Criminal convictions, disclosures and barring (staff policy and procedure)

1. Scope and purpose

1.1 The policy outlines the University’s arrangement on the recruitment and employment of staff with criminal convictions, the use of disclosures, the storage and use of information and convictions which have been disclosed by the Disclosure and Barring Service (DBS). 

1.2 The policy applies to all potential and current staff, including individuals who have an honorary contract with the University, temporary workers, agency staff, and individuals engaged with the University on a self-employed contract basis. To ensure that applicants are aware of this policy, it will be provided at the outset of the recruitment process for roles where a disclosure will be required as part of the pre-employment checks. 

1.3 It is the responsibility of the procurement manager in the provision of contracts / contractors (that are not employees of the University) such as Elior, Bouygues etc. to comply with the appropriate checks as required in alignment with the University's Safeguarding Children Policy.

1.4 The University requires staff employed in certain roles to undergo a DBS check every five years, after a break of service or sooner where this is a requirement for particular operational or organisational reasons. In situations where staff are appointed to or promoted to new roles within the University that require a DBS check, this will be undertaken if the staff member does not already have a DBS check.

1.5 The DBS update service allows the University to undertake a status check to see if any information has come to light since the certificate was issued. Re-checks can be done using the update service where appropriate.

1.6 The Human Resources Department will maintain a central register of all staff checked, and roles due to be re-checked every 5 years. 

1.7 The University is a registered user of the DBS and will comply with their code of practice and undertakes to treat all applicants / employees fairly and consistently. The University will not discriminate unfairly on the basis of convictions or other information revealed in a disclosure.

2. Policy statement on the recruitment and employment of staff with criminal convictions

2.1 The University is committed to equality of opportunity for all job applicants and aims to select people for employment on the basis of their skills, abilities, experience, knowledge, qualification and training.

2.2 The Rehabilitation of Offenders Act 1974 (ROA) Exceptions Order 1975 provides that ex-offenders are not usually required to disclose to prospective employers, convictions defined as ‘spent’ under the Act. It is the University’s policy to require applicants to disclose any ‘unspent’ criminal convictions as part of their application, except in the case of applications for jobs which are eligible for a disclosure where all convictions should be disclosed.

2.3 Having a criminal record will not necessarily bar an applicant or existing employee from working for the University the nature of a disclosed conviction and its relevance to the job will be considered. The University will establish the suitability and risk posed by the individual in relation to the position.

2.4  Where a conviction has been disclosed in an individual’s application for a job or subsequently when employed, a discussion will take place to consider and determine the relevance of the offence to the position. Failure to reveal information relating to unspent convictions could lead to the withdrawal of an offer of employment or disciplinary action.

3. The disclosure of convictions and the consideration of offers of employment

3.1 The DBS assists employers in making safer recruitment / employment decisions by enabling organisations to identify candidates who are unsuitable for certain work, particularly work which involves undertaking Regulated Activity. It may also be relevant for occupations which are exceptions to the ROA.

3.2 A disclosure will only be requested for roles that indicate one is proportionate and relevant to the position concerned, such as the roles listed in Appendix 2. The DBS provide guidance on the eligibility for disclosures.

3.3 There are four types of Disclosure and Barring Service (DBS) checks. With an enhanced disclosure it is possible to obtain a barred list check to identify whether an individual is barred from working with either children or vulnerable adults. The DBS will remove certain specified old and minor offences in line with the DBS filtering rules.

• 3.3.1 Basic disclosures shows details of unspent convictions only.
• 3.3.2 Standard disclosures can be obtained for positions included in the ROA 1974 (Exceptions) Order. A standard disclosure will contain details of spent and unspent convictions, cautions, reprimands and final warnings that have not been filtered.
• 3.3.3 Enhanced disclosures can only be obtained for positions listed in the ROA 1974 (Exceptions) Order 1975 and the Policy Act 1997 (Criminal Records Regulation). An enhanced disclosure will contain the same details as a standard disclosure as well as a check of local police records.
• 3.3.4 Enhanced Disclosures with Barred List Checks with a children’s and / or adults barred list check can be obtained for positions which meet the current definition on regulated activity. The definitions of regulated activity related to children, are detailed in Appendix 1. The barred list check will identify if the individual has been barred from working with the appropriate vulnerable group.

3.4 Appendix 2 indicates those jobs at the University likely to meet the requirements for a disclosure.

3.5 It is the responsibility of schools and departments to advise the Human Resources Department of existing posts where DBS checks becomes necessary as a result of new or changing duties, for example roles that require contact with children or a requirement organisationally.

3.6 The DBS will assess relevant information on individual DBS applications and, where they believe this indicates that the individual poses a risk, bar them from working in a regulated activity.

3.7 A person who is barred from undertaking regulated activity will be breaking the law if they work or volunteer or try to work or volunteer with vulnerable groups.

3.8 University Senior Officers who knowingly employ someone in a job undertaking regulated activity who is barred from undertaking regulated activity may be breaking the law.

4. Process for DBS checks

4.1 When submitting the job specification for a role and the recruitment pack for STONEFISH (the online recruitment system), a hiring manager should select the appropriate option to indicate whether or not the post requires a DBS disclosure (in line with appendix 2). If ‘yes’ the advertisement will contain a clear statement to this effect. Potential applicants need to be aware that a DBS disclosure is required as part of the application process.

4.2 An offer of employment for a post requiring a DBS check will be conditional on receipt of a disclosure satisfactory to the University. This requirement will be in addition to the job applicant satisfying the University’s usual requirements for employment (for example to provide satisfactory references and produce documentation establishing his / her identity and right to work in the UK).

4.3 To enable the job applicant to carry out the DBS check, the University will provide the applicant for the post with an application form and ask him / her to complete and return the form to the University along with the required documents to undertake the identity check.

4.4 For persons who have changed their names by deed poll, a record of all previous and current full names will need to be submitted for a DBS check.

4.5 The University will send the completed form to the DBS. Once the check has been carried out, the DBS will send the certificate to the applicant. The University will ask the job applicant for sight of the original DBS certificate.

4.6 Where the job applicant for the post is a member of the DBS Update Service, the University will, with his / her permission, carry out a status check on any current certificates. If an individual already has a check of the same type and level and has subscribed to the DBS Update Service, the University will accept disclosures obtained by other organisations.

4.7 All temporary and hourly paid staff and lecturers should be checked in the same way as permanent contract staff for roles that require a DBS check.

4.8 Where an employment agency is contracted to provide temporary staff to the University to fill a post where a DBS check is required, it is the responsibility of the agency to undertake all necessary pre-employment checks including a DBS disclosure. The recruiting manager and the Human Resources Department should ensure that evidence is provided by the agency and recorded.

4.9 The DBS Update Service allows individuals to keep their DBS certificate up to date and take it with them from role to role or within the same workforce where the same type and level of check is required. Up to date costs can be obtained from DBS directly by visiting their website.

5. Consideration of convictions

5.1 Not all criminal convictions will be a bar to employment. The results of a disclosure or DBS check will be considered on an individual basis and the University will act in a proportionate manner when deciding whether or not to proceed with the appointment to the post in question.

5.2 Where a disclosure identifies convictions or other relevant information, the Chair of the appointment panel will make a decision in conjunction with the relevant Human Resources Partner and in discussion with the Director of Human Resources and appropriate VCE member, about whether any action needs to be taken. This will include ascertaining details of the offence from the applicant / employee either through a discussion or by obtaining a statement from them.

5.3 In making a decision, the following information should be considered: 

• The seriousness of the offence and its relevance to the safety of other employees / students / members of the public. 

• The length of time since the offence occurred. 

• Whether the offence was a one-off or part of a history of offending. 

• Any relevant information offered by the applicant about the circumstances that led to the offence being committed. 

• Whether the individual has disclosed the offence – for example in an application or interview. 

A record of the decision made will need to be kept on the recruitment file. 

5.4 For new appointments if the decision is not to appoint, a letter will be sent to the applicant withdrawing the offer of employment and stating the reasons for this decision. 

5.5 Where either the job applicant refuses to agree to an application to the DBS or a DBS check is completed but the job applicant refuses to allow the University to see the DBS certificate, he / she will be treated as not having satisfactorily completed the DBS check.

5.6 Job applicants will not be permitted to commence employment with the University until all specified conditions are satisfied. 

5.7 Recruiting managers should ensure potential new applicants do not start their role until clearance has been received. Only in very exceptional circumstances and with agreement from the Director of Human Resources can members of staff commence work prior to receiving clearance. The recruiting manager will be required to complete a risk assessment (Appendix 4) to demonstrate safeguarding practices will apply in those exceptional circumstances where individuals start work prior to clearance. A copy of the risk assessment should be provided to the Human Resources Partner (to be signed by the Director of Human Resources) for the recruitment file.

6. Disclosure of criminal convictions during employment

6.1 All members of University staff are required to disclose criminal convictions acquired during their employment. Failure to do so may be considered gross misconduct and could result in staff being dismissed.

6.2 Disclosure should be made to a Human Resources Partner or line manager, in confidence, who will consider the effect of the offence on the employee’s post in line with the process identified in Appendix 3. Where such a disclosure is considered to impact on the ability of the University to continue to employ a member of staff, then the disclosure will be managed through the University’s Staff Disciplinary Procedure or another process as relevant. Depending upon the nature and circumstances of the conviction, consideration will be given to the availability of suitable alternative employment.

6.3 Disclosures relating to children will be referred to the Lead Designated Officer as referred to in the University's Safeguarding Policy and Procedures.

6.4 In certain circumstances, the University is required to refer information to the DBS about individuals who may pose a risk. This will be undertaken in line with DBS guidance on making referrals.

7. Secure storage, handling, use, retention and disposal of disclosures and disclosure information

7.1 The University is committed to ensuring that all information provided about an individual's criminal convictions, including any information released in disclosures, is used fairly and is stored and handled appropriately and in accordance with the provisions of data protection legislation. Disclosure information will only be shared with those who are authorised to receive it in the course of their duties.

7.2 Disclosure information including information on criminal convictions are treated as special category data as defined in the General Data Protection Regulation (GDPR).

7.3 The University will ask to see the original disclosure certificate. In exceptional circumstances the original disclosure certificate may be kept for the purposes of progressing a recruitment or employment related decision.

7.4 Once a recruitment (or other relevant) decision has been made, the disclosure certificate will not be kept for any longer than is necessary. This is generally for a period of up to six months, to allow for the consideration and resolution of any disputes or complaints. If, in exceptional circumstances, it is considered necessary to keep disclosure information for longer than six months the DBS will be consulted about this. Once the retention period has elapsed, any disclosure information held will be destroyed securely.

7.5 A record of the date of issue of a disclosure, the name of the subject, the type of disclosure requested (including whether barred lists checks were obtained), the position for which the disclosure was requested, the unique reference number of the disclosure and the details of the decision taken will be kept.

8. Review

8.1 This policy will be reviewed in five years, unless changes need to be made in advance for statutory requirements.