DBS DISCLOSURE CHECKS - Policy and Guidance
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DBS DISCLOSURE CHECKS - Policy and Guidance
PRINCIPLES
Introduction
The Disclosure & Barring Service (DBS)
Newport City Council recognises the (Formerly known as CRB) helps organisations to
importance of pre and post employment make safer recruitment decisions. It provides
DBS checks, particularly for posts which access to a range of different types of information
involve working with vulnerable groups such as police records and information held on
including children. The Council fully the barred list for children & adults.
complies with the Disclosure & Barring
Service Code of Practice. Employers are empowered to ask for information
in relation to a person’s history under the
Exceptions Order to the Rehabilitation Act (ROA)
1974 (as amended) which particularly applies
where employees work with vulnerable groups
including children.
Aims of the Policy / Guidance
Council Policy on DBS Checks and
This document outlines the Council’s policy Recruitment
in relation to DBS Checks and recruitment.
It provides guidance on DBS checks the It is the City Council’s policy that, where a post
application process and the Council’s has been identified as requiring either a Criminal
management of that process. Conviction Certificate, Criminal Record Certificate
or Enhanced Criminal Record Certificate, a
prospective employee may not commence work
until the disclosure check has been received from
the DBS and assessed by Human Resources and
the Appointing Manager.
Scope
In exceptional circumstances a manager may
This policy applies to all employees with request that an employee be allowed to
the exception of those employees working commence employment prior to a DBS disclosure
in maintained schools under the direct check having been received and assessed. A
control of a School Governing Body. Business Case, including a Risk Assessment
form, will need to be completed outlining the
School Based Employees: exceptional reasons for the request. All requests
Newport City Council commend this policy are subject to approval by the relevant Head of
to individual Governing Bodies for Service.
adoption. If adopted by a Governing Body,
the policy will apply to all employees under School Based Employees
the direct control of that Governing Body. This policy is commended to school Governing
Bodies for adoption. It is therefore a matter for
each Governing Body to determine whether or
not they will allow employees to commence work
prior to a DBS disclosure check having been
received and assessed by the Headteacher.
To be read in conjunction with: However, the Council strongly recommends
that, due to the potential safeguarding risks,
Employee Code of Conduct Governing Bodies adopt the Council’s
Recruitment and Selection Policy recommended policy in this matter.
Disciplinary Policy
Rehabilitation of Offenders Act Guidance Where a school chooses not to adopt this policy
and allows employees to commence employment
prior to a DBS disclosure check being received
and assessed, they should ensure that a Risk
Assessment form is completed for each
prospective employee prior to their
PEOPLE & TRANSFORMATION VERSION 1.8 – November 2018 PAGE 1DBS DISCLOSURE CHECKS - Policy and Guidance
commencement of employment.
FREQUENCY OF DBS CHECKS
There is no legal requirement to “repeat” or “renew” a DBS disclosure check for any employees, other than
those who work within social services environments where specific statutory requirements apply (see
below). The Council’s policy is that serving employees will only be asked to undergo a DBS check in the
following circumstances:
1. Where they have not previously been eligible for a DBS disclosure check and move to a post that
involves significantly greater responsibility for vulnerable groups including children
2. When they seek a new appointment within the Council and have a DBS check which is more than
12 months old
Further information can be found in the section on “Portability of DBS Checks” and “DBS Update Service”
below.
In addition, it must be noted that, within the Council’s Employee Code of Conduct, an employee is
required to inform their Manager / Headteacher of any criminal offence/s that occur during their
employment (which relates to their employment) at the earliest opportunity. Failure to disclose any criminal
offence may be treated as a disciplinary matter.
Employees who are required to be registered with the Care Standards Inspectorate for Wales
The Care Standards Inspectorate for Wales (CSIW) is a statutory regulatory body covering staff working
within social services environments. It is a requirement that employees working for the City Council in
these environments are registered with the CSIW and part of the registration process requires that DBS
disclosure checks are repeated on a 3 yearly basis.
Existing employees who are in posts that require DBS checks will have their check renewed every 3 years.
Staff will be notified in writing three months before the disclosure is required.
School Based Employees
There is no ESTYN requirement to “repeat” or “renew” DBS disclosure checks for school based
employees. However, a school Governing Body may make a decision to ask the Council to “renew” DBS
disclosure checks for employees under their direct control if they so wish. Any such decision should be
taken by the full Governing Body or relevant Committee with delegated powers. Supplementary Guidance
is available from Estyn.
“PORTABILITY” OF DBS CHECKS
Portability refers to the re-use of disclosure information which has been obtained for the same (or different)
post either in the same or different organisation. As a DBS disclosure check only contains information as at
the date the check was produced by the DBS, there are risks in relying on portability. For this reason the
DBS recommends that organisations do not accept DBS disclosure checks from other organisations.
The Council’s policy in relation to the portability of DBS disclosure checks is as follows:
New Starters to the Council
A new DBS disclosure check must be undertaken for any new starter to the Council (i.e. someone who is
not already employed elsewhere in Newport City Council) where their new post requires it. The Council will
not accept DBS disclosure checks which have been undertaken for the individual in other organizations
unless the new starter is a member of the DBS Update Service (see “DBS Update Service” below).
Existing Newport City Council employees
1. Transfer between post not requiring any DBS disclosure check to new post requiring a check
PEOPLE & TRANSFORMATION VERSION 1.8 – November 2018 PAGE 2DBS Disclosure Checks - Policy and Guidance
If an employee transfers within the Council from a post which does not require a DBS disclosure check
to a new post requiring either a Criminal Conviction Certificate, Criminal Record Certificate or
Enhanced Criminal Record Certificate, the necessary check needs to be undertaken (unless the
employee is a member of the Update Service). The employee will not be able to start their new post
until the disclosure check is received from the DBS and has been assessed by the Appointing Manager
/ Headteacher.
2. Transfer between post requiring Criminal Record Certificate to new post requiring Enhanced Criminal
Record Certificate
If an employee transfers within the Council from a post requiring a Criminal Record Certificate check to
a new post requiring an enhanced check, a new, enhanced, check needs to be undertaken (unless the
employee is a member of the Update Service). The employee will not be able to start their new post
until the disclosure check is received from the DBS and has been assessed by the Appointing Manager
/ Headteacher.
3. Transfer within Council or between schools where disclosure check is more than 12 months old
In these circumstances a new DBS disclosure check should be undertaken (unless the employee is a
member of the Update Service). The employee will not be able to start their new post until the
disclosure check is received from the DBS and has been assessed by the Appointing Manager /
Headteacher.
4. Transfer within Council or between schools where disclosure check is less than 12 months old
In these circumstances a new DBS disclosure check will not be required and the employee will be able
to commence their new post (subject to any other pre-employment requirements that apply). This is, of
course, subject to there being no convictions disclosed on the disclosure check which impact on
employment in the new post.
DBS UPDATE SERVICE
Individuals can now subscribe to the DBS’ “Update Service” for an annual subscription. This allows the
individual to take their DBS check from role to role, within the same workforce, where the same type and
level of check is required.
The Update Service will allow the Council to check new recruits or those who require a check whilst
employed by the Council without the need to submit an application. The Council will need to seek the
permission of the individual to use their current DBS Certificate to carry out a free, online check to see if
any new information has come to light since its issue.
The Update Service can only be used for those who have registered and are members of this service. If an
individual has a “manual” DBS that has not been produced through the DBS update system, this will not
link to the Update Service. Individuals will receive a letter with their DBS Certificate explaining whether they
have a manual DBS Certificate and not a system generated one.
BARRED LIST INFORMATION
It is now a criminal offence for individuals barred by DBS to work or apply to work with vulnerable groups
including children in a wide range of posts, and equally for the Council to employ barred individuals in what
would be deemed ‘regulated activity’. A summary of the definitions of regulated activity can be found at
appendix 3. The Authority also has a duty to refer individuals and provide information to DBS where they
consider employees have caused harm or pose a risk of harm to vulnerable groups including children.
In order to establish if an individual is barred an enhanced check must be undertaken.
CONFIDENTIALITY
The information supplied by DBS and in disclosure checks can be extremely sensitive and personal, and is
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
PAGE 3DBS Disclosure Checks - Policy and Guidance covered by the “sensitive personal data” provisions of the Data Protection Act 1998. It is a criminal offence to pass information contained on a DBS disclosure check to anyone who is not entitled to receive it. Any abuse of DBS disclosure information by any Council employee is unacceptable and may lead to disciplinary action. Guidance DBS DISCLOSURE CHECKS There are three levels of disclosure which an employer can request from the DBS. These are the Criminal Conviction Certificate, Criminal Record Certificate and the Enhanced Criminal Record Certificate. Managers, in conjunction with Employment Services, are required to assess whether a standard or an enhanced disclosure is required for a specific role. The decision on whether a post requires a standard or an enhanced check is dependent on the specific duties undertaken by the postholder in their job, and whether these duties meet the statutory requirements for a DBS disclosure check to be undertaken. Criminal Conviction Certificate The Criminal Conviction Certificate, also known as the basic check, records information about unspent convictions and cautions Criminal Records Certificate (‘CRC’) - Previously known as standard disclosure, the standard check is available for duties, positions and licences included in Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975. The standard level certificate shows current and spent convictions, cautions, reprimands and warnings held on the Police National Computer (PNC). Enhanced Criminal Record Certificate (‘ECRC’) - Previously known as enhanced disclosure, the enhanced check is available for specific duties, positions and licences included in Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975.and the Police Act 1997, The enhanced level certificate contains the same information as a Criminal Records Certificate but with the addition of any relevant and proportionate information which a Chief Police Officer reasonably believes ought to be included and a check on the DBS Children’s and / or Adult’s Barred Lists where requested. The Safeguarding Vulnerable Persons Act 2006 makes it a requirement that where an individual works with children or vulnerable groups, and undertakes activities which are deemed to be ‘regulated’ activity under the Act, an Enhanced Certificate check must be undertaken and received prior to appointment. Further information on what constitutes a regulated activity is available at appendix 3 or from Employment Services. PRE-EMPLOYMENT CHECKS AND DBS DISCLOSURE CHECK APPLICATION PROCESS General Where a Criminal Record Certificate or an Enhanced Criminal Record Certificate is required for a post, the Council makes it a condition of the offer of employment that a “satisfactory” check is received. The decision on what constitutes a “satisfactory” check is for the Council to make. A significant proportion of the UK population will have a caution, bindover, reprimand or conviction that will show on either certificate. . Therefore, it must be remembered that a “satisfactory” check does not necessarily mean a “clear” check (i.e. one where no convictions at all are disclosed) and that certain convictions will not preclude an individual being employed. Adverts When a post which requires either a Criminal Record Certificate or Enhanced Criminal Record Certificate is PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018 PAGE 4
DBS Disclosure Checks - Policy and Guidance
advertised, the advert must clearly specify that a satisfactory disclosure check will be required prior to
appointment.
Application Form
The City Council’s job application forms include the following wording:
“Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 & Police Act 1997
If the Job Description has indicated that the post for which you are applying will be subject to a
Disclosure and Barring Disclosure, the Authority will require you to reveal any criminal
convictions, bind-over orders or cautions, including those which would normally be regarded as
spent.”
Applicants for posts requiring either a CRC or ECRC must therefore declare any criminal convictions,
cautions, reprimands and warnings, even if these would be regarding as “spent” under the Rehabilitation of
Offenders Act (see Guidance on Rehabilitation of Ex-Offenders).
Applicants are also required to sign a declaration at the end of the application form confirming that the
information on their application is “complete and true”.
Invitation to Interview
Following the shortlisting process, those candidates invited to interview will be asked to provide evidence
of their identity by providing original documents from the DBS’s designated list (Appendix 2). To enable a
speedy recruitment process, the Appointing Manager / Headteacher should, where possible, obtain original
documentation from the candidates at the time of interview. If the candidate is a member of the DBS
Update Service, the Appointing Manager/Headteacher can complete a DBS Certificate Verification Form to
collect details of the certificate. However, the Appointing Manager/Headteacher must see the original copy
of the candidate’s DBS certificate (but a copy must not be taken).
When obtaining documentation at interview, the Appointing Manager / Headteacher or their nominee must
carefully check the documents supplied to be sure that they are original documents and as far as is
possible, are satisfied that they are genuine documents. Copies should then be taken of the documents
provided by the applicants; each document should be certified as a true copy by writing the phrase
“I certify that this is a true copy of the original document”
on each document copy. The Appointing Manager / Headteacher or their nominee should then sign and
date each document underneath this declaration.
Following completion of the interview process, the copies of the original documents for the successful
applicant/s only should be forwarded to Employment Services with the rest of the recruitment paperwork.
Copies of original documentation taken at interview for candidates who are then unsuccessful should be
destroyed by the Appointing Manager / Headteacher; the documents should be treated as confidential
waste and destroyed accordingly.
Interview Process
During any interview process for recruitment to a post, the Appointing Manager / Headteacher should:
Remind all applicants of the requirements for the DBS disclosure check
Remind all applicants of the requirement on the application form for them to disclose any criminal
convictions, bind-over orders or cautions, including those which would normally be regarded as
spent (as defined by the DBS).
Ask each applicant to confirm the information they have supplied on their application form (including
nil disclosures) is complete and accurate.
Advise applicants of the consequences of non-disclosure of a criminal record i.e. it is likely that any
offer of employment would be withdrawn.
Offer of Employment
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
PAGE 5DBS Disclosure Checks - Policy and Guidance When a successful candidate has been offered a post, a DBS disclosure application form will be sent to the successful candidate’s home address, unless already completed at an earlier stage. If the required identification documentation for the successful candidate was not obtained at the time of interview, this documentation will be obtained at this stage by Employment Services. This may include seeking permission from a candidate who is a member of the Update Service to complete an online check (where relevant). Processing of completed DBS application form Once Employment Services have received 1) the fully completed application form and 2) all the necessary supporting documentation, the application form for the disclosure check will be forwarded to the DBS. Timing for receipt of Disclosure Check from DBS Guidance from the DBS suggests that the anticipated turnaround time for a CRC will be between 7 – 10 days and up to 4 weeks for an ECRC . A copy of the disclosure check will also be sent to the individual on whom the check is being undertaken. The DBS will no longer automatically issue a copy of an applicant’s DBS Certificate to a Registered Body (ie the Council) who countersigned the DBS application form. The Council will need to ask the applicant for sight of their DBS Certificate. COMMENCEMENT OF EMPLOYMENT PRIOR TO RECEIPT OF DISCLOSURE CHECK FROM DBS Where a post has been identified as requiring either a CRC or ECRC, a prospective employee must not commence work until the disclosure check has been provided by the applicant or an online check has been completed by the Council and assessed by Human Resources and the Appointing Manager. In exceptional circumstances and in order to meet the needs of the Service, a manager may request that an employee be allowed to commence employment prior to the DBS disclosure check having been received and assessed. In this situation, the manager will need to compile a Business Case, which must include a completed Risk Assessment Form outlining the exceptional reasons for the request. All requests are subject to approval from the relevant Head of Service, who will consult with Human Resources before approving any request. Even in these exceptional circumstances, new employees are not able to commence employment unless the Council has submitted their DBS application to the DBS i.e. a completed application form and all necessary documentation have been received. Where an employee commences employment in the above circumstances, the Risk Assessment Form must be sent to Employment Services with all other new starter documentation prior to commencement of employment, in order for the employee to be entered onto the Council’s payroll system. School Based Employees It is a matter for each school Governing Body to determine whether or not they will allow employees to commence work prior to a DBS disclosure check having been received and assessed by the Headteacher. Even in these circumstances, new employees should not commence employment unless the Council has submitted their DBS application to the DBS i.e. a completed application form and all necessary documentation have been received. Where a Governing Body chooses to allow employees to commence employment prior to a DBS disclosure check being received and assessed, they must ensure that a Risk Assessment Form is completed for each prospective employee. Completed Risk Assessment forms must be sent to Employment Services with all other new starter documentation prior to commencement of employment, in order for the employee to be entered onto the Council’s payroll system. PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018 PAGE 6
DBS Disclosure Checks - Policy and Guidance
INFORMATION PROVIDED ON THE DBS DISCLOSURE CHECK - WHERE INDIVIDUAL HAS NOT YET
COMMENCED EMPLOYMENT
“Clear Checks”
Where the DBS disclosure check is “clear” i.e. there are no convictions, cautions, reprimands and / or
warnings disclosed, the offer of employment is able to proceed.
Checks where information is disclosed
However, where the DBS disclosure check is not “clear”, the Appointing Manager / Headteacher will need
to assess the information disclosed in conjunction with Employment Services:
1 If the DBS disclosure check confirms information disclosed by the applicant on their application
form and which was known by the Appointing Manager / Headteacher at the time of the offer of
appointment, then it is likely that there will be no further action to be taken, and the appointment
will proceed.
2 However, if the DBS disclosure check either
Provides different or additional information to that disclosed by the applicant on their
application form OR
Discloses details of convictions where the applicant made a “nil” disclosure on their
application form Employment Services will discuss the implication of the information
provided on the offer of employment with the Appointing Manager / Headteacher.
Each case must be reviewed on its own merit and consideration made of the date and nature of
the offence, and whether or not the conviction is “live” or “spent”, and how these issues impact
on the post the individual has applied for. (See Guidance on Rehabilitation of Ex-Offenders for
further information).
The Appointing Manager / Headteacher should discuss the discrepancies between the DBS
disclosure check and the information provided on the application form with the applicant prior to
making a decision as to whether the offer of employment should proceed or be withdrawn. The
withdrawal of an offer of employment must be made in writing following consultation with
Human Resources.
INFORMATION PROVIDED ON THE DBS DISCLOSURE CHECK - WHERE INDIVIDUAL HAS
ALREADY COMMENCED EMPLOYMENT
As outlined above, in exceptional circumstances, a Head of Service / Governing Body may determine that
the prospective employee may commence employment prior to the DBS check being returned to the
Council. When the DBS Disclosure check is received, the guidance outlined above in relation to “clear”
disclosures applies.
Checks where information is disclosed
However, where the DBS disclosure check is not “clear”, the Appointing Manager / Headteacher will need
to assess the information disclosed in conjunction with Transactional HR and Payroll Team:
1 If the DBS disclosure check confirms information disclosed by the applicant on their application
form and which was known by the Appointing Manager / Headteacher at the time of the offer of
appointment, then it is likely that there will be no further action to be taken, and the appointment
can be confirmed.
2 However, if the DBS disclosure check either
Provides different or additional information to that disclosed by the applicant on their
application form OR
Discloses details of convictions where the applicant made a “nil” disclosure on their
application form
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
PAGE 7DBS Disclosure Checks - Policy and Guidance
Employment Services will discuss the implication of the information provided on the offer of
employment with the Appointing Manager / Headteacher.
Each case must be reviewed on its own merit and considerations are as outlined above (for
employees who have not already commenced employment). The same process regarding
discussing discrepancies between the DBS disclosure check and the information provided on
the application form should be applied. Prior to making any decision regarding what action is to
be taken, the Appointing Manager should discuss the matter with their Head of Service, and a
Headteacher with their Chair of Governors.
Non-disclosure of a “spent” conviction
If the conviction disclosed is already “spent” and is not relevant to the post applied to, it
should not normally be necessary to withdraw the offer of employment, although this option
remains available. Consideration should, however, be given to whether disciplinary action is
required against the employee for non-disclosure of the conviction. If a decision is made not
to take disciplinary action, the individual should be notified of this in writing to raise concern
of the non-disclosure.
Written documentation detailing a Head of Service/Headteacher’s decision relating to action
taken under this guidance note must be provided to Employment Services for placing on the
personal file.
Non-disclosure of live convictions and/or spent convictions if job requires at time of job
application
If the individual has a “live” conviction that has not been disclosed, the situation will be
investigated and may lead to the offer of employment being withdrawn.
The offer of employment may be withdrawn after an individual commences employment
without the requirement to investigate under the Disciplinary Policy. This is because no
contract exists until the applicant has accepted an offer and all conditions under which the
offer was made have been satisfied. The withdrawal of an offer of employment must be
made in writing following consultation with Human Resources.
If, because the “live” conviction is not relevant to the post applied for, a decision is made not
to withdraw the offer of employment, Consideration should, however, be given to whether
disciplinary action is required against the employee for non-disclosure of the conviction. If a
decision is made not to take disciplinary action, the individual should be notified of this in
writing to raise concern of the non-disclosure.
PROVISION OF “ADDITIONAL” DISCLOSURE INFORMATION
When an application for an Enhanced Certificate is made, a Chief Police Officer may choose to use
common law powers to provide ‘additional’ information to the Council about the individual. This “additional”
information is released to the Council only and will relate to non-conviction information provided by the
police from their local records when necessary, for example to prevent crime or harm to others.
It is therefore essential that any additional information provided must:
not be shown or revealed to the applicant in any way
not be shown or revealed to any other person not involved in the recruitment decision
It is a criminal offence to reveal “additional” information to anyone other than those immediately involved
in making the recruitment decision.
Any additional information should be handled, stored and retained in the same way as any other
disclosure.
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
PAGE 8DBS Disclosure Checks - Policy and Guidance
Where additional information is received, advice must be sought from Human Resources regarding the
implication of this information on the recruitment decision. If a decision is made to withdraw the provisional
offer of appointment, the applicant will need to be informed of that decision in writing.
HANDLING DBS CHECKS / CONFIDENTIALITY
Disclosure information is only passed to those who are authorised to receive the information in the course
of their duties. A list of all those Council employees to whom disclosures or disclosure information has
been revealed is retained by the Council. It is a criminal offence to pass information to anyone who is not
entitled to receive it.
It must be clearly understood that disclosure information is sensitive and highly confidential; abuse of this
information by any Council employee is unacceptable and may lead to disciplinary action.
STORAGE
Disclosure information is never kept on employee’s personal files but will be stored in a locked non-
portable storage container. Access to the information is strictly controlled and limited to those who are
entitled to access the information as part of their duties.
ACCESS TO DBS ONLINE CHECKING SERVICE
The Council can carry out a status check using the online service as it is legally entitled to carry out a DBS
check (as a Registered Body). The Council will be asked to confirm our eligibility to carry out such a check
and be able to comply with the DBS Code of Practice. As such, access to the online checking service (for
employment checks) will be limited to Employment Services.
RETENTION OF DISCLOSURE INFORMATION
Once a recruitment decision has been made, the Council will retain the disclosure check for no more than
six months to allow consideration for disputes or complaints – this retention limit is set by the DBS.
The Council will retain a record of the following disclosure information:
name of the subject and the DBS unique identifying number
date and type of disclosure
date of renewal (only where CSSIW registration is required for the post)
the recruitment decision made.
Images or photocopies of the disclosures must not be retained.
If in exceptional circumstances it is felt that a disclosure check should be retained for longer than six
months, the Council will contact the DBS. The DBS will review each situation individually and will then
authorise / not authorise the Council to retain the disclosure check. However, the rights of the subject
under the Human Rights Act and Data Protection legislation will determine the outcome.
DISPOSAL
Once the retention period has passed disclosure checks will be destroyed by a suitable secure means
e.g. shredding, burning etc. Whilst awaiting destruction, disclosure information will be stored securely.
DISCLOSURE DISPUTES
Where an individual disputes the information provided in a DBS disclosure check, it is their responsibility to
resolve the dispute with the DBS. The dispute must be raised with the DBS within three months of the date
the disclosure was issued.
Where there is information contained on the DBS disclosure check which potentially affects the decision to
employ / appoint the individual to the post and the information is disputed, the Council would need to
postpone a decision to employ / appoint until the dispute is resolved. However, depending on the
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
PAGE 9DBS Disclosure Checks - Policy and Guidance timescales for resolution of the dispute, the Council may need to consider whether or not to withdraw the offer of employment. Where the information contained on the check does not affect the decision to employ / appoint the individual to the post, the appointment may proceed – the dispute is a matter between the employee and the DBS. On conclusion of the dispute, the Council will receive (if applicable) a revised DBS disclosure check for the individual. VOLUNTEERS Where a Service Area / school is actively seeking regular volunteers or is approached by parents well known to the school who wish to volunteer, the same recruitment measures should be adopted as for paid employees working in the same area e.g. application form, references, DBS check, etc. This provides the Service Area / school with adequate information about the volunteer which may not otherwise be made available if a recruitment process is not followed and ensures that children and vulnerable adults are appropriately safeguarded. If a volunteer’s role will be ad-hoc e.g. accompanying teachers and pupils on a trip, helping at a concert or school fete, it is not necessary to conduct a recruitment process providing that the volunteer is not to be left alone and unsupervised in charge of children. Regular contact with children is defined as three or more times in a 30 day period. FOR FURTHER INFORMATION ON DBS, VISIT https://www.gov.uk/government/organisations/disclosure- and-barring-service PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018 PAGE 10
DBS Disclosure Checks - Policy and Guidance
Post becomes vacant
Appendix 1
Process For Completion of DBS
Checks
Level of DBS
check
determined for
post
Post is advertised
Candidates shortlisted and called to
interview
Is the candidate registered for the Update At interview Appointing Officer will remind
Service? candidates of the DBS requirements
Yes No
The Appointing Manager must At the interview stage the candidate
complete a DBS Recording will provide their original supporting
Form and ask candidate to give documentation.
permission to use current Copies are taken and verified by the
certificate Appointing Officer Offer of
appointment
made
DBS application form sent to individual’s home address to be completed and returned
Employment Services (Unless completed at interview)
check Update Yes
Service
Is the candidate registered for the Update Service? No
DBS application processed by Employment Services and forwarded to DBS
Original copy of DBS Certificate will be sent to
candidate ONLY
Once received, candidate MUST bring original
copy of DBS Certificate to Employment
Services or the Appointing Manager
Employment Services or the Appointing
Manager will record details of cerificate on DBS
Verification Form (scanned copy must be sent
to Employment Services)
Convictions disclosed
No convictions disclosed
on the check
Did the employee
Individual can disclose the
commence conviction?
employment
Yes
No
Does the DBS disclosure check
confirm the information provided by
the applicant?
Yes
No Decision on employment
needs to be taken, which
could result in withdrawal of
the offer of employment or
for existing employees an
Individual can investigation and possible
commence Review the case & discuss with applicant disciplinary action – a note
employment prior to consider whether to proceed or should be placed on file
withdraw offer
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
PAGE 11DBS Disclosure Checks - Policy and Guidance
List of Valid Identity Documents Appendix 2
You should follow one of three routes to provide proof of your ID (in order of preference);
Route 1 Route 2 Route 3
1 document from Group 1 3 documents from Group 2 Only when you cannot follow routes 1
2 further documents from Group 1 or 2 comprising of; and 2;
(one of which must verify your current 1 document from Group 2a and
address) 2 further documents from Group 2a You must produce:
or 2b A certified copy of a UK birth certificate
All Non-UK/Non-EAA nationals must be (one of which must verify your AND
validated via Route 1; current address) 4 further documents from Group 2
Current passport and AND comprising;
Biometric Residence Permit or Work An external ID validation organised 1 document from Group 2a and
Permit/Visa and by the Council 3 further documents from Group 2a or 2b
1 further document from Group 2a or 2b (one of which must verify your current
(which verifies current address) address)
At least one document must confirm the applicant’s current address and at least one document must confirm the
applicant’s date of birth. *Documentation should be less than three months old **Issued within the past 12 months
Group 2b
Group 1 Financial/Social History Documents
Primary Trusted Identity Credentials
Passport – Any current and valid passport
Mortgage Statement ** UK or EEA
(photocopies are not acceptable.)
Bank/Building Society Statement* (excluding statements
Biometric Residence Permit (UK)
printed from internet) UK and Channels Islands or EEA
Bank or building society account opening confirmation letter
Current Driving Licence (UK) Isle of Man /Channel Islands and
EU (Full or provisional) photocard with counterpart where one is
Credit Card Statement * UK 0r EEA
issued. All licences must be valid in line with current DVLA
requirements (photocopies are not acceptable.)
Birth Certificate (UK & Channel Islands) - issued at the time of
birth – full or short form acceptable including those issued by UK
Financial Statement* - e.g. pension, endowment, ISA (UK)
authorities overseas, such as Embassies, High Commissions
and HM Forces (photocopies are not acceptable.)
Group 2a
P45/P60 Statement **(UK & Channel Islands)
Trusted Government/State Issued Documents
Current driving licence - All countries (full or provisional)
All licences must be valid in line with current DVLA requirements Council Tax Statement (UK & Channel Islands) **
(photocopies are not acceptable.)
Current UK driving licence paper version (UK) Isle of Man
Work Permit/Visa (UK) **
/Channel Islands and EU (Full or provisional)
Birth Certificate (UK & Channel Islands) - issued after the time of
Utility Bill* - electricity, gas, water, telephone – excluding
birth by the General Register Office/relevant authority. i.e.
mobile phone contract/bill
Registrars. (Photocopies are not acceptable.)
Marriage/Civil Partnership Certificate (UK and Channel Islands) Benefit statement * e.g child allowance, pension (UK)
A document from Central/Local Government/Government
HM Forces ID Card (UK) Agency/Local Authority giving entitlement (UK & Channel
Islands)* e.g. from the DWP, Employment Service, HMRC
Fire Arms Licence (UK Channel Islands and Isle of Man) EU National Identity Card
Cards carrying the PASS accreditation logo (UK & Channel
Islands)
Letter from a Head Teacher* (16/17 year olds) in
exceptional circumstances
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
PAGE 12DBS Disclosure Checks - Policy and Guidance
Appendix 3
SUMMARY DEFINITION OF REGULATED ACTIVITY
1. Regulated activity relating to children
The new definition of regulated activity relating to children comprises only:
(i) Unsupervised activities: teach, train, instruct, care for or supervise children, or provide
advice/guidance on well-being, or drive a vehicle only for children;
(ii) Work for a limited range of establishments (‘specified places’), with opportunity for contact: for
example, schools, children’s homes, childcare premises. Not work by supervised volunteers;
Work under (i) or (ii) is regulated activity only if done regularly. We are providing statutory guidance
about supervision of activity which would be regulated activity if unsupervised.
(iii) Relevant personal care, for example washing or dressing; or health care by or supervised by a
professional;
(iv) Registered childminding; and foster-carers.
2. Regulated activity relating to adults
The new definition of regulated activity relating to adults no longer labels adults as ‘vulnerable’. Instead,
the definition identifies the activities which, if any adult requires them, lead to that adult being
considered vulnerable at that particular time. This means that the focus is on the activities required by
the adult and not on the setting in which the activity is received, nor on the personal characteristics or
circumstances of the adult receiving the activities. There is also no longer a requirement for a person to
do the activities a certain number of times before they are engaging in regulated activity.
There are six categories of people who will fall within the new definition of regulated activity (and so will
anyone who provides day to day management or supervision of those people). A broad outline of these
categories is set out below. For more information please see the Safeguarding Vulnerable Groups Act
2006, as amended by the Protection of Freedoms Act 2012.
(i) Providing health care
Any health care professional providing health care to an adult, or anyone who provides health care
to an adult under the direction or supervision of a health care professional. Please see the
Safeguarding Vulnerable Groups Act 2006, as amended by the Protection of Freedoms Act 2012,
for further details about what is meant by health care and health care professionals.
(ii) Providing personal care
Anyone who:
• provides physical assistance with eating or drinking, going to the toilet, washing 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.
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
PAGE 13DBS Disclosure Checks - Policy and Guidance
(iii) Providing social work
The provision by a social care worker of social work which is required in connection with any health
care or social services to an adult who is a client or potential client.
(v) 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.
(v) 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. Please see the Safeguarding Vulnerable
Groups Act 2006, as amended by the Protection of Freedoms Act 2012, for the further categories
which are covered here.
(vi) Conveying
A person who transports an adult because of their age, illness or disability either to or from their
place of residence and a place where they have received, or will be receiving, health care, personal
care or social care; or between places where they have received or will be receiving health care,
personal care or social care. This will not include family and friends or taxi drivers.
Created By: Human Resources
Date Created: April 2011
Reviewed By:
Date Reviewed:
Current Version: v1.7
Document Control
Version Date Author Notes/Changes
V1 08 April 2011 Human Resources Corporate Review and New Template
V1.1 18 January 2012 Human Resources Minor Amendment
V1.2 30 May 2012 Human Resources Minor Amendment
V1.3 11 September 2012 Human Resources Accepted identification change
V1.4 13 November 2012 Human Resources Change to DBS
Service Area to People & Transformation and
V1.5 22 January 2013 Human Resources
Template change
V1.6 01 July 2013 Human Resources Minor Amendment
V1.7 21 September 2017 Human Resources Version Control Added
PEOPLE & BUSINESS CHANGE Version 1.8 – November 2018
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