CRIMINAL RECORDS CHECKS PROCEDURE

CRIMINAL RECORDS CHECKS PROCEDURE Criminal Record Checks Procedure Page: Page 1 of 18

Recommended by Approved by Director of Organisational Development Executive Management Team Approval date 20 th April 2016 Version number 1.0 Review date April 2019 Responsible Director Responsible Manager (Sponsor) For use by Director of Organisational Development Deputy Director of Organisational Development All Trust employees This policy is available in alternative formats on request. Please contact the Corporate Governance Assistant on 01204 498379 Criminal Record Checks Procedure Page: Page 2 of 18

Change record form Version Date of change Date of release Changed by Reason for change 0.1 January 2016 March 2016 Corporate HR Document creation split of Policy and Procedure 0.2 March 2016 April 2016 L. Ward Amendment following Policy Group 1.0 29 th April 2016 May 2016 L. Ward Changes to confirm approval date following EMT Criminal Record Checks Procedure Page: Page 3 of 18

CRIMINAL RECORDS CHECKS PROCEDURE CONTENTS Section Page 1. Introduction 5 2. Purpose 5 3. Principles 5 4. Responsibilities 6 5. Determination of Disclosure Levels 7 6. Starting Work before the Return of a Disclosure 7 7. Considering Disclosures Containing Information 9 8. Payment of Disclosures 11 9. Ongoing DBS checks on existing staff and volunteers 11 10. Monitoring and Review 12 11. Associated Documentation 12 Appendices 1. Recruitment of Ex-Offenders Statement 14 2. Risk Assessment for new starters 16 3. Security, Storage and Retention 18 Criminal Record Checks Procedure Page: Page 4 of 18

1. INTRODUCTION 1.1 North West Ambulance Service (NWAS) needs to ensure that all employees who work with patients are suitable to do so. As part of the pre-employment clearance process prospective employees must undergo a level of Disclosure and Barring Service (DBS) Check appropriate to the role. 2. PURPOSE 2.1 This procedure is intended to assist Trust employees and prospective employees to: Understand the process relating to the application of DBS checks. Understand how decisions relating to suitability for employment will be reached 3. PRINCIPLES 3.1 The Trust will comply fully with the DBS Code of Practice regarding the correct handling, use, storage, retention and disposal of Disclosures and Disclosure information. The Code of Practice is intended to ensure that the information released will be used fairly. This Trust also complies fully with its obligations under the Data Protection Act 1998. 3.2 The Trust complies with the relevant legislation and good practice outlined in the NHS Employment Checks Standard- Criminal Records and Barring Checks July 2013 in implementing this procedure. 3.3 The Trust will inform prospective candidates of the requirement for a DBS check in the job advertisement on NHS Jobs, or as an attachment sent with any paper application packs. The Recruitment of Ex-Offenders Statement of Intent is attached at Appendix 1. 3.4 Refusal by a candidate to participate in the Disclosure process will disqualify the candidate from appointment. This includes a failure to present the Trust with their DBS certificate upon request. 3.5 NWAS recognises that it is an offence to pass information detailed on a DBS certificate to anyone not authorised to receive it. 3.6 Where it is found that an individual has intentionally provided inaccurate information or withheld information relevant to their position, this may disqualify them from appointment. 3.7 If at any time during their employment an employee fails to inform the Trust of relevant criminal record information, this may result in disciplinary action, dismissal, and/or referral to a professional regulatory body where appropriate. Criminal Record Checks Procedure Page: Page 5 of 18

3.8 Employees are required to notify their line manager at the earliest possible opportunity, for example on receiving a caution, commencement of a police investigation or following the date of the incident, if the employee is required to attend court at a later date. 4. RESPONSIBILITIES 4.1 Director of Organisational Development The Director of Organisational Development is responsible for ensuring the overall operation of the DBS procedures complies with the Trust s policy on Criminal Records Checks and the NHS Employment Checks standards. 4.2 Deputy Director of Organisational Development The Deputy Director of Organisational Development will act as the Lead Counter-signatory and will be responsible for providing assurance and compliance with NHS Employment Checks standards and the DBS Code of Practice. The Lead Counter-signatory, must ensure the provision of the E-DBS service by an approved umbrella body is maintained and administered in accordance with the agreement between both parties. 4.3 Heads of Service/Heads of Departments Heads of Service and Heads of Departments will be responsible for Ensuring that recruitment decisions within their areas of responsibility appropriately take account of DBS disclosures in line with this procedure Agreeing DBS risk assessments for new staff who are due to commence on planned formal induction/training courses and who have not completed the Disclosure process. Ensure new staff that have been allowed to commence on formal training with a DBS risk assessment in place, do not commence operational duties until a satisfactory disclosure has been received by the Trust. 4.4 Recruiting/Line Managers Recruiting/Line Managers will be responsible for Ensuring fairness and consistency in considering DBS disclosure information as part of recruitment decisions. Ensuring new staff do not commence operational duties prior to a satisfactory disclosure being received by the Trust Criminal Record Checks Procedure Page: Page 6 of 18

4.5 HR Managers/HR Advisors HR Managers/Advisors will be responsible for providing guidance and support to all parties as necessary during the employment checks process to ensure fairness and consistency is maintained. 4.6 HR Hub The HR Hub will be responsible for Administering the E-DBS process in conjunction with the Umbrella Body Providing guidance and support to new appointees and managers as required across the full process to ensure a DBS is obtained efficiently and effectively during the employment checks process Provide disclosure information in a secure and confidential manner, observing the DBS Code of Practice and Data Protection principles when communicating information to appropriate parties in the process. Maintain a central record of decisions including a rationale, ensuring any identifying information is withheld from the records 5 DETERMINATION OF DISCLOSURE LEVELS 5.1 The level of Disclosure required for recruitment to a particular post will be determined by reference to the national guidance issued by the Disclosure and Barring Service and any relevant legislation. The HR Hub, in liaison with the Umbrella Body who will support and provide advice on the relevant guidance and will maintain a central record of the levels of disclosures for different roles following agreement with the relevant service line. The final recommendation will be approved by the Trust Lead Countersignatory. 6 STARTING WORK BEFORE THE RETURN OF A DISCLOSURE 6.1 The Trust will inform prospective candidates of the requirement for a DBS check in the job advertisement on NHS Jobs, or as an attachment sent with any paper application packs. The Recruitment of Ex-Offenders Statement of Intent is attached at Appendix 1. 6.2 New Employees 6.2.1 Any offer of employment is conditional pending the satisfactory outcome of all employment checks prior to commencing in post, including a DBS Disclosure if appropriate for the position. 6.2.2 Under normal circumstances a prospective employee cannot commence employment without a satisfactory Standard or Enhanced Disclosure as appropriate for the role. 6.2.4 Where the Trust is awaiting the return of an Enhanced or Standard Disclosure it may be appropriate, in very exceptional circumstances, for a prospective employee to commence Criminal Record Checks Procedure Page: Page 7 of 18

employment on a training course. However the required original identification documents must have been received by the Trust and the e-dbs application submitted via the on-line DBS system. A DBS risk assessment (Appendix 2) must be completed by the line manager and a HR Manager before final authorisation by the Head of Service to consider if the employee may commence employment. In all cases the Disclosure must be received prior to the commencement of operational duties. Where the Disclosure is not returned in time, the employee will be suspended on no pay until it is received. 6.2.5 Volunteers, including Community First Responders, must not commence work with the Trust prior to the return of a satisfactory DBS Disclosure. 6.3 Existing Employees 6.3.1 A new disclosure is not normally required where an existing employee (who has had a DBS check within the last six months) moves jobs (including redeployment) within the Trust where their roles, responsibilities and level of contact with that vulnerable group has not changed significantly. 6.3.2 If an employee has not previously/recently had a disclosure or a higher level of Disclosure is required for the position applied for, this must have been received prior to the employee taking up the new post. All decisions on suitability for the position will be considered in line with section 13. 6.4 Bank Workers 6.4.1 Substantive employees who resign and commence as a worker on the bank must undergo a DBS check at the appropriate level at the time they commence in a bank position. They can commence shifts subject to this check but they must complete a new check within 13 weeks of starting work under a bank agreement. 6.4.2 Externally appointed Bank staff will be subject to the NHS Employment Check Standards, including the receipt of a DBS Disclosure before assigning any Bank shifts. 6.4.3 Further details relating to the appointment of Bank Workers can be found in the Bank Worker Procedure. 6.5 Volunteers 6.5.1 The same criteria should be applied to volunteers as is applied to employees with regards to Disclosures. The Trust must ensure that volunteers are fully aware of organisational policies and procedures governing the protection of vulnerable people and what they should do and to whom they can refer if they have any concerns. 6.5.2 The DBS will issue a Disclosure free of charge for volunteers if the applicant satisfies the following criterion: Criminal Record Checks Procedure Page: Page 8 of 18

a person who is engaged in any activity which involves spending time, unpaid (except for travelling and other approved out-of-pocket expenses), doing something which aims to benefit someone (individuals or groups) other than/or in addition to close relatives. 6.5.3 Volunteers must not commence work with the Trust prior to the return of a satisfactory Disclosure at the appropriate level. 6.6 Staff recruited via third parties 6.6.1 Where checks have been carried out by a third party prior to employment e.g. temporary or permanent employment through an agency, the Trust will review the Disclosure prior to confirming employment. In circumstances where the third party will not share a disclosure, then the recruitment may be delayed or withdrawn or the Trust require completion of a duplicate check prior to confirming an unconditional offer. Individuals in these circumstances will not normally commence employment prior to checks being completed. 6.7 Third party providers 6.7.1 All staff provided through a third party, will be expected to have completed checks compliant with the NHS Employment Standards regulations. This will include DBS checks where appropriate and this requirement will be built into contractual arrangements with the Trust reserving the right to undertake random checks to ensure that processes are being completed appropriately and that decisions regarding suitability are consistent with Trust standards. 7. CONSIDERING DISCLOSURES CONTAINING INFORMATION 7.1 Where the Trust is notified that a Disclosure has been issued which contains information, they will contact the candidate or employee to request that the Disclosure is shared with the Trust. A failure to share the Disclosure will lead to the withdrawal of an offer of employment or promotion and for an employee may lead to disciplinary action. 7.2 Where a Disclosure contains information, it will firstly be reviewed by the HR Hub who will identify whether it contains information which may impact on an individual s suitability for the relevant post. The HR Hub will provide advice on consistency and the Disclosure information will be reviewed by a senior recruiting manager in the relevant service line who will make the final decision on suitability, taking any necessary advice from Human Resources Managers. 7.3 When considering whether information contained in a Disclosure has a bearing on the individual s suitability to continue in the post or for a potential employee to commence employment, the decision will take account of the following: any legal or regulatory requirements (i.e. in relation to regulated activity). Criminal Record Checks Procedure Page: Page 9 of 18

the seriousness of the offence under the new filtering system certain specified offences (because of their serious nature) will always be included in a DBS disclosure regardless as to whether they are spent or unspent and therefore must be considered by the employer - see list of specified offences on the DBS website. the length and type of sentence issued whether the applicant has a pattern of offending behaviour. If there are multiple offences, regardless of their seriousness or whether they are spent or unspent, these will always be included in a DBS disclosure. People who have a pattern of offending right up to the present date have clearly not put their offending behind them. Those people with gambling, drink or drugs related convictions in particular may remain a risk unless there is evidence of a clear break in the pattern of their offending The seriousness and relevance of the conviction(s); Whether the conviction history suggests any safety implications to staff or patients, customers or property; The length of time since the offences(s); The background of the conviction, i.e. was it a one off offences or part of a history of offending? Any change in the applicants circumstances since the offences was committed; The circumstances surrounding the offending behaviour and the explanation offered by the convicted individual. Whether or not the current employee discussed the criminal record on their application form / during employment or not. 7.4 Driving Offences - Where the applicant/employee is/has been banned from driving due to a driving conviction (including drugs, drink, speeding etc.) and they are required to drive as part of the role, the appropriate rehabilitation period will be taken into account in respect of an applicant applying for a position with NWAS. If the conviction is not considered spent their application will be withdrawn. 7.5 The Trust will always look at convictions and cautions on an individual basis. The Trust reserves the right to withhold employment where it is deemed necessary. 7.6 Having a criminal record will not necessarily be a bar to obtaining employment with the Trust. However, failure to disclose such information or to make false declarations will normally result in the conditional offer of employment being withdrawn, or disciplinary action (with a possibility of dismissal) if employment has commenced. Criminal Record Checks Procedure Page: Page 10 of 18

8. PAYMENT OF DISCLOSURES 8.1 There is a charge for all Disclosure applications except those for voluntary workers. The Trust will bear the cost of any application which the Trust requires the existing staff to undertake during employment. 8.2 Prospective employees, including Bank staff applying for a permanent post, are required to pay the full cost of the Disclosure which will be deducted from their first month s salary. Applicants will be asked to sign a repayment disclosure during the recruitment process if this applies. 8.3 All staff who chose to take up the DBS Update Service will be required to bear the cost of the annual fee. 9. ONGOING DBS CHECKS ON EXISTING STAFF AND VOLUNTEERS 9.1 There is no legal or mandatory requirement for organisations to recheck employees and volunteers. The Trust is responsible for ensuring that patients and those who are vulnerable, are safeguarded in the work which is carried out by the Trust and as a result the Trust will consider the application of rechecking of existing staff on a periodic basis. Any such rechecking exercise will be carried out using the principles set out within this procedure. 9.2 Volunteers will be checked every three years. 10. MONITORING AND REVIEW 10.1 This procedure will be reviewed every three years; however if national guidance or legislation changes then the procedure will be reviewed earlier. As part of the review process, the effectiveness of the procedure and its application will be assessed. Information and results from recruitment records and an audit will be used to inform this assessment. 10.2 The procedure will be monitored through the following systems: Area of Monitoring Process to follow to ensure that the types of check required are adhered to. Monitoring Process The Lead Counter signatory and HR Hub Manager will ensure that the recruitment process is compliant with the NHS Employment Check Standards. Should Criminal Record Checks Procedure Page: Page 11 of 18

these standards change the recruitment process will be amended accordingly. Individual checks and the decisions will be reviewed prior to issue of unconditional offer letters. The process will be audited annually. Process to follow up those who fail to satisfy the checking arrangements. Process to ensure that all checks are being carried out by recruitment agencies. A central record is retained of DBS decisions to enable review and monitoring. The Recruiting Manager will ensure that there is an appropriate process in place to to ensure that all pre-employment checks are complete. 11 ASSOCIATED DOCUMENTS 11.1 This procedure should be read in conjunction with: The Recruitment and Selection policy Bank Worker Agreement Criminal Records Checks for New and Existing Employees Policy Criminal Record Checks Procedure Page: Page 12 of 18

Appendix 1 RECRUITMENT OF EX-OFFENDERS POLICY STATEMENT 1. As an organisation assessing applicants suitability for positions which are included in the Rehabilitation of Offenders Act 1974 (Exceptions) Order using criminal record checks processed through the Disclosure and Barring Service (DBS), NWAS complies fully with the code of practice and undertakes not to discriminate unfairly against any subject of a Disclosure on the basis of a conviction or other information revealed. 2. NWAS is committed to the fair treatment of its staff, potential employees or users of its services, regardless of race, gender, religion, sexual orientation, responsibilities for dependants, age, physical/mental disability or offending background. 3. This statement of intent is made available to all Disclosure applicants at the outset of the recruitment process. 4. 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. 5. 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. 6. Where a Disclosure is to form part of the recruitment process, we encourage all applicants called for interview to provide details of their criminal record at an early stage in the application process. We request that this information is sent under separate, confidential cover, to a designated person within NWAS and we guarantee that this information will only be seen by those who need to see it as part of the recruitment process. 7. NWAS will only ask an individual to provide details of convictions and cautions that we are legally entitled to know about and where a DBS certificate at either standard or enhanced level can legally be requested (where the position is one that is included in the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 as amended, and where appropriate Police Act Regulations as amended) 8. NWAS can only ask an individual about convictions and cautions that are not protected. Criminal Record Checks Procedure Page: Page 13 of 18

9. We ensure that all those in NWAS 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. 10. 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. 11. We make every subject of a DBS Disclosure aware of the existence of the DBS Code of Practice and make a copy available on request. 12. 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. Criminal Record Checks Procedure Page: Page 14 of 18

Appendix 2 Interim Risk Assessment of Individuals Awaiting DBS Disclosure This form is to be used by Managers in the event of a delay in obtaining Disclosure Barring Service Enhanced Disclosures Area Name of Person being Assessed Control Measures Essential Desirable a) References obtained from the two most recent employers. (N.B. Verbal references are acceptable for internal candidates only) Yes No- b) Applicant can provide evidence of previous DBS Disclosure or overseas equivalent (original document) c) Applicant has recent experience of working within a clinical area or in a position of trust and can provide verifiable evidence of this. Yes No Yes No d) Applicant will be working under supervision whilst awaiting DBS Disclosure Yes No e) Safeguards are in place to restrict access to children and/or vulnerable adults f) Identification verified at interview stage. N.B: Candidate must provide a full valid birth certificate and a current Passport or a UK photo driving licence. To qualify as ACCEPTABLE RISK all 4 essential and at least one desirable box must be ticked. Anything less will constitute UNACCEPTABLE RISK. Yes No Yes No Acceptable Risk Unacceptable Risk Any further information to support the risk assessment AUTHORISATION Assessment to be conducted by the line manager and HR Manager before being passed to Head of Service / Deputy Director for authorisation. Assessed by Line Manager (signature) Name (Block Capitals) Date Criminal Record Checks Procedure Page: Page 15 of 18

Assessed by HR Manager (signature) Name (Block Capitals) Date Authorised by Head of Service/Deputy Director (signature) Name (Block Capitals) Date If applicant commences a training course with no patient contact, this risk assessment will cover the duration of the course. Thereafter, this risk assessment must be reviewed every 7 days thereafter until the disclosure is received. It is the line manager responsibility to ensure that this risk assessment is completed. Criminal Record Checks Procedure Page: Page 16 of 18

Appendix 3 STATEMENT OF INTENT ON THE SECURITY, STORAGE, RETENTION AND DESTRUCTION OF DISCLOSURES AND SELF DECLERATION FORMS As an organisation using the Disclosure and Barring Service to help assess the suitability of applicants for positions of trust, NWAS complies fully with the DBS Code of Practice regarding the correct handling, use, storage, retention and disposal of Certificates and Certificate information. It also complies fully with its obligations under the Data Protection Act 1998 and other relevant legislation pertaining to the safe handling, use, storage, retention and disposal of Certificate information and has a written statement on these matters, which is available to those who wish to see it on request. STORAGE AND ACCESS All DBS Disclosures and Self Declaration forms will be stored in a lockable filing cabinet with access restricted to those that require the access in the course of their duties, in line with section 124 of the Police Act. HANDLING In accordance with section 124 of the Police Act 1997, Certificate information is only passed to those who are authorised to receive it in the course of their duties. This will normally be limited to HR and Recruitment Service employees and the recruiting / appointing manager. We maintain a record of all those to whom Certificates or Certificate information has been revealed and it is a criminal offence to pass this information to anyone who is not entitled to receive it. 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 received. The receipt of a Disclosure and the Disclosure level may be disclosed to other organisations at the request of the employee, but the actual Disclosure cannot be released or copied. RETENTION Once a recruitment (or other relevant) decision has been made, we do not keep Certificate information for any longer than is necessary. This is generally for a period of up to six months, to allow for the consideration and resolution of any disputes or complaints. If, in very exceptional circumstances, it is considered necessary to keep Certificate information for longer than six months, we will consult the DBS about this and will give full consideration to the Data Protection Criminal Record Checks Procedure Page: Page 17 of 18

and Human Rights of the individual before doing so. Throughout this time, the usual conditions regarding the safe storage and strictly controlled access will prevail. Details of the level of Disclosure received, the date of receipt, the unique Disclosure reference number and the resulting action will be recorded on the ESR system and DBS spreadsheet. For prospective employees, if the offer of employment is withdrawn as a result of the CRB check a copy of this letter will be kept on the closed recruitment file for a period of 13 months. For prospective employees, if the Disclosure contains information on convictions, warnings or reprimands, but it is decided to continue with the offer of employment, a note of the discussions that took place between the manager and the prospective employee and the reasons for the decision will be kept on the employee s personal file. For existing employees, if a criminal conviction, caution, warning or reprimand is declared/occurs during the course of employment, but it is decided that employment can continue, a note of the discussions that took place between the manager and the employee and the reasons for the decision will be kept on the employee s personal file. DISPOSAL Once the retention period has elapsed, we will ensure that any Certificate information is immediately destroyed by secure means, i.e. by shredding, pulping or burning. While awaiting destruction, Certificate information will not be kept in any insecure receptacle (e.g. waste bin or confidential waste sack). We will not keep any photocopy or other image of the Certificate. However, notwithstanding the above, we keep a record of the date of issue of a Certificate, the name of the subject, the type of Certificate requested, the position for which the Certificate was requested, the unique reference number of the Certificate and the details of the recruitment decision taken. Criminal Record Checks Procedure Page: Page 18 of 18