CRIMINAL RECORDS BUREAU (CRB) POLICY AND PROCEDURE & DISCLOSURE SCOTLAND POLICY AND PROCEDURE

Transcription

1 CRIMINAL RECORDS BUREAU (CRB) POLICY AND PROCEDURE & DISCLOSURE SCOTLAND POLICY AND PROCEDURE Incorporating the Protection of Vulnerable Groups Scheme (PVG Scheme) APRIL 2011 The Disabilities Trust

2 Policy Overview As an organisation The Disabilities Trust uses the Criminal Records Bureau (CRB) service and Disclosure Scotland service to help assess the suitability of applicants for positions of trust. The Trust complies fully with the CRB and Disclosure Scotland Codes of Practice regarding the correct handling, use, storage, retention and disposal of Disclosures and Disclosure 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 Disclosure information and has a written policy statement on these matters, which is available to those who wish to see it on the Trust s website and/or on request. This Policy contains general information together with specific details relating to CRBs and Disclosure Scotland/PVG Scheme. Further information relating to the CRB and/or Disclosure Scotland service can be located at: or or or Policy The Trust undertakes to treat all applicants for positions fairly in accordance with its Recruitment and Selection Policy and Procedure. It undertakes not to discriminate unfairly against any subject of a Disclosure on the basis of convictions 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 or belief, sexual orientation, responsibilities for dependants, age, physical/mental disability or offending background. The Trust actively promotes equality of opportunity for all with the right mix of talent, skills and potential and welcomes applications from a wide range of candidates, including those with criminal records. The Trust will select all candidates for interview based on their skills, qualifications and experience. The Trust s job application form requires all applicants to declare their criminal record upon completion. All applicants called for interview who have declared a criminal history (including cautions, warnings, bind-overs, reprimands and convictions), will be asked about this during the interview process. Having a criminal record will not necessarily bar a person from working with the Trust. This will depend on the nature of the position and the circumstances and background of the offences. HR CRB & Disclosure Scotland P&P,

3 The Trust undertakes to discuss any matter revealed in a Disclosure in accordance with the relevant Code of Practice and the Trust s Rehabilitation of Offenders Policy, with the person seeking the position before withdrawing a conditional offer of employment. This policy and procedure complies with the framework specified in the Trust s policy on Policies and Procedures. Codes of Practice The CRB and Disclosure Scotland have individual Codes of Practice, which set out certain obligations about the use of Disclosure information with which the Trust agrees to comply with. This includes the following: What Registered Bodies must do The fair use of Disclosure information Handling of information Assurance and Compliance The information contained in this Policy reflects these Codes, which can be obtained from the CRB or Disclosure Scotland websites. Registered Body The Trust is a Registered Body i.e. it is registered to access the Disclosure service to check the criminal history of staff that it recruits directly to eligible posts. As a Registered Body, the Trust is entitled to ask exempted questions under the Exceptions Order to the Rehabilitation of Offenders Act (ROA) 1974 Exceptions Order 1975 which covers the UK, Scotland and Wales. The Registered Body's role is to: Check and validate the information provided by the applicant on the CRB/Disclosure Scotland application form Establish the true identity of the applicant, through the examination of a range of documents using guidance provided by the CRB/Disclosure Scotland Ensure the application form is fully completed and the information it contains is accurate Countersign applications to confirm that the organisation has an entitlement to access criminal record information Comply with the relevant Codes of Practice Rehabilitation of Offenders The Rehabilitation of Offenders Act (ROA) 1974 applies to England, Scotland and Wales, and is aimed at helping people HR CRB & Disclosure Scotland P&P,

4 Act (ROA) 1974 who have been convicted of a criminal offence and who have not re-offended since. For further information, please refer to the Trust s Recruitment of Ex-Offenders Policy. Please note, when the Trust requests an individual to complete a CRB or Disclosure Scotland (including PVG Scheme Record) application form, the Trust is asking an exempted question in accordance with the Exceptions Order. In accordance with the exceptions relating to employment listed in the Exceptions Order to the ROA, applicants are required to declare spent and unspent convictions when applying to work with children and/or vulnerable adults. Therefore, if a person wants to apply for a position that involves working with these groups they are required to reveal all convictions, both spent and unspent and any cautions, warnings, reprimands or bindovers. Countersignatories In accordance with the registration process, The Trust must appoint relevant personnel to act as the Lead Countersignatory and Countersignatories in order to process Disclosures. It is the Countersignatory s role to ensure the relevant Codes of Practice are being adhered to appropriately and take responsibility for signing CRB or Disclosure Scotland application forms. The Countersignatory s name will appear on the Disclosure. The Trust s Countersignatories are as follows: CRB Lead Countersignatory Countersignatory Countersignatory Countersignatory Disclosure Scotland Lead Countersignatory Counter signatory Director of Human Resources Director of Finance Human Resources (HR) Manager Company Secretary/Head of Compliance Company Secretary/Head of Compliance Human Resources (HR) Manager Independent Safeguarding Authority (ISA) ISA is a non-departmental public body sponsored by the Home Office and responsible for maintaining two new barred lists, the Children s and Vulnerable Adults lists. These lists contain the details of individuals who have been assessed as posing a risk of harm if they were to work with vulnerable groups based on information held about that individual. These new lists replace the previous POCA, POVA and List 99 lists and came into effect from 12 th October ISA uses information from a number of sources including the HR CRB & Disclosure Scotland P&P,

5 Police, Local Authorities and employers to make the assessment of an individual and uses trained case workers, who decide on a case-by-case basis whether a person poses a potential on-going risk and if necessary, bar an individual from working with vulnerable groups. Therefore when processing an enhanced CRB Disclosure and/or a Disclosure Scotland/PVG Scheme Record these lists will be checked as part of this process in accordance with the vulnerable group(s) that the individual will be working. Any individual who is on one or both of the ISA barring lists will also be barred from working with children and/or vulnerable adults in Scotland. Likewise, an individual who is barred from working with children and/or vulnerable adults in Scotland, will also be barred throughout the rest of the UK on the same basis. It is a criminal offence for anyone who is barred from working with a particular group (i.e. children or vulnerable adults) to seek work or volunteer opportunities with that particular group. Furthermore it is an offence to employ/use staff/volunteers with specified groups if they have been barred. As such the Trust will not employ or offer work to any individual barred from working with the particular group the role is associated with. In circumstances where the Trust is notified that a barring decision has been made, following the employment of the relevant individual, the Trust will invoke disciplinary proceedings in order to terminate the contract of employment. Other appropriate action will be taken should the individual be a bank worker or volunteer. Portability Portability refers to the re-use of a Disclosure, obtained for a position in one organisation and later used for another position in another organisation. Neither the CRB nor Disclosure Scotland currently facilitate portability and as such the Trust is only able to accept a previous organisation s Disclosure when presented by an individual as evidence to confirm his/her identity (if issued within the previous 12 months). Therefore the Trust will not accept a previous organisation s Disclosure in any other context. The PVG Scheme Record is portable and can be presented to the Trust by an existing Scheme member. However in such circumstances a Scheme Record Update will be undertaken by the Trust. The Scheme Record Update is not portable. Criminal History whilst working for The Disabilities Trust Due to the nature of services provided by the Trust and the necessity to obtain Disclosures, all staff and volunteers are obliged to inform the Trust should he/she receive a criminal caution, warning, reprimand, bind-over or conviction whilst in the Trust s employ. Failure to do so may impact on his/her continued HR CRB & Disclosure Scotland P&P,

6 employment/work with the Trust. Dependent on the criminal charges received, the employee may face disciplinary action (including dismissal) in accordance with the Trust s Disciplinary Policy and Procedure. A bank worker may be removed from the Trust s Bank Worker Register and any services undertaken by a volunteer withdrawn. Please note, whilst criminal charges may be brought in connection with an incident that occurs outside of the workplace, this may have implications on the individual s employment/work with the Trust. Each situation will be considered on an individual basis and relevant facts established to determine the course of action required, appropriate to the criminal charges received and actions taken by the individual to notify the Trust. Secure storage, handling, use, retention and disposal of Disclosures and Disclosure Information Identity Documentation & Verification The Trust complies fully with the CRB and Disclosure Scotland Codes of Practice in regard the correct handling, use, storage, retention and disposal of Disclosures and Disclosure information and has a written policy statement regarding this. The written statement is available to all applicants when applying for positions across the Trust and a copy can be located on the Trust s website or on request. The identity documentation required to complete a Disclosure Application Form is determined by the CRB/Disclosure Scotland respectively. Relevant lists detailing the documentation which can be presented and the age of these documents are available on the CRB and Disclosure Scotland websites. As the Registered Body, the Trust is obliged to: Check and validate the information provided by the applicant on the application form/continuation sheet; and Establish the true identity of the applicant, through the examination of a range of documents as set out in the guidance; and Ensure that the applicant provides details of all names by which they have been known and all addresses where they have lived in the last 5 years; and Ensure the application form is fully completed and the information it contains is accurate. Any documentation presented must be valid, current and original. Please note documents which are photocopies will not be accepted unless checked against the original documents to ascertain that the photocopy is a true copy. HR CRB & Disclosure Scotland P&P,

7 Disputes The Disputes protocols for the CRB and Disclosure Scotland vary slightly, however have the overriding principle to look into any disputes raised by the individual and/or countersignatory (on behalf of the individual) within specified timescales. The Dispute processes and timeframes can be accessed on the CRB and Disclosure Scotland websites. Any disputes raised by the individual should be brought to the attention of the Trust (as the Registered Body) and relevant information provided to the countersignatory. Should a dispute be raised by an applicant, the Trust will endeavour to put the recruitment on hold until such time as the dispute is resolved. The Trust will be notified by the CRB and/or Disclosure Scotland to confirm if the dispute has been upheld. Contact details: CRB Disputes Line: Download and complete the Data Source Disputes form available on the CRB website and send to: Data Source Disputes Team, 1st Floor South, PO Box 165, Liverpool, L69 3JD (only available for Data Source Disputes) Complete the online form available on the CRB website (applicable for Data Entry Disputes) Disclosure Scotland Exceptions Handling Unit Supervisor on or By post to EHU Team Leader, Exceptions Handling Unit, Disclosure Scotland, PO Box 250, Glasgow, G51 1YU ehu@disclosurescotland.gsi.gov.uk When raising a dispute, the individual s full name, date of birth, address and the Disclosure reference number will need to be supplied together with full details of the dispute. Volunteers For the purposes of a CRB Disclosure, the Police Act 1997 (Criminal Records) Regulations 2002 defines a volunteer as: a person engaged in an activity which involves spending time, unpaid (except for travel and other approved out-of-pocket expenses), doing something which aims to benefit some third party other than or in addition to a close relative. Disclosure Scotland provide that the following criteria must be met in respect of volunteers: The position is in a non-profit organisation The volunteer receives no remuneration beyond the reimbursement of travel and out of pocket expenses HR CRB & Disclosure Scotland P&P,

8 The purpose of the role is to provide some benefit for the community or a voluntary group There is no benefit for the volunteer or any close relative of the volunteer Any individuals engaged as volunteers across the Trust will be subject to Disclosure requirements in accordance with the activities they undertake. Any Disclosures for volunteers are processed free of charge by the CRB/Disclosure Scotland. Overseas Applicants The CRB does not generally have access to overseas criminal records. As Disclosure Scotland performs its duties in accordance with UK legislation, it also has no jurisdiction to obtain criminal records from other countries. However, some countries, including most in the EU, have arrangements allowing their citizens to obtain certificates of good conduct or extracts from criminal records to show prospective employers. The level of information provided varies from country to country. This information may require translation and consideration would be given to whether any criminal history has a direct equivalent in UK/Scottish law. While the CRB/Disclosure Scotland cannot currently provide this sort of information, they hope to provide guidance to help employers make their own enquiries to the appropriate overseas authorities. The CRB is currently studying the availability of overseas pre-employment vetting services. The Trust will consider carefully before deciding whether to request a Disclosure in respect of an applicant with a substantial record of overseas residence. The Police National Computer (PNC) contains a limited number of overseas convictions and this data is by no means comprehensive. Therefore, it may be of limited value to ask for a Disclosure in respect of a person with very substantial gaps in their UK residence or of individuals with little or no previous residence in the UK. However, dependent on the job role, the Trust will be obliged to check the ISA barred lists. Disclosure Renewals Disclosures do not carry a pre-determined period of validity because a conviction or other matter could be recorded against the subject of the Disclosure at any time after it is issued. The Trust will apply for a new disclosure when a staff member has been in post for 3 years. Please note, this timeframe will also be used to update individual s identity cards, where such a card is deemed necessary for their job role. Failure to complete a Disclosure renewal when requested to do so will be deemed a breach of this policy and for employees a HR CRB & Disclosure Scotland P&P,

9 breach of contract. As such this may result in disciplinary action being taken which in relevant circumstances may lead to dismissal. A bank worker may in the same circumstances be removed from the Trust s Bank Worker Register and for volunteers, their services withdrawn. Information Revealed on a Disclosure The relevant manager will be notified by the Human Resources (HR) Department when a Disclosure has been received and will be issued with a memo to this effect. In circumstances where the Disclosure contains no details of any criminal offences, the relevant manager is able to progress the appointment of the individual in accordance with the satisfactory completion of all pre employment checks. However, in situations where criminal offences are contained on the Disclosure the relevant manager will be expected to have relevant discussions with the individual prior to progressing the satisfactory completion of the pre employment checks. The Trust will follow internal processes to ensure relevant discussions take place with the individual, which may involve a meeting where the individual is requested to bring his/her copy of the Disclosure. Consideration will be given to any discrepancies advised by the individual regarding his/her criminal history and the information supplied on the Disclosure. Furthermore, the relevant Code of Practice will be followed and Rehabilitation of Ex Offenders Policy and Procedure considered prior to any decision taken regarding the conditional offer of employment/work or volunteer opportunities made. In circumstances where information is revealed on a renewal Disclosure, the Trust s Disciplinary procedure may be invoked. Dependent on the details revealed on the Disclosure regarding the nature and/or pattern of repeating behaviour, a member of the Trust s HR Department, a Senior Manager and the Lead Countersignatory may be involved in any decisions taken. Costs CRB Application Form Currently the costs of obtaining a Disclosure are covered by the Trust. However, in certain circumstances it may be necessary to pass on the costs to an individual. This may include acts of deliberate un-cooperation which lead to additional costs in respect of obtaining Disclosures. When a job offer is made (if appropriate) the recruiting manager will issue the preferred candidate with a CRB Application Form as part of the pre employment checks. The individual will complete the application form in part providing personal details and address history. The individual will also sign to declare whether he/she has ever been convicted of a criminal HR CRB & Disclosure Scotland P&P,

10 offence or received a caution, reprimand or warning. On completion of the relevant sections of the form the individual will return the form to the recruiting manager with relevant original identity documentation, as specified by the CRB. The documentation presented will be copied, checked and verified and returned to the individual. The application form will be completed by the respective Service personnel ensuring all relevant areas have been completed accurately. The Countersignatory will review the completed form and sign prior to sending to the CRB for processing. Further details regarding completing the application form and the original identity documentation required can be located on the CRB website. A CRB Disclosure A Disclosure is processed by the CRB on receipt of the application form and is the document which contains the information held by the police and government departments regarding an individual s criminal history. The Disclosure service offers the Trust a means to check the background of preferred candidates and volunteers to ensure that they do not have a history that would make them unsuitable to work in the roles/positions offered to them. Disclosures provide details of an individual s criminal record including convictions, cautions, reprimands and warnings held on the Police National Computer (PNC). If the position involves working with children or vulnerable adults, Disclosures will also contain details from lists held by the Independent Safeguarding Authority (ISA) of those considered unsuitable for this type of work. Depending upon the level of Disclosure, it might also contain information held by local police forces. A copy of the Disclosure is returned to the individual concerned and a copy is sent to the relevant Countersignatory. There are 2 levels of Disclosure in the UK: Standard or Enhanced. CRB Standard Disclosure Standard CRB checks are for people entering certain professions and contain the following: Convictions, cautions, reprimands and warnings held in England and Wales on the Police National Computer (PNC), and most of the relevant convictions in Scotland and Northern Ireland may also be included From October 2009, standard checks no longer include a check of the old or new barred lists (applicable to individuals working or volunteering with children or vulnerable adults). Therefore those working or volunteering in these areas will need to undertake an enhanced CRB check HR CRB & Disclosure Scotland P&P,

11 CRB Enhanced Disclosures Enhanced checks are for posts involving work in a regulated activity for a regulated activity provider with children or vulnerable adults. In general, this type of work will involve regularly caring for, supervising, training or being in sole charge of such people. Examples include a Care Worker, Teacher, Scout or Guide Leader. Enhanced checks are also issued for certain statutory purposes such as gaming and lottery licences. Enhanced checks contain the same information as Standard checks however also involve an additional level of check i.e. this type of Disclosure includes a check on local police records in addition to checks with the Police National Computer (PNC) and the government department lists held by the Independent Safeguarding Authority (ISA), where appropriate. Where local police records contain additional information that might be relevant to the post the applicant is being considered for, the Chief Officer of the police may release information for inclusion on an Enhanced Disclosure. Exceptionally, and in a very small number of circumstances (typically to protect the integrity of current police investigations), additional information may be sent under separate cover to the Countersignatory and should not be revealed to the applicant. Disclosure Scotland Within Scotland there are 3 levels of Disclosure, namely: Basic, Standard and Enhanced. Basic Disclosure Contains only convictions considered unspent under The Rehabilitation of Offenders Act 1974 Standard Disclosure Contains all conviction information, spent and unspent, including cautions Enhanced Disclosure Contains all conviction information, spent and unspent, and any other non conviction information considered to be relevant by the police or other Government bodies PVG Scheme (Scotland) In February 2011, the Protection of Vulnerable Groups (PVG) Scheme was introduced in Scotland which replaced enhanced Disclosure Scotland checks for posts working with vulnerable groups (protected adults and/or children). The PVG Scheme is managed and delivered by Disclosure Scotland and introduces a new concept of regulated work with children and/or with protected adults. Therefore, those undertaking regulated work are obliged to become PVG Scheme members. The Trust will determine whether an individual is undertaking HR CRB & Disclosure Scotland P&P,

12 regulated work based on the criteria specified by Disclosure Scotland. However, in general terms this assessment will cover the following areas: a position whose normal duties include carrying out particular activities a position whose normal duties include work in particular establishments particular positions of trust or responsibility; or a position whose normal duties include the day to day supervision or management of an individual doing regulated work with adults by virtue of the activities the individual carries out or work the individual does in establishments An individual may be doing regulated work with *adults if their work involves any of the following activities (as part of their normal duties): Caring for protected adults Teaching, instructing, training or supervising protected adults Being in sole charge of protected adults Providing assistance, advice or guidance to a protected adult or particular protected adults which relates to physical or emotional well-being, education or training Inspecting adult care services (including inspecting any premises used for the purposes of providing such services) An individual may be doing regulated work with *children if their work involves any of the following activities (as part of their normal duties): Caring for children Teaching, instructing, training or supervising children Being in sole charge of children Unsupervised contact with children under arrangements made by a responsible person Providing advice or guidance to a child or to particular children, which relates to physical or emotional well-being, education or training Moderating a public electronic interactive communication service which is intended for use wholly or mainly by children (see below) Providing, or working for an organisation which provides, a care home service which is provided exclusively or mainly for children Providing, or working for an organisation which provides, an independent health care service which is provided exclusively or mainly for children Work on any part of day care premises at times when HR CRB & Disclosure Scotland P&P,

13 children are being looked after in that part Being a host parent *A protected adult is defined as an individual aged 16 years or over who is provided with (and thus receives) a type of care, support or welfare service. A child is defined as an individual aged under 18 years. It is noted that it is possible for 16 and 17 year olds to be defined as both children and protected adults. The PVG Scheme allows the following: Continuous updating Disclosure Scotland continue to collect vetting information about an individual after the initial check has been made Effective barring Disclosure Scotland does not just collect vetting information it also assesses it so that individuals considered unsuitable on the basis of vetting information are prevented from entering the workforce Streamlined Disclosure processes recognises that some people may have several jobs and that people move and change jobs over time Access to Disclosure for personal employers they can check that the person they are seeking to employ is not unsuitable e.g. a parent employing a sports coach for their child or someone buying a care service directly Initially the PVG Scheme will apply to new starters or existing staff that move into regulated work. Over a period of time, existing staff will become members of the PVG Scheme. The Trust will request a PVG Scheme Record for any new starters joining the Trust who at the point of selection are not existing PVG Scheme Members. A PVG Scheme Update will be requested for existing PVG Scheme members. This process will be undertaken by the individual completing the relevant application form in the same way an enhanced Disclosure would have been actioned. An individual who is barred from working with children and/or vulnerable adults in Scotland, will also be barred throughout the rest of the UK. Furthermore, an individual who is on one or both of the ISA barring lists will also be barred from working with children and/or vulnerable adults in Scotland. ISA and PVG will work together and recognise the information contained on each of the barred lists and will decide whose jurisdiction takes the lead on particular cases. Please note basic, standard and enhanced Disclosures remain available for positions not within the scope of the PVG Scheme i.e. for posts unrelated to vulnerable groups. HR CRB & Disclosure Scotland P&P,

14 PVG Scheme Record This is issued to the individual and the Registered Body i.e. the same as an enhanced Disclosure and contains similar information. Should the individual include a Registration number on the application form (e.g. GTC or SSSC) a copy will also be issued to the relevant registered/regulatory body. On issuing the Scheme Record the individual is then a member of the PVG Scheme. If vetting information exists this will appear on the Scheme Record. See section on portability. PVG Scheme Record Update This type of Disclosure is applicable to existing PVG Scheme members who have previously had a Scheme Record issued to do regulated work. Where a Scheme Record Update indicates that there is vetting information on the Scheme Record, the Trust will ask the individual to present their copy for inspection. The information on the Scheme Record Update will allow the Trust to confirm whether the Scheme Record presented is the most recent one issued. Where there is no new vetting information, the combination of the new Scheme Record Update and the existing Scheme Record will provide the sum total of the information about the individual. In cases where the Scheme Record Update indicates that new vetting information has been added since the last Scheme Record, the Trust will be able to recruit the individual on the basis of the information in the Scheme Record Update alone (as sufficient to indicate the Scheme member is not barred). However, to obtain details of the new vetting information, a Scheme Record will be undertaken with the consent of the individual. Please note if the individual will be undertaking regulated work, withholding consent may result in the conditional offer of employment or voluntary work being withdrawn. For existing staff members, this may result in disciplinary procedures being implemented. PVG Scheme Information revealed on a Scheme Record This process will mirror the procedure/considerations used when information is revealed on a Disclosure. PVG Scheme Member Employment Ceases In accordance with the PVG Scheme, Disclosure Scotland maintains a record of all organisations that have an interest in a PVG Scheme member. As such, where the Trust has requested either a Scheme Record or Scheme Record Update in respect of HR CRB & Disclosure Scotland P&P,

15 an individual, the Trust will be assumed to have an interest in that individual unless notified otherwise. Therefore, on leaving the Trust s employ or ceasing to engage in volunteer activities, the Trust will notify Disclosure Scotland accordingly. Line Managers Guide A Line Managers Guide is not available to accompany this Policy and Procedure. Further Information If you require further information on this subject, please contact the Human Resources Department. SIGNED DATE April 2011 REVIEW DATE April 2013 HR CRB & Disclosure Scotland P&P,