Policy overview
This policy sets out our approach to criminal background checks. We are committed to equal opportunity for all job applicants.
We select people for employment based on their:
- individual skills
- abilities
- experience
- knowledge
- qualifications
- training
We treat all applicants for positions fairly and working accordance with:
- Rehabilitation of Offenders Act 1974
- Disclosure Barring Service (DBS) Code of Practice
Rehabilitation of offenders
We will not automatically refuse to employ someone with a previous criminal conviction. During the recruitment processes, candidates must disclose any unspent convictions. Spent conviction details are not usually needed. Please see exceptions below.
Disclosure means sharing information that may otherwise not be required. After a risk assessment, we may request a disclosure if it is:
- proportionate
- relevant to the position concerned
Job adverts and recruitment information will state if a disclosure is needed. If disclosure is to form part of the recruitment process, applicants will:
- self-disclose all unprotected spent and unspent convictions
- not be entitled to withhold information about convictions which, for other purposes, would be 'spent'.
Spent convictions
In law, a conviction becomes 'spent' after the elapse of a defined period.
The individual is then 'rehabilitated'. The amount of time depends on the type of offence they commit.
People whose convictions are 'spent' must be treated as if their conviction had never occurred. Job applicants are therefore entitled to conceal details relating to spent convictions if the rehabilitation period has passed and the conviction is not exempt.
For more information please read the guidance from the Ministry of Justice.
If we find out about a job applicant's spent conviction that is not exempt, we must disregard it when making the employment decision. A refusal to employ a rehabilitated person on the grounds of a spent conviction is unlawful.
Exempt positions
We have a duty of care to protect the well-being of:
- the public
- service users
- children and adults in our care who are especially vulnerable or at risk
If the job advertised is on the exempt list in the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975,typically those requiring a standard or enhanced DBS, the applicant must disclose all convictions. For more information please read the guidance from the Ministry of Justice.
Disclosure is needed whether or not the convictions are 'spent'. Protected cautions and protected convictions do not need to be disclosed, depending on the job concerned.
We may ask applicants to disclose:
- all unspent and unprotected spent convictions
- cautions
- warnings
- reprimands
- binding over or other orders
- pending prosecutions
- criminal investigations
Failure to disclose this information could result in:
- withdrawal of a job offer
- dismissal
- disciplinary action
Failure to reveal information that is directly relevant to the position sought could lead to:
- withdrawal of an offer of employment
- a review of employment with us
We will keep any information given to us confidential. We will only consider it with an application for positions to which an order applies.
If the job is exempt, we will ask for written evidence about the successful applicant's criminal convictions. We will seek the applicant's agreement to make a joint application to the Disclosure Barring Service (DBS) for a standard, enhanced or enhanced with DBS barred lists check.
Where a job is exempt, we may lawfully decide to reject the individual due to a conviction. It does not need to be 'spent'.
We will discuss any matter revealed with the individual before withdrawing a conditional offer of employment.
Recruitment
Offer of employment
An offer of employment for a post working with children or vulnerable adults is conditional. The applicant must:
- satisfy our usual requirements for employment
- have a satisfactory DBS check, if required, depending on the post in question
Generally, we do not permit any person to commence employment until:
- all specified conditions are satisfied
- all relevant recruitment is complete
- vetting checks are complete
There may be a particular reason why a new starter begins work before the return of the DBS check. In this event, and order for the check to happen, the manager must complete a DBS risk assessment and confirm:
- submission of a correctly-completed criminal records check application
- an adult or children barred list check, if applicable, has been undertaken. To progress the check the manager must provide:
- the name of the individual
- any previous surnames they have been known as
- their date of birth
- completion of all of the pre-employment right to work in the UK checks. For example, confirm the identity of the job applicant, references have been taken and are verified
- the manager has made sufficient safeguards for the individual not to have unsupervised access to children or adults
Eligibility for checks
We are legally responsible for asking a person to reveal their conviction history. They must complete a DBS check when the post duties meet the criteria for exempt positions.
Managers will assess new posts, with advice from HR, for DBS eligibility.
Individuals recruited from overseas
Anyone appointed to a post requiring an enhanced DBS check must have one. A check is needed regardless of their length of stay in the UK, even if they have never been resident.
When recruiting from abroad, the applicant must have:
- a statement of good conduct
- or, an overseas criminal records check
This includes citizens of the UK who have worked or lived overseas for three months or more in the previous five years.
This does not apply to members of the UK armed forces and their families who were stationed overseas.
Generally, the DBS cannot access criminal records held overseas. The national police computer has some overseas records that the DBS check would reveal.
Find out more about criminal records checks for overseas applicants.
Employees
Employees have a responsibility to report any relevant changes of circumstance to us. Our code of conduct requires this. These include
- any criminal investigations, convictions or warnings
- any other relevant information which a reasonable employer might consider to impact on their employment
Employees must discuss with their line manager any problems which may impact on their suitability to work with children and adults. We will provide appropriate support or action. Failure to disclose convictions with the line manager may result in disciplinary action.
Any existing employee may have to undertake a DBS re-check. Refusing to comply may result in them being subject to disciplinary action for deliberate and, or, unreasonable:
- refusal to carry out lawful and safe instructions
- to comply with a contractual agreement
We will maintain confidentiality in line with our policies. We may need to share information where concerns arise about the welfare or safety of children or adults. We have a responsibility to protect the safety and welfare of children and vulnerable adults. Any information sharing about an employee's conduct or criminal records will be in accordance with relevant legislation and policy. Information will only be shared as is necessary in the circumstances.
Re-checks for employees
We can legally re-check our employees at a frequency determined by ourselves for posts with:
- an enhanced DBS check
- or, an enhanced DBS check with barred list
For example, employees in children’s regulated services are subject to a three yearly re-check.
In addition, where there are reasonable grounds, we may ask existing employees to re-apply for an enhanced DBS check or enhanced DBS check with barred list. For example, if their actions or activities give cause for concern.
The grounds for a cause for concern could include:
- allegations of suspicious, or
- inappropriate behaviour
In such instances, there will be a full investigation as per our disciplinary policy. We may take legal advice in respect of this request.
Refusing to comply with a request for a DBS check may result in disciplinary action.
Unauthorised disclosure
The unauthorised disclosure of information about a 'spent' conviction is unlawful. This is revealing someone's criminal record other than in the course of official duties. Serious misuse of a person's criminal record could result in:
- a prison sentence of up to six months
- or, a fine of up to £1,000
- or both
Types of checks
There are different levels of criminal records check that we use. The level of DBS check must be relevant for the role the individual is undertaking. It is not acceptable to request or use a higher level of check than is required. For example, you cannot request an enhanced DBS with an adults and children’s workforce, if the individual will only be working with children.
Basic DBS check
A basic DBS check is for any purpose, including employment. The certificate will contain details of convictions and conditional cautions that are considered to be unspent under the terms of the Rehabilitation of Offenders Act (ROA)1974.
Standard disclosure
A standard DBS check is suitable for certain roles, such as a security guard. The certificate will contain details of both spent and unspent convictions, cautions, reprimands and warnings that are held on the Police National Computer, which are not subject to filtering.
Enhanced DBS check
An enhanced DBS check is suitable for people working with children or adults in certain circumstances such as those in receipt of healthcare or personal care. It is also suitable for a small number of other roles such as taxi licence applications.
The certificate may also contain non-conviction information supplied by relevant police forces, if it is deemed relevant and ought to be contained in the certificate.
Enhanced DBS check with barred list
An enhanced with barred lists DBS check is also suitable for people working with children or adults in certain circumstances such as those in receipt of healthcare or personal care.
An enhanced with barred lists certificate will contain the same information as an enhanced DBS certificate, but will also include a check of one or both barred lists.
Eligibility criteria for an enhanced DBS check
Below is an overview of the eligibility criteria for enhanced DBS checks. For further information, read eligibility guidance for enhanced DBS checks.
Children
- Unsupervised activities. To teach, train, instruct, care or supervision of children, advice and guidance on well-being, driver of a vehicle only for children. The activity must be done regularly by the same person:
- on more than 3 days in 30 days
- or, overnight between 2am and 6am
- Work in a limited range of places where there could be contact with children or vulnerable adults. For example, schools, children's homes, childcare premises. The activity must be done regularly by the same person:
- on more than 3 days in 30 days
- or, overnight between 2am and 6am
- Relevant personal care. For example, washing, dressing or healthcare, even if carried out once.
- Registered childminding and foster carers, even if carried out once.
Adults
The focus is on the activities required by the adult and not:
- on the setting
- or, the personal characteristics of that adult
Those who provide:
- healthcare by regulated health care professionals
- personal care such as assistance with washing, dressing, eating, drinking, toileting or teaching to do these tasks
- social work
- help with cash, bills and shopping
- help with the conduct of persons own affairs such as enduring power of attorney
- conveying adults to and from health care, including taxis
Barred list
A barred person is someone who has harmed or poses a risk of harm to children or vulnerable groups. The DBS make decisions about whether a person is:
- barred
- placed on the children's or adult barred lists
- prevented by law from working with children or vulnerable groups
It is an offence for a person to work, apply or offer to work in regulated activity with a group from which they are barred.
The legal duty to refer
We must inform the police if a barred person applies for a position of trust which is a regulated activity.
We must refer information to the DBS in the following circumstances:
Condition 1
If we have withdrawn permission for a person to work in regulated activity with children and or adults through:
- dismissal
- by moving the person to another area of work that is not regulated activity
If we have withdrawn permission but before this happened the person has:
- resigned
- retired
- been made redundant
- been redeployed
Condition 2
If we have evidence that the person has:
- been cautioned or convicted of a relevant (automatic barring) offence
- engaged in 'relevant conduct' concerning children or adults. For example, something that has harmed a child or vulnerable adult or put them at risk of harm
- satisfied the 'harm test' concerning children or vulnerable adults. Harm is defined in its widest context and includes physical, sexual, financial harm, neglect, emotional, verbal, psychological harm
In these instances, employees may also be subject to disciplinary procedures. We will make the employee aware of their referral to the DBS in writing.
We will inform the DBS if an employee:
- resigns
- retires
- is made redundant before a disciplinary hearing, or
- is terminated by mutual consent for matters that meet the reporting criteria
Applicants with adverse disclosures
The criminal records check may reveal convictions which make the applicant unsuitable for the applied post. The recruiting manager will discuss them with the applicant in line with the relevant code of practice.
The applicant must sign the completed risk assessment to:
- verify the information provided
- permit the risk assessment to be stored securely and later destroyed as per our retention policy
When assessing any disclosure or declared conviction information we receive the risk assessment will support a manager's decision. The manager may discuss matters with HR before discussing it with the applicant.
Having a conviction will not necessarily bar someone from employment with us. We will only take a criminal record into account when the conviction is relevant. We must weight the protection of the applicant's rights and interests against the rights and interests of clients and employees, including our responsibilities to these groups, and the public.
It is an offence for a person to work, apply or offer to work in regulated activity with a group from which they are barred. We will not employ candidates on the barred list in a regulated activity.
If someone on the barred list for regulated activity applies for barred work, we will make a referral to the DBS.
Employees supervising young people during work experience
If an employee supervises people under the age of 16 on work experience, this is a regulated activity. An enhanced DBS check with children's barred list is required. Read more details in our work experience policy.
Further checks
Prohibition order checks
All centrally-employed teachers require an additional check to ensure they are not prohibited from teaching.
Teaching work is:
- planning and preparing lessons and courses for pupils
- delivering lessons to pupils
- assessing the development, progress and attainment of pupils
- reporting on the development, progress and attainment of pupils
These activities do not constitute teaching work if they are:
- under the direction or supervision of a qualified teacher or
- other person nominated by the headteacher
When appointing a teaching assistant post, we do not usually need a prohibition check.
The Secretary of State makes teacher prohibition orders. An order would follow a professional conduct panel convened by the teaching regulation authority. The resourcing team will undertake this check as part of the pre-employment checks.
Elected member checks
Certain members must undertake an enhanced DBS check. These are members who sit on the following committees, panels or forums:
- Children and Young Peoples Scrutiny Committee
- Lincolnshire School Forum
- Lincolnshire Safeguarding Children Scrutiny Committee
- Corporate Parenting Panel
- Adult Scrutiny Committee
- Lincolnshire Safeguarding Adult Scrutiny Subgroup
Any members visiting these committees, panels or forums also require an enhanced DBS check. Elected members in these roles are not eligible for a barred list check.
Agency workers
The agency is legally the employer of any agency workers. It is their responsibility to obtain any DBS or barred list check. Annual audits ensure agencies comply with our safeguarding requirements.
The manager must see written evidence from the agency that they have undertaken the relevant checks.
We must check that:
- the person the agency sends is the person who arrives for work
- they are qualified to undertake the particular role
Contractors
Whoever provides a contractor is legally their employer. It is their responsibility to obtain any DBS or barred list check.
Procurement Lincolnshire ensures that all safeguarding requirements are in the procurement documentation. There are regular audits of the contractor's organisation.
Our passenger transport unit coordinates DBS and Barred List checks for our contractors
Volunteers
A volunteer is described as a person who performs an activity which involves spending time unpaid (except for travelling and approved out-of-pocket expenses) doing something which aims to benefit someone (individuals or groups) other than or in addition to close relatives.
Volunteers must have a DBS check if they regularly assist in a role which usually requires a DBS check.
If the role is a regulated activity, they will be required to undergo an enhanced check for regulated activity.
The disclosure is provided free, but there is an internal administrative charge. For a free-of-charge disclosure, the applicant must not benefit directly from the position.
The applicant must not:
- receive any payment except for travel and other approved expenses
- be on a placement or work experience
- be on a course that requires them to do this job role
- be in a trainee position that will lead to a full-time role post-qualification
Volunteer roles should be properly described under ‘role of applicant’ on the DBS disclosure form, for example “volunteer classroom helper”.
Our fostering and adoption service, coordinate DBS and Barred List checks for our fosterers and adopters.
Gender recognition certificates
Anyone with a gender recognition certificate is legally the acquired gender.
When applying for a DBS check, the applicant must include any previous names and gender. For confidentiality, the DBS has a special procedure and dedicated officer. Email sensitive@dbs.gsi.gov.uk.
Gender will be kept confidential with a clear disclosure certificate. If there are any relevant convictions under a previous gender, the DBS disclosure certificate will show both gender names.
Disqualifications
A disqualified person under the Childcare Act 2006, and the 2018 Regulations may not:
- provide relevant childcare provision
- be directly concerned in the management of such provision
Schools are prohibited by law from employing a disqualified person in connection with relevant childcare provision unless the individual has been granted a waiver by Ofsted for the role they wish to undertake. We would be committing an offence by contravening this law, unless we could prove that we did not know, and had no reasonable grounds for believing, that the person we employed was disqualified.
The criteria for disqualification include:
- inclusion on the DBS children's barred list
- have committed certain violent and sexual criminal offences
- certain orders made concerning the care of children
- refusal or cancellation of registration relating to childcare. Except if it is in respect of:
- registration with a childminder agency
- the sole reason is the failure to pay a prescribed fee
- children's homes
- prohibited from private fostering
- living in the same household where another disqualified person lives or is employed. Known as disqualification by association. Regulation 9 only applies where there is childcare in domestic settings
- being found to have committed an offence overseas. The offence must constitute an offence regarding disqualification as if committed in the United Kingdom.
We will not employ disqualified persons in relevant roles. We will take the necessary action to ensure this.