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Policy on the employment of ex-offenders and disclosure and barring service checks.

Principles

1. Oxfordshire County Council supports and seeks to promote the rehabilitation of offenders and to treat ex-offenders fairly in accordance with its Equality Policy. The Council recognises that many people with past criminal records do not present a risk in employment but work as responsible and productive members of the workforce.

2. The Council also has a duty of care to protect from criminal activity and abuse those who use its services, the public and public funds, and a duty to comply with relevant legislation, codes of practice and national standards.

3. An applicant for employment or voluntary work with criminal convictions will be assessed on their relevant skills, qualifications and experience and will only be prevented from taking a job with the Council where any past offences are directly relevant to the job concerned and where it is judged that the applicant, if appointed, would pose a significant risk to the public, clients, property or public funds.

4. The Council undertakes to operate effective and appropriate systems to comply with and fulfil these principles and requirements. (1)

1) Individuals can choose to subscribe to the new Disclosure and Barring Update Service. This will allow individuals to keep their disclosure and barring check up to date so that they can take it with them from role to role and across employments so long as it is within the same workgroup.

Definition of ‘conviction’

5. In this policy the term ‘conviction’ relates to a finding of guilt following a hearing in a court of law, including Courts Martial. Prospective employees for jobs exempt from the Rehabilitation of Offenders Act working with children or vulnerable adults will also be asked to declare all spent cautions and convictions if they appear on the list of offences relevant to safeguarding children or vulnerable adults. Certain old and

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minor offences from criminal record certificates may be excluded. The filtering rules, together with the list of offences that will never be filtered, are available from DBS filtering guidance - GOV.UK

Guidance on the categories of offences that may lead to refusal to appoint or require a Risk Assessment prior to appointment are detailed in Annex 2 of the Supporting Guidance Document.

6. Where ‘soft information’ is made available by the Disclosure and Barring Service, this will also be taken into consideration.

Employees, volunteers and contractors

7. Existing employees of the Council will not be asked to declare convictions nor will checks be undertaken unless this is required by law, they change their role or job to a relevant role, or there are particular reasons which make this necessary.

Employees are required to notify the Council if they are the subject of police investigations while in the Council’s employment. In this case a risk assessment will be undertaken and appropriate action will be taken in accordance with the spirit of this policy and under the Council’s agreed employment procedures, where deemed necessary.

8. All applicants for employment, voluntary work or to deliver Council services under contract such as taxi and bus drivers and long-term contractors, including agency staff and interims, will be asked to declare any un-spent convictions, cautions, warnings, reprimands, bind-overs and any cases pending, in Great Britain or elsewhere, when applying to the Council. See Paragraph 13. Further particulars supplied to applicants for all jobs will indicate where the job is exempt from the Rehabilitation of Offenders Act 1974 and where appointment will be subject to a satisfactory DBS certificate.

9. All applicants for relevant employment as Fire and Rescue Safety Advisers will undergo checks through the Disclosure and Barring Service.

10. Where the Council enters into contracts with external organisations which employ staff for the provision of services on the Council’s behalf, it will ensure that the contractor’s employment systems comply with this policy.

11. Work which involves substantial access to children and vulnerable adults has special requirements and applicants for this type of work will be treated as set out in paragraphs 19-26 of this policy.

https://www.gov.uk/government/collections/dbs-filtering-guidance

https://www.gov.uk/government/collections/dbs-filtering-guidance

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Spent convictions

12. Managers will not ask about or take into consideration an applicant’s spent convictions unless the application relates to a job which is exempt from the provisions of the Rehabilitation of Offenders Act or is covered by the legislation relating to the protection of children and vulnerable adults. See Paragraphs 19-26.

13. Convictions become ‘spent’ after a ‘rehabilitation period’ has passed. The length of the rehabilitation period depends on the sentence given – not the offence committed or, in the case of a custodial sentence, the sentence served. Please see Annex 3 of the Supporting Guidance for rehabilitation periods. N.B. In the case of work with children, young people and vulnerable adults, or for custodial sentences of more than 4 years, convictions listed on the list of offences relevant to safeguarding can never become spent. See paragraph 6.

Convictions which are not spent – risk assessment

14. All convictions, cautions, reprimands or warnings which are not spent must be declared by applicants for work or volunteering. See Paragraphs 12 and 13. In all cases, where an applicant with un-spent convictions fulfils the requirements for a job sufficient to be considered appointable, or is seriously considered for voluntary work, the appointing manager will, undertake and record a risk assessment, taking into consideration the advice in the Supporting Guidance Document, i.e. the nature, severity, frequency and timing of the convictions and the nature and requirements of the work. Guidance and a template Risk Assessment can be found at Annexes 5 and 6 in the Supporting Guidance Document.

15. Applicants for work and voluntary service with the Council who have declared un-spent convictions will only be short-listed or appointed where the risk assessment carried out by the appointing manager indicates that the risks are judged to be low or where adequate supervision and management arrangements can be put in place to bring the risks down to an acceptable level. In all cases where appointments are made subject to conditions the appointing manager will obtain prior written agreement from the Deputy Director or Headteacher.

16. The Council recognizes the importance of appropriate and consistent managerial decision making. If in any doubt the appointing manager must seek advice prior to the invitation for interview from senior management, the County HR Team, the Schools HR Team or Legal Services, as appropriate. Where appropriate the manager will discuss the convictions with the applicant to determine background information.

17. The line manager of the employee or supervisor of the volunteer will monitor conditional arrangements and review them during the probationary period and

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afterwards, at least annually. The appointing manager will, in the case of employees, inform the County HR Team or Schools HR Team, as appropriate, who will ensure a note is placed on the personal file. In the case of volunteers, he/she will keep a record of the conditions on another appropriate file. In each case a copy should be uploaded on the persons personnel file. Managers can do this directly through the IBC portal. . Schools will be responsible for their own records.

Criminal cases pending

18. Where an applicant has criminal proceedings pending at the time an application for a job is made, full consideration will be given to the individual case before deciding on any offer of employment.

Special checking requirements for employment and voluntary work with children, young people and vulnerable adults.

19. The managers of all applicants, including casual, agency, interim workers and volunteers selected to undertake work with children, young people and vulnerable adults must

a) Review any spent and un-spent convictions on the application form

b) Obtain from applicants a fresh certificate or confirm the DBS status through the “Update” service.

c) See Annex 1 for guidance on which level of DBS check to apply to roles.

If in the last five years, the applicant has ever worked/resided outside of the United Kingdom for more than 3 months from the age of 16 the applicant will be required to carry out the checks with the relevant countries where the facility is available through that country.

20. Appointees (new to OCC and/or new to this Service Area) for employment or voluntary work with children, young people and vulnerable adults will not normally start work until a fresh satisfactory certificate has been received from DBS or the DBS ‘Update’ Service has confirmed no change in satisfactory status. This will include anyone who works or volunteers in schools, similar institutions and the Children, Education and Families Directorate.

21. Where it is necessary to allow service provision to continue, an appointee to work or volunteer with children and young people may be permitted to start work prior to receipt of the fresh certificate ONLY where:

a) a previous satisfactory DBS certificate is available and

b) a risk assessment has been undertaken and

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c) for all persons working in schools, the DBS children’s barred list has been checked.

NB. Due to the high risks involved appointees to work in one to one situations or in residential care or similar environments must not start work until the fresh DBS disclosure has been received.

22. OCC requires all employees working with children (2) to be re-checked through the DBS every 3 years, either by seeking a new DBS certificate or through the ‘Update’ Service. An employee or volunteer whose re-check lapses will normally be suspended until the re-check has been received. Employees will be warned that their checks are due for renewal.

(2) Includes: employees and volunteers working with children; working in the Integrated Transport Unit, and School Crossing Patrol Officers.

23. An appointee to work with vulnerable adults can only start work in a new post prior to receipt of the fresh disclosure where a risk assessment has been undertaken by the appointing manager and the appropriate senior line manager for the job – see Paragraph 24. The risks must be judged to be low with adequate supervision, management and monitoring arrangements in place to minimise the risks. Due to the high risks involved appointees to work in one to one situations or in residential care or similar environments must not start work until the fresh DBS certificate has been received.

24. In all cases where the appointing manager requires an appointee who satisfies the conditions in Paragraphs 21 or 23 to start work prior to the receipt of the fresh DBS certificate he/she will obtain written agreement from the Deputy Director or the Headteacher prior to commencement of work. The manager will notify recruitment via the online HR enquiry form who will ensure that a suitable conditional contract of employment is issued and a note is placed on the personal file.

25. In all cases where an appointee has started work subject to special conditions, as soon as the DBS certificate is obtained the appointing manager will assess the appointee’s suitability to continue in the appointment in accordance with this policy. Where the employee’s suitability is confirmed, the appointing manager will notify the employee and the recruitment team via the HR enquiry online form, who will record this decision. In cases where information is disclosed by DBS which the appointing manager judges renders the appointee unsuitable for work with vulnerable groups he/she will immediately discuss the certificate with the appointee and take into consideration what he/she has to say on the matter, which may in certain circumstances lead to suspension. Where the appointing manager judges, after

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proper consideration – including taking into account the employee’s comments and representations - that the DBS certificate renders him/her unsuitable to work with vulnerable groups he/she will agree with the County HR Team or Schools HR Team, as appropriate, an appropriate course of action which may lead to dismissal or re-deployment of the employee concerned. Where employment is not ruled out by the DBS certificate a risk assessment will be undertaken by the manager to assess the suitability of the employee for continued employment. See the Annexes in the Supporting Guidance Document for further information.

26. In cases where the Disclosure and Barring Service advise that a crime is currently under investigation, or if ‘soft’ information is disclosed which cannot be shared with the employee, special arrangements will be discussed and agreed with senior management, the police, Solicitor to the Council and the County HR Team or Schools H.R. Team, as appropriate.

Schools

27. Schools are responsible for ensuring that their employees, governors, volunteers, visitors, contractors, those who live on school sites and others who have access to children are adequately checked and for maintaining appropriate records. Although the Council recognises that it does not have power to insist that schools apply this procedure it strongly recommends them to do so.

28. All tenants of County Council accommodation on sites where services are provided to children, such as schools, and all adult members of their household will be asked to undergo DBS checks and appropriate action will be taken if risks are identified.

Elected members

29. In accordance with the Council’s decision on 6 April 2004 all Councillors and other persons co-opted onto a County Council Committee will be required immediately after their election or appointment to undergo a DBS check. The Monitoring Officer will coordinate these checks. All Councillors and co-opted members will comply with the requirements of the Monitoring Officer in relation to such checks. No County Councillor or Co-opted member shall be required to undergo checking if he/she has been the subject of a DBS check within the previous twelve months of his/her election or appointment. Where this is the case, that person shall notify the Monitoring Officer of the outcome of such a check immediately after his/her election or co-option.

Foster carers

30. The Fostering Services Regulations 2002 provide that Disclosure checks must be obtained on those working for any fostering agency. The Police Act 1997 and the

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Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 provide for the DBS to carry out a check on the prospective foster carers themselves and anyone living in the same household. The Council will obtain Enhanced Disclosure plus children’s barred list checks on prospective foster carers, and on adult members of their households.

Dishonesty in making a declaration

31. Where a prospective employee is not able to verify that his/her declaration of convictions is exhaustive he/she must obtain a schedule of these from DBS and submit this before appointment can take place.

32. Where a DBS check discloses convictions which have not been declared by an appointee the appointing manager will consider whether it is necessary to redeploy or suspend the employee from working and act accordingly. He/she will discuss the disclosures with the appointee and take into consideration what he/she has to say on the matter. Where the appointing manager judges, after proper consideration, that the appointee has acted dishonestly by not making a full declaration, he/she will agree with the County HR Team or Schools H.R. Team, as applicable, an appropriate course of action which may lead to the dismissal of the appointee.

33. Where it becomes known that an employee may have a criminal record which he/she did not declare when asked, the line manager will consider whether to redeploy or suspend the employee and will act accordingly. Where it becomes known that an employee who works with children, young people or vulnerable adults has failed to disclose offences with respect to these vulnerable groups, this will normally lead to summary dismissal. The manager will agree with the County HR Team or Schools H.R. Team, as applicable, to take appropriate action to check the validity of this information and, where appropriate, take action under either the Probationary Procedures or Disciplinary procedures.

34. Where the line manager judges that service users, the public, Council funds or property may have been subject to significant risk of criminal action or abuse by an employee or volunteer an appropriate investigation must be undertaken. The line manager must bear in mind that secrecy from the individual may be important in investigating or detecting a crime and must straight away seek advice from Child Protection (3), the County HR Team or Schools HR Team, Finance Section and Solicitor to the Council as appropriate.

(3) Current contact is Barry Armstrong

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Records

35. The Council will keep all records confidential and disclose them only on a need to know basis to appropriate persons in accordance with the Policy on Secure Storage, Handling, Use, Retention and Disposal of Disclosures and Disclosure Information.

36. The Council will comply with the Data Protection Act in respect of all records of criminal convictions. Where there is a conflict between disclosing information in possible contravention of the Data Protection Act and the safety of vulnerable groups a course of action will be agreed with the Solicitor to the Council.

Review of this Policy

37. This policy replaces that of March 2010 and will be reviewed within three years.

Head of Human Resources

January 2014 (amended July 2015)

Alternative formats of this publication can be made available on request. These include other languages, large print, Braille, audio cassette, computer disk or email.

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Policy on the employment of ex-offenders and disclosure and barring service checks

Supporting Guidance Document.

Contents:

Annex 1 Eligibility Criteria to apply for a DBS Certificate and or Barred List check for those working with Children and Young People

Annex 2 Guidance on the categories of offences which may lead to refusal to appoint or require a Risk Assessment before appointment can take place

Annex 3 Rehabilitation Periods – Guidance on ‘Spent’ Offences

Annex 4 What disclosures will be shown on a Disclosure and Barring Certificate?

Annex 5 Guidance on undertaking a Risk Assessment

Annex 6 DBS Check Risk Assessment

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DBS Check Policy

ANNEX 1

Eligibility criteria to apply for a DBS certificate and Barred List check for those working with Children and Young People.

To be eligible for an Enhanced disclosure the activity (which may be supervised) must be one of the activities listed below or one that is carried out in one of the establishments listed below. This applies to both employees and volunteers.

Activity Establishment

Training Teaching Instructing Caring Provision of Personal Care Provision of Health Care Supervision of children Provision of advice/guidance on well-

being Driving a vehicle only for children Provision of treatment or therapy An Office Holder, e.g. Governor;

Commissioner of Services; Contract Monitoring; Councillor

Providing occasional or temporary services

Activities that allow contact with children (includes volunteers) with supervision at a reasonable level

Providing legal advice

Schools/Academies Pupil Referral units Nursery Schools Institutions for the detention of

children Children’s Homes Children’s Centres Childcare premises Children’s Library Mobile Library

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To be eligible for an Enhanced disclosure and a Barred List check at least one of the following statements must apply together with the required regularity:

1. The activity must be one of the activities listed below and will be UNSUPERVISED;

2. The activity (which may be supervised will be carried out in one of the establishments listed below at a time when children will be present;

The activities (1 and/or 2 above) must be carried out with the following regularity: Once a week or more; Four or more days in a 30 day period; Overnight

Activity Establishment

Training Teaching Instructing Caring Provision of Personal Care Provision of Health Care Supervision of children Provision of advice/guidance on well-

being Driving a vehicle only for children Activities that allow contact with

children – including unsupervised volunteers

Schools/Academies Pupil Referral units Nursery Schools Institutions for the detention of

children Children’s Homes Children’s Centres Childcare premises Children’s Library Mobile Library

* an individual’s opportunity for unplanned and unsupervised contact with children while working at these establishments during hours when children are present cannot always be mitigated by job supervision alone – in these instances a barred list check is therefore permissible within the legislation.

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Eligibilty Criteria to apply for a Children’s Barred List check for those working with Children and Young People.

Question Yes No 1 Is the role supervised? Go to Q4 Go to Q2

2 Are they performing any of the following activities? Training Teaching Instructing Caring for Supervising children Providing guidance/advise on well-being Driving a vehicle only for children

Go to Q3 Enhanced ONLY No Barred list check or Refer to Q4 or Q6

3 How regularly is the same person performing the activity or within the establishment? Once a week or more Four or more days in a 30 day period Overnight

Children’s Barred list check permitted

Enhanced ONLY No Barred list check or Refer to Q5

4 Will the activity be carried out in one of the following establishments during hours when children will be present? Schools Pupil Referral Units Nursery Schools Institutions for the detention of children Children’s Homes Children’s Centres Childcare premises Children’s Library Mobile Library

Go to Q3 Enhanced ONLY No Barred list check or Go to Q6

5 Are they providing personal care? Washing or dressing Health care by or supervised by a professional Registered child minding and foster carers

Enhanced ONLY No Barred list check

No DBS check

6 Are they carrying out any of the following activities? Provision of treatment or therapy Office holders, e.g. Governors, Commissioner of Services, Contract

Monitoring Providing temporary or occasional services Activities that allow contact with children (includes volunteers) with

supervision at a reasonable level Providing legal advice

Enhanced ONLY No Barred list check

No DBS check

EXCLUSIONS Administration Library Service ICT Services Customer Services

NO DBS check

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Eligibility Criteria to apply for a DBS certificate and or Barred List check for those working with Adults.

Activity Supervised Unsupervised Regulated health care professional or acting under the direction or supervision of one:

Enhanced Enhanced + Adult Barred List check

Doctors

Nurses

Health Care Assistants

Physiotherapists

Providing personal care:


Washing and dressing

Eating, drinking

Toileting

Teaching someone to do any of the above tasks

Social Work: Enhanced Enhanced + Adult

Barred List check Provided by a Social Worker or social work required in connection with any health or social services

Assisting with:


A person’s cash, bills or shopping because of their age, illness or disability

Conducting adults’ own affairs such as lasting or enduring powers of attorney, or deputies appointed under the Mental Health Act

Conveying:


Conveying adults for reasons of age, illness or disability to or from or between places where they receive regular health care, personal care or social work.

Does not include family, friends or taxi drivers Teaching:

Enhanced Enhanced vulnerable adults in a classroom setting

EXCLUSIONS

No DBS check No DBS check

Administration

Library Service

ICT Services

Customer Services

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DBS Check Policy

Annex 2

Guidance on the categories of offences which may lead to refusal to appoint or require a Risk Assessment before appointment can take place.

This advice cannot be exhaustive. If you are in doubt consult the Resourcing Team in Customer Services or Strategic H.R.

Employment and voluntary work with children, young people and vulnerable adults.

(See paragraphs 19-26 of the Policy)

Sexual offences.

Convictions for the following offences will normally disqualify an applicant from appointment:

1. Any sexual offence involving a child or a vulnerable adult, but see point 5 below.

2. Any sexual offence involving violence.

3. Any sexual offence involving the misuse of drugs.

4. Any sexual offence involving organising sexual activity.

An assessment of risk needs to be undertaken when considering applicants with convictions for the following offences:

5. Where an applicant was convicted of sex with an under-age person when they themselves were of a similar age.

6. Other sexual offences.

Violent offences.


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7. Any violent offence against a child or vulnerable adult will normally disqualify.

8. Murder, manslaughter, grievous bodily harm, aggravated bodily harm.

9. See 2. above for violent sexual offences.

10. Domestic violence


11. Actual bodily harm, wounding, assault and battery

12. Possessing an offensive weapon.

13. Death by reckless or dangerous driving.

14. Any other violent offence.

Offences relating to alcohol and drugs.


15. Any offence relating to dealing, cultivating or supplying controlled drugs or substances.


16. Possession of a class A, B or C drugs.

17. Offences involving supplying alcohol to young people and children

18. Repeated offences involving alcohol.

19. Being drunk or under the influence of drugs in charge of a motor vehicle. This will be a serious matter where jobs involve driving or transporting others.

20. Other offences involving alcohol or drugs.

Offences involving theft and dishonesty.


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21. Any offence involving theft or dishonesty with a child or vulnerable adult

22. Any offence involving theft or dishonesty, including benefit fraud, and associated violence.

23. Burglary, aggravated burglary, robbery, blackmail, going equipped to commit burglary.

Other convictions involving dishonesty will be subject to a risk assessment.

Offences relating to misuse of the Intranet or Records

Convictions for misuse of the internet or records, involving child or other illegal pornography, using records for purposes of abusing others or involving violence or racism or similar will normally disqualify an applicant for appointment.

Other relevant matters which relate to children and young people.

The following will normally disqualify an applicant from appointment:

24. Any offence against children, young people or other vulnerable adults.

An assessment of risk needs to be undertaken when considering applicants who declare the following:

25. Where he/she has had a child taken into care, placed under a safety order for reasons relating to abuse or neglect.

26. He/she has been dismissed from employment due to misconduct.

27. He/she has been convicted of the misuse of information.

Other employment and voluntary work

Only un-spent offences can be taken into consideration when deciding on the appointment of an applicant for jobs which do not involve children, young people or vulnerable adults.

It is not possible to give detailed advice for the huge variety of jobs within the Council. However, the principle applies that in all cases the offence must be directly relevant to the duties and responsibilities of the job applied for or the environment in which the work takes place. Annex 5 goes into details of undertaking a risk assessment in order to come to a conclusion on whether to appoint an individual with convictions to a particular post.

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Certain offences will usually debar an applicant from work in the Council including the following:

Murder Offences involving serious violence or threats of violence Offences involving serious theft or fraud where duties allow access to substantial

financial resources Serious burglary, arson, where duties involve substantial responsibility for security

of buildings or equipment Offences relating to ‘hate crime’.

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DBS Check Policy

Annex 3

Rehabilitation Periods - Guidance on ‘Spent’ Offences

Under the Rehabilitation of Offenders Act 1974 some criminal convictions can become spent or ignored after a rehabilitation period, although they remain on the Police National Computer. The rehabilitation period varies depending on the sentence or order imposed by the court - not the offence. As a result of changes in the law in 2012, from 10 March 2014, new rehabilitation periods apply.

NB: Custodial sentences of more than four years can never become spent.

Sentence Rehabilitation period

Age 18 or over when convicted

Rehabilitation period

Age 17 or under when convicted

Prison

Over 4 years Never Never

More than 30 months and less than (or equal to) 4 years

Sentence + 7 years Sentence + 3.5 years

More than 6 months and less than (or equal to) 30 months

Sentence + 4 years Sentence + 2 years

Less than (or equal to) 6 months

Sentence + 2 years Sentence + 18 months

Sentence of Detention (over 6 months but less than 30 months)

As prison sentence As prison sentence

Sentence of Detention (6 months or under)

As prison sentence As prison sentence

Detention and Training Orders (over 6 months)

NA As prison sentence

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Detention and Training Orders (6 months or under)

NA As prison sentence

Removal from Her Majesty’s Service

1 year 6 months

Service Detentions; Community Orders and Youth rehabilitation order (under 18s)

1 year 6 months

Fines 1 year 6 months

Compensation order Once paid in full Once paid in full

Hospital order End of order End of order

Conditional discharge, binding over, care order, supervision order, reception order

End of order End of order

Absolute discharge Spent immediately Spent immediately

Disqualification End of disqualification End of disqualification

Relevant order End of order End of order

Conditional Cautions Once conditions end Once conditions end

Caution, warning, reprimand None None

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DBS Check Policy

Annex 4

What disclosures will be shown on a Disclosure and Barring Certificate?

Standard and Enhanced DBS certificates will include details of convictions and cautions (including youth cautions, reprimands and warnings) recorded on the Police National Computer (PNC).

In addition to information from the PNC, an Enhanced certificate may also include information taken from police records that a chief officer of a police force considers relevant to the application and/or details of whether an individual is included on one or both of our two lists barring people from working with children and/or vulnerable adults.

Some PNC information will, from 29th May 2013 be filtered and will not appear on the certificate.

What PNC information will be filtered from inclusion on a certificate?

The rules as to when a conviction or caution will be filtered are set out in legislation. This states that a certificate must include the following:

Cautions relating to an offence from a list agreed by Parliament– see below Cautions given less than 6 years ago (where individual over 18 at the time of

caution) Cautions given less than 2 years ago (where individual under 18 at the time of

caution) Convictions relating to an offence from a prescribed list - see below Where the individual has more than one conviction all convictions will be included

on the certificate (no conviction will be filtered) Convictions that resulted in a custodial sentence (regardless of whether served) Convictions given less than 11 years ago (where individual over 18 at the time of

conviction) Convictions given less than 5.5 years ago (where individual under 18 at the time

of conviction)

May 2013 v1.0

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The list includes a range of offences which are serious and which relate to sexual offending, violent offending and/or safeguarding. It would never be appropriate to filter offences on this list. A list of offences which will never be filtered has been derived from the legislation and is available here: https://www.gov.uk/government/publications/dbs-list-of-offences-that-will-never-be-filtered-from-a-criminal-record-check

This is not the complete list as the legislation also extends to cover similar offences committed under the law of Scotland and Northern Ireland or under laws relevant to the armed services.

https://www.gov.uk/government/publications/dbs-list-of-offences-that-will-never-be-filtered-from-a-criminal-record-check

https://www.gov.uk/government/publications/dbs-list-of-offences-that-will-never-be-filtered-from-a-criminal-record-check

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DBS Check Policy

Annex 5

Guidance on undertaking a risk assessment

The following guidance is to assist managers in assessing the risks of employees re-offending at work associated with different types of job and criminal convictions.

A risk assessment form is available at Annex 6 of this policy to assist in the process and to record risk assessments.

The risk assessment process consists of the following steps:

1. Ensure you have all of the relevant information about the individual and the job.

2. Assess the risks associated with the job and the opportunity for re-offending.

3. Assess the type of offence and the risk of re-offending in the job under consideration.

4. Consider if protective measures can be reasonably put in place to bring the risk down to an acceptable level.

5. If the risk cannot be rendered acceptable you cannot offer the appointment to this applicant. Discuss this with your Manager and HR Officer.

6. If the risk can be rendered acceptable, record the measures required to render the risk acceptable. Discuss these with your Manager and HR Officer and those who are enforcing the measures to reduce the risk. Discuss them with the applicant and secure their agreement in writing to abide by the measures. Make the appointment/continue the employment subject to these conditions.

7. Monitor the appointment during the probationary period and at least annually afterwards to ensure the measures are working adequately.

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General guidance on the level of risk associated with different categories of jobs.

Category 1 Risk Jobs:

The highest degree of risk is in jobs where:

1. There is one to one access to children or vulnerable adults, especially where those service recipients cannot look after their own interests and rely on the service provider.

2. Work in residential settings.

3. Work involving personal care or other close contact.


Second degree of risk involves other work with children and vulnerable adults where supervision is not constant and the opportunity to exploit might be developed.


Third degree of risk involves jobs where there is an opportunity to commit crime because of the availability of money, valuables, property.


Fourth degree of risk involves jobs which are generally low risk but which may have particular features relating to certain convictions, for example cleaners and caretakers and arson, passport fraud and working with asylum seekers.


Other jobs may be regarded as low risk.

Factors to consider in assessing risks.

The following factors must be taken into consideration when assessing the risks associated with the employment of people with positive DBS disclosures.

Risks associated with the job:

a) Does the post involve one to one contact with children or other vulnerable groups

b) What level of supervision will the post holder receive?

c) Does the post involve direct responsibility for finance or items of value?

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d) Does the post involve direct contact with the public?

e) Will the nature of the job present any opportunities for the post-holder to re-offend in the place of work?

Risks associated with the offence:

a) The seriousness of the offence in its relevance to the safety of other employees, customers, clients and property.

b) The length of time since the offence occurred. If more than 10 years this may significantly reduce risk. If within last 2 years the risk of re-offending is higher. Beware of recurring patterns over extensive periods of time e.g. regular gaps or periods when couldn’t offend due to being in prison etc.

c) The age and maturity of the applicant when the offence occurred. (Research indicates that risk reduces after age 24)

d) Any relevant information offered by the applicant about the circumstances which led to the offence being committed. For example the influence of domestic and financial difficulties.

e) Whether the offence was a one off or part of a history of offending.

f) Whether the applicant’s circumstances have changed since the offence was committed, making re-offending less likely. Evidence of positive change in lifestyle/stability e.g. accommodation, relationships, employment, training and education, associates, drugs and alcohol, emotional wellbeing, out of rehab for over 2 years.

g) The country in which the offence was committed. E.g. some activities are offences in Scotland but not in England or Wales and vice-versa.

h) Whether the offence has since been decriminalised by Parliament.

i) The awareness and degree of remorse expressed by the applicant and the motivation to change, although bear in mind the possibility for attempts to deceive.

If you require any assistance with completing this Risk Assessment please contact Barry Armstrong (Schools) on 01865 815956 or Hugh Ellis (S&CS) 01865 323732.

DBS Check Policy

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Annex 6

DBS Check Risk Assessment

This form can be used to assist in assessing and recording the risks of allowing someone to start work, volunteering before a DBS (Disclosure and Barring Service) certificate is received or renewals where a DBS certificate shows convictions or other relevant information.

The completion of this risk assessment form is the responsibility of the appointing manager or line manager as appropriate. It must be authorised by the Deputy Director or Head Teacher before the person can start or continue working with children or vulnerable adults. This completed risk assessment form must be placed on the individual’s personnel file or other appropriate file and made available to HR, Audit, Safeguarding and Ofsted inspections.

In very exceptional circumstances staff (but not volunteers) who work with children and or vulnerable adults may work without a clear Oxfordshire County Council enhanced DBS certificate if they are closely supervised (within sight and sound of someone with a clear DBS check). However, this will normally only be permissible when not to allow them to work would disrupt the care of children and vulnerable adults; e.g. where there is a regulatory requirement to have a ratio of staff to number of children or vulnerable adults. People may only work in these circumstances when the following applies:

The appointment is necessary to allow the service provision to continue. In the case of children, the person has an enhanced DBS certificate issued within

the last year by another body and the person provides the original enhanced DBS certificate to the appointing manager as evidence.

An enhanced (and if applicable the necessary Childrens and/or Adults barred list check), Oxfordshire County Council DBS certificate has been applied for.

The person has no unsupervised contact with children or vulnerable adults. They have no access to sensitive records, particularly information about individual

children or vulnerable adults. Any access to client databases is permitted only after authorisation by the Deputy

Director. This risk assessment and risk management plan has been completed and signed

off by the relevant Deputy Director/Head Teacher. Due to the high risks involved appointees to work in one to one situations or in residential care or similar environments must not start work until the fresh DBS certificate has been received or checked against the Update service.

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Please note that candidates may be able to carry out induction, training and supervised tasks whilst waiting for the DBS certificate to be returned.

If you require any assistance with completing this Risk Assessment please contact Barry Armstrong (Schools) on 01865 815956 or Hugh Ellis (S&CS) 01865 323732

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Risk Assessment process

The ‘Main contact’ in OCC eBulk DBS Online Application system will receive an email giving result of DBS check. Where the result contains “See Disclosure” or “Please wait to view applicant certificate”, the main contact must send Part 1 of the Risk Assessment to the applicant. Template email and form can be found here. (N.B. as this will indicate the individual has a criminal record we recommend it is the main contact who carries out and controls the risk assessment.)

Applicant completes Part 1 and return to main contact.

Main contact invites applicant to meeting. The purpose of the meeting is to

1. Correlate the information on Part 1 of the Risk Assessment and the DBS certificate.

2. Question the applicant in relation to assessing the risk – see Section B of the Risk Assessment form and Annex 3 of the Supporting Guidance relating to employment of ex-offenders and DBS checks.

3. Manager to take copy of disclosure with the written agreement of the applicant.

Post meeting the applicant, the interviewing manager is to complete Part 2 of the Risk Assessment ensuring they are correctly assessing the level of risk in relation to the role. Use Guidance in Undertaking a Risk Assessment in Annex 5 of the Supporting Guidance relating to employment of ex-offenders and DBS checks.

Deputy Director to review, agree and sign if appropriate.

Forward Risk Assessment to Deputy Director or their delegated authority.

Deputy Director to email completed Risk Assessment to Interviewing Manager and the councils recruitment team via the IBC.

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DBS Check Risk Assessment Form

PART 1 – for the applicant to complete You have indicated on your application form or our electronic DBS certificate processing system has indicated your DBS certificate will have or has information contained on the disclosure which may be relevant to your employment. This will not necessarily bar you from working with Oxfordshire County Council. It will depend on the nature of the position that you are applying for and your circumstances at the time of the incidents or offences. We would therefore like to give you the opportunity to provide an explanation for these incidents or offences, as well as the circumstances around you at the time. Please be aware that to withhold information or to give false information will be regarded as an attempt to falsify records constituting gross misconduct and will, if proven, lead to dismissal under the Council’s procedures. On receipt of this information, you will be sent a meeting date and time to go through the information on this report.

Name:

Date of Birth:

Job/ Position Applied for:

Work Base:

Job Reference:

Offence or Incident 1:

Date of Offence or Incident:

We need to know who was involved, when it occurred, what occurred, where the incident or offence was committed and why it was committed. It is also necessary to explain how you, the applicant, now feel about the incident or offence.


Date of offence or incident:

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We need to know who was involved, when it occurred, what occurred, where the incident or offence was committed and why it was committed. It is also necessary to explain how you, the applicant, now feel about the incident or offence




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Declaration by Applicant

I certify that the information I have provided on this document is true and complete. I understand that to knowingly make a false statement or omit information will result in my job or volunteering application being unsuccessful or, if employed, in my facing possible dismissal or other disciplinary action.

Signature:

Print:

You must return this form to the following named person and address marked private and confidential.

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DBS Check Risk Assessment Form continued.

PART 2 – For the appointing manager or teacher to complete:

Name of Candidate:

Date of Birth and/or

Payroll Number:

Job Title:

Job Ref No:

Work Base:

Proposed Start Date:

Manager/Teacher Conducting Assessment:

A. BACKGROUND INFORMATION CHECK –

Information only required where applicant is a new recruit. Some information can be gained from the Recruitment Checklist.

Information required. Notes/Confirmation. Application Form - check gaps, discrepancies or anomalies Appropriate and satisfactory references. Give details where you have obtained clarification or missing information on the applicant or verification of the referees position in the organisation. Qualifications – Have you checked and verified that candidate has the qualifications as listed in their application form? Has the candidate completed the Convictions Policy Statement on the Application form? Confirm that you have actively asked the person if they have any convictions, cautions, reprimands, warnings, bind-overs, pending prosecutions or disqualifications as permitted to disclose to us.

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Have you seen and verified asylum and immigration checks; i.e. the right of the individual to work in the UK? Have satisfactory health checks been received? Only available for schools List 99 check must be carried out before they start work if the DBS certificate is not back. To check the list email the candidates forenames, surname, previous surnames and dates of birth to: [email protected] You must provide date of undertaking list 99 check.

NOT SUE ABOUT THIS PROCESS??

Disclosure and Barring Service Checks Comments 1. Does the candidate already hold a DBS Disclosure Certificate? If not, please go to Q6. 2. Was the DBS certificate obtained by Oxfordshire County Council? If not, who is the Registered Body? 3. Was the DBS certificate issued within the last 12 months? 4. Is the DBS certificate to ‘Enhanced level’? 5a. If the candidate is going to work with children the DBS certificate must indicate “None Recorded” against the DBS Children’s Barred list. Is this on the DBS certificate? OR 5b. If the candidate is going to work with vulnerable adults the DBS certificate must indicate “None Recorded” against the DBS Adults’ Barred list. Is this on the DBS certificate? 6. Confirm date the DBS certificate application form has been forwarded to the DBS or Resourcing Team in Customer Services for processing. If there is no date identified Risk Assessment cannot continue beyond this point.

Date completed DBS returned to Customer Services :

7. Has the candidate been a resident outside of the United Kingdom? If yes, is the candidate able to produce the Police Check or DBS equivalent from other countries lived in?

If no, a Police Check or DBS equivalent from that country must be sought. Failure to provide a date of application will delay the person commencing work.

Date individual has applied for overseas check:

mailto:[email protected]

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B. ASSESSING THE RISKS

Question Applicable (Please delete as

appropriate)

Comments

Did the applicant declare the unspent convictions etc. on the DBS certificate application form and/or the OCC Application form?

Yes / No If ‘No’ state reason

Does the individual agree that the information detailed on the DBS certificate is correct?

Yes/ No If ‘No’ what do they

think is incorrect and why?

Were any offences work-related or committed within the context of a work setting?

Yes/No If 'Yes' give details

Were any offences committed within the last 2 years? Yes / No

If ‘Yes’ explain context in which each offence occurred e.g. where,

how, why and details of any victims. (Continue overleaf if necessary)

What is the individual’s attitude to the offence/s now?

e.g. regret/remorse/ justified/denial

Would they do anything differently now?

Yes / No If ‘Yes’ specify what

Has the individual’s circumstances changed since the conviction/s e.g. location/friends/partner/ education?


Are there any mitigating circumstances? e.g. immaturity, traumatic life event


Do the matters disclosed form any pattern e.g. repeat offences or repeat motivation (anger/financial/drugs/alcohol)

Yes / No If ‘Yes’ specify

Can the applicant demonstrate any efforts not to re-offend? e.g. Rehabilitation course, Anger Management course, help for alcohol/drug abuse.

Yes / No If ‘Yes’ specify

(NB – completing Community Service is a

punishment not a rehabilitation programme)

Does the post have any direct contact with the public and if so how vulnerable are they?

Yes / No If ‘Yes’ give details

Can safeguards be implemented to reduce/remove any risk e.g. no unsupervised contact?


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What supervision is available and how readily? Give details

Any further information Is there any other information relevant to this Risk Assessment regarding the candidate, the work itself or the location/environment where the activities will take place?

Level of Risk: Please complete the level of risk posed by appointing/employing the individual in this job. Give reasons.

High Risk Medium Risk Low Risk Can protective measures be put in place to render the risk low? Yes / No

Outline of the protective measures Risk Management Plan e.g. curtailment of access to children/information; additional supervision; temporary changes of work location; temporary diversion of low risk tasks or training.

Risk Assessment completed by:

Signed (Teacher/ Manager) Date:

Print Name (Teacher/Manager)

Authorised by Head Teacher or Chair of Governors /Deputy Director

Is this person suitable to start work before the DBS certificate is available or to continue working under the conditions proposed above? Yes/No

Comments: (Reasons for decision)

Is this person given permission to access client databases

Yes / No

Comments: (Reasons for decision)

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Risk Assessment Authorised by:

Signed (Head Teacher/ Deputy Director) Date

Print Name (Head Teacher/ Deputy Director)

August 2013 (Amended July 2015)

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