Human Resources Policy No. HR34

Human Resources Policy No. HR34 Additionally refer to: HR33 Recruitment and Selection Sponsor: Head of Human Resources in conjunction with Director of Corporate Affairs Date agreed by TNCC: September 2007 Date agreed by Board: January 2008 Date of next review: October 2011 Issue: 2.1 Up-dated September 2007 Page 1 of 24

Contents Page Number Section 1 Introduction 3 Section 2 CRB Code of Practice 3 Section 3 Policy Statement 3 Section 4 Scope 3 Section 5 Responsibilities 4 Section 6 Definition of posts requiring Disclosure 4 Section 7 Application of Disclosures in recruitment process 7 Section 8 Processing Disclosures 9 Section 9 for miscellaneous groups of staff 9 Section 10 Acceptance of Disclosures Obtained by other Organisations Section 11 Re-Checks 11 Section 12 Junior Doctors in Training 12 Section 13 Disputes 12 Section 14 Security 12 Section 15 Training 12 Section 16 Review and Monitor 12 Appendix 1 Policy Statement on the Rehabilitation of Offenders Appendix 2 Definition of Vulnerable Adult 14 Appendix 3 Risk Assessment 15 Appendix 4 Example Disclosure Consent Statement 19 Appendix 5 Example Covering Letter for Disclosure Appendix 6 Statement Correct handling and safekeeping of Disclosure information 10 13 20 21 Up-dated September 2007 Page 2 of 24

1. INTRODUCTION 1.1 The Criminal Records Bureau (CRB) was introduced to allow employers to make appropriate checks on an individual s criminal background. Through the CRB's Disclosure service the Trust is provided with factual information on which to base decisions about an individual's suitability for employment. 1.2 The CRB Disclosure is one element in a range of pre-employment checks and clearances and should not be used in isolation but to support the recruitment decision (see Recruitment and Selection Policy). 1.3 When making this decision, recruiting managers must strike a balance between the need to provide a safe healthcare environment and the threat of unfair discrimination against ex offenders who are rehabilitated and who otherwise potentially possess the right attributes to perform the job. 2. CRB CODE OF PRACTICE 2.1 As an organisation using the CRB's Disclosure service to help assess the suitability of applicants, the Trust complies fully with the CRB Code of Practice. This document sets out the obligations on registered persons and other recipients of Disclosure information, and is available in full on request from the Human Resources Department or can be downloaded from www.crb.gov.uk. 2.2 As defined in the Code, the Trust undertakes to use Disclosure information fairly and not to discriminate unfairly against any subject of a Disclosure on the basis of conviction or other information revealed. In addition the Trust will adhere to the Code regarding the correct handling, use, storage, retention and disposal of Disclosures and Disclosure information and will comply with reasonable requests from the CRB to undertake assurance checks. The Trust will undertake to report to the CRB any suspected malpractice. 3. POLICY STATEMENT 3.1 Where appropriate, obtaining CRB Disclosures is an integral part of the Trust's recruitment process. The Trust will request a CRB Disclosure at an appropriate level depending on the amount of patient contact and the environment in which the post operates, in line with CRB guidelines. 3.2 At the outset recruiting managers will decide whether a vacant post meets the criteria for a CRB Disclosure to be carried out and at which level. Consequently individuals will be fully informed throughout the recruitment process that the post is subject to a CRB Disclosure and the consequences should a conviction be revealed. A criminal record will not necessarily be a bar to obtaining a position within the Trust. 4. SCOPE 4.1 This policy applies to all recruiting managers and staff involved in recruitment, selection and appointment decisions. It also applies to candidates applying for posts within the Trust (either currently employed by the Trust or external candidates), and anyone working within the hospital environment such as junior doctors, contractors, agency staff etc. Up-dated September 2007 Page 3 of 24

4.2 In implementing this policy, managers must ensure that all staff are treated fairly, equitably and within the provisions and spirit of the Trust s Equal Opportunities Policy. Special attention should be paid to ensuring the policy is understood when using it for staff new to the Trust or the NHS, by staff whose literacy or use of English is weak or for persons with little experience of working life. 5. RESPONSIBILITIES 5.1 Chief Executive The Chief Executive has an overall responsibility to oversee this policy and to ensure its correct application. 5.2 Executive Directors, Clinical Directors, Directorate Managers and Heads of Service The Workforce Director, Medical Director and Director of Nursing have a responsibility to oversee the application of this policy and, will have responsibility for approving risk assessments. 5.3 Recruiting Managers and Supervisors Recruiting Managers and Supervisors have a responsibility to ensure that they abide by and reinforce this policy and that they attend relevant training. Managers and Supervisors directly involved in the process will have a personal responsibility to ensure they operate within employment law and adopt best practice. 5.4 Human Resources The Human Resources Department will have a responsibility to ensure adequate training in the application of recruitment and selection processes and to provide relevant employment law advice. It will also have responsibility for registration with the CRB, monitoring compliance with the Code of Practice and providing advice and guidance in the application of the CRB service. 5.5 Registered Countersignatories Registered countersignatories will have responsibility for operating within the Code of Practice. 6. DEFINITION OF POSTS REQUIRING DISCLOSURE 6.1 Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 6.1.1 In order to protect certain vulnerable groups within society, there are a number of posts and professions that are exempt from the provisions of the Rehabilitation of Offenders Act 1974. These include posts where, in the normal course of their duties, successful applicants will have access to persons in receipt of health services. If a post falls within the above category, it will be exempt from the provisions of the Rehabilitation of Offenders Act ( ROA ) by virtue of the Rehabilitation of Offenders Act (Exceptions Order) 1975. Up-dated September 2007 Page 4 of 24

6.1.2 Applicants are therefore not entitled to withhold any information about convictions which for other purposes are Spent under the provisions of the Act and in the event of employment; any failure to disclose such convictions could result in dismissal or disciplinary action by the Trust. 6.2 Posts not exempt from the Act In the case of any post not exempt from the Act i.e. a post not involving access to patients in the course of normal duties, the applicant may be asked only about unspent (current) convictions. 6.3 Types of Disclosure In February 2005 the Department of Health and CRB agreed that mandatory CRB checks were required for all new recruits with direct patient contact, as well as staff whose work provides access to patients in the course of their normal duties. Currently there are two types of Disclosure which are available in respect of positions and professions within the terms of the Exceptions Order under the ROA: 6.3.1 Standard Disclosure (SD) This reveals all convictions (spent and unspent) plus any cautions, reprimands or warnings. In relevant cases it will reveal if the applicant is on any of the lists held by the Department of Health and the Department for Education and Skills (DfES) which lists those considered unsuitable to work with children or vulnerable adults. The applicant and the Trust receive a copy of the Disclosure regardless of whether there is a recorded offence. 6.3.2 Enhanced Disclosure (ED) 6.3.3 This reveals the same information as the SD but also reveals any additional nonconviction information held locally by the Police which is considered relevant in connection with the matter in question or capacity in which the individual will be employed. 6.3.4 'Approved' information is printed on the applicant's and the Trust s copy of the Disclosure, normally with the applicant's knowledge. 6.3.5 'Additional' information is sent separately (following an indication on the Trust's copy of the Disclosure) in a letter to the registered countersignatory only and under no circumstances should be disclosed to the applicant. Should the countersignatory receive additional information, it will not be opened but given to the lead countersignatory to deal with appropriately. 6.4 Commencing employment prior to receipt of Disclosure (Risk Assessments) In order to minimise risk to patients, where a post requires a CRB Disclosure, no individual will commence employment until a satisfactory Disclosure has been received. In exceptional circumstances where this will cause operational problems approval must be sought from the Workforce Director, Medical Director or Director of Nursing, who following completion of a risk assessment (Appendix 3) can authorise an individual to commence employment in a supervised capacity. However, this does not apply to posts that meet the criteria for a Protection of Children Act ( PoCA ) (refer to section 6.5.3). Up-dated September 2007 Page 5 of 24

6.5 Eligibility for Standard and Enhanced Disclosures 6.5.1 Eligibility for SD In order to request a SD, the Trust will apply the 'access' test. Therefore the post must meet the following two criteria: "Any employment or other work which is concerned with the provision of health services AND Which is of such a kind as to enable the holder of that employment or the person engaged in that work to have access to persons in receipt of such services in the course of their normal duties" A large majority of staff will have access to patients in the course of their normal duties and most posts within the Trust therefore will be subject to, at minimum, a SD. However, a small number of staff will not satisfy the 'access' test in the course of their normal duties, such as catering staff who do not deliver food to patients or administrative staff who normally work in a separate administrative block. 6.5.2 Eligibility for ED In addition to satisfying the 'access' criteria required for SD, posts must also meet the following criteria to be eligible for an ED: "The 'care' position must regularly involve caring for, training, supervising or being in sole charge of: - A person under 18 OR Or a person aged 18 or over who is a vulnerable adult" (see Appendix 2 for the definition of a vulnerable adult) 6.5.3 PoCA checks for posts working with Children regulated position The Protection of Children Act ( PoCA ) is a statutory scheme, under which lists of people who are banned from working with children are maintained. Inclusion on the PoCA list automatically debars an individual from working in a regulated position. Where a post satisfies the following criteria for a 'regulated position', legally a PoCA check MUST be requested: - "A position whose normal duties include caring for, training, supervising or being in sole charge of children" 6.5.4 It is a criminal offence for anyone to seek or accept work in a 'regulated position' knowing they are on the PoCA list and also for the Trust, with this knowledge, to offer work or to employ a person in such a position. Should inclusion on the list be identified, Human Resources must be contacted immediately and will contact the police to take appropriate action. 6.5.5 Candidates will NOT be allowed to commence employment in a 'regulated position' until a satisfactory Disclosure (including a PoCA check) has been received and a decision made as to their suitability. Up-dated September 2007 Page 6 of 24

6.6 PoVA checks for posts working with Vulnerable Adults The PoVA scheme was implemented in July 2004 and is currently only available in regards to care workers employed by registered providers of care homes. No scheme within the NHS has been established for checks relating to the Protection of Vulnerable Adults (PoVA). Recruiting managers must not indicate on the Disclosure application form that 'the position involves regular contact with vulnerable adults' in section Y of the Disclosure application form as this is currently illegal. 7. APPLICATION OF DISCLOSURES IN RECRUITMENT PROCESS 7.1 Advertising posts requiring Disclosure 7.1.1 Before a post is advertised, the recruiting manager will make an assessment about the requirement for a Disclosure, which must be both proportionate and relevant to the position concerned. A decision will be made regarding: - i) The requirement for a Disclosure ii) The appropriate level of Disclosure iii) Whether a PoCA check is required 7.1.2 The recruiting manager should contact the Human Resources Department for advice relating to specific posts if they are unclear about the suitability of carrying out a Disclosure. 7.1.3 All adverts will make reference to the post being subject to a Disclosure and in addition this will be stated in: - i) Vacancy packs (including making reference to this policy, the CRB code of Practice and how they can be obtained) ii) Application form 7.1.4 Where a Disclosure is to form part of the recruitment process, candidates will be informed:- i) In writing at the shortlisting stage, - within the invite to interview letter ii) Discussed at interview Up-dated September 2007 Page 7 of 24

7.2 Shortlisting candidates with convictions 7.2.1 The panel will make shortlisting decisions based on the merit of the individual's application, in terms of how effectively they demonstrate they meet the criteria contained in the person specification. Only then will any conviction be taken into account. Where a candidate makes a declaration about a criminal record the recruitment decision will be made depending on: - i) The type of offence ii) The relevance to the position applied for iii) When the offence was committed iv) Whether the conviction is considered 'spent' under the ROA. 7.2.2 The Recruiting Manager should contact Human Resources for advice 7.3 Interview stage Any relevant information declared by a candidate should be explored with them before final selection. The panel should have an open and frank discussion with them in order to satisfy themselves with sufficient detail to establish the precise nature of the offence, its context and the individual s attitude towards it. 7.4 Making the recruitment decision 7.4.1 The recruitment decision must be based on the candidate s suitability in terms of abilities, skills, experience and qualifications to carry out the post. Only then must any criminal convictions be taken into account. The Workforce Director, Medical Director or Director of Nursing will consider the following when making a decision about whether to confirm an offer of employment: - i) Whether the offence is relevant to the position being recruited to ii) The seriousness of the offence of matter revealed iii) When the offence happened iv) Whether the individual has a pattern of offending behaviour v) Whether the individual s circumstances have changed since the offending behaviour vi) The circumstances surrounding the offence and explanation offered by the individual vii) The sentence viii) Efforts to avoid re-offending ix) Safeguards against offending at work x) Possible reactions of patients / other staff xi) Extent of supervision xii) The individual s attitude towards it 7.4.2 Where the candidate is under probation or youth justice supervision, with consent of the individual, the Recruiting Manager can contact probation officer or youth justice worker for further advice about the offence. 7.5 Making an offer 7.5.1 Based on the information gained through the application form, and interview, the Workforce Director, Medical Director or Director of Nursing will make an appointment decision. Candidates should be advised, in writing, that the Trust reserves the right to withdraw an offer of employment should any clearances be unsatisfactory to the Trust. Up-dated September 2007 Page 8 of 24

7.5.2 Candidates must NOT commence employment without receipt of a satisfactory Disclosure. However see 6.4 and Appendix 3 for exceptional circumstances. 8. PROCESSING DISCLOSURES 8.1 Requesting a Disclosure Following the decision to appoint a candidate the Recruiting Manager will be responsible for issuing them with a Disclosure Application Form and a copy of the CRB Guidelines. Upon completion of a Disclosure Application Form by the candidate, the Recruiting Manager will have responsibility for checking completeness and accuracy and for verifying the individual's identity. The form will then be sent to the relevant registered person within the Trust who will countersign, record the application on a database and then forward to the CRB 8.2 Receipt of a Disclosure To ensure consistency, confidentiality, and in line with the Code of Practice, Disclosures will be returned to the registered countersignatory. When a clear and satisfactory Disclosure is received the countersignatory will inform the Recruiting Manager in writing Disclosure Forms must not be copied and must not be placed on personal files. Where the Disclosure reveals a trace, the countersignatory will pass the Disclosure to the relevant Human Resources Advisor who will discuss the Disclosure and its contents with the Recruiting Manager. 8.2.1 Where the Disclosure confirms information already known If there is information listed in a Disclosure, it is anticipated that this will confirm what was declared on the application form and would have been taken into account and discussed at interview and prior to the conditional offer. The recruiting manager must discuss the trace with candidate, and a recruitment risk assessment will be undertaken please refer to paragraph 7.5.1 for further details concerning this process. 8.2.2 Where the Disclosure reveals new information The Manager should refer to Human Resources Department in all cases. The Recruiting Manager will arrange to meet with the candidate to discuss the contents of the Disclosure. The candidate will be questioned about why this information was not declared at application stage, and in most cases this will be considered a falsification of application and the offer will be withdrawn. A recruitment risk assessment will need to be undertaken please refer to paragraph 7.5.1 for further details concerning this process. In the event the recruitment manager has followed 6.4 and the candidate has commenced employment, they must be advised that their failure to make this declaration has been considered to be falsification of records and they may be subject to disciplinary action, including summary dismissal. Up-dated September 2007 Page 9 of 24

9. CRB CHECKS FOR MISCELANEOUS GROUPS OF STAFF 9.1 Bank staff Where a bank post meets the definition of a post requiring a Disclosure, the rules about conditional offers will apply (see section 7.6). If the individual commences in post prior to the return of a satisfactory CRB Certificate following a Risk Assessment, they must be restricted from working in any positions subject to PoCA Checks section 6.5.3. 9.2 Locums and Agency staff 9.2.1 By law employment agencies are required to make appropriate checks on temporary staff who work with vulnerable groups such as children and the elderly. Prior to offering a placement, the Line Manager must satisfy themselves that appropriate checks at the correct level for the post have been made. If subsequently new adverse information emerges or appropriate checks have not been made then the Agency must withdraw the temporary worker immediately or inform the Trust where the worker has been supplied on a permanent basis. 9.2.2 Managers must satisfy themselves that, when they are using agency staff in a post meeting the criteria for a Disclosure, the agency have carried out appropriate checks. 9.3 Overseas applicants The Police National Computer only has a limited number of overseas convictions on record and data is not comprehensive. In respect of overseas applicants a fax request may be submitted to the CRB who have access to data from 15 countries. Where countries do not offer this service applicants can be asked to provide a Certificate of Good Conduct from the appropriate embassy or a copy of their own criminal record from overseas. The CRB website provides guidance on this www.crb.gov.uk/overseas 9.4 Volunteers Volunteers are entitled to a CRB Disclosure free of charge, and if the post to which they are being appointed meets the criteria for a Disclosure, they should go through the same process as with other staff appointments. 9.5 Pre-registration Health Professionals Initially, trainees will be CRB checked by the university and further checks should not be required prior to them undertaking any placements. However the Line Manager should satisfy themselves that appropriate checks have been made. On commencement in any employment with the Trust they should go though the same process as with other staff appointments. 10. ACCEPTANCE OF DISCLOSURES OBTAINED BY OTHER ORGANISATIONS 10.1 Managers may use their discretion to accept a disclosure obtained by another organisation, but may only do so if the disclosure was obtained during the previous 6 months. However, in circumstances where the position requires a PoCA check the reuse of a Disclosure is not permitted (www.dh.gov.uk Protection of Children Act). It should be noted that the CRB no longer endorses the use of portability due to the risk Up-dated September 2007 Page 10 of 24

factors involved. In circumstances where a decision is made to accept a disclosure obtained by another organisation the CRB recommend a full risk assessment is undertaken. 10.2 Standard Disclosure The Recruiting Manager must consider whether the duties of the position to be filled are compatible with those relating to the position for which the original Disclosure was issued (see to 6.5.1, 6.5.2 and 6.5.3) If, after referring to the above, the Recruiting Manager concludes the re-use of a Disclosure is acceptable then the candidate must be asked to provide the original Disclosure Applicants Copy. A photocopy is not acceptable as the original Disclosure contains a number of security features to prevent tampering or forgery. This must then be forwarded to the Recruitment Team to enable them to record the details in the usual way (Appendix 6). The original Disclosure Applicants Copy should then be returned to the candidate. 10.3 Enhanced Disclosure Since the release of any Additional Information contained within a private letter is a criminal offence the following procedure must be followed: The applicant should sign a consent statement (Appendix 4) The applicant should be asked to provide their original Disclosure Applicants Copy Forward Disclosure Statement, covering letter (Appendix 5) and photo copy of Applicant s Copy of the Disclosure to original employer The response must be forwarded to the Human Resources to enable them to record the details in the usual way (Appendix 6) 11. RE-CHECKS 11.1 It should not normally be necessary to carry out repeat CRB checks on staff already in post. 11.2 However employees moving to a different post within the organisation should be asked to complete a Disclosure form if any of the following apply: if they have not done so within the previous 3 years if the duties of the position are not compatible with those relating to the position for which the Disclosure was originally issued (refer to sections 6.5.1, 6.5.2 and 6.5.3) if the position requires a PoCA check It should be noted that the need for a Disclosure will be assessed by the relevant manager where the change of role is a result of organisational change. 11.3 If, after considering the above criteria, there is a requirement for new Disclosure then the employee should not ordinarily commence in their new employment until a satisfactory Disclosure has been received. However, for exceptional circumstances see Up-dated September 2007 Page 11 of 24

section 6.4. If the new position requires a PoCA check then the candidate must not commence in their new employment until a satisfactory Disclosure has been received. 11.4 In addition to the above it should be noted that if a post is one that requires a disclosure at whatever level from the Criminal Records Bureau, the Trust retains the right to request a further disclosure at any time and in accordance with Trust or national policy. 12. JUNIOR DOCTORS IN TRAINING For doctors in training, who may move frequently between posts, NHS Employers recommend that a CRB check should be carried out, as a minimum, once every 3 years. Where a doctor is appointed on an educationally approved training rotation, a risk assessment can be performed which may indicate that the checking requirement can be set aside if there is evidence of successful disclosure to an NHS employing organisation within the previous three years. This means that the CRB disclosure is portable for junior doctors who are under close educational supervision and who maintain an ongoing relationship with the NHS. The junior doctor must be able to provide the original Disclosure Applicants Copy, it must have been undertaken by an NHS employing organisation and be dated within the previous 3 years. A copy must be forwarded to the Recruitment Team to enable them to record the details in the usual way (Appendix 6). The original Disclosure Applicants Copy should then be returned to the candidate. Where this method of clearance is adopted the Medical Staffing Team will complete the Risk Assessment and no further action is required. The exception to this principle is where a doctor is appointed to a training post in paediatrics or other post within the scope of the Protection of Children Act (PoCA). As PoCA checks are a legal requirement, a new check must be carried out irrespective of the date of the previous check. In these circumstances, and in accordance with CRB guidelines, a full Enhanced CRB and PoCA check must be obtained. 13. DISPUTES Where a candidate disputes the information contained in the Disclosure, they must contact the CRB s Dispute line. Only conditional offers of employment will be made until this position is clarified. 14. SECURITY The Trust will operate within the CRB code of practice with regards to security and safekeeping of Disclosure information. See Appendix 6. 15. TRAINING All staff in the Trust who are involved in the recruitment process will receive training in the relevant legislation relating to the employment of ex-offenders. Up-dated September 2007 Page 12 of 24

16. REVIEW AND MONITOR The effective implementation of this policy will be monitored by the Department of Human Resources, which will carry out random checks on the process. Up-dated September 2007 Page 13 of 24

Appendix 1 POLICY STATEMENT ON THE REHABILITATION OF OFFENDERS As an organisation using the Criminal Records Bureau (CRB) Disclosure service to assess applicants' suitability for positions of trust, The Shrewsbury and Telford Hospital NHS Trust complies fully with the CRB Code of Practice and undertakes to treat all applicants for positions fairly. It undertakes not to discriminate unfairly against any subject of a Disclosure on the basis of conviction or other information revealed. The Trust is committed to the fair treatment of its staff, potential staff or users of its services, regardless of race, gender, religion, sexual orientation, responsibilities for dependants, age, physical/mental disability or offending background. We actively promote equality of opportunity for all with the right mix of talent, skills and potential and welcome applications from a wide range of candidates, including those with criminal records. We select all candidates for interview based on their skills, qualifications and experience. A Disclosure is only requested after a thorough risk assessment has indicated that one is both proportionate and relevant to the position concerned. For those positions where a Disclosure is required, all application forms, job adverts and recruitment briefs will contain a statement that a Disclosure will be requested in the event of the individual being offered the position. Unless the nature of the position allows the Trust to ask questions about your entire criminal record we only ask about "unspent" convictions as defined in the Rehabilitation of Offenders Act 1974. We ensure that all those in the Trust who are involved in the recruitment process have been suitably trained to identify and assess the relevance and circumstances of offences. We also ensure that they have received appropriate guidance and training in the relevant legislation relating to the employment of ex-offenders, e.g. the Rehabilitation of Offenders Act 1974. At interview, or in a separate discussion, we ensure that an open and measured discussion takes place on the subject of any offences or other matter that might be relevant to the position. Failure to reveal information that is directly relevant to the position sought could lead to withdrawal of an offer of employment. We make every subject of a CRB Disclosure aware of the existence of the CRB Code of Practice and make a copy available on request. We undertake to discuss any matter revealed in a Disclosure with the person seeking the position before withdrawing a conditional offer of employment. Having a criminal record will not necessarily bar you from working with us. This will depend on the nature of the position and the circumstances and background of your offences. Up-dated September 2007 Page 14 of 24

Appendix 2 DEFINITION OF A VULNERABLE ADULT A vulnerable adult means a person aged 18 or over who is receiving one of the following services: - - Accommodation and nursing or personal care in a care home - Personal care, nursing or support to live independently in their own home - Any services provided by an independent hospital, independent clinic, independent medical agency or NHS body - Social care services - Any services provided in an establishment caring for a person with learning difficulties AND Either has one of the following conditions: - - A learning or physical disability - A physical or mental illness, chronic or otherwise including an addition to alcohol or drugs - A reduction in physical or mental capacity OR Has one of the following disabilities: - - A dependency upon others in the performance of, or a requirement for assistance in the performance of basic physical functions - Severe impairment in the ability to communicate with others - Impairment in a persons ability to protect himself from assault, abuse or neglect Up-dated September 2007 Page 15 of 24

RISK ASSESSMENT FORM FOR STAFF AWAITING CRB DISCLOSURE Appendix 3 This form is to be completed by the recruiting manager to make an assessment about a candidates' suitability to commence employment prior to receipt of a CRB Disclosure. The risk assessment must be carried out by the recruiting manager and approved by the Workforce Director, Medical Director of Director of Nursing before the individual commences employment. Individuals should only be allowed to commence employment without a Disclosure if, in exceptional circumstances, following completion of a risk assessment satisfactory to the Trust, any delay is likely to severely affect service delivery. Where the individual requires a PoCA check (the 'regulated' position to which they are being appointed meets the definition of 'normal duties including caring for, training, supervising or being in sole charge of children') they must NOT be allowed to commence employment until a satisfactory CRB Certificate, declaration form and other satisfactory clearances have been received. Recruiting Manager. Job Title. Directorate / Service.. Candidate's Name.. Post Applied For. Level of Disclosure requested.... Provisional start date / / Date Disclosure check requested / / PART A 1) Did the applicant declare any criminal convictions, bindovers, cautions, police investigations which might lead to a conviction, orders binding them over or cautions in the UK or any other country? Yes No 2) If yes, are these convictions relevant to the work that they are being employed to undertake? Yes No /Continued Up-dated September 2007 Page 16 of 24

3) If yes, are these convictions of a serious nature i.e. offences against children / vulnerable adults / violent or sexual offences etc? Yes No If yes, please state details 4) Have you obtained references in line with Trust policy? Yes No 5) Do the individual s references give any cause for concern? Yes No If yes, please state details 6) At interview, did the individual say or do anything which gave cause for concern, in relation to allowing them to commence work before a Disclosure is received? Yes No If yes, please state details 7) Has the individual ever had a police check previously? Yes No If yes, when was this done and with whom (employer)? /Continued Up-dated September 2007 Page 17 of 24

PART B 1) Does the job involve regularly caring for, training, supervising of being in sole charge of children or vulnerable adults? Yes No If yes, the individual must not commence in post until a satisfactory CRB Certificate has been returned. This risk assessment must not be continued. 2) Will the individual work be required to work alone during their induction period? Yes No 3) Will the individual have access to, or opportunity to commit an offence against a patient? Yes No 4) If yes, what precautions or measures will you put in place to prevent this from happening? 5) Are you satisfied the risk of possible offending can be minimised by ensuring that satisfactory supervisory measures listed above can be implemented to prevent the individual from being alone with patients? Yes No Please outline the implications of delaying the individual in commencing employment Up-dated September 2007 Page 18 of 24

PART C DECLARATION BY THE RECRUITING MANAGER I have considered the questions outlined above, and I am not satisfied that it is safe to allow the above named individual to commence to work before the Disclosure clearance is received. OR I have considered the questions outlined above and confirm that I am satisfied that it is safe to allow the above named individual to commence work before the Disclosure clearance is received, subject to the following safety measures detailed above being in place I confirm that I have notified all relevant managers that the individual is still subject to clearance and of the need to ensure the above measures are implemented. I confirm that I have explained to the individual concerned the implications of commencing work prior to clearance being received and the possibility that disciplinary action including summary dismissal may result if it is subsequently discovered that the individual did not disclose any material facts relating to their employment. I confirm that all other clearances satisfactory to the Trust have been received. I can confirm that this post will not involve working with children. Signed Print Name Date: / / APPROVAL BY WORKFORCE DIRECTOR, MEDICAL DIRECTOR OR DIRECTOR OF NURSING I confirm that I agree with the decision made by the recruiting manager Signed Print Name Date: / / Up-dated September 2007 Page 19 of 24

This form should be retained on the candidate s personal file until a suitable CRB Disclosure is received, allowing a decision to be made about their continuing employment Up-dated September 2007 Page 20 of 24

Appendix 4 EXAMPLE DISCLOSURE CONSENT STATEMENT, (insert name of manager offering position) has offered me a position as....(insert title of position) at..(insert name of organisation) I consent to the person indicated below confirming such details relating to the Disclosure issued to me by the Criminals Records Bureau. This will assist with an assessment of my suitability for the position: CRB Check for.... (name of applicant) Dated.. (date of application) Reference number Person releasing CRB data (name of original signatory on Disclosure form) Signed. Print Name.. Date. Up-dated September 2007 Page 21 of 24

Appendix 5 EXAMPLE COVERING LETTER FOR DISCLOSURE STATEMENT Dear. has applied for a position as. with Please find enclosed a signed disclosure consent statement allowing you to release information concerning this disclosure. Could you please confirm the following: The information on the enclosed disclosure statement is correct (please delete as appropriate) YES/NO Resulting recruitment decision taken (please delete as appropriate) EMPLOYED/NOT EMPLOYED Additional information was issued by the police (please delete as appropriate) Signed YES/NO Dated. Print Name. In order to process this application as soon as possible a prompt reply would be appreciated. Please find enclosed a stamped addressed envelope in which to return your reply or you may fax your response to If you have any queries then please do not hesitate to contact me. Yours sincerely Up-dated September 2007 Page 22 of 24

Appendix 6 CORRECT HANDLING AND SAFEKEEPING OF DISCLOSURE INFORMATION As well as complying with the CRB Code of practice, the Trust will also comply fully with its obligations under the Data Protection Act and other relevant legislation pertaining to the safe handling, use storage, retention and disposal of Disclosure information. Storage and access to CRB Disclosures Disclosure information is never kept on an applicant s personal file and is always kept separately and securely in lockable, non portable storage containers with access strictly controlled and limited to those who are entitled to see it as part of their duties. Handling Disclosure information is only passed to those who are authorised to receive it in the course of their duties. The Trust maintains a record of all those to whom Disclosures or Disclosure information has been revealed and recognises that it is a criminal offence to pass this information to anyone who is not entitled to receive it. It is an offence for anyone who has access to criminal records to disclose information about spent convictions unless officially authorised. When a conviction or caution is revealed, the Disclosure will be passed to the relevant HR contact who will liaise with the appropriate recruiting manager so that a decision can be made. Following this the disclosure will be returned to the relevant countersignatory to store appropriately. Usage Disclosure information is only used for the specific purpose for which it was requested and for which the applicant s full consent has been given. Retention When a recruitment (or other relevant) decision has been made the Trust will not keep Disclosure information for any longer than is absolutely necessary. This is generally for a period of 6 months to allow for the consideration and resolution of any disputes or complaints. If in very exceptional circumstances it is considered necessary to keep Disclosure information for longer than 6 months, the Trust will consult with the CRB and give full consideration to the data protection and human rights of the individual subject before doing so. Throughout this time, the usual conditions regarding safe storage and strictly controlled access will prevail. /Continued Up-dated September 2007 Page 23 of 24

Disposal When the retention period has elapsed, the Trust will ensure that any Disclosure information is immediately suitably destroyed by secure means. While awaiting destruction, Disclosure information will not be kept in any insecure receptacle (e.g. waste bin or confidential waste sack). The Trust will not keep any photocopy or other image of the Disclosure or any copy or representation of the contents of a Disclosure. However, notwithstanding the above the Trust will keep a record through a database of the: - - date of issue of a Disclosure - name of the applicant - type of Disclosure requested - position for which the Disclosure was requested - unique reference number of the Disclose - details of the recruitment decision taken This includes situations where the portability option is exercised. Up-dated September 2007 Page 24 of 24