Workforce & Organisational Development Committee. Making it safe / better / sound / work / happen. Healthcare Standards 17, 20, 21, 25

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1 Betsi Cadwaladr University Health Board Committee Paper 13 th March 2013 Item WOD14/28.6 Name of Committee: Subject: Summary or Issues of Significance Strategic Theme / Priority / Values Francis Report recommendations addressed by this paper Relevant legislation or Standard for Health Services This section is mandatory due to legal requirements Equality Impact Assessment (EqIA) Workforce & Organisational Development Committee NHS Pre-Employment Checks: Disclosure & Barring Scheme Checking Decisions to appoint are made using the information gained as part of a wide range of checks, including DBS, verifying an individual s identity, obtaining references, right to work and professional and qualification checks. This paper details the position in BCU with regard to staff who require a DBS check, and highlights new developments which will support the process. Making it safe / better / sound / work / happen Making it safe Healthcare Standards 17, 20, 21, 25 The Board and its Committees may reject papers/proposals that do not appear to satisfy the equality duty. See 1.Has EqIA screening been undertaken? N (If yes, please supply a copy) 2.Has a full EqIA been undertaken? (If yes, please supply a copy) N 3.Please state how this paper supports the Strategic Equality Plan Objectives: For information only. Pre employment checking applies to all staff. 4.Please include a justification if no EqIA has been carried out: For information only. Recommendations: (e.g for Committee approval or for noting) For noting

2 Author(s) Presented by Lesley Hall Assistant Director Employment Strategies & Practices Martin Jones, Director of Workforce and OD Date of report 4 March 2014 Date of meeting 13 March 2014

3 NHS PRE EMPLOYMENT CHECKS DISCLOSURE & BARRING SCHEME (DBS) CHECKING Introduction While important, a criminal record check is only one part of the recruitment and selection process. Decisions to appoint are made using the information gained as part of a wide range of checks, such as those which verify an individual s identity, obtaining references, right to work and professional and qualification checks. Eligibility for DBS Checks Not all individuals appointed into positions within the NHS are eligible for a DBS check. The need for a check is determined by the activities and the type of access to patients that they will have as part of their role. Obtaining checks on individuals who are not being appointed to an eligible position, is unlawful. In cases of serious breaches of the legislation, this can lead to the DBS revoking an employer s registration status to obtain checks through them. CRB checks were first used in 2002 following concerns of children and vulnerable adults safety under part V of the Police Act The system was further tightened later in the year following the Soham murders. Therefore staff employed prior to 2002, and who have not subsequently moved post, may not have had a check. However they are still bound by Health Board policy, which states that they must declare any criminal convictions/ cautions. In September 2012, a number of changes to the service were made. This included reducing the scope of regulated activity, meaning that some posts which had previously fallen under the definition of regulated activity are no longer covered. Starting work prior to receipt of a criminal record check Employers may issue a provisional offer of employment before receiving the result of a criminal record check; however, it is important to emphasise that an employer will be committing an offence under the Safeguarding Vulnerable Groups Act if they knowingly permit a person to engage in regulated activity from which the person is barred. The individual will also be committing a criminal offence where they engage in a regulated activity for which they are barred. It is therefore strongly recommended that individuals are not permitted to undertake any form of regulated activity, until the outcome of any barred list check is known. Employers may, in exceptional circumstances, make a risk-based decision to appoint applicants while they are awaiting outcomes of a criminal record check for example, in order for them to do their induction training; or to undertake other duties which would not include them engaging in any form of regulated activity. This authority has been delegated to the Director of Workforce and Organisational Development by the Workforce and organisational Development Committee.

4 Doctors in Training Doctors on educationally-approved rotational training are regarded as being in continuous employment during the term of training and are therefore required to have a criminal record check, as a minimum, once every three years, rather than each time they change rotation. Employers must seek written assurances from the host/previous employer that appropriate clearances have been obtained within the last three years. Employers may undertake criminal record checks more frequently, but any additional checks must be proportionate to risk. For example, this may be where assurances cannot be obtained or where there is a specific concern about the individual s practise or criminal behaviour. Volunteers As with any other member of staff, decisions to undertake a DBS check and the level of check required must be determined by the roles, responsibilities and the level of contact they will have with vulnerable groups. Retrospective and Periodic Checks There is no legal requirement to carry out retrospective or periodic DBS checks on staff or volunteers who are already in the workforce and are not changing positions: Retrospective checking means checking staff and volunteers who have never had a criminal records check. For example, where they were appointed prior to the mandated requirement to check came into force in 2002 and they have remained in the same position, therefore the normal requirement for a check has not been triggered Periodic checking means the checking of staff and volunteers at particular intervals during their term of employment Frequency of DBS checks in respect of staff involved in Children s Services NHS Wales Health Boards and NHS Trust within Wales should comply with the requirements of paragraph 2.24 of Welsh Government guidance Safeguarding Children: Working Together Under the Children Act 2004, in ensuring that where it is a mandatory requirement that an employee should have a DBS check on employment, checks should be made routinely and repeated at regular intervals, of no more than three years, throughout the period of employment. This is only applicable to staff working with children. E-DBS The process for submitting requests to check the Disclosure and Barring Service (DBS) status of job applicants has traditionally been a manually driven paper based service. The process relies upon applicants completing an application which is checked by the countersignatory for accuracy, countersigned and then posted to the DBS. The turnaround time is 21 days on average, but on many occasions takes much longer and can therefore delay the recruitment process.

5 An additional change is that in June 2013 the DBS implemented significant changes to their process for checking against the existence of a Criminal Record which meant that applicant only certificates have been issued. The employing organisation no longer receives disclosures and therefore NWSSP relies on the applicant presenting their copy of the disclosure as evidence of clearance. This has introduced potential for further delays within the process, of up to 14 days, whilst waiting for a candidate to supply details of the DBS outcome, either by post or a second meeting to complete the pre employment checks. In July 2013 the NWSSP Partnership Committee supported the proposal that NWSSP Employment Services undertake the procurement of an electronic system to support the Disclosure and Barring process and remove the delays outlined above. An online application solution allows the Recruitment team to submit online/paperless DBS applications electronically. The electronic DBS process proposes to reduce the average turnaround time to less than 5 working days for 79% of applications, and less than 1 working day for 49% of applications. Whilst the additional cost of this service (around vat per claim) is mitigated by the improved efficiency, financial savings include: Reduced counter signatory time Reduced recruitment delays saving in Agency/variable pay costs Much lower requirement for applicants commencing with risk assessments (Appointing manger time saving/reduced organisational risk) DBS Annual Update Service The Disclosure and Barring Service (DBS) update service lets applicants keep their DBS certificates up to date online, and also allows employers to check a certificate online. Registration costs 13 per year, which enables: An individual to take their certificate from one job to the next give employers permission to check certificate online immediately, and see who has checked it There is no registration process or fee for employers to check a certificate online, but employers: must be legally entitled to carry out a check have the worker s permission Disclosure and Barring System Interface The Health Board is currently working with NHS Electronic Staff Record (ESR), Disclosure and Barring Scheme (DBS) and the Home Office to implement an interface between the two systems. This means that specific information held on BCU Employees within ESR will be transferred into the DBS. It is important to note that this is a two way link; therefore specific data will also transfer from DBS to ESR. The link will support two vital business functions for NHS Employing Authorities, which will build on the existing legal duty for employers to refer individuals to the DBS and the recent introduction of The Update Service, which allows employers to see if any relevant information has been identified about the individual since their Certificate was last issued.

6 BCUHB Position Employees This is based on the number of posts held (given that some staff hold more than one post and both posts may not require a check). It should note that this data is currently being validated following recent changes. Number of staff that require DBS and have had a check = 13,490 Number of staff that require DBS and have not had a check = 6,061 Percentage of staff that require DBS and have had check = 69% As CRB checking was not introduced until 2002, it should not be expected that all eligible staff have been checked. Regular reports are included in the WOD report to demonstrate compliance for new starters. It should also be noted that the requirement to audit compliance with DBS checks was included in the HIW Report in February 2012 An Independent Review of Patient Care at Ysbyty Glan Clwyd. Volunteers No volunteers commence within BCUHB until clearance from DBS is received, those volunteering prior to 2002, have since received a check. Therefore compliance is 100% in this area. Summary CRB checking was not introduced until 2002, and consequently many staff have never been checked. The eligibility for checks has been tightened recently, which has resulted in a reduction in posts requiring a check. While the Safeguarding Vulnerable Groups Act 2006 does not specify that an individual must not commence employment prior to commencing employment, this is implicit in the legislation. This is monitored carefully, and reports are submitted as part of each WOD report. There are currently a number of changes taking place to improve timeliness and to improve systems and processes.