Sandwell HR Services Information regarding requirements for Disclosure & Barring Checks and the Single Central Record HR Services January 2014 (Updated May 2014)
Contents Page Introduction 3 Single Central Record Requirements Who should be included 5 Details to record 5 Volunteers 6 Governors 6 Supply Teaching Agencies 6 Visiting Staff 6 Additional Information Evidence Documents 7 Extended School Activities 7 Model Single Central Record Notes to Accompany Single Central Record 8 2
Introduction Schools are required to retain a Single Central Record (SCR) for Staff to ensure that the safety of children is paramount. This is required during Ofsted Inspections points 13 and 15-18 of the Briefing for section 5 inspection Inspecting Safeguarding (January 2014) states: Point 13 Under the terms of the School Staffing (England) Regulations 2009, schools are required to maintain records of the recruitment checks they make in a single central record (SCR). This duty is not removed under the Protection of Freedoms Act 2012. However, there is no prescribed format or layout for the SCR, as long as it shows the nature of the checks made, the date on which they were made and the identity (for example, function or job title) of those making the checks or entering the details in the record. Point 15 Ofsted expects schools to be able to demonstrate that they meet all regulations and duties for the purposes of the safeguarding judgement under leadership and management in the School inspection handbook. Inspectors will check the school s SCR early in the inspection with the expectation that it will be complete and meet statutory requirements. Point 16 However, if there is a minor administrative error such as the absence of a date on the record, and this can be easily rectified before the final team meeting, schools will be given the chance to resolve the issue. Point 17 Ofsted has established a definition for administrative errors in relation to the SCR. No allowance will be made, for example, for breaches to the requirements for the DBS disclosures. Point 18 Administrative errors may be defined as follows: Failure to record one or two dates Failure to record the name/s of the person/s that carried out the checks Individual entries that are illegible One or two omissions where it is clear that the information is already held by the school but the school has failed to transfer over the information in full to the SCR. It is the responsibility of every School to hold secure evidence verifying that Staff have had their identity, qualifications and criminal records checked. DfE Statutory Guidance, Keeping Children Safe in Education dated April 2014 details the Safer Recruitment Requirements with regards to: Recruitment, selection and pre-employment vetting; types of check and pre-appointment checks. It also details who and what details should be held on the schools Single Central Record. Since 1 April 2007 Schools have been required to demonstrate that mandatory checks i.e. List 99 or enhanced DBS (formally CRB), have been completed. These become an important element in the evidence the SCR provides in ensuring that Schools have systems in place that help maintain children s safety. In December 2012 the Criminal Records Bureau and the Independent Safeguarding Authority merged to become the Disclosure & Barring Service and continues to oversee safeguarding regulations in England and Wales. Its role is, to help prevent unsuitable people from working with vulnerable groups, including children. The DBS has overall responsibility for making barring decisions and providing the guidance with regards to Regulated Activity and what positions require a DBS check at the appropriate level. 3
Validated ID documents produced by staff or information provided by the HR Service to support the SCR must be kept securely and is subject to both the school s Retention and Disposal policy and in the case of DBS Certificates subject to the DBS Code of Conduct regarding the secure storage, handling, use, retention and disposal of Disclosures and Disclosure information (A copy of the Policy statement can be found here). HR can provide advice and guidance on the details required to enable Schools to maintain their SCR, in line with the DfE requirements as detailed in the publication, Keeping Children Safe in Education which is also issued to Ofsted Inspection Teams for guidance. 4
Who should be included Single Central Record Requirements 1. All School Appointed Employees 2. All Unsupervised Volunteers 3. Governors and members of proprietor body (for Academies and Independent Schools) 4. Letters of confirmation from Suppliers who provide individuals for placements/contracts(i.e. 3 rd Party Supplier Confirmation Letter) You may also wish to include some details of the following (this is not an Ofsted requirement, but considered as Best Practice ): 1. Governors (for Maintained schools) 2. Supervised Volunteers 3. Contractors (where checked and details are provided) Details to Record Schools must have the following information in the Single Central Record: Specific individual personal details to include: Identity Details Name, Address and Date of Birth Qualifications (where applicable) Please Note: Since the 1 st September 2013 this also includes establishing that a Teacher is not subject to a prohibition order or interim prohibition order. Details of right to work in the UK (Details of evidence of the permission to work for those who are not nationals of the European Economic Area (EEA)and the documentation that is acceptable as defined by the UK Visa s and Immigration Service can be found here (A&I Evidence Information). Children s Barred List details *See Note 1 Disclosure & Barring Certificate details (formally CRB) * See Note 1 Overseas Checks ** See Note 2 * Note 1 For Reference - Information regarding what details and/or who should be included in the SCR with regards to DBS is as follows: Evidence that staff appointed before 1 March 2002 have been checked against Barred List (List 99). Evidence that any Staff or Unsupervised Volunteers appointed on or after 1 March 2002, who meet Regulated Activity under the DBS guidance with regards to children and who have not had continuity of employment (i.e. break of service longer than three months), have been subject to Disclosure & Barring Service (DBS, formally CRB) enhanced disclosure with barring check and other designated recruitment checks. DBS (formally CRB) details covering all employed staff and others identified by the school (e.g. Volunteers) as meeting Regulated Activity with regards to regular unsupervised contact with children. (Regular is defined as:- Frequent once a week or more. Intensive 4 or more days in a month or overnight). Since May 2006, enhanced disclosures have been mandatory for all new appointments to the school workforce, including those who have been out of the workforce for more than three months. In addition it is recommended that enhanced disclosures should also be obtained for staff in a school or LA appointed to posts where the Regulated Activity criteria is met with regards to activity and contact with vulnerable groups including children. 5
** Note 2 Overseas Checks - the Children s List (formally List 99 and Protection of Children Act PoCA) check and a DBS (Formally CRB) disclosure check must be completed on overseas staff defined as, those who have lived outside the UK recruited since January 2007. In addition, criminal records information should be sought from countries where individuals have lived or worked. DBS checks should also have been completed on those recruited from overseas since March 2002. Any outstanding checks for this group had to be completed by 1 July 2007. Volunteers who volunteer at the school and are regularly unsupervised (Regular is defined as: Frequent once a week or more. Intensive 4 or more days in a month or overnight) are meeting the needs of Regulated Activity and require an Enhanced DBS check with a check against the barring list. DfE guidance allows the Head Teacher to make a decision with regards to the supervision of volunteers and the entitlement to request a barred list check for volunteers working regularly with children will apply only to those working unsupervised. Schools may request an enhanced disclosure certificate without the barred list check for a volunteer who is always supervised. Governors with effect from 10 September 2012 The Protection of Freedoms Act 2012 removed the requirement for schools to carry out a DBS check on Governors simply because of their office. Governors who volunteer to work with children are also exempt from the requirement to hold an enhanced DBS disclosure certificate as long as they are appropriately supervised by a member of staff who has undergone such checks. Where supervision is not appropriate and Regulated Activity criteria is met then an enhanced DBS disclosure with a barred list check should be sought. However, Independent Schools and Academies Please Note: As per the DfE document Keeping Children Safe in Education there is a requirement for all members of the Governing (Proprietor) Body to be Enhanced DBS checked for independent schools/academies and where the chair or members of the governing body also engage in regulated activity the Enhanced DBS check must include a barred list check. Supply teaching agencies are required to ensure they obtain an Enhanced Disclosure (with a Barred List check) for all supply teachers they recruit before placing them in a school. Schools must have confirmation from the agency that the necessary recruitment checks are carried out on all individuals supplied. This should be in a written format of either a letter or a copy of a public statement from the agency website this should be maintained as part of the SCR. There is no need to have a letter for each individual supply teacher (an example of a third party supplier letter can be found here). The school does not have to see these checks unless there is information contained in the DBS (formally CRB) disclosure. Identity checks to confirm that the individual who arrives at the school is the person whom the agency has given the placement to must be undertaken and recorded in the visitor s log. If supply staff are employed directly by the school they should be checked in the same way as employees. Visiting staff who do not have unsupervised regular access to children and young people such as initial teacher education mentors and tutors are not eligible for a DBS check. The normal risk assessment that applies to all visitors is sufficient. For visiting staff who do have unsupervised regular access to children and young people such as educational psychologists, social workers, supply teachers, trainee teachers, nurses, sports coaches, MOD personnel and inspectors their 'providing' organisation (for example, the supply agency, the university, primary care trust, local authority and so on) should request the check. It is sufficient, for schools and colleges to seek written confirmation that appropriate checks, including DBS checks have been carried out and by whom most commonly the relevant human resources department (it is not necessary to specify a named individual) and to confirm the identity of these visitors. It is not necessary (or practicable) to require a date for such checks unless the providing organisation supplies a list of named individual supply staff. Written confirmation may be in the form of a public statement on the agency website. 6
Additional Information Evidence documents do not need to be maintained as part of the SCR, however, Independent Schools and Academies are employers in their own right and are subject to inspection by the UK Visa s and Immigration Service (UKVI) therefore these documents should be maintained by Academies and Independent Schools. Please Note: For Sandwell Maintained Schools where the HR Service provision is provided by Transform HR Services the appropriate documents will be maintained on the individuals personnel file by HR Services. Where a Sandwell maintained school has alternative HR provision the school must produce these documents on request from the LA should the LA be subject to an audit by the UKVI. Extended School Activities Recommended practice as per the previous DfE document Safeguarding Children and Safer Recruitment in Education 2006 (updated 2010): Governing bodies are responsible for extended school activities on the school site before and after school, unless they have a transfer of control agreement. Safeguarding Children and Safer Recruitment in Education 2006 (update 2010), stated: Extended services (including before and after school activities) 2.29 Schools offer a wide range of extended services which may be provided directly by schools or by external providers. School governing bodies provide some extended services using their powers under section 27 of the Education Act 2002. They may provide these services or activities directly or enter into arrangements with others to do so. School governing bodies are legally accountable for the extended services they provide directly and may be accountable for services they commission, depending on the arrangements in place. Models for delivering extended services which involve third parties providing or managing services on the school site should require the school and third party to agree responsibilities, liability and accountability. 2.30 The governing body of a maintained school controls the use of the school premises both during and outside school hours, except where a trust deed allows a person other than the governing body to control the use of the premises, or a transfer of control agreement has been made. Governing bodies can enter into transfer of control agreements in order to share control of the school premises with another body, or transfer control to it. The other body, known as the controlling body, will control the occupation and use of the premises during the times specified in the agreement. Transferring control of the premises to local community groups, sports associations and service providers can enable school facilities to be used without needing ongoing management or administrative time from school staff. Therefore: Governing Bodies continue to be responsible for extended school activities on the school site before and after school, unless they have a transfer of control agreement so that other bodies are responsible during the times specified. In the latter case, governors should seek assurance that these other bodies have appropriate policies in place to safeguard children. Where a third party is running extended services, there should be a written agreement setting out responsibility for vetting checks, health and safety, insurance cover and the like. 7
Model Single Central Record See Table that follows Notes to accompany Model Single Central Record (SCR) Note 1 Identity Checks The check should confirm name, date of birth, address and should have been a photographic form of identity (e.g. passport). This check can also help prove the persons eligibility to work in the UK. Note 2 A Children s Barred List check (formerly List 99) must be undertaken on all staff working in schools. When an enhanced DBS (formerly CRB) check has been made a request for a check against the Children s Barred list should also be sought. If by virtue of their start date and continuity of service, a member of staff has not been DBS checked, then the school must have undertaken a Children s Barred List check. Note 3 All schools should have DBS (formerly CRB) checked all staff who commenced duty after March 2002. There is no mandatory requirement to DBS check staff who have been employed in the same post continuously since before March 2002 the date DBS checking started. There is no mandatory requirement to set in place a programme of 3 yearly DBS renewals for staff in schools. Please note: All Sandwell Maintained schools should have DBS (formerly CRB) checked all staff regardless of their start date and there is a 3 yearly renewal programme in place. Note 4 Eligibility to work in the UK must be confirmed before the employee starts work. The record should indicate the document that was evidenced to confirm that right. UK and EEA nationals have that right (but must be able to prove it); others will probably need a permit. Note 5 Where a qualification is a requirement of the post, it must be checked and confirmed as a part of the record, this includes QTS, NPQH and teacher registration. For Teaching Staff with effect from 1 st September 2013 a check also needs to have been made to establish that the person is not subject to a prohibition order or interim prohibition order. These details are checked as part of the Teacher Registration details. It is also good practice to record the Teacher Reference Number in the SCR (where applicable). Note 6 Although you must still undertake a DBS (formerly CRB) check for staff that have lived overseas, it is necessary to undertake further checks with the country where they lived. These checks may include certificates of good conduct from local police forces or embassies, follow ups to anything that is provided should be made (e.g. call the organisation that sent the document and/or make checks through embassies etc). 8
Model Single Central Record Identity Checks (Note 1) Children s Barred List (Note 2) DBS (Note 3) Right to work in the UK (Note 4) Post & Date of Commencement in School Name Dob Address by (name and/or post title), document seen and Date Teacher John 12.02.61 14 High Drive, Oldbury, West B Powell (HT), 1 st Sept 2013 Smith Midlands B69 9HT Driving Licence 12th July 2013 Date Children s Barred List check undertaken Enhanced DBS with Barred Check Obtained by and date LA HR DBS Team - 26th Aug 2013 Disclosure Number & Level 76358721, Enhanced. by and date LA HR DBS Team - 26th Aug 2013 What evidence of right to work in UK was provided British Passport by and date B Powell 12th July 2013 Continue Table as per details below. Qualifications (Note 5) Overseas Checks (See Note 6) Is a Qualification a requirement for the post Y/N What Qualification was provided Classification of Degree For Teaching Staff Only: Subject to Interim/ Prohibition Order For Teaching Staff Only: Teacher Reference Number by and Date What further checks have been made by and date Y/N Y PGCE Certificate First N 02/1234 A Prim (Admin) 1st Sept 2013 N/A - No overseas residency A Prim (Admin) 1st Sept 2013