Disclosure and Barring Service checks: guidance for staff

1. Introduction

For certain roles in the University and for some students, a Disclosure and Barring Service (DBS) check is required. This guidance supplements the University’s formal policies in this area and gives guidance on how to decide whether a check is required and how these checks are undertaken.

2. Policy framework

The University has three policies that govern DBS checks: one for staff and students employed as staff; one for students on courses leading to a professional qualification and one for student volunteers.  All policies have a statement on the employment or enrolment of a student with a criminal conviction in relation to the Rehabilitation of Offenders Act (1974). They also set out how to deal with checks which disclose convictions and record keeping.

• Regulations for the consideration of criminal convictions for students on courses leading to professional registration
• Procedure for Disclosure and Barring Service Screening for students volunteering through the University
• Criminal convictions, disclosures and barring (Staff Policy and Procedure)

All staff either requesting or undertaking checks must ensure that they are familiar with the appropriate policy.  

3. Is a check needed?

The University, as a registered body with the DBS, has a duty to ensure that only checks that are necessary are undertaken. This is because of the high level of intrusion of particularly enhanced level checks and the sensitive nature of convictions data.  Careful consideration is, therefore, required before a check is undertaken.  

There are three levels of check: basic, standard and enhanced. The DBS sets out detailed guidance as to which check is appropriate.  In addition, a check against the adults’ or children’s barred list may be undertaken. These lists include individuals who are barred from working with children or vulnerable adults.

When a check is deemed necessary, care should be taken to ensure the right level of check and whether a check against one of the barred lists is required.  

4. Approval of a check for a role or for students on a particular course

When drawing up a job description, the manager is prompted to indicate that a check is required on the job description.  Before a check is undertaken, approval for this must be given by HR or the University Secretary acting in her capacity as the Lead Signatory with the DBS.  The manager must complete the form attached at Appendix 1 setting out which check is required and confirming than an eligibility check has been undertaken. 

A similar process will be undertaken for checks requested for students and the course leader is required to complete the form.

It should be noted that checks are required for a student to undertake a course which leads to professional registration including Nursing, Midwifery, Operating Department Practice, Paramedic Medicine and Social Work.  Checks are also required for staff who are supervising practice in these areas.    

5. How to assess eligibility?

To be eligible for a check, the member of staff or the student will normally need to be in regulated activity or in a particular profession.  Regulated activity has different definitions for children (ie those under 18) and for adults.  

Detailed guidance is contained on the government DBS website.

5.1 Checks for those in regulated activity with children

In general, a check is required if the person undertakes unsupervised activities with children which take place once a week or more than 4 times in a 30-day period.  These activities may include teaching, training, instructing, caring for or supervising children, or providing advice/guidance on well-being, or driving a vehicle only for children.  Someone who is supervising a person providing the above will also require a check.

Where the role takes place is also important and a check will be required if it takes place in a school, children’s home or other childcare premises.

If either or both of the above conditions are met, an enhanced DBS with a check against the children’s barred list will be required.  Such checks should, however, be assessed against the criteria and also the DBS eligibility tool.

• Details of the eligibility
• Guidance on regulated activity in relation to children

5.2 Checks for those in regulated activity with adults

The criteria for checks for those working with adults are much more specific.  Generally in the University context, only those providing health related care to adults (which includes counselling) or those supervising them will need to have an enhanced DBS check with an adults’ barred list check.  Such checks should be assessed against the criteria and also the DBS eligibility tool.  

This is a complex area and the guidance must be consulted to determine whether a check is required.

• Details of the eligibility
• Further guidance on regulated activity in relation to adults produced by the NHS

5.3 Checks for volunteers

Where a student is volunteering, they may be eligible for an unpaid check.  To qualify for a free-of-charge volunteer check, the applicant must not: 

• benefit financially from the position for which the application is being submitted
• receive any payment (except for travel and other approved out-of-pocket expenses)
• be on a work placement 5
• be in a trainee position or undertaking a course of study that will lead to a full time role/qualification
• be a paid foster carer or a member of a foster care household  

If they are on a placement that is required as part of their course or contributes to their course, students should not be marked as volunteers.

5.4 Other checks

Other checks may be carried out for certain roles. This includes staff with access to the UKVI SMS.  Such checks should be assessed against the criteria and also the DBS eligibility tool.  

5.5 Home based checks

Guidance on home based checks is provided by the DBS. However, the University does not have any occasion where this would be applicable and such checks should not be requested.  You should ensure, therefore, that we do not say ‘Yes’ in box x66 of the application form.    

6. Undertaking the check

Once it is agreed that a check is required for the role/course, checks may be undertaken. The check will be administered by staff in the following areas:

• HR
• Admissions
• Placements Office
• The Pyramid Coordinator 
• The Outreach Team  

There are approved counter signatories in each of these areas. Forms will be provided to applicants. All applicants must also receive a statement regarding the DBS’ use of applicants’ data and be required to sign the declaration.  The form for this purpose is at Appendix 2. This may be amended as necessary to reflect the particular circumstances of the check.  

7. Approval of countersignatories

Countersignatories are approved by the University Secretary and the application must be made through HR.  HR will keep a list of countersignatories which will be checked at least annually.  Leavers will be checked against the list. 

Heads of Service must inform HR where a countersignatory has changed duties so that the DBS may be informed.  

8. Countersignatory duties

• Countersignatories are required to ensure that they understand the following:
• The appropriate University policy governing the checks they are undertaking
• The eligibility criteria for the checks they are requesting
• Checking that the required documentation has been provided
• Checking that the forms are filled in correctly.

Countersignatories should attend training provided by the University and to keep themselves updated.

Countersignatories should ensure that HR are kept informed of any changes of address or other contact details so DBS can be kept updated.  

9. Changes to countersignatory details

Once notified, a countersignatory in HR will inform the DBS in writing, on company letter-headed paper, and provide the following information:

• registered body number
• your (lead) countersignatory number and signature
• details of the change(s) - such as the previous and new name/address of the registered body, the effective date of the change, and the name and registration number(s) of the countersignatories affected

10. Evidence checkers

Evidence checkers may be used to check ID, date of birth and address and to help complete forms.  All forms must, however, be checked and signed by a countersignatory.  A list of evidence checkers must be maintained.

11. Checking evidence

All applicants for a DBS check must have appropriate proof of identity, date of birth and address. Guidance on what evidence is acceptable is available from the DBS website. 

A record of what documents were used to establish ID etc must be recorded on the form at Appendix 2.

12. When a certificate is provided to the University

All certificates are sent to the applicant.  Applicants should be asked to provide the original.  A record must be kept of the date of the check and the DBS certificate number.  

You should only retain the certificate if this is required for further investigation and only in accordance with the appropriate policy. Once any investigation is concluded, the certificate must be returned to the applicant.  No copies of certificates should be retained under any circumstances.   

13. Data protection, record keeping and disposal

The policies governing DBS checks outline what is required in terms of record keeping.  As outlined above, only a record of the certificate should be retained. 

Once a check has been completed any copies of ID or other documents or copies of the DBS application forms should be destroyed. This should be by shredding the document. Copies should not be left unshredded in confidential waste bins.

Where an applicants’ DBS has revealed relevant convictions, only a record of the conviction should be retained where necessary as part of the appropriate process followed to determine whether they are able to undertake the job/course with that particular conviction.

Particular care must be taken with DBS checks and criminal conviction data as this is particularly sensitive data.  Those handling checks must at all times follow the University’s Data Protection Policy.

14. Training and awareness

All countersignatories are trained in the process of approving DBS applications by HR.  The University will also offer periodic training in DBS checking which they must attend.

All countersignatories are responsible for ensuring that they remain up-to-date with DBS guidance, particularly for ID checking.

All evidence checkers must be provided with the DBS guidance and given training on evidence checking.  They should have read and understand the ID checking guidelines.

15. Overview of DBS checks

The DBS policies and procedures will be kept under review. Meetings of all countersignatories, led by the University Secretary, will take place when there are issues of good practice or changes in DBS regulations.