring Service

Provide has a duty to refer individuals to the DBS for consideration in relevant circumstances and to provide information to the DBS on request.

A referral is information regarding a person working in regulated activity with children or vulnerable adults which notifies the DBS of concerns that harm or risk of harm has occurred to a child or vulnerable adult. A referral is made on the DBS Referral Form and is usually provided to the DBS by an employer.

The Safeguarding Vulnerable Groups Act (SVGA) 2006 and Safeguarding Vulnerable Groups (Northern Ireland) Order (SGVO) 2007, place a duty on employers of people working with children or vulnerable adults to make a referral to the DBS in certain circumstances. This is when an employer has dismissed or removed a person from working with children or vulnerable adults (or would or may have if the person had not left or resigned etc.) because the person has:

1. Been cautioned or convicted for a relevant offence; or

(Note on cautions/convictions - If an employee who works with children or vulnerable adults in regulated activity has been cautioned or convicted for a relevant offence the employer must make a referral to the DBS. This should be done as soon as the employer is aware of the caution or conviction.

A relevant offence is a serious offence that will, subject to consideration of representations where permitted, automatically bar a person from working with children or vulnerable adults. Relevant offences are defined in secondary legislation).

2. Engaged in relevant conduct in relation to children and/or vulnerable adults [i.e. an action or inaction (neglect) that has harmed a child or vulnerable adult or put them at risk of harm]; or

3. Satisfied the Harm Test in relation to children and/or vulnerable adults. [i.e. there has been no relevant conduct (i.e. no action or inaction) but a risk of harm to a child or vulnerable adult still exists].

(Notes on relevant conduct or harm test is satisfied - An employer must make a referral to the DBS if the following criteria have been met:

They have dismissed or removed the person from working with children or vulnerable adults (or would or may have done so if they had not left or resigned etc.); because the person has engaged in relevant conduct; or the Harm Test is satisfied.

A referral should not be made when an allegation is first made. The employer must first undertake an investigation and evidence gathering in order to establish if the allegation has foundation. Without evidence or information for the DBS to consider,

many allegations will be quickly closed down as there will be no basis on which the DBS can proceed.

A referral should be made when the employer has gathered information and evidence to support the allegation and decided that the criteria for making a referral to the DBS has been met.

Employers should, as far as possible, complete their investigations (even if the person has left their employment). This will ensure that the DBS has all available information and evidence on which to base its decision.

6. Monitoring and Review

This policy will be reviewed at least every 3 years in line with the Policy for the Management of Procedural Documents, or more frequently in line with any requirements relating from legislative changes.

Review will be undertaken by a CIPD registered member of the HR Department and monitoring will be conducted in respect of policy outcomes. The need for improvement or clarification may be identified as lessons learnt, through using the process and where appropriate amendments will be made.

The Counter Fraud team is to be included within the review process for relevant policies and procedures to establish their robustness with the prevention and deterrence of fraud, bribery and corruption.

EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 1: ‘Screening’

Name of project/policy/strategy (hereafter referred to as “initiative”):

Recruitment of ex-Offenders and Disclosure and Barring Service Policy

Provide a brief summary (bullet points) of the aims of the initiative and main activities:

This policy sets out the principles for ensuring Provide employs and engages people to support the operation of safe services and complies with the requirements of NHS Pre Employment checking and the Rehabilitation of Offenders Act 1974

Project/Policy Manager: Interim Head of People Services

Date: August 2023

This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently.

Q1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group.

Neutral

Q2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why? Or is it clear at this stage that it will be equality “neutral”?

Those with criminal convictions will need to undergo a risk assessment process before working in posts that have been assessed as eligible for a DBS check. This process should not disadvantage any particular minority group.

Q3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to address particular issues, including any consultation with staff or external groups/agencies.

Impact is positive, no further detailed assessment required.

Guidelines: Things to consider

Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation.

The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community.

Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified.

Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan.

Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this?

It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process.

It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide. Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.