Review of Criminal Records Checking Policy. Paul Kent, Director for Corporate Resources

Transcription

1 Page 1 Review of Criminal Records Checking Policy Cabinet Agenda Item: 17 Date of Meeting 2 July 2014 Cabinet Member Lead Director Robert Gould Paul Kent, Director for Corporate Resources Subject of Report Review of Criminal Records Checking Policy Executive Summary There have been significant changes to the way in which criminal record information is collected, retained and provided by the Disclosure and Barring Service (DBS). The main changes are in respect of clearance certificates which are now sent direct to individuals (rather than to employers) and the introduction of the DBS Update Service (DBS US) which enables individuals to join an online database which maintains dynamic criminal record information and can accessed on line by employers. The introduction of the DBS Update Service provides an opportunity to review the council s approach at recruitment to the portability of criminal record checks conducted by other organisations and the practice of regular criminal record rechecking for which there is an agreed interim approach. The current arrangements are: Recruitment/Portability: All potential employees and volunteers for eligible roles are subject to full DBS checks (no portability is accepted). Re-checking: The current interim measure is that three yearly criminal record re-checking has been suspended subject to exceptions to meet regulatory recommendations or the assessment of risk by Heads of Service. Charging for DBS Checks: All costs are met by the County Council (where there is a cost) The DBS Operational Working Group, senior managers in each of the Directorates, the Corporate Leadership Team and the trades unions have been involved in discussions about the changes and potential options. These have been taken account of in making recommendations for the Cabinet. 1

2 Page 2 Review of Criminal Records Checking Policy Impact Assessment: Equalities Impact Assessment (EqIA): An EqIA screening form has been completed. Use of Evidence: Benchmarking information from other councils has been considered. Budget: The cost of DBS checks and re-checks in 2012/13 was c. 55,000. The proposed changes provide no adverse impact on this cost. One option provides potential for marginal savings. Risk Assessment: Having considered the risks associated with this decision using the County Council s approved risk management methodology, the level of risk has been identified as: Current Risk: LOW Residual Risk LOW Other Implications: None Recommendations Reason for Recommendation Appendices Background Papers Report Originator and Contact It is recommended that the Cabinet approve the proposed approach to:- o enable use of the Disclosure and Barring Service Update Service where individuals are registered, or to undertake new checks where this is not the case o continue with re-checks unless the Head of Service determines not to do so o continue to fund the cost of DBS checks but not reimburse individuals for DBS US membership To identify and approve Dorset County Council s approach in respect of the future operation of criminal records checking and associated policy framework. Appendix: Options analysis - Criminal Records Checking Policy. Previous reports to the Cabinet Name: Anne McConkey, Senior HR Officer Tel: a.s.mcconkey@dorsetcc.gov.uk Name: Natalie Adam, HR Manager Tel: n.adam@dorsetcc.gov.uk 2

3 Page 3 Review of Criminal Records Checking Policy 1 Introduction 1.1 At meetings in November 2012 and April 2013, the Cabinet considered and approved changes to criminal records checking policies in the light of actual and proposed changes to the Disclosure and Barring Service (DBS). As a result, certain measures were put in place some permanent and some on an interim basis pending a further report once additional clarity in relation to some changes was available. 1.2 As anticipated, there have been significant changes to the way in which the criminal record information of individuals is collected, retained and provided by the Disclosure and Barring Service. Our current policy on Criminal Records Checking has been considered in the light of these changes and following discussions with the DBS Operational Working Group, senior managers and councillors and the trades unions. 2 Key DBS Changes 2.1 DBS Update Service (DBS US) Individuals subject to a new DBS check (currently 44 per check but free for volunteers) can register with the update service when applying or within 14 days of completion of a check. Permission is then given to organisations to access on-line confirmation of the date and types of DBS check undertaken and whether they are clear. 2.2 The annual cost of DBS US membership is 13 (payment is only accepted by the DBS from the individual). The DBS is keen for employers to encourage staff to join the service which they say will speed up and improve access to relevant information; improve recruitment/transfer time-scales and reduce employer costs. 2.3 It should be noted that the delay of up to nine months in recording police information has a minor impact on the accuracy of data held via the DBS US but the government does not consider this to be of significant impact to safeguarding. Some senior managers in DCC and other local authorities do not share this view. 2.4 Applicant Only Disclosure Certificates The introduction of applicant only disclosure certificates means that the disclosure certificate is only sent to the individual (previously the employer also received a copy). This has resulted in changes to the way managers verify the information provided by the individual. 3 Current Arrangements for Portability, Re-Checking & Self-Declaration 3.1 Employees: DBS checks completed for all new recruits (no portability of checks accepted); New recruits are asked to complete a self declaration as part of the application confirming whether or not they have any relevant convictions; Contractual requirement for staff to disclose any relevant changes to their criminal record status; Re-checking not undertaken unless agreed by the Head of Service or there is a requirement to do so. 3.2 Volunteers: Subject to checks according to DCC policies (at no cost); 3

4 Page 4 Review of Criminal Records Checking Policy There is no specific re-check policy for volunteers although some managers may do so. 3.3 Contractors: The responsibility for determining whether the County Council should conduct its own DBS/basic disclosure checks rests with the relevant Head of Service. Procuring managers conduct a risk assessment to determine whether the County Council should conduct its own checks or whether portability is acceptable. Additional checks may be conducted where deemed necessary at the contractors cost; Contracting organisations require their employees to disclose convictions arising in the course of employment; Portability of DBS checks conducted by unitary, borough or district councils in Dorset or neighbouring district council areas is enabled for taxi drivers who are required to hold a hackney carriage or private hire licence (within 6 months of the check). 3.4 Agency Workers: DCC s umbrella agency Comensura holds details of the type of criminal record check required for each job position and applies the required statutory & County Council policy requirements; Managers are responsible for ensuring that non Comensura agency or independent workers are aware of the requirements and are checked accordingly; For agency staff providing services within a County Council Adult and Community establishment (i.e. residential or day care), portability is agreed only if an appropriate DBS check has been completed within the last three years; There are no specific requirements regarding agency workers in relation to rechecks or self-declaration. 4 Options and Risks: 4.1 The main options available for implementation are: Option 1 Option 2 Option 3 Not to use the DBS US and to apply 3 yearly re-checks; Use the DBS US for new recruits or current employees where appropriate. Otherwise, apply option 1; Use the DBS US upon recruitment and throughout employment for all. 4.2 An options analysis in respect of each of these options is provided in the Appendix. The proposed option for implementation is Option 2. More detail on the proposed approach is provided in the following paragraphs. 5 Other Local Authority Approaches 5.1 Benchmarking with other local authorities indicates that whilst some are utilising the DBS US and have amended their portability arrangements (for example Poole and Portsmouth), the vast majority (including Devon County Council and Wiltshire Council) are not amending their policies and procedures to utilise the DBS US at present although a number are continuing to consider their position. 6 Proposed Approach 6.1 Having considered the options and the risks and issues associated with each, together with the views of consultees, the following approach (based on option 2) is 4

5 Page 5 Review of Criminal Records Checking Policy proposed in respect of amending criminal record checking policy on portability, rechecking and charging:- 6.2 Recruitment/Portability The following provisions would apply to potential recruits or volunteers for roles eligible for criminal record checks: Membership of the DBS US would not be mandatory; Full criminal record checks would be undertaken in accordance with current arrangements where individuals do not hold appropriate membership of the DBS US; Where individuals hold appropriate membership of the DBS US, DCC would accept it for criminal record checking purposes. 6.3 Re-checks In respect of re-checking, the following would apply:- Re-checks would be conducted on a 3 year rolling basis unless the Head of Service uses their discretion not to do so. There is no current statutory requirement for re-checks to be undertaken for employees or volunteers; Guidance would be developed to aid consistency of judgement when considering requests to exempt from re-checks; Where re-checks are undertaken, the DBS US database would be used to recheck current employees or volunteers who are members at the appropriate level; The requirement for individuals to declare any changes in their criminal record status would be reinforced by: o Providing an opportunity during the PDR for an individual to declare any changes; o Strengthening wording in terms and conditions of employment to emphasise the obligation on an employee to declare any relevant changes to their criminal record status whilst with DCC. 6.4 Agency Workers and Contractors The current agency worker policy and procedure would be amended to accept clearance via the DBS US where an individual is a member and the certificate is appropriate to the role if the Head of Service (or their senior manager representative) deems it to be appropriate Where it will assist effective service delivery and/or improve safeguarding, the Head of Service may explore whether or not it would be beneficial and possible (taking into account current contractual/partnership arrangements) to require specific groups/roles working with DCC via agency or contractual arrangements to hold membership of the DBS US. Examples might include pharmacists and adult domiciliary care post holders. 6.5 Charging The following would apply in respect of charging: Employees would not be reimbursed for the costs of DBS US membership; The cost of criminal record checks (including re-checks) for employees would continue to be met by the County Council where individuals are not signed up to the DBS US; No costs apply to any DBS checks conducted on volunteers; Agency and contractor cost arrangements would remain as currently agreed with individuals or agencies/contractors being responsible for costs. 5

6 Page 6 Review of Criminal Records Checking Policy 7 Next Steps 7.1 Any changes arising to policies, procedures and guidance arising from the agreed approach will be implemented by the autumn. Paul Kent Director for Corporate Resources June

7 Option 1: Option 2: Option 3: Page 7 Review of Criminal Records Checking Policy Appendix - Options analysis - Criminal Records Checking Policy DBS US* PORTABILITY RE-CHECKS ADVANTAGES DISADVANTAGES Do not use the DBS Update Service. Arrangements for contractors and agency staff remain as now Use the DBS US for new recruits or current employees and volunteers where appropriate. Otherwise, apply option 1. Contractor and Agency arrangements would be amended to accept DBS US membership where appropriate Use the DBS US upon recruitment and throughout employment for all. New Contractor and Agency arrangements would be amended to comply with this approach. Continue to apply full checks. DCC pays Accept portability from a previous employer to DCC if a potential recruit is a member of DBS US and has the right level of check. If not, apply a full check. Apply portability arrangements as in option 2. DBS US fees are reimbursed to the individual * Disclosure & Barring Service Up-Date Service Continue to apply 3 yearly rechecks. DCC pays Use the DBS US where: Employees have registered with the DBS US They give on-going permission to DCC to do status checks Their registration is appropriate for their role Where the above does not apply, a 3 yearly re-checking process subject to Head of Service agreeing exceptions. Use the DBS US to check the status of all employees as required and if/when regular rechecks are made Current employees would be required to join the DBS US when a re-check is required and to maintain their membership during employment. Easy to implement (managers and employees familiar the systems) Risks levels remain unchanged. Some cost and time savings are likely to accrue. It is relatively easy to implement Changes to current employees terms and conditions of employment will not be required. Some cost and time savings will accrue when new recruits join DCC who are already registered with the DBS US. Results are returned on-line instantly. Potential cost and time savings will not be realised It will not be possible to check quickly and on-line for changes to criminal records via the DBS US. Two different arrangements relating to criminal checking procedures will be running in parallel which could be confusing. Neither new recruits nor current employees who opted to join the DBS US of their own volition will be obliged to retain their registration. The costs of re-checks will increase initially Only individuals (not employers on their behalf) can subscribe to the DBS US. This makes reimbursement of fees complex. Contracts of employment would need to be amended to ensure that employees remain registered and that DCC has their on-going permission to undertake status checks. 7