Education Central Multi Academy Trust Guidance on the Single Central Record

Transcription

1 Education Central Multi Academy Trust Guidance on the Single Central Record June 2017

2 Table of Contents Introduction... 1 Responsibilities... 1 Academy Staff... 3 Local Governing Board Members... 7 Supply & Agency Staff... 8 Contractors... 9 Volunteers... 9 Student Teachers Visitors ECMAT Staff ECMAT Trust Board University of Wolverhampton and Education Central Staff Staff Files & Document Retention Signposting Appendix 1 Headteacher SCR Check Pro-Forma Appendix 2 Link Governor SCR Check Pro-Forma Appendix 3 Safeguarding Statement Appendix 4 Declaration Form to Identify if Overseas Check is Required Appendix 5 Letter to Contractors Appendix 6 Template Letter to Staff for Missing Medical Clearance Appendix 7 Letter to Employment Agencies Appendix 8 Pre-Placement Screening for Students Appendix 9 Pre-Employment DBS Risk Assessment Appendix 10 DBS Risk Assessment (Renewal) Appendix 11 DBS Risk Assessment Employees Commencing Work Prior to DBS Clearance Appendix 12 Risk Assessment Employing a Person with a Criminal Conviction... 32

3 Guidance on the Single Central Record Introduction This guidance has been developed in accordance with statutory guidance from Keeping Children Safe in Education (September 2016): ng_children_safe_in_education.pdf This guidance has been developed to assist the Trust, Headteachers, Business Managers and any other colleagues who are involved in the management and maintenance of the Single Central Record (SCR). This document will be updated to reflect any change to statutory requirements. This guidance is aligned to the ECMAT SCR template as published in November This template is updated regularly and the most recent version can be found on the ECMAT Website ( In line with Keeping Children Safe in Education (September 2016), ECMAT will maintain a SCR of members of the proprietor body, centrally employed staff and contractors. Each Academy will be responsible for managing and maintaining their own Single Central Record. The guidance that follows will clarify the checks required for each group. In order to share best practice across the Trust, also contained in this document are templates which can be found in the appendices and must be adopted by academies. Responsibilities The focus of the ECMAT Ethos is ensuring that whatever else children and young people experience, they can enjoy a good school. In order to ensure that this can happen, safeguarding the children in our care must be of utmost importance to every member of staff in our academies. The Department for Education defines safeguarding as: protecting children from maltreatment; preventing impairment of children s health or development; ensuring that children grow up in circumstances consistent with the provision of safe and effective care, and taking action to enable all children to have the best outcomes. 1 Academy Responsibilities Academies are responsible for maintaining their own SCRs and remaining compliant with safeguarding responsibilities as outlined in Keeping Children Safe in Education (2016). Ultimate responsibility for confirming SCR compliance to ECMAT lies with the Headteacher. To be able to fulfil our responsibility to safeguard our children, it is essential that the appropriate checks are carried out on every person who enters establishments of the Trust. The outcome of these checks must be recorded on relevant sections of the SCR. Each check should be dated and initialled. The Headteacher and Safeguarding Link Governor should review the SCR on a termly basis, identify any gaps that need to be addressed and 1 Department for Education, Keeping Children Safe in Education (2016:5) 1

4 ensure that action is taken to fill these. The pro-formas in Appendices 1 and 2 must be used to keep a record of these checks. Completed Headteacher check forms must be submitted to ECMAT HR (ecmatrecruitment@wlv.ac.uk) by way of audit on the final Wednesday of each half term. Submission dates have been published on the ECMAT website and can be found at the link below: ECMAT Responsibilities ECMAT is responsible for providing advice and guidance and sharing good practice with all academies in supporting safeguarding compliance of the SCR. 2

5 Academy Staff Checks on academy staff should include all employed staff (teachers and support), casual workers and salaried students. If cleaners and kitchen staff are employed by the academy, they should also be included on this tab. Keeping Children Safe in Education (September 2016) states that the following checks should be carried out for all new appointments. If you find that there are gaps on your SCR for academy staff, measures should be put into place to fill these as a matter of urgency. Where teaching staff work in more than one academy across the Trust, they should be recorded on the SCR for one academy. This should be the academy where they spend the most teaching time or the one against which they are recorded for pay and other purposes. For other academies where the member of staff operates, there should be a reference on the SCR to the fact that their record is held at XX academy. Identity Checks Identity checks should be carried out on all newly-appointed staff. A piece of in-date, photographic ID should be presented for verification. If photographic ID is not available, you must verify an individual s identity using one of the three routes for DBS checks. Further information on this can be found at the link below: For anyone who is not a member of staff (e.g. contractor or supply teacher), their ID should be checked on arrival and details should be recorded on the SCR. Qualifications Qualifications should be checked for all staff in line with the job description and person specification for the post that they have applied for. This includes both teaching and support staff. An original certificate must be presented. Details of the qualification must be recorded on the SCR and a copy should be kept on the staff file. A transcript or online print out alone is not acceptable and may only be used as an interim measure whilst obtaining a replacement certificate. If the original certificate is not available, then an application should be made by the candidate/member of staff to the awarding institution for a replacement. The member of staff may incur a cost for this. It is not the responsibility of the academy to cover this cost. References Reference checks should be seen as a tool to assist you in making recruitment decisions. The purpose of seeking references is to obtain objective and factual information 2. 2 Department for Education, Keeping Children Safe in Education (2016:31) 3

6 At least two references should be sought for all short-listed candidates, internal and external, prior to interview. It is important to obtain the references before the interview and scrutinise the information. Any discrepancies must be addressed before appointment to the post is confirmed. Panel members should explore any concerns with the candidate during the interview stage. Open references addressed to whom it may concern are not acceptable. Should references of this nature be received, alternatives should be sought. In addition, if a candidate is applying for a teaching post is not teaching when they apply for the post, it is also advisable to check with the school, college or local authority at which they were most recently employed, to confirm details of their employment and their reasons for leaving. 3 If you have members of staff employed at the academy prior to 1 September 2015 who do not have two references on file, the safeguarding statement in Appendix 3 should be completed by the Headteacher and placed on the staff file. Reference should be made to this on the Single Central Record. References A Lot To Do, But Important That We Do It The lion s share of the work to be completed on references will fall to the person/team responsible for dealing with recruitment. As such, they will need to remember the key tasks that must be carried out to ensure that appropriate references are obtained, thus ensuring that the integrity of the process is maintained. We thought that the following mnemonic might be a helpful way to remember the steps that need to be completed. Remember, appropriate senior colleagues should be signing references off as satisfactory. Request two references once candidates are short-listed Obtain clarification from the referee on any queries Analyse the content for discrepancies Raise queries at the interview and ensure references are signed off by senior colleagues Prohibition Order & Section 128 Direction Checks Teacher prohibition orders prevent a person from carrying out teaching work in schools, sixth form colleges, 16 to 19 academies, relevant youth accommodation and children s homes in England. 4 Prohibition order checks must be carried out on all teachers (with QTS) and all members of staff without QTS who are appointed to carry out teaching work. Useful guidance on how to carry out Prohibition Order Checks for non-qts teaching staff has been produced by Andrew Hall (Safeguarding in Schools) and can be found at the link below: 3 Department for Education, Keeping Children Safe in Education (2016:31) 4 Department for Education, Keeping Children Safe in Education (2016:26) 4

7 check/?mc_cid=c97ac4f972&mc_eid=d06e7abc6c This guidance was produced in September 2016 and therefore you must keep yourself informed should there be any further changes to statutory guidance. In addition, anyone appointed to a management role in an academy (SLT) must be subject to a Section 128 Direction check in order to ensure that they are not prohibited or restricted from the management of an academy. Further checks should also be carried out for teacher sanctions in the European Economic Area (EEA). Since 18 January 2016, you are able to check if a teacher has had any sanctions placed on them by any EEA member state teaching profession regulators via the DfE Secure Access portal. You should be aware that only sanctions applied after 18 January 2016 will be visible. In addition, please remember to instruct the teacher to obtain the necessary Certificate of Good Character or police record check in line with Home Office Guidance (see next section for overseas checks). Whilst any EEA restrictions may not necessarily prevent a teacher from being employed in a teaching capacity in the UK, you must consider any restrictions when deciding whether the candidate is suitable for employment in your academy. You should seek support from HR should you discover that a candidate is subject to a prohibition order or EEA restriction. Prohibition Order, Section 128 Direction and EEA Sanction checks must be completed online at the link below: Overseas Checks Overseas checks should be carried out for anyone who has lived abroad for 12 months or more in the past 10 years. A template declaration form can be found in Appendix 4 to allow you to pre-screen appointed candidates and ascertain whether or not you should expect them to submit a Certificate of Good Character. Requirements for overseas checks vary from country to country and therefore any checks that need to be undertaken should be done in line with Home Office guidance. Information on the checks required for each country can be found at the link below: From 6 April 2017, the Home Office require an overseas criminal record certificate for anyone in an education role applying for a visa to work in the UK who has abroad for 12 months or more in the past 10 years. Academies have a statutory responsibility to inform Tier 2 skilled worker applicants of this requirement. 5

8 DBS and Barred List Checks A Disclosure and Barring Service (DBS) check enables you to check the criminal records and barred lists of the applicant/employee in order to ascertain their suitability to work with children and vulnerable adults. DBS checks must be completed and a clear certificate must be presented to you before a new starter joins your academy. In exceptional circumstances, if a new member of staff is required to join your academy before their DBS clearance has been returned, then you should carry out a risk assessment as well as a separate Barred List check via the Teachers Pensions website ( For most academy staff, it is likely that an Enhanced DBS check with Children s (and Adults where appropriate) Barred List will be required. The safer recruitment section of Keeping Children Safe in Education (September 2016) provides clarification on scenarios in which barred list checks may not be required. You must record on the SCR all the evidence which has been presented to complete the check, who has checked the evidence and the date on which it was checked. You must also view the original certificate and record this on the SCR. ECMAT require you to carry out DBS checks using Stoke City Council s E-Bulk service at the link below: Childcare Disqualification Regulation Checks Information on disqualification under the Childcare Act 2006 can be found at the link below: alification_under_the_childcare_act_june2016.pdf The guidance on disqualification under the Childcare Act 2006 is due to be reviewed by the Department for Education in January 2017 and any updates will be reflected in this document which will be made available for download via the ECMAT website. Childcare Disqualification Regulation checks need to be carried out for staff employed in providing early years childcare or later years childcare (from birth up to, but not including, the age of 8). The guidance on Childcare Disqualification Regulation Checks is additional to the requirements of Keeping Children Safe in Education (2016), however ECMAT require this check to be completed for all relevant staff. If you are a Headteacher in Secondary education whose staff members support activities in primary education, then it is your responsibility to ensure that a Childcare Disqualification Regulation check has been completed. Headteachers in Primary education using these services should use the contractor letter (Appendix 5) to ensure that the colleague attending has the appropriate checks in place. 6

9 Right to Work in the UK Right to work in the UK must be checked for every member of staff in your employment. A copy of evidence of right to work must be kept on the staff file. If the appropriate checks are not carried out and you employ an illegal worker, the Home Office can impose a fine. Useful information on right to work checks can be found at the link below: The Home Office has produced a very easy to use set of guidance for employers which you should refer to. The guidance can be found at the link below and also contains a list of acceptable ID for proof of right to work. Please pay close attention to this list as there often confusion between documents e.g. photo card driving licence that can prove an individual s identity but is not evidence of proof of right to work. mployers_guide_to_right_to_work_checks_may_2015_final.pdf When carrying out right to work checks, you must remember that there is no room for monkeying around. You need to ensure the following: Authentic Photocopy Evidence You must witness the applicant s original documents and these must be valid for the person presenting them. You should take colour copies of the documents and place them on the staff file. Your SCR must evidence which documents have been seen, the date on which they have been seen and the initials of the person who checked them. Medical Clearance Verifying an individual s physical and mental fitness to work is a statutory requirement. It is not, however, a requirement for this to be recorded on the SCR. When carrying out SCR audits, should you discover that you are missing evidence of fitness to work, the check will need to be re-done, even if the individual concerned has been employed for a number of years. These matters will need to be handled sensitively, particularly if a medical issue is declared on the new check and reasonable adjustments will need to be considered. A template letter to staff can be found in Appendix 6 to assist you should the need to re-do checks arise. Local Governing Board Members Local Governing Board (LGB) member must be subject to an ID check, details of which must be recorded on the Single Central Record. It is a statutory requirement that all LGB members are subject to an enhanced DBS check. In Keeping Children Safe in Education (September 2016), governance is not deemed to be a regulated activity therefore a barred list check is not required unless the individual is going 7

10 to engage in regulated activity. DBS checks for LGB members should be part of the appointment process for new members. DBS renewals for LGB members should be carried out every three years, in line with the ECMAT DBS Policy: LGB members should only be subject to Childcare Disqualification Regulation checks if they are going to be working directly with children under the age of 8. Supply & Agency Staff This section refers to staff (teaching or support) who are sourced from agencies or third party organisations. 'Schools and colleges must obtain written notification from any agency, or third-party organisation that they use that the organisation has carried out the checks on an individual who will be working at the school or college that the school or college would otherwise perform. Where the position requires a barred list check, this must be obtained by the agency or third-party prior to appointing that individual. The school must also check that the person presenting themselves for work is the same person on whom the checks have been made. 5 Details of the following checks must be provided by agencies: Identity Qualifications Professional Registration Employment References Prohibition Order Checks (teachers and teaching support staff) Overseas Checks DBS Childcare Disqualification (where appropriate) Right to Work in the UK Academy staff must verify the identity of any agency or supply staff on arrival and view their DBS certificate or confirmation from the agency that they hold a valid DBS check this could be a letter or an ID card with the DBS number and clearance date on. We are aware that many supply agencies provide comprehensive information about the checks carried out on the staff that they are sending to your academy. The details of these checks should be recorded on your SCR. If you find that they are not sending you all the information you require, you should use the letter in Appendix 7 and ask that they complete the form and return it to you to record on the SCR before their employee commences work in the academy. You will need to adapt the letter to remove and checks which you already have details of or aren t relevant to the post. 5 Department for Education, Keeping Children Safe in Education (September 2016) Page 33, Paragraph 116 8

11 If the agency member of staff is attending on a one-off basis, then you can record their information outside the SCR. You may have a specific filing system for agency staff which would be more appropriate for one-off supply staff. If the agency member of staff is going to be present in school for any more than 5 working days then ECMAT require you to record their details on the supply staff tab of the SCR. In the date attended school/date appointed you should enter the date that they first came to the school. You may wish to add an extra column to the SCR to indicate whether the arrangement is short or long term or whether they are a supply teacher who attends regularly to cover odd days. Contractors Under no circumstances should a contractor in respect of whom no checks have been obtained by allowed to work unsupervised, or engage in regulated activity. 6 Furthermore, academies have a responsibility to check the identity of all contractors and their staff on arrival. The details must be recorded in the SCR. Contact should be made with the relevant person at the company whose services are being contracted to ensure that the appropriate safeguarding checks have been carried out prior to a contractor being present on site. On arrival, you should check the ID and DBS certificate (if appropriate) of the individual who has presented themselves to carry out the work. Safeguarding information will need to be requested on a job by job basis as it is not feasible to request information for all staff members of a company. If a contractor does not have the suitable clearances in place, then you must ensure that an appropriate level of supervision is arranged. Equally, in the case of urgent or unplanned work where there is insufficient time to obtain the necessary clearance information, contractors must be supervised at all times in line with the guidance in Keeping Children Safe in Education (September 2016). Evidence of the following checks will need to be requested and recorded on the SCR: DBS Check Childcare Disqualification Check (where appropriate) Right to Work in the UK Keeping Children Safe in Education (September 2016, paragraph 136) suggests that if a contractor is self-employed and does not have a DBS check, the academy may wish to obtain a check for them and self-employed individuals are unable to make a direct application for a DBS check. Volunteers The guidance in Keeping Children Safe in Education (2016) around volunteers is very clear; if they haven t been checked at the appropriate level, they must not, under any circumstances, be left unsupervised or allowed to work in regulated activity. 6 Department for Education, Keeping Children Safe in Education (September 2016), Page 38, Paragraph 135 9

12 Depending on the nature of the work being carried out by the volunteer, either an Enhanced DBS check or an Enhanced DBS check with Barred List information will need to be carried out. You should refer to Keeping Children Safe in Education, pages for specific guidance on volunteers. In addition, ECMAT requires you to obtain two references for anyone who volunteers at your academy. If the volunteer is going to be working with children under the age of 8 years, a Childcare Disqualification Check should also be carried out. Where a volunteer has lived overseas, relevant police certificates should be provided by the volunteer. Finally, on arrival at the academy, the identity of a volunteer must be verified and recorded on the Single Central Record. Student Teachers This section refers to fee-funded and placement students only. Checks on salaried students must be carried out by the Academy and recorded on the Academy Staff tab. It is the responsibility of the training provider to carry out safeguarding and identity checks on their students, including DBS checks. Academies have a responsibility to obtain written confirmation of these checks from the training provider. On arrival, the student s ID and evidence of DBS check should be verified and the details must be entered onto the placement student section of the SCR. A template letter and form has been included in Appendix 8 which you should send to the training provider sending the student is coming from to request the information. Visitors Paragraph 138 of Keeping Children Safe in Education (September 2016) states clearly that we do not have the power to carry out DBS checks, barred list checks or ask to view DBS certificates for visitors e.g. relatives of children. For this reason, the visitor tab has been removed from the November 2016 version of the ECMAT SCR. Headteachers should use their professional judgement to decide on the level of supervision required for a visitor. Visitors should always sign in and sign out. If, however, you have a visitor that attends regularly, but doesn t fit into the SCR tabs (i.e. is not a volunteer, contractor, supply staff, governor or student), for example an ECMAT HR representative, then you should verify their ID and DBS (where appropriate), ask them to sign in and out, and enter their details onto the SCR. ECMAT Staff A new tab has been set up to evidence checks relevant to ECMAT staff. This will be updated on a regular basis and uploaded onto the ECMAT website. Please remember that you are still required to check the ID of ECMAT staff (all have photo ID cards) and view their DBS certificate. You must record who has carried out the checks on the SCR. 10

13 ECMAT Trust Board The ECMAT Trust Board is the proprietor body of the Multi Academy Trust. For independent schools, including academies and free schools, all members of the proprietor bodies must be included on the SCR (KCSIE 2016, paragraph 112) 7. This tab is available pre-populated on the template on the ECMAT website. This will be regularly updated to reflect changes and renewals in respect of Board members. University of Wolverhampton and Education Central Staff There may be occasions when staff employed by the University of Wolverhampton/ Education Central visit your Academy to undertake work activities. These staff should be treated as visitors where appropriate, unless they are assigned to undertake work that is in regulated activity as a contractor. This being the case, checks in line with their relevant status should be undertaken in accordance with legal requirements and guidance set out in this document. There is a separate tab (pre-populated) on the ECMAT SCR template of regular contractors/visitors from the University of Wolverhampton which will be updated on a regular basis. Staff Files & Document Retention All staff data must be kept secure and should only be accessible by those who have a genuine need to work with the information. The Information and Records Management Society have produced an Information Management Toolkit specifically for schools which you may find useful: r.pdf Information on staff files and document retention can also be found at the links below: Department for Education, Keeping Children Safe in Education (September 2016), Page 31, Paragraph

14 Signposting DBS Checks General information on DBS checks can be found on the Disclosure and Barring Service s website at the link below: The DBS have also issued some useful guidance, hints and tips on various elements of the DBS process for employers which we thought you might find helpful. A list of acceptable ID can be found on the Disclosure and Barring Service s website at the link below: Please ensure that you pay close attention to the validity of the documents that you are provided with, particularly with the issue dates of financial and social history documents. There is always a concern about the possibility of fraudulent documents being presented for checking. The DBS has produced some useful guidance on ID checking and what you need to look out for. This information can be found at the link below: In addition, you should also be vigilant when presented with a hard copy DBS certificate to check. The link below details the security features of a DBS certificate. In summary, these are: A crown seal watermark down the right hand side of the certificate; A background design with the work Disclosure in the shape of a wave; Ink and paper that will change colour in the presence of water or solvent-based liquid. Please consult the guidance online for more in-depth information on these security features. Barred List Checks Normally, separate Barred List checks will not be required as you will have completed a higher level of DBS check, including the Enhanced with Children s Barred List Check, prior to the staff member commencing their employment. As you work in a school setting, this will be the type of check that the majority of your staff require. 12

15 On the rare occasion a member of staff commences employment prior to the DBS plus Children s Barred List is completed, you must complete a Barred List Check as part of the risk assessment. The link to conduct a Barred List Check only is: 13

16 Appendix 1 Headteacher SCR Check Pro-Forma Available to download as a separate document via the ECMAT website Academy Headteacher Name Date of Check Headteacher Signature Comments No Action Required Action Required (please list actions below) Action Completion Deadline Date of Follow Up Check Outcome of Follow Up Check Initials 14

17 Appendix 2 Link Governor SCR Check Pro-Forma Available to download as a separate document via the ECMAT website Academy Link Governor Name Date of Check Link Governor Signature Comments No Action Required Action Required (please list actions below) Action Completion Deadline Date of Follow Up Check Outcome of Follow Up Check Initials 15

18 Appendix 3 Safeguarding Statement To be transferred onto academy letter headed paper and completed by the Headteacher for any member of staff employed prior to 1 September 2015 who does not have two references on file. Safeguarding Statement I, <<Enter Headteacher Name>>, Headteacher of <<Enter Academy Name>>, confirm that there are not, and never have been any safeguarding issues or disciplinary measures/records in place for <<Enter Name of Member of Staff>>. I also confirm that this person is eligible to work with all children. Headteacher Signature Date 16

19 Appendix 4 Declaration Form to Identify if Overseas Check is Required The following statement should be given to all newly appointed staff as part of your preemployment checks. If they declare that they have been living overseas, you should advise them to follow the appropriate Home Office procedures in order to obtain a Certificate of Good Character/police check. Have you been out of the country for 12 months or more in the past 10 years? This includes work, extended holidays, voluntary work and travelling. (please circle) Yes No If you answer Yes: It is your responsibility to provide us with a Certificate of Good Character at your own expense. This can be obtained from the Embassy of the country you have visited/lived in. I declare I will obtain a Certificate of Good Character and provide my employer with a copy as soon as possible. I understand that my continued employment with ECMAT is subject to the receipt of a clear Certificate of Good Character. Signed: Date: Print Name: OR If you answer No: I declare I have not been out of the United Kingdom during the last 10 years for 12 months or more. Signed: Date: Print Name: 17

20 Appendix 5 Letter to Contractors The following text should be put on Academy letter headed paper prior to sending Date Private & Confidential Name Address Line 1 Address Line 2 Address Line 3 City Postcode Dear Safeguarding Requirements for Contractors Working at <<INSERT ACADEMY NAME>>, Education Central Multi Academy Trust To ensure that <<INSERT ACADEMY NAME>> complies with statutory requirements indicated in Keeping Children Safe in Education (2016), we must ensure that any contractor, or any employee of the contractor, who is to work at ECMAT has been subject to the appropriate level of DBS check as well as relevant safeguarding checks. In addition, we are also required to check the identity of contractors and their staff on arrival at any of the ECMAT academies. Therefore, could you please provide a list containing the following information for any contractors who will be working on behalf of ECMAT: Name DBS Check Type DBS Disclosure Number DBS Clearance Date Right to Work in the UK Confirmation of Childcare Disqualification Check (if applicable) We also need you to confirm that you know of no reason why any of the individuals concerned are unsuitable to work with children. This information will be retained by ECMAT in strict accordance with all data protection requirements. Any contactors who are due to be working on behalf of ECMAT will need to be on the list sent from you. Those who present themselves at any of the ECMAT academies and whose names do not appear on this list will not be allowed access to the site until satisfactory checks have been made with you. All contractors must bring with them photographic ID in the form of company ID, photo card Driving Licence or passport. ID will need to be presented to reception staff on arrival and must be shown to any Academy staff on request. Failure to produce photo ID on arrival will result in the contractor being refused access to the Academy until ID is provided. 18

21 If your employees have not had the satisfactory checks, then we would expect you to give us notice that they are visiting the academy, and we will try, staffing permitted, to offer an escort. If a member of staff is not available to supervise, we would request that your employees come in out of school hours. All contractors must sign in on arrival and sign out prior to leaving academy premises. On signing in, contractors will be provided with an academy ID badge which must be visibly worn at all times. Your understanding and assistance in enabling us to safeguard our students and staff and comply with the Keeping Children Safe in Education (2016) regulations is appreciated. Yours sincerely Name Headteacher 19

22 Appendix 6 Template Letter to Staff for Missing Medical Clearance The following text should be put on Academy letter headed paper prior to sending Dear colleagues In light of feedback from Ofsted inspections across the Trust, a number of issues have been highlighted in relation to the Single Central Record and staff files. As a result, we have been carrying out an audit to ensure that all statutory safer recruitment checks are complete and evidenced both in staff files and on the Single Central Record. In completing this audit, we have discovered that evidence of your pre-employment medical clearance is not held on your file. As such, we now need to obtain retrospective medical clearance for you to ensure that our records are complete and compliant with statutory requirements. In order to facilitate this process, please find attached a medical questionnaire for completion. This will be sent to Occupational Health for review so that the appropriate clearances can be placed on your file. Please could you ensure that the questionnaire is returned in a sealed envelope marked with your name to xxxxxxxxx by no later than xxxxxxxxxxx. Your assistance in this matter much appreciated and will assist the Academy in compliance with Ofsted and our statutory obligations as outlined in Keeping Children Safe in Education (September 2016). Thank you for your co-operation. Kind regards, Name Headteacher 20

23 Appendix 7 Letter to Employment Agencies The following text should be put on Academy letter headed paper prior to sending Date Private & Confidential Name Address Line 1 Address Line 2 Address Line 3 City Postcode Dear Safeguarding Requirements for Agency Workers at <<INSERT ACADEMY NAME>>, Education Central Multi Academy Trust To ensure that <<INSERT ACADEMY NAME>> complies with statutory requirements indicated in Keeping Children Safe in Education (2016), we must ensure that any agency worker who is to work at ECMAT has been subject to the appropriate level of DBS check as well as relevant safeguarding checks. In addition, we are also required to check the identity of agency staff on arrival at any of the ECMAT academies. Therefore, could you please provide following information for any agency workers who will be sent by your agency to <<INSERT ACADEMY NAME>>: Name DBS Check Type DBS Disclosure Number DBS Clearance Date Right to Work in the UK Confirmation of Childcare Disqualification Check (if applicable) We also need you to confirm that you know of no reason why any of the individuals concerned are unsuitable to work with children. This information will be retained by ECMAT in strict accordance with all data protection requirements. Any workers who are due to be working at an ECMAT academy will need to be on the list sent from you. Those who present themselves at any of the ECMAT academies and whose names do not appear on this list will not be allowed access to the site until satisfactory checks have been made with you. All workers must bring with them photographic ID in the form of company ID, photo card Driving Licence or passport. ID will need to be presented to reception staff on arrival and must be shown to any Academy staff on request. Failure to produce photo ID on arrival will result in the worker being refused access to the Academy until ID is provided. If your employees have not had the satisfactory checks, then we would expect you to give us notice that they are visiting the academy, and we will try, staffing permitted, to offer an 21

24 escort. If a member of staff is not available to supervise, we would request that your employees come in out of school hours. All workers must sign in on arrival and sign out prior to leaving academy premises. On signing in, contractors will be provided with an academy ID badge which must be visibly worn at all times. Your understanding and assistance in enabling us to safeguard our students and staff and comply with the Keeping Children Safe in Education (2016) regulations is appreciated. Yours sincerely Name Headteacher 22

25 Appendix 8 Pre-Placement Screening for Students The following text should be put on Academy letter headed paper prior to sending DATE PRIVATE & CONFIDENTIAL Company Name Address Line 1 Address Line 2 Address Line 3 Postcode Dear Colleague Safeguarding Requirements for Students Requesting a Placement at <<Insert Academy Name>>, Education Central Multi Academy Trust I am writing in reference to a request for a school placement, received from <<Insert Student Name>> who is currently completing a course in <<Insert Course Name>> at your university/college/institute (Delete as appropriate). To ensure that <<Insert Academy Name>> complies with statutory requirements highlighted in Keeping Children Safe in Education (2016), we must confirm that any student who is on placement at the Academy has been subject to the appropriate level of DBS and safeguarding checks. In addition, we are also required to check the identity of students on arrival at the Academy. To comply with our safeguarding processes, could you please complete the attached form and return it to <<Insert Name>>, >>Insert Job Title>> at <<Insert Academy Name>>. Upon receipt of this information, we will consider the student for a placement here. If you have any queries or would like to discuss this further, please do not hesitate to contact me. Yours faithfully, Name Job Title 23

26 SAFEGUARDING INFORMATION FOR STUDENTS ECMAT is committed to safeguarding and promoting the welfare of children and young people and expects all staff and volunteers to share this commitment. Before a student can be placed in our Trust we require completion of details as set out below. The college/university/institute should make every effort to ensure that candidates placed into our Trust are not deemed at risk to work with children under those guidelines set out by the Department for Education in Keeping Children Safe in Education (2016). The following details should be completed by the educational institution that the student is studying at: Name of College/University: Student Name: Date of Birth: Dates Placement Required: Photo ID Checked: The student will need to present this on arrival at the Academy DBS Check Type: The student will need to present this on arrival at the Academy DBS Clearance Date: Barred List Check Complete: Childcare Disqualification Regulation Check Complete: Prohibition Check: Additional Overseas Check Complete (if applicable): References Sought: Please confirm that two satisfactory references have been obtained. Your Name: Your Position: Your Signature: Date: Institutional Stamp: To confirm authenticity of this document, please add your institutional stamp here. 24

27 Appendix 9 Pre-Employment DBS Risk Assessment DBS Cause for Concern Risk Assessment Pro-Forma Please complete this form fully. You must seek advice from the ECMAT HR team as it will form the basis of a decision to appoint where an adverse disclosure has been identified on a returned DBS check. Name of Headteacher Name of Applicant Position Applied For Position Reference Number Date of Risk Assessment Does the applicant meet all the essential criteria for the post in terms of skills, knowledge, experience and ability? In which country was the offence committed? (Some activities are offences in Scotland and not in England and/or Wales and vice versa) What was the nature of the crime, when did the relevant offence(s) occur e.g. less/more than two years ago, what were the circumstances involved and what was the sentence? Do the matters disclosed form any pattern? Was the offence a one-off, or part of a history of offending e.g. is the offence likely to re-occur? What is the seriousness of the offence(s) and relevance to the safety of other employees, customers, service users and property? Are there any assessments and reports from those agencies involved in the applicant s 25

28 process of rehabilitation e.g. probation service, specialists working in prison, other agencies? Are the type and/or nature of the offence(s) directly relevant to the post? What is the nature of the contact the applicant will have with children/adults/the public and how vulnerable are they? Was the relevant offence committed at work (either paid or unpaid work)? Does the job present any opportunities for the applicant to re-offend in the place of work? Are there any mitigating circumstances e.g. any relevant information offered by the applicant about the circumstances that led to the offence being committed e.g. the influence of domestic or financial difficulties? Has the applicant s circumstances changed since the offence was committed, making reoffending less likely (e.g. improved personal circumstances, drug addiction therapy etc.). Can the applicant demonstrate any efforts not to re-offend? (E.g. rehabilitation course) What level of and how much supervision is available to the applicant? Can any safeguards be implemented to reduce/remove any risk e.g. no unsupervised contact? Additional comments from the Headteacher 26

29 Outcome of Risk Assessment Headteacher Signature Date 27

30 Appendix 10 DBS Risk Assessment (Renewal) DBS Adverse Disclosure Risk Assessment Please complete this form fully. You must seek advice from the ECMAT HR team as it will form the basis of a decision to determine continued employability where an adverse disclosure has been identified on a returned DBS check. Name of Headteacher Name of Employee Job Title ECMAT Start Date DBS Number Start Date in Current Post Continuous Service Date Date of Check Nature of Offence(s) Please detail below Seriousness of Offence(s) Date of Offence Consider length of time since the offence Relevant to Post? Yes No Was the offence declared to ECMAT at the time of the incident? Yes No Circumstances of Offence Please detail below. Is there a plausible explanation relating to the offence? Are the offences considered to be spent under the Rehabilitation of Offenders Act 1974? N.B. Any conviction involving a child is never spent Is there a pattern of offending behaviour? Please detail below Yes Yes No No 28

31 Has there been a change of circumstances since the offence? Please detail below Yes No Is the offence still regarded as a criminal offence? Yes No Personal qualities of the employee Please detail below, taking into consideration the employee s level of remorse and level of openness and honesty regarding the offence. Outcome Please detail the outcome of the risk assessment and the reason for this. Headteacher Signature Date Employee Consent I consent to this document being retained on my recruitment/personal file. Signature Name Date 29

32 Appendix 11 DBS Risk Assessment Employees Commencing Work Prior to DBS Clearance Risk Assessment for Employees Starting Work before an Enhanced DBS Check is Returned Name of Headteacher Name of Applicant Position Applied For Position Reference Number Date of Risk Assessment Questions Comments Is this post eligible for a Barred List Check? Yes No If No, then sign off will be required by an appropriate senior leader on the completion of this form before the applicant may start in role. Has the Barred List check been undertaken if applicable? If applicable and the answer here is no then this must be undertaken Is the applicant barred from working with Children/Adults? If Yes, end process now. If No, have all Pre-employment checks been undertaken including: Yes Yes No No References - checked and verified Yes No Application form checked and all breaks in employment and or training accounted for Identity has been validated Yes No Has a correctly completed DBS check application form been sent to DBS? What level of and how much supervision is available to the applicant from an appropriately qualified and experienced member of staff? Yes Yes No No Can any safeguards be implemented to reduce/remove any risk? Yes No E.g. no unsupervised contact? 30

33 Has the applicant advised of any disclosures that the DBS check will show? Yes No If Yes, what is the impact of these? Any questions/additional comments from the applicant? Applicant s Declaration I understand that if I am allowed to start work before my enhanced DBS check is returned it is subject to the information I have supplied and that this is complete and correct. False information, or a failure to supply the details required could lead to a withdrawal of the offer of employment. Signature of Applicant Date Additional Comments Any additional comments in support of an employee starting work before an enhanced DBS check is returned. Outcome of Risk Assessment Allow employee to begin before the enhanced DBS is returned? Yes No Please state (if applicable) whether approval is dependent upon conditions being met, such as recommendations, restrictions or safeguards to be implemented by the employing service. Headteacher Signature Date 31

34 Appendix 12 Risk Assessment Employing a Person with a Criminal Conviction Risk Assessment for an Applicant with a Criminal Conviction Name of Headteacher Name of Applicant Position Applied For Position Reference Number Date of Risk Assessment Questions Comments Is the conviction spent or unspent? Spent Unspent If Unspent, then sign off will be required by ECMAT SLT on the completion of this form before the applicant may start in role. Is the conviction relevant to the position? Yes No If Yes, please consult with ECMAT SLT. What was the seriousness of the offence? How old was the applicant at the time of the offence? How long has it been since the offence occurred? Does the applicant have a pattern of offending behaviour? Yes No If Yes, please provide details. What were the circumstances surrounding the offence? What explanations has the applicant offered? 32

35 Have the applicants circumstances changed since the offence? Additional Comments Any additional comments in support of employing an individual with a criminal conviction. Outcome of Risk Assessment Appointment to progress? Yes No Please state (if applicable) whether the appointment is dependent upon conditions being met, such as recommendations, restrictions or safeguards to be implemented by the employing service. Headteacher Signature Date ECMAT SLT Name & Signature Date 33