Disclosure & PVG Policy

Disclosure & PVG Policy Cross referenced (internal/external) Recruitment Policy Disciplinary Policy Staff Code of Conduct Child and Adult Protection Policy Version V2 Name of responsible Department Human Resources (HR) Date ratified Date Ratified by JCC Document Manager (job title) HR Manager Date issued Review date Electronic location Related Procedural Documents

Version Control Amendments Record Date Section Comments Approved by March 2017 ALL Full policy rewritten H:\Policies and Procedures\Policies\Disclosure Policy V2 Page 2 of 9

Contents Policy Statement for Disclosure & PVG matters Section 1 Explanation of Disclosure and PVG Section 2 Handling and storage of Disclosure and PVG information Section 3 Responsibilities for processing Disclosure and PVG applications Section 4 Responding to disclosure of convictions or related information Section 5 Updates to Disclosure or PVG information during employment Section 6 Overseas applicants Section 7 Procedure when employees leave The Action Group Section 8 Employee referrals to Disclosure Scotland Appendix A - Guidance for managers when risk assessing positive disclosure/pvg information H:\Policies and Procedures\Policies\Disclosure Policy V2 Page 3 of 9

Policy Statement This policy aims to define the processes by which The Action Group requests, obtains, responds to, and handles information about applicant/employee convictions or related safeguarding information. The Action Group has a legal, regulatory, and moral duty to ensure that individuals who may prove a risk to our service users do not obtain positions of trust alongside them. However, The Action Group also has a duty to ensure that it does not unnecessarily bar individuals who have made mistakes in the past (and learnt from them) from obtaining work within the organisation. The intention of this policy is therefore to provide rules and procedures within which both these duties can be adhered to. It should be read in the light of official guidance from Disclosure Scotland, the Care Inspectorate, and the Scottish Government. If in any case The Action Group s policy expressly goes against such guidance, then members of the Senior Management team must use their discretion on how to appropriately proceed. Section 1 Explanation of Disclosure and PVG 1.1 All information about applicant/employee convictions or related matters will be obtained via Disclosure Scotland, the official Government Body responsible for this. 1.2 Disclosure Scotland provides four types of disclosure service, which relate to different types of information potentially provided. Basic Disclosure (see section 1.5) Standard Disclosure (see section 1.8) Enhanced Disclosure (see section 1.11) Protecting Vulnerable Groups (PVG) membership record (see section 1.13) 1.3 No direct employee should commence work in a position unless The Action Group has obtained the necessary level of disclosure, or agreement has been obtained from either Senior Manager HR and Senior Manager Operations (or other managers acting with their authority.) 1.4 Applicants for positions requiring a Standard Disclosure or PVG should fill out a selfdeclaration prior to their official record being obtained from Disclosure Scotland. Basic Disclosure 1.5 Basic Disclosure provides information on unspent convictions only. Guidance on whether any particular conviction would be considered spent or unspent is available via the Disclosure Scotland website. 1.6 Basic Disclosures will be obtained for all staff directly employed by The Action Group who are not eligible for any of the higher-level types of disclosure. This will include administrative staff, learning and development staff, and HR/Finance staff. 1.7 Basic disclosures must be obtained directly from Disclosure Scotland. The Action Group will reimburse applicants/employees of any cost incurred during this process. Standard Disclosure 1.8 Standard Disclosure provides information on unspent convictions, in addition to the following: H:\Policies and Procedures\Policies\Disclosure Policy V2 Page 4 of 9

The Action Group Spent convictions which appear on the statutory list of convictions which must always be disclosed Depending on the circumstances - spent convictions which appear on the statutory list of convictions which may be disclosed subject to rules Sex offender notification requirements Unspent cautions 1.9 Standard disclosure should be used for positions which are concerned with the provision of a care service, but which are not eligible for PVG membership. Applying for Standard Disclosure in any other cases could lead a breach of the Rehabilitation of Offenders Act 1974. 1.10 Standard Disclosure applications will be processed by the HR department before being sent to Disclosure Scotland Enhanced Disclosure 1.11 Enhanced Disclosure provides the same level of information as the Standard disclosure, in addition to the following: Statutory lists relating to the protection of children or protected adults Other relevant information (such as police investigations) 1.12 Enhanced Disclosure as defined by statute is not normally appropriate for any position at The Action Group. Therefore The Action Group does not expect to process any applications for it. Protecting Vulnerable Groups (PVG) Scheme Membership Record 1.13 PVG scheme membership records provide the same level of information as Enhanced Disclosures above, in addition to the following: Membership status of the PVG scheme 1.14 Disclosure Scotland may refuse an applicant/employee membership of the PVG scheme based on previous convictions, statutory listing, or other conduct matters. In these circumstances, it would be an offence under the Protection of Vulnerable Groups Act (Scotland) 2007 for The Action Group to employ that individual in a role where PVG membership was required. 1.15 A PVG scheme membership record is required for positions defined as regulated work by the PVG Act. Examples of job roles at The Action Group covered by this are listed below, but full guidance regarding any other job roles under consideration is available via the Disclosure Scotland website. Support Worker Casual Support Worker Experienced Support Worker Assistant Team Manager Team Manager Employment Advisor Transitions Worker Welfare Rights/Money/BEMAS Advisor Play Worker/Volunteer 1.16 PVG scheme membership record applications will be processed by the HR department before being sent to Disclosure Scotland. The Action Group will pay for the cost of applications. H:\Policies and Procedures\Policies\Disclosure Policy V2 Page 5 of 9

1.17 Disclosure Scotland will refuse to process applications for PVG scheme membership unless The Action Group can provide evidence that they meet the criteria for regulated work. Section 2 Handling and storage of Disclosure and PVG information 2.1 Information relating to previous convictions and/or related matters is particularly sensitive and The Action Group will abide by guidance issued both by Disclosure Scotland and its own Data Protection Policy 2.3 Disclosure records and self-declaration forms will only be handled by HR staff and authorised managers or administration staff. Computerised records will be likewise restricted to appropriate staff. Positive PVG records (i.e. where a conviction or other sensitive information is listed) should be removed from recruitment files given to line managers in order to protect individual privacy where appropriate. 2.4 The Action Group will only keep the bare minimum of documentation relating to these matters on an employee s file. This will typically include the back page of any self-declaration, the PVG scheme record statement (for as long as the person is carrying out regulated work), and details of any applicant/employee meeting or Disclosure/PVG risk assessment. Section 3 Responsibilities for processing Disclosure and PVG applications 3.1 Applicants/Employees are responsible for filling out all personal details on paperwork correctly, and for submitting all required documentation to the HR department in a timely fashion. Basic disclosure applicants are responsible for submitting their application directly to Disclosure Scotland. 3.2 HR department staff are responsible for assessing whether particular roles require Disclosure/PVG, checking all forms and documentation, completing sections as required, authorising invoices, providing guidance to applicants/employees, and submitting paperwork to Disclosure Scotland in a timely fashion. 3.3 Managers with Disclosure lead and counter signatory responsibilities are accountable for ensuring that all procedures and rules set out legally, and/or by Disclosure Scotland are followed. They are also responsible for submitting employee referrals to Disclosure Scotland where required (see section 8). Section 4 Responding to disclosure of convictions or related information 4.1 Where any Disclosure or PVG provides additional information about the history of an applicant/employee (eg. a conviction), it is referred to as a positive disclosure for the purposes of this policy. 4.2 The Action Group will take a thorough but proportionate approach to risk assessing any positive disclosure. It will consider what, if any, additional risk is posed to service users, staff, or the organisation as a whole by the nature of the disclosure. Additional guidance is available in appendix A. 4.3 Each risk assessment will consider the following: The nature and severity of the information How long ago any offence/situation occurred Any mitigating circumstances (such as age, or personal circumstances at the time) Evidence of learning from this experience H:\Policies and Procedures\Policies\Disclosure Policy V2 Page 6 of 9

The Action Group How any behaviour/ behavioural pattern(s) indicated by the positive disclosure might impact on the job role considered Whether there is any legal/regulatory bar to appointing the individual in the proposed job role. 4.4 For Standard Disclosures or PVGs, the employee/applicant is expected to declare any previous convictions which are still live, or from the List of Convictions which must always be disclosed via a self declaration form beforehand. Failure to do this may be viewed negatively by the risk assessing manager(s). 4.5 Each risk assessment will be carried out by managers with appropriate authority and knowledge. 4.6 There is no absolute set process for risk assessment as managers are expected to respond appropriately to the circumstances and information available. It is expected that usually the applicant/employee will have opportunity to respond to the disclosure either via email, telephone, or face to face. However, there may be circumstances where it is judged inappropriate or without purpose to do so. 4.7 In each case, the decision of the risk assessing manager(s) will be recorded in written form and kept on the employee/applicant s file. 4.8 If that decision is that an applicant is unsuitable for the job role concerned, they will be rejected from the recruitment process. See the Recruitment Policy for further information. Section 5 Updates to Disclosure or PVG information during employment 5.1 The Action Group reserves the right to request an update to any employee s PVG or Disclosure at any time during their employment. Failure by the employee to comply with any such request (paid for by The Action Group) will be treated as potential misconduct. 5.2 Under normal circumstances, staff will be asked to update their PVG or Disclosure at least once every five years. 5.3 Staff must notify their manager if they are charged or convicted of any criminal offence whilst in employment at The Action Group. This includes driving offences. 5.4 Positive disclosure or PVG responses for current staff will be risk assessed as in section four above. If a particular conviction has been risk assessed previously however, there is no need to risk assess again unless a change in job circumstances makes that an appropriate exercise. 5.5 If that decision is that a current employee is unsuitable for the job role concerned, immediate advice must be sought from the Senior Manager HR to ensure that they are removed from that role in a fair, reasonable manner which is in line with the employee s legal rights. Section 6 Overseas applicants 6.1 The Action Group is aware that information about convictions from outside the UK is unlikely to be available via Disclosure Scotland. The organisation therefore reserves the right to request further checks if judged appropriate and practical by the Senior Manager HR. Section 7 Procedure when employees leave The Action Group 7.1 When an employee leaves The Action Group, their PVG (plus any related risk assessment information) should be removed from their file and destroyed, before the rest of the file is archived. H:\Policies and Procedures\Policies\Disclosure Policy V2 Page 7 of 9

7.2 The Action Group should contact Disclosure Scotland at regular intervals to inform them of employees who have left. 7.3 The steps outlined in 7.1 and 7.2 above should also be implemented in cases where an employee with PVG membership stops doing regulated work but remains employed elsewhere in The Action Group. Section 8 Employee referrals to Disclosure Scotland 8.1 If any employee with PVG membership is dismissed (or would have been dismissed) or removed from regulated work on a permanent basis (or would have been removed from regulated work on a permanent basis) for the following reasons, The Action Group has a legal duty to refer their case to Disclosure Scotland. Harmed a child or protected adult Placed a child or protected adult at risk of harm Engaged in inappropriate conduct involving pornography Engaged in inappropriate conduct of a sexual nature involving a child or protected adult Given inappropriate medical treatment to a child or protected adult 8.2 Referrals are the responsibility of Disclosure lead and counter signatories within The Action Group and will comply with the procedures set out by Disclosure Scotland. 8.3 The Action Group does not have the right to opt out of referring any employee, and as such, this process needs to be considered in cases where a settlement agreement is sought for an exiting employee. H:\Policies and Procedures\Policies\Disclosure Policy V2 Page 8 of 9

Appendix A The Action Group Guidance for managers when risk assessing positive disclosure/pvg information The overall purpose of the Disclosure/PVG process is to protect vulnerable people from abuse, of various sorts, physical, mental, sexual or financial. It is also about reducing the risk of abuse and this makes judgements more difficult. It is a way to protect the organisation from damage a] to prevent abuse happening b] to provide a additional evidence, which demonstrates that we have taken all reasonable measures to protect our service users. We know that we can never guarantee absolute safety and we know that people can offend and then never be a risk to vulnerable people. We know that people do abuse their power over others and are never convicted. We cannot produce a list of offences [other than the very obvious] and say that some are OK, others not. There will be specific circumstances surrounding each case, which we have a duty to explore with the individual. When information shared with us from a Disclosure/PVG reveals an offence we have to make a management judgment regarding the risk this candidate may pose to our service users/organisation. These criteria offer some guidance in making that judgment. Consideration has to be given to: Have they been refused membership of the PVG scheme? Type of offence relevance to the job severity of offence nature of offence e.g. what would it look like if this type of offence was repeated in our employment? Did the offence or incident involve a child or protected adult? Does it indicate erratic or unreliable behaviour? Does it indicate poor judgement? Is it a one-off incident or is there a pattern of repeated offences? How long ago did the offence take place? What age was the candidate when the offence was committed e.g. was it immature/naive behaviour? Were there personal circumstances (family, health, etc) which contributed to the behaviour in question? Did the candidate disclosure in full any offences listed in appendix A (convictions which must always be disclosed) on their self-declaration form? What learning have they experienced since that offence, is it reassuring, appropriate? Has the candidate carried out any positions with responsibility for safeguarding/welfare in the health, education or social care sectors since the offence? H:\Policies and Procedures\Policies\Disclosure Policy V2 Page 9 of 9