policy 9

Disclosure and Barring Service (DBS) Identity Checking Process (2013) - Policy and Procedures -

January 2013 - Version 2

Schools HR Service

Revised and enhanced identification checking process The new Disclosure and Barring Service (DBS) is the new service replacing the previous Criminal Record Bureau (CRB) checks.

The new DBS process has been strengthened to improve public protection. In particular, the changes will make it more difficult for individuals to conceal previous criminal records by changing their name. These changes are part of an on-going improvement process that will enable easier detection of undeclared changes of name in the future.

From 28 May 2012, the CRB introduced new identity (ID) checking guidelines, which applied to all applications for a CRB check. The new DBS service continues to follow these new ID checking guidelines, along with additional barred lists checks where applicable.

The current CRB application forms will continue to be used until 31st March 2013, at which time the new DBS application forms will come into force. However, with immediate effect the checking process will now be known as a DBS check instead of a CRB check.

This policy was consulted and agreed via Service Consultative Group (SCG) and Teacher Association representatives on _______________ (SCG) and __________________ (Teacher Association).

Governing Bodies of community and voluntary controlled schools with delegated powers are required to adopt this procedure. Governing Bodies of voluntary aided and Foundation schools are required to adopt either an appropriate diocesan procedure, this procedure or draw up their own for formal consultation with the recognised Trade Union representatives.

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Part One: Identification checking process The applicant must provide a range of ID documents as part of the DBS application process.

Registered Bodies/Schools must: • • • • • •

follow the three route ID checking process as outlined in the guidance using the list of Groups 1; 2a and 2b documents. check and validate the information provided by the applicant on the application form/continuation sheet. establish the true identity of the applicant through the examination of a range of documents as set out in this guidance. ensure that the applicant provides details of all names by which they have been known. ensure that the applicant provides details of all addresses where they have lived in the last five years. ensure the application form is fully completed and the information it contains is accurate.

If there are any discrepancies in the information provided by the applicant and/or the identity documents supplied, and fraud is not suspected, please seek clarification from the applicant. Failure to do this may compromise the integrity of the DBS service and introduce risk into your recruitment or licensing arrangements.

Registered Bodies/Schools must not attempt to amend the application form without the applicant’s knowledge and agreement, as it will invalidate the declaration by the applicant and may breach data protection legislation.

Please note that: • • • • • • • • •

You must only accept valid, current and original documentation.

You must not accept photocopies.

You must not accept documentation printed from the internet e.g. internet bank statements.

Identity information for the applicant’s name, date of birth and address recorded in Section A and Section B on the DBS application form must be validated.

You should in the first instance, seek documents with photographic identity (e.g. passport, new style driving licence, etc.) and for this to be compared against the applicant’s likeness.

All documents must be in the applicant's current name as recorded in Section A (see below for guidance on recent changes of name).

One document must confirm the applicant’s date of birth as recorded in Section A. You must ensure that the applicant declares all previous change of name, and provides documentary proof to support the change of name.

You must see at least one document to confirm the applicant's current address as recorded in Section B, in accordance with the guidance.

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• •

• •

You must provide a full and continuous address history covering the last five years. Where possible you should seek documentation to confirm this address history.

You should cross-match the applicant’s address history with any other information you have been provided with as part of the recruitment, such as their CV. This can highlight if an address has not been given e.g. if the applicant’s CV shows that they have worked in Liverpool in the last five years but the application form only shows London addresses, you may wish to question the applicant further about this.

A document from each of the groups should be included only once in the document count, e.g. do not accept two bank statements as two of the required documents, if they are from the same bank.

You should not accept the foreign equivalent of an identity document if that document is listed as ‘(UK)’ on the list of valid identity documents.

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What process should I follow to check an applicant’s ID? You should follow the three routes as outlined below.

Route One All applicants must initially be considered for Route one.

Can the applicant produce a Group 1 document? If yes, then the applicant must produce 3 documents: • •

1 document from Group 1 (refer to list of Valid Identity Documents); and 2 further documents from Group 1, 2a or 2b; one of which must verify their current address.

If the applicant has satisfied this route, then the document check is complete. If the applicant cannot produce a Group 1 document then go to Route Two. NOTE – EEA Nationals (Non-UK): Where an EEA National has been resident in the UK for 5 years or less the School should validate identity via Route One through checking of a Current Passport or Current UK Driving Licence (photo card only) plus 2 further documents. In the absence of a Group 1 document the School must satisfy themselves of a valid reason for using Route 2.

NOTE - Non-EEA Nationals: All Non-EEA Nationals should be validated via Route One only.

Route Two The applicant must produce: • 3 documents from Group 2 comprising of;  1 document from Group 2a; and  2 further documents from Group 2a or 2b; one of which must verify their current address. and • The organisation conducting the ID check will then need to ensure an appropriate external ID validation service is used to check the applicant against their records to establish the applicant’s name and living history footprint. Please contact HR Services at Rochdale MBC to arrange this.

If you have endeavoured to use Route Two, but have been unable to validate the applicant’s identity successfully, you may consider proceeding to Route Three.

Please be advised that Route Three should only be used in circumstances once you have fully explored with the applicant why their identity has not been successfully validated via Routes One or Two. To do this you should hold a probing discussion with the applicant about the likely reasons why their identity has not been validated before considering using Route Three. You should keep a record of this discussion.

Should you still be unable to validate the applicant’s identity using Routes One, Two or Three, then you should advise HR Services on floor 9 when you sent the form to them. The applicant will then need to be sent for fingerprinting by the Police, which January you 2013 should – version 2be aware is likely to cause delay to the CRB application process 5 and subsequently to your recruitment processes.

Route Three ALL schools must have exhausted Route One and should have endeavoured to have accessed an external validation check (Route Two) via HR Services before you consider processing them via Route Three.

If the applicant cannot meet the requirements of Route One and Two, you should have had a probing discussion with them to establish why they could not meet these requirements and whether there has been a recent or previous change of name that has not been declared.

For Route Three, the applicant must produce: • Birth certificate (UK and Channel Islands) – (issued after the time of birth by the General Register Office/relevant authority i.e. Registrars – Photocopies are not acceptable) and • 4 further documents from Group 2 comprising of:  1 document from Group 2a; and  3 further documents from Group 2a or 2b; one of which must verify their current address.

If the applicant fails to produce the required document set at Route Three, they will need to be sent for fingerprinting by the Police. Please contact HR Services for advice. This may add delay into the overall application process.

Please refer to Question 9 in the FAQ’s for more information.

What if I cannot establish the applicant’s ID using one of the three routes?

If you or your ID checker cannot establish an applicant’s identity in accordance with DBS ID guidelines then you should inform HR Services when sending in the DBS form. Applicants who are unable to provide the required documents will then be asked to give their consent to have their fingerprints taken in line with the current procedure. Schools should be aware that this will require attendance by the applicant at a Police Station at an appointed time, and may add delay into the overall application process.

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List of Valid Identity Documents Group 1 – Primary Trusted Identity Credentials • • •

•

Current valid Passport Biometric Residence Permit (UK) Current Driving Licence (UK) (Full or provisional) Isle of Man /Channel Islands;  Photo card only (a photo card is only valid if the individual presents it with the associated counterpart licence; except Jersey) Birth Certificate (UK and Channel Islands) - issued at the time of birth;  Full or short form acceptable including those issued by UK authorities overseas, such as Embassies, High Commissions and HM Forces

Group 2a – Trusted Government/State Issued Documents • • • • • • •

Current UK Driving licence (old style paper version) Current Non-UK Photo Driving Licence (valid only for applicants residing outside of the UK at time of application) Birth Certificate (UK and Channel Islands) - issued after the time of birth by the General Register Office/relevant authority i.e. Registrars. (Photocopies are not acceptable) Marriage/Civil Partnership Certificate (UK and Channel Islands) Adoption Certificate (UK and Channel Islands) HM Forces ID Card (UK) Fire Arms Licence (UK and Channel Islands)

Group 2b – Financial/Social History Documents • • • • • • • • • • • •

•

Mortgage Statement (UK or EEA)** (Non-EEA statements must not be accepted) Bank/Building Society Statement (UK or EEA)* (Non-EEA statements must not be accepted) Bank/Building Society Account Opening Confirmation Letter (UK) Credit Card Statement (UK or EEA)* (Non-EEA statements must not be accepted) Financial Statement ** - e.g. pension, endowment, ISA (UK) P45/P60 Statement **(UK & Channel Islands) Council Tax Statement (UK & Channel Islands) ** Work Permit/Visa (UK) (UK Residence Permit) ** Letter of Sponsorship from future employment provider (Non-UK/Non-EEA only – valid only for applicants residing outside of the UK at time of application) Utility Bill (UK)* – Not Mobile Telephone Benefit Statement* - e.g. Child Allowance, Pension A document from Central/ Local Government/ Government Agency/ Local Authority giving entitlement (UK & Channel Islands)*- e.g. from the Department for Work and Pensions, the Employment Service , Customs & Revenue, Job Centre, Job Centre Plus, Social Security EU National ID Card

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• •

Cards carrying the PASS accreditation logo (UK and Channel Islands) Letter from Head Teacher or College Principal (16/17 year olds in full time education - only used in exceptional circumstances when all other documents have been exhausted) Please note: • If a document in the List of Valid Identity Documents is: • denoted with * - it should be less than three months old • denoted with ** - it should be issued within the past 12 months • not denoted – it can be more than 12 months old.

External validation service If you need to undertake an external ID validation check, please contact HR Services for more information and guidance on how this can be accessed.

How can I check Driving Licences?

Do not accept licenses, other than those stated in the list of Valid Identity Documents. English, Welsh and Scottish driving licence numbers contain information about the applicant's name, sex and date of birth. This information is written in a special format but can be gleaned and matched against the information provided by the applicant in Section A. Please note that the date of birth on English, Welsh and Scottish driving licences, issued before 1977, is not recorded as a separate entry on the licence. The date of birth can be deciphered from the driving licence number and checked against the date of birth field on the application form.

For example the format of the number for Christine Josephine Robinson, born 2 July 1975 ROBIN757025CJ99901NNNNNYMMDDYIICCCCC • • •

• • •

N = 1st five letters of the surname (if the surname begins MAC or MC it is treated as MC for all).

Y = YEAR of birth.

M = MONTH of birth (In the case of a female, the number represented by the first M will have the value 5 added to the first digit e.g. a female born in November (i.e. 11) would display '61' in the MM boxes or if born in February (i.e. 02) would display ‘52’).

D = DAY of month of birth.

I = Initial letter of the first two forenames - if only one, then 9 will replace the second letter. If the licence indicates that the applicant has a middle name, ensure that one has been provided in Section A. C = Computer generated.

Please note, for Northern Ireland; Isle of Man and Jersey driving licences the licence number is in a different format. The licence number is unique to the driver and the ‘name’ or ‘date of birth’ validation, as shown above, cannot be used.

What if the applicant has been adopted?

Schools should inform applicants that if they were adopted before the age of 10, they do not need to provide their surname at birth in Section A of the DBS application January 2013 – version 2

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form, they should give their adoptive name in this section. This is because the age of criminal responsibility is deemed to be 10 years, under the Children and Young Persons Act 1933, Chapter 12, Section 50. This means that there is no possibility that an individual could have a criminal record in a name that was used until the age of 10.

What if the applicant has changed their name recently and cannot provide ID documents in this new name?

Documents in a previous name can be accepted ONLY where the applicant can provide documentation supporting a recent change because of: • marriage/civil partnership (marriage/civil partnership certificate) • divorce/civil partnership dissolution (decree absolute/civil partnership dissolution certificate) • deed poll (Deed Poll certificate) In these instances, you must: 1. Return a 'Continuation Sheet' with the application form clearly stating • current and previous names • date of the change • reason for the change • the document you have seen to support this change 2. Ensure that all ‘Previous names’ and ‘Dates used’ are recorded in Section A (Additional Personal Details) What should a school do if they suspect false identity or documents?

If you suspect that you have been presented with a false identity or documents at the time of application, do not proceed with the application process.

If you suspect identity fraud once a DBS check has been submitted, you must contact the DBS You are also advised that under Section 8 of the Asylum and Immigration Act 1996 all employers in the United Kingdom are required to make basic document checks to help prevent anyone from working illegally. By carrying out checks employers will be able to establish a defence for themselves if any of their employees are found to be working illegally at a later date.

Further details are available on the UK Border Agency website and the UK Border Agency Employer Helpline on 0845 010 6677 How do I check for indicators of fraud?

Always check for signs of tampering when checking identity documents. Documents should be queried if they display any signs of damage, especially in the areas of personal details such as the name and the photograph. The following guidelines should help you look out for any suspicious signs when authenticating documents.

Checking a passport Check the general quality and condition of the passport. Treat it with suspicion if it is excessively damaged; accidental damage is often used to conceal tampering.

Photographs should be examined closely for signs of damage to the laminate or for excessive glue or slitting of the laminate; these signs would indicate photo substitution. If the photograph appears excessively large, this might indicate an attempt to hide another photograph underneath. There should also be an January 2013 – version 2

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embossed strip embedded into the laminate, which will catch a portion of the photograph. Check there is no damage to this area. If the passport is from a foreign national, you can still follow the same general procedures as above.

Checking a photo driving licence Examine the licence for evidence of photo tampering or any amendment of the printed details.

Checking an old style driving licence (no photograph) Remove the document from the plastic wallet and check that it is printed on both sides. It should have a watermark visible by holding the licence up to the light and there should be no punctuation marks in the name or address. The ‘Valid To’ date should be the day before the bearer’s 70th birthday (unless the bearer is already over 70). The ‘Valid To’ date can therefore be cross-referenced with the applicant’s date of birth detailed in Section A. Checking a birth certificate Birth certificates are not evidence of identity, and are easily obtained. Although certificates issued at the time of birth may give more confidence that it belongs to the individual, unlike a recently issued certificate they will not show if any information has been corrected or superceded by a new registration.

Check the quality of paper used; genuine certificates use a high grade. There should be a watermark visible when the document is held up to the light. Any signs of smoothness on the surface would indicate that original text might have been washed or rubbed away. There should be no signs of tampering, changes using liquid paper, overwriting or spelling mistakes.

The following list provides some general information about certificate completion which may help to establish whether the certificate and/or the details have been falsified. This is provided solely as a guide and is not exhaustive: • The certificate format used should be appropriate for the year of registration.

• Only the surname should be entered in upper case, not the forename(s).

• Dates of birth should be shown with the day and month in words and the year in figures.

The following information might indicate that the certificate has been altered: • Spacing between falsely added particulars might be irregular compared to original information. ‘Thick’ or ‘thin’ spacing might infer particulars have been added.

• False particulars might not have been aligned with other words.

• Characters may not be of the same size or shape with the rest of the particulars.

• Movement of handwriting may look mechanical and does not flow with the rest of the particulars.

• Changes might not be consistent e.g. parents’ surnames might be altered, but not the signatures.

• The area around falsely added or removed particulars may react differently under an ultra violet light i.e. show signs of staining. In addition, such areas of paper may appear thinner where the paper fibres have been disturbed by abrasion.

Checking an EU photo identity card

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Examine the card for evidence of photo tampering or any amendment of the printed details.

Checking an HM Forces ID card Examine the card for evidence of photo tampering or any amendment of the printed details.

Checking a firearms licence Check the licence is printed on blue security paper with a Royal crest watermark and a feint pattern stating the words ‘Home Office’. Examine the licence for evidence of photo tampering or any amendment of the printed details, which should include home address and date of birth. The licence should be signed by the holder and bear the authorising signature of the chief of police for the area in which they live, or normally a person to whom his authority has been delegated.

Other forms of identification Ensure all letters and statements are recent, i.e. within a three month period. Do not accept documentation printed from the internet. Check letter headed paper is used, bank headers are correct and all documentation looks genuine. The address should be cross-referenced with that quoted in Section B. Where to go for help The PRADO website is provided by the Council of European Union. Employers are able to use this website to identify the basic safeguards contained in European documents and a few more other nationality documents.

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Part Two: Overview of the Disclosure and Barring Service The Government are reducing the criminal records and barring systems to more proportionate levels. The changes are included in the Protection of Freedoms Act 2012 and some changes that came into effect on the 10th September 2012.

Not everything is changing. School settings will still, for example, have a duty to make referrals to the Independent Safeguarding Authority and the new Disclosure and Barring Service (see below), and still must not knowingly engage a barred person in regulated activity. The ISA will have greater powers to review a person’s inclusion on a barred list.

Major changes in September 2012 •

• •

• •

New definition of regulated activity - scaling back of regulated activity to focus on work which involves close and unsupervised contact with vulnerable groups including children. The activities and work taken out of regulated activity will still be eligible for enhanced DBS checks (previously CRB checks) but they will no longer be eligible for barred list checks. See link for definition of regulated activity.

Repeal of controlled activity - this category will no longer exist.

Repeal of registration and continuous monitoring - the requirement for a person wanting to work with vulnerable groups including children to register with the Vetting & Barring Scheme for continuous monitoring for any new criminal record information never came into force and will not be introduced.

Repeal of additional information - The police may still choose to use common law powers to provide information directly to employers in cases where it is necessary in order to prevent crime or harm to others.

Minimum age (16) at which someone can apply for a DBS check - If under 16 years then will no longer be able to apply for a DBS check.

Changes at the start of December 2012 • •

Establishing a new Disclosure and Barring Service (DBS) by merging the functions of the Criminal Records Bureau and the Independent Safeguarding Authority.

More rigorous ‘relevancy’ test for when the police release information held locally on an enhanced DBS check - The police provided information on enhanced CRB certificates if it ‘might be relevant’ and ought to be disclosed. From December 2012 they will include it in enhanced DBS certificates if they ‘reasonably believe it to be relevant’ and consider that it ought to be disclosed. The disclosure of police information will be overseen by an Independent Monitor who can review decisions to include material on certificates.

Changes early 2013 •

A new Update Service providing portability of a single DBS certificate.

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What do these changes mean for Headteachers and Volunteers?

The new definition of regulated activity (i.e. work that a barred person must not do) in relation to children comprises, in summary: i.

Unsupervised activities: teach, train, instruct, care for or supervise children or provide advice / guidance on wellbeing or drive a vehicle only for children.

ii.

Work for a limited range of establishments (‘specified places’), with opportunity for contact e.g. schools, children’s homes, childcare premises.

Not work by supervised volunteers.

Work under (i) or (ii) is regulated activity only if done regularly. “Regularly” is defined in detail as once a week or more often, or on 4 or more days in a 30 day period or overnight.

It will be the Headteacher’s responsibility from September 2012 to determine whether a volunteer meets the definition of regulated activity or not. The Headteacher will be responsible for ensuring that appropriate risk assessments and supervision structures are in place in school.

What do these changes mean for Headteachers and School Governors?

School governors will no longer be in 'regulated' activity and therefore will not be checked against the barred list; however Rochdale LA will continue to require Governors to declare whether they are on the barred list.

Individuals who fell within the old definition of regulated activity, but not the new definition, will remain eligible for Enhanced Checks but again without a barred list check.

It will be a Headteacher’s responsibility from September 2012 to decide whether they wish to DBS check governors; this will be based on risk and whether contact with children is supervised (see link below on supervision draft guidance). For more information on the changes please use the following links: www.homeoffice.gov.uk/disclosure-and-barring-leaflet http://media.education.gov.uk/assets/files/pdf/s/supervision%20draft %20guidance.pdf

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Flowchart to determine eligibility for Barred List Checks Yes

This is Regulated Activity. You must undertake an enhanced DBS check with Barred List check.

Will the person be employed by the school (e.g. on your payroll)?

Supply staff?

No

Will the person be employed by someone else to work in your school (e.g. PFI, catering agency, sports coach, attendance officer, chaplain)?

Yes This is Regulated Activity. Employer / agency must undertake an enhanced DBS check with Barred List check

This is not Regulated Activity. The employer cannot undertake an enhanced DBS / Barred List check.

This is not Regulated Activity. You may decide to undertake an enhanced DBS check if person has regular contact with children but cannot undertake an enhanced DBS with Barred List check.

No

Yes

Governor / member of PRU management committee

Yes This is Regulated Activity. You must undertake an enhanced DBS check with Barred List check.

Will the person be employed by someone else to do work in your school that does not involve them in regular contact with pupils (eg. builder, boiler maintenance, photographer, meetings with staff)?

No

Volunteers – will the person be involved in overnight activity (e.g. school sleep-over, residential trip)? Overnight usually means between 2.00am and 6.00am.

No This is Regulated Activity. You must undertake an enhanced DBS check with Barred List check.

This is not Regulated Activity. You cannot undertake an enhanced DBS/Barred List check. Enhanced DBS checks are not permitted for under-16s. The person should be This is not Regulated Activity. You can undertake an enhanced DBS check but cannot undertake a Barred List check This is Regulated Activity even if it only happens on one occasion. You must undertake an enhanced DBS check with Barred List check.

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Yes

Is the person under the age of 16 (e.g. work experience, voluntary service)?

Yes

Volunteers – will the person have unsupervised contact with children?

No

Volunteers – will the person be supervised and in contact with children on a regular basis (i.e. once per week or 4 times per month)?

No

Yes

Volunteers – will the person be involved in giving intimate or personal care to children (toileting, washing, helping them to eat, for reason of illness or disability, etc) even if only once?

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This is not Regulated Activity. You cannot undertake an enhanced DBS/Barred List check. The person should be supervised*

No

* Supervision – for more information see DfE guidance at http://www.education.gov.uk/aboutdfe/statutory/g00213977/supervision-guidance Frequently Asked Questions (FAQs) http://www.education.gov.uk/aboutdfe/statutory/g00213977/supervision-guidance

1) Why is the DBS introducing new and revised identity (ID) checking guidelines?

The Home Office commissioned the DBS to look at a number of options to enhance the ID checking process that Registered Bodies/Schools currently adhere to when establishing an applicant’s identity. The new guidelines have been developed by the DBS to meet the government’s top priority of protecting the public. Reducing the number of documents acceptable for ID verification will reduce people’s ability to use documents that are easily obtained or forged to assert their identity to obtain a DBS certificate, which could be used to secure a position of trust.

2) How do the changes enhance the ID checking process?

The DBS are tightening up the identity verification procedures used by Registered Bodies/Schools for applicants with the intention to reduce any possible abuse of the system and improve public protection. In particular, these changes will make it more difficult for individuals to conceal previous criminal records by changing their name.

The focus will be on ensuring that schools require applicants to produce documents that they would have acquired through undergoing stringent identity verification with the document issuer, such as the Identity and Passport Service or the Driver and Vehicle Licensing Agency. These changes are part of an on-going improvement process that will enable easier detection of undeclared changes of name in the future.

3) When do the new ID checking guidelines come into force?

The new process will be implemented from the 28 May 2012, with a phasing-in period of three months. This is to allow organisations time to bring existing processes in to line with the new requirements. From 31 August 2012, all ID checks should be carried out in line with the new guidance.

4) What documents can now be used in the ID checking process?

Please see the attached revised ID checking guidance for the complete list of acceptable documents. These are also available from the Home Office website at www.homeoffice.gov.uk/crb 5) Have any documents been removed from the current accepted list?

Yes, 21 documents have been removed and are no longer acceptable under the new arrangements. These are: • NHS Card (UK) • National Insurance Card (UK) • Exam Certificates e.g. GCSE, NVQ, O Levels, Degree • TV Licence • Insurance Certificate • Disclosure Scotland Certificate • CRB Certificate • Vehicle Registration Document • Addressed Payslip • General Medical Council (GMC) Certificate January 2013 – version 2

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• • • • • • • • • • •

Connexions Card Mail Order Catalogue Statement/Card Statement Store Card Statement Court Claim Form (UK) Documentation issued by Court Services Mobile Phone Bill Convention Travel Document (CTD) Blue Certificate of Identity (CID) Brown Stateless Person’s Document (SPD) Red Application Registration Card (ARC) Certificate of British Nationality (UK)

This review of acceptable documents is ongoing and we will provide you with further updates as and when any other documents are removed.

6) Why have you removed these documents?

In line with government policy, the DBS regularly reviews the robustness of these documents used to validate identity. Following careful consideration, it has been agreed that the new accepted document set will provide employers with the most reliable information. By limiting the document list and removing these 21 documents, the DBS has strengthened the identity checking process.

7) Are there any exceptions?

Yes, for 16-19 year old applicants in full-time education. They can use a letter confirming their identity from their Head Teacher or College Principal as a Group 2b document as part of the range of required documents. This may verify their name and any other relevant information required e.g. address or date of birth. It should be noted that this letter should not be used in isolation from the required list of valid identity documents.

8) What do I do if an applicant cannot provide the required documents?

If you or your ID checker cannot establish an applicant’s identity in accordance with the revised DBS ID guidelines, then you should inform HR Services. Applicants who are unable to provide the required documents will then be asked to give their consent to have their fingerprints taken in line with the current procedure. Schools should be aware that this will require attendance by the applicant at a Police Station at an appointed time, and may add delay into the overall application process.

9) How many applicants could be affected by the change?

Over 90% of applicants should hold a Passport, UK Biometric Resident Permit, GB or NI Driving Licence or UK Birth Certificate. We anticipate that the majority of the remainder will be able to use Route Two or Three as outlined in the revised guidance document. Applicants should only be considered under Route Three, after they have been considered under Routes One and Two and their identity cannot be established. For the small number of applicants who are unable to provide sufficient ID documents in Route Three, they will be required to consent for their fingerprints to be used as per the current process.

10) Who pays for fingerprinting?

As with the current procedure, there are no costs associated with the fingerprint process for the applicant, or Registered Body/School.

11) Will the DBS be communicating this change to applicants?

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All communications relating to these changes will be available from the Home Office website at www.homeoffice.gov.uk/crb 12) How does this change affect the DBS Code of Practice?

This change provides enhancements to the ID checking process, which in turn supports the DBS Code of Practice requirement that schools must accurately and comprehensively verify the identity of the applicant prior to the submission of a DBS application.

The statutory conditions attached to registration that all Schools must adhere to, is that prior to submitting an application the School shall verify the identity of the applicant in accordance with the identity checking guidelines issued by the DBS. Schools must also ensure that ID checkers are trained on the changes and that procedures are updated accordingly.

13) Where can I go for more information to support me when I am checking an applicant’s documents?

Detailed information is currently available via the Home Office website at www.homeoffice.gov.uk/crb-id. This website will continue to be updated with any changes to current guidelines. We have provided a variety of scenario-based examples on the website which may be used as a desk aid for anybody involved in the ID checking process. These will be continuously reviewed and updated.

14) Do you anticipate that this new process will cause delays to the DBS checking process?

For the majority of cases, we do not envisage you encountering delays in carrying out ID checks as a result of these changes. Furthermore, we have established a three month phasing-in period to allow both Registered Bodies/Schools and applicants to ensure that identity checking processes are not adversely affected during this transition.

15) When will I hear more about this change?

We advise that you regularly check the website at www.homeoffice.gov.uk/crb for any updates.

16) Will there be any change to the fee currently charged for a DBS check?

No. There is no planned fee increase.

17) Can I use any of the routes to verify the identity of the applicant?

No. ALL Schools must have exhausted Route One and should have endeavoured to have contacted HR Services to access an external validation check (Route Two) before you consider using Route Three.

18) Why has the guidance changed for progressing from Route Two to Route Three?

There may be genuine circumstances to consider why the applicant’s identity has not been validated via Routes One and Two. To understand this further you should hold a probing discussion with the applicant about the likely reasons why their identity has not been validated before considering using Route Three. You should keep a record of this discussion.

19) Why do we need to keep a record of any discussion with the applicant?

The School is solely responsible for the ID checking of the applicant and should take appropriate measures to record key discussions within their recruitment process.

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20) How long should we keep a record of this discussion?

This should be in line with each organisations own data protection policies.

21) What documents can I use to check addresses for non-UK residents?

The documents listed in groups 2a and 2b now allow for overseas addresses to be verified.

22) What documents can I use to check non-EEA UK residents?

Non-EEA nationals should all be validated by using Route One only. If this is not possible, it is necessary for you to determine why.

If it is then established, for whatever reason, applicants will then be asked to give their consent to have their fingerprints taken in line with the current procedure.

Schools should be aware that this will require attendance by the applicant at a Police Station at an appointed time, and may add delay into the overall application process.

23) Can we still use the non-UK photo driving licence for applicants that have their identity validated prior to coming to the UK? Yes. As long as the document is valid. This change will now allow non-UK/non-EEA applicants to also produce a valid photo card driving licence up to 12 months on entry to the UK. 24) What happens if the work permit or visa has expired?

You will need to discuss this issue with applicant and ascertain their right to remain and/or work in the UK. 25) Why have you now extended the age to 16-19 year olds that can provide a letter from a Head Teacher/College Principal?

The DBS has considered this issue and on reflection, 16/17 year olds did not take into account 18 and even 19 year olds that could still be in school/college. Therefore, we have now extended the range to 16 - 19 olds.

It should be noted that this document should only be used when all other documents have been exhausted.

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Enhancing DBS identity checking – Scenarios Below are a number of scenarios which will demonstrate the documents you may be presented with as part of the new identity checking process, and how to use the appropriate route to establish an applicant’s identity.

Please refer to the acceptable document lists contained within the new guidance, as well as the flow charts which illustrate Routes One, Two and Three.

Satisfying Route One The applicant must produce 3 documents as follows: • •

1 document from Group 1 2 further documents from Groups 1, 2a or 2b, one of which must verify their current address.

Scenario one John is 17 and is volunteering as a Group Leader with a national organisation working with 5-16 year olds.

He provides the following documents: • A valid UK passport (Group 1) • A birth certificate issued at time of birth (Group 1) • A bank statement dated within the last month (Group 2b) John has a Group 1 document (valid UK passport), so the organisation should first investigate the use of Route One. In addition to this Group 1 document, he also has a further Group 1 document, and a Group 2b document which confirms his current address. Therefore, these documents satisfy Route One, and can be used to verify his identity Scenario two Ruth is applying to a local NHS Trust to work as a staff nurse.

She provides the following documents: • A valid UK passport (Group 1) • A Current UK Driving licence (Photo card and Counterpart) (Group 1) • A TV Licence Ruth has provided only 2 valid documents. Whilst a TV Licence is now not an acceptable document for the purposes of identity verification, it could be a useful indicator of what other documents Ruth may be able to provide. In this case, Ruth’s TV Licence suggests she is a homeowner or lives in rented accommodation, and she may be able to produce another document such as a council tax statement. Through a combination of the two Group 1 documents provided, and by now questioning Ruth, she can provide a council tax statement as a Group 2b document which confirms her current address.

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Ruth has satisfied the requirements for Route One. Scenario three Mohammed is applying to go to teacher training college and is required to undergo a DBS check as he will be going on school placements.

He provides the following documents: • A valid UK passport (Group 1).

• A two-month old bank statement (Group 2b).

He is adamant he has no other documents from Groups 1, 2a or 2b.

This combination of documents provides insufficient evidence, and would not satisfy any of the routes available. The college may wish to advise Mohammed that he could obtain a copy of his birth certificate (Group 2a) from the General Register Office (GRO) at http://www.gro.gov.uk/gro/content/certificates/default.asp. If he were to provide this, he would now have one document from Groups 1, 2a and 2b, and as the bank statement confirms Mohammed’s current address, this would satisfy the requirements for Route One. Satisfying Route Two If the applicant is unable to provide a Group 1 document, then you should proceed to Route Two. In the first instance, the applicant must produce 3 documents in total: • •

1 document from Group 2a; and 2 further documents from Groups 2a or 2b, one of which must verify their current address.

Once satisfied with these documents, you need to contact HR Service to enquire about using an appropriate external ID validation service to establish the applicant’s name and living history footprint.

Scenario four James is 20 years old and applies for a post as a support worker with a school.

He provides the following documentation for identity validation: • His birth certificate, obtained when he was 18 years old (Group 2a) • A building society statement , issued last month verifying his address (Group 2b) • A P60 statement dated 3 months ago (Group 2b) As James has not provided a Group 1 document, the agency is unable to validate his identity using Route One. However, he has provided sufficient documents to be processed by Route Two. The school contacts HR Services to arrange an ID verification service that meets the requirements of a Level 2 (Remote) check. The chosen service provider is in a position to give an assurance that they comply with the standards described within the published guidance.

The school has set up the required procedures and is able to progress with James’s application and verify his identity using Route Two. A “pass” result is provided by the ID verification service provider and the ID check is complete.

Scenario five January 2013 – version 2

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Adrian is applying for the post of a physiotherapist with his local NHS trust.

He is required to undertake a DBS check and provides the following documentation: • a birth certificate issued 5 years ago (Group 2a) • a copy of his current bank statement verifying his address (Group 2b) • a letter from DWP regarding his job seekers allowance dated one month ago.

(Group 2b) As Adrian has no Group 1 document, you are unable to use Route One. HR Services have sourced an external ID verification service, so they decide to progress to Route Two. The result from the ID verification service provider is a “pass”. The school can be assured that Adrian’s identity has been verified to the required level and the ID validation process is complete.

Scenario six Tahney is a 17 year old school leaver (leaving school in 5 weeks) and is applying for the post of nursery assistant. She is required to undergo a DBS check and produces the following documentary evidence • A current UK photo card driving licence but has mislaid the counterpart (Not acceptable) • Birth certificate issued when she was 10 years old (Group 2a) • Building Society statements from last month verifying her address (Group 2b).

She is adamant she has no other documents from the list provided that she could use. Tahney has produced insufficient documents to validate her identity using Route One. As she has mislaid the counterpart to her driving licence the document is invalid. The RB would advise her to contact DVLA about this.

Tahney is 17 and still at school and could get a letter from her headmaster confirming her name, address and any other details they feel appropriate. She does not have sufficient documents to use Route 2, but after a probing discussion the RB decide to let her get a letter from the headmaster confirming her name and address and agree to process her through Route Two. The school contact HR Services to arrange the ID verification service and the result obtained is a “Fail”. It would appear that Tahney may not have yet established a living history footprint and they would now need to consider using Route Three.

However, Tahney has now informed them that she has acquired a replacement counterpart of her driving licence from the DVLA. This now means she has a Group One document and coupled with her birth certificate and Building Society statement, the school may now process by validating her ID using Route One. Satisfying Route Three All Registered Bodies/Schools must have exhausted Route One and should have endeavoured to use Route two before considering processing any applicant by Route three.

You should have had a probing discussion with the applicant to establish why they were unable to be processed by Routes one or two.

Scenario seven January 2013 – version 2

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Doris has recently retired, and wishes to volunteer at her local adult care home. She has not travelled abroad for some time, therefore her passport has expired. She has never driven, and her birth certificate issued at the time of birth is lost; but she does possess a birth certificate issued 15 years ago. Therefore, she has no Group 1 documentation, and could not satisfy the requirements for Route One. She explains that all the household bills are in her husband’s name. Following a discussion, the Registered Body establishes that Doris can provide the following documents: • A UK birth certificate issued 15 years ago. (Group 2a) • A Marriage Certificate (Group 2a).

• A recent P45 (Group 2b).

• A pension statement (Group 2b).

• A recent bank statement (Group 2b).

Doris has sufficient documents to satisfy the requirements for Route Two. However, on this occasion, the school have been unable to carry out an external ID verification, despite endeavouring to do so.

As Doris possesses a copy of her birth certificate (Group 2a), we can move on to assessing her other documents. She has a Marriage Certificate (Group 2a), and also three further Group 2b documents, one of which verifies her address and therefore she has satisfied Route Three.

Scenario eight David is applying to work as a volunteer Youth Leader with under 14’s and has no Group 1 document.

He provides the following documents: • A HM Forces ID card (Group 2a).

• A P60 statement which is 5 months old (Group 2b).

• An electric utility bill which is 10 months old (Group 2b).

• A recent credit card statement (Group 2b).

As David has no Group 1 documentation, the school moves on to Route Two. In this case, David has sufficient documents to satisfy the requirements for Route Two. However, on this occasion, the schools and HR Services carried out an external ID verification which resulted in a fail.

Following a probing discussion with David, the school would now move on to Route Three. In order to be able to satisfy Route Three, David would have to obtain a certified copy of his birth certificate from the General Register Office (GRO) at http://www.gro.gov.uk/gro/content/certificates/default.asp. Upon doing this, he would then have sufficient documentation to satisfy Route Three.

What to do next?

In the event of an applicant being unable to satisfy any of the three Routes, you should have a probing discussion with the applicant before considering whether to advise HR Services that they have been unable to validate an applicant’s ID. If you have done everything within reason to acquire the necessary documentation without success, the only further option is the applicant would need to be fingerprinted which may cause delays.

Non UK/EEA applicants only January 2013 – version 2

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Where an EEA National has been resident in the UK for five years or less, the school should validate identity via Route One through the checking of a Current Passport or Current UK Driving Licence (photo card only) plus two further documents from groups 1, 2a or 2b; one of which must verify their address.

In the absence of a Group 1 document the school must satisfy themselves of a valid reason for using Route 2.

Scenario nine Agnetha is a Swedish national that has resided in the UK for the last 2 years. She is applying to a local NHS Trust to work as a consultant. She is required to undergo a DBS check and provides the following documentation: • A valid Swedish passport (Group 1) • A UK marriage certificate (Group 2a) • A one month old bank statement verifying her address (Group 2b) Agnetha has resided in the UK for less than five years and is able to produce a current passport (Group 1 document). The two further documents enable Agnetha to be processed by Route One and the document check is complete.

Scenario ten Pierre is a French national that came to the UK a month ago on his EU identity card.

He is residing with a friend prior to studying here for a year and has volunteered to work with the local church supporting young people in the community. He is required to undergo a DBS check and produces the following documents: • A valid EU identity card (Group 2b) • A bank statement from a French bank issued two weeks ago (Group 2b) Pierre has not produced a Group 1 document and therefore he cannot be processed using Route One. The school has a case conference and decides that the option of using Route Two may not yield a ‘pass’ result as he has never lived in the UK and is unlikely to have a sufficient living history footprint to successfully validate his identity.

They discuss the issues with Pierre and establish that he does possess a valid French passport which his mother has in his family home in Bordeaux. He agrees to get her to post this to him.

However, the bank statement confirms his previous French address; and he advises that he intends to open a bank account in the UK. Pierre returns 10 days later with the following documentation: • A valid French passport (Group 1) • A valid EU identity card (Group 2b) • A bank statement from a French bank issued four weeks ago (Group 2b) • A confirmation of account letter from a UK bank verifying his UK address (Group 2b) Pierre can now be processed by the use of Route One as he has provided more than sufficient evidence and the documentation check is complete.

Non UK/Non-EEA applicants only All Non-EEA Nationals should be validated via Route One only.

Scenario 11 Pauline is an Australian national and has applied to come to the UK to work for an NHS Trust. The application for her DBS is processed by the NHS Trust prior to January 2013 – version 2

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Pauline coming over to the UK – She provides the following documentation to a representative of the Trust in Sydney: • A valid Australian passport (Group 1) • A valid Australian photo driving licence (Group 2a) • A letter of sponsorship from the Trust verifying Pauline’s current address. (Group 2b) Pauline has a Group 1 document and 2 further documents from Groups 2a and 2b which enables the school to process her application through Route One. Scenario 12 Javeed is an Indian national and has been living in the UK for two years. He has a year to run on his work permit and applies to work in a private school teaching special needs. The school requires Javeed to undergo a DBS check and he produces the following documentation: • A bank statement issued last month from a UK bank verifying his current address (Group 2b) • A valid UK work permit (Group 2b) Javeed has not provided sufficient evidence to be processed by the use of Route One. As he is a non-UK/non-EEA applicant, he may not be processed other than by Route One. You explain to Javeed that if he is not able to provide a Group One document, the only option would be for him to go for fingerprinting at a local Police station which would result in a delay to the DBS process.

Javeed accepts that he should not have mislaid his passport and has suggested that he request a new passport from the Indian embassy. He returns a few days later with a new valid Indian passport which now enables you to process his application through Route One. •

If you or your ID checker cannot establish an applicant’s identity in accordance with DBS ID guidelines then you should inform HR Services. Applicants who are unable to provide the required documents will then be asked to give their consent to have their fingerprints taken in line with the current procedure. Schools should be aware that this will require attendance by the applicant at a Police Station at an appointed time, and may add delay to the overall application process.

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ROUTE ONE FLOW CHART ID VALIDATION – ROUTE ONE All applicants must initially be considered for validation via Route one

Can applicant produce a Group 1 document?

Is the applicant a UK/ EEA national?

NO

YES YES

Can applicant produce two further documents from Group 1 or 2a/b?

NO

NO

Non UK/EEA nationals who cannot be validated via Route One will require fingerprinting UK/EEA nationals who cannot be validated via Route One should be considered for Route Two

Document check complete

YES

ROUTE TWO FLOW CHART ID VALIDATION – ROUTE TWO

UK/EEA applicants who cannot be validated via Route One must be considered for validation through Route Two

Can applicant produce a Group 2a document?

NO

YES

Can applicant produce two further Group 2a/b documents?

NO

Hold a probing discussion prior to considering validation through Route Three

YES

Does school have access to an External ID Provider?

(Contact HR Services)

NO

YES

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Does applicant pass external ID check?

Document check complete

YES

ROUTE THREE FLOW CHART NO ID VALIDATION – ROUTE THREE

Applicants who cannot be validated via Route Two must be considered for validation through Route Three

Can applicant produce a UK birth certificate?

Applicant will require fingerprinting

NO

YES

Can applicant produce a further Group 2a document?

NO

YES

Can applicant produce three further Group 2 documents?

NO

YES

January 2013 – version 2

Document check complete

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