ELIGIBILITY FOR A DBS CHECK It would be impossible for us to provide a definitive list of different jobs in the NHS which would meet the requirements for a Disclosure and Barring Service (DBS) check, as eligibility is based on the activities and level of contact with patients that different positions allow the worker or volunteer to have in that role. This document is therefore intended to provide a number of scenarios to help employers make an informed decision as to whether or not a role is eligible for a DBS check, and the level of check required. These scenarios are not exclusive and are meant as a guide only. Scenario 1 Access to patient records Ranjit applies for a job dealing with patient records in Any-town NHS Trust. The area of the hospital she will be working in is not accessible to patients, but she has to walk through several wards where patients are being treated to get to her work area. Individuals who purely have access to sensitive information or patient identifiable data are not undertaking regulated activity and therefore would not be eligible for an enhanced with barred list check. If however, the role also involves having access to patients as part of their normal duties, e.g. their normal place of work is on a ward area then consideration should be given against the eligibility criteria for a standard level check. Although Ranjit may have some access to patients in passing on route to her area of work, this likely to be purely incidental (i.e. no more than that of a visitor to the hospital site), therefore she would not be required to have any level of DBS check. 1
Scenario 2 New cleaner Peter applies for a job in Any-town NHS Trust as a cleaner. He has contact with patients as he will be required to clean ward areas of the hospital. The type of activities Peter would be undertaking as a cleaner would not meet the criteria defined for regulated activity however, he would be working in ward areas on a day to day basis which would allow him to have contact with patients in receipt of healthcare in the course of his normal duties, therefore a standard DBS check would be recommended. Scenario 3 Existing NHS cleaner that gets a new job Peter leaves his job at Any-town NHS Trust after six months and applies for a job as a cleaner at New-town NHS Foundation Trust. In this case, his prospective employer has discretion over whether to request a new DBS check or to accept the previous check. DBS checks are portable within certain limits, but it might be risky to accept a previous DBS check which is more than six months old. If however, Peter had subscribed to the DBS Update Service when he had his initial DBS check with Any-town NHS Trust, his prospective employer can ask his permission to access information about his criminal record status online. Access to this information is free of charge and is instantaneous, thus speeding up the time to recruit. Subscription to the Update Service should be done at the point of applying for a DBS check. Alternatively, individuals have 19 days grace [increased from 13 days from 30 June 2014] from the date stated on their DBS certificate to subscribe to the Update Service. Subscriptions received after this time frame will be rejected by the DBS and the individual will have to wait until they next have a new check to subscribe. Scenario 4 Health support worker Jill applies for a job at Any-town NHS Trust as a health support worker. Jill s work as a health support worker will include undertaking regulated activity and therefore the position is eligible for an enhanced DBS check. This will also require a check against the adults and/or children's barred list(s), depending on whether or not she would be undertaking regulated activity with one or both vulnerable groups. 2
Scenario 5 Moving to another NHS trust Jill leaves her job at Any-town NHS Trust after three months and applies for another job at New-town NHS Foundation Trust. Whether or not Jill needs a new DBS check will depend on a number of factors, such as: whether or not she is applying for a similar role whether the previous check is at the correct level for the job being offered (standard, enhanced, enhanced with barred list check(s). As previously described, had Jill subscribed with the DBS Update Service when she had her initial check with Any-town NHS Trust, the prospective employer would be able to ask her permission to access information held online. Scenario 6 HR advisor Lucy applies for a position as a HR advisor at Any-town NHS Trust. Administrative and secretarial roles such as those in HR, finance etc, who are located in a separate building or area away from patient areas and who do not have access to patients in the course of their normal duties, are not required to have any level of DBS check. Where their normal place of work or their activities require them to interact with patients on a ward, then employers may wish to consider eligibility for a standard level DBS check. Scenario 7 - Gardener Bert is applying for a new position with Any-town NHS Trust as a gardener. The role requires him to maintain the hospital grounds. Bert would only be required to maintain the hospital grounds and would not be working in patient areas, his contact with patients is likely to be incidental therefore his position does not warrant any level of DBS check. 3
Scenario 8 Senior house officer Dr Johnson, a senior house officer, moves as part of a rotational training programme from Any-town NHS Trust to New-town NHS Foundation Trust. He was subject to an enhanced disclosure with a barred list check at Anytown six months ago. Doctors on rotational training programmes are considered to be in continuous employment for the full term of their training. Due to the fact that they are required to move positions on a regular basis, the frequency of this far outweighs any element of risk and therefore the normal trigger for a DBS check each and every time they change placements has been relaxed and checks should be undertaken once every three years. Where it is highly probable that trainee doctors will have contact with both children and adults during the term of their training, it is highly recommended that a check against both barred lists is required to prevent the need for any unnecessary duplication of checks as they move from placement to placement. Since June 2013, we have recommended that trainee doctors should be encouraged to subscribe to the DBS Update Service when they first start their training programme. Where trainee doctors have not been able to subscribe to the Update Service, they should be encouraged to do so when they are next due to have their three-yearly check. Scenario 9 Work experience placement Serpil is 15 years old, she's thinking about a career in the NHS but before she explores what type of job she would like to do and identify the type of training she needs to do, she has asked her head teacher to support her to get some work experience in a trust. She has managed to secure a two week work experience placement at Any-town NHS Trust. Generally students on work experience placements would not be undertaking regulated activity, and any contact with patients should be fully supervised, therefore are not eligible for a DBS check. It is also important to note that employers are not permitted to undertake criminal record checks on anyone under the age of 16. 4
Scenario 10 Healthcare assistant Mohamed applies for a position as a healthcare assistant on an adults ward, his duties will also include assisting elderly patients to eat their meals where they are too frail or ill to feed themselves. Mohamed is in regulated activity because he will be providing relevant personal care and therefore requires an enhanced DBS check with clearances against the adults barred list. This includes where staff provide physical assistance to patients, for example spoon feeding, or prompting and supervising them to eat (e.g. a patient suffering from dementia or is very frail) because without that assistance they would not be able to do so for themselves. Scenario 11 Hospital porter Henry applies for a job as a hospital porter. His role will, in the main, involve him transporting patients to and from different departments and wards. The role of porters can be varied so eligibility should be defined by the activities the individual will be required to undertake and the level of access to patients this will give him/her. Henry will be in regulated activity as his position requires him to transport adults who are in receipt of health care (regarded as conveying under the definition of regulated activity) and therefore he is eligible for an enhanced with barred list check. As his position may, from time to time require him to transport both children and adults at any given time, it is recommended that clearances are obtained against both barred lists. If however, he was working in patient areas but not conveying patients e.g. was purely responsible for removing waste from a ward area, or undertaking general maintenance work on ward areas where patients are located, then consideration should be given against eligibility for a standard level check. If his responsibilities purely involve transporting blood samples, medical equipment or laundry where he had no contact, or limited contact with patients, then the role wouldn t fall eligible for any level of DBS check. Although employers may want to consider asking for a basic level disclosure through Disclosure Scotland. 5
Scenario 12 Volunteer in a hospital restaurant Harry is applying as a volunteer to work in the restaurant located on the ground floor at New-town NHS Foundation Trust. He will be required to serve food to both patients and visitors who come into the restaurant but is not required to deliver food to ward areas. While Harry would have contact with patients, he wouldn't be providing a service wholly or mainly to patients or be required to undertake duties on patient ward areas. His contact with patients would therefore be regarded as purely incidental, and therefore this position is not required to have a DBS check. Scenario 13 NHS nurse required to work in a school environment Louis is a nurse at Any-town NHS Trust, he is sometimes required to work in his local school. He has had an enhanced DBS check with clearances against both barred lists for his NHS position six months ago but the school has requested that a further check to be requested before he is allowed to work with children. There is no legal duty on employers that send nursing staff to provide services in a school environment to require repeat checks. The Department of Education's (DfE) guidance for schools recommends that where a visiting worker undertakes regulated activity with children on a regular basis in a school environment, then the host school should obtain written assurance from the sending employer which confirms that an enhanced with barred list check has been obtained for that worker, and that they are not barred from working in a regulated activity with children. DfE guidance does not recommend that schools should repeat-check visiting workers who have already been checked by their employer, or who are escorted while on site. If Louis has subscribed to the DBS Update Service, then the School may wish to seek those assurances by seeking his permission to undertake a check on his criminal record status online. 6
Scenario 14 Non-executive director position Dean has applied for a non-executive director position at Any-town NHS Trust. The role will require him to serve on important board committees, helping to plan for the future to improve healthcare services, and helping the board work in the public interest and keep its patients and the public properly informed. Dean would not be providing regulated activity as he would not be delivering any kind of health care directly to patients so an enhanced check would not apply. It could be argued that executive and non-executive positions would permit free access to patient areas and therefore employers may wish to consider whether the roles and responsibilities of the job would allow the type of contact with patients against eligibility for a standard check. If however, this level of position only allows limited access patient areas i.e. access is no more than say, a visitor to the hospital site, then even this level of check would be challengeable. Employers may consider a basic level disclosure on any such positions which, as already outlined, can currently be obtained through Disclosure Scotland. The decision to undertake basic level disclosures remains a discretionary one and subject to local policy. Scenario 15 Psychotherapy and counselling position Sarah is applying for a position providing psychotherapy and counselling to adults. This position involves both in a face to face and telephone interaction with adults in receipt of health care at New-Town NHS Foundation Trust. Psychotherapy and counselling is regarded as regulated activity, where this is provided to an adult who is receiving health care from, or under the direction or supervision of a health care professional, therefore would be eligible for an enhanced DBS check with clearances against the adults barred list. This is regardless as to whether or not psychotherapy and counselling is provided to the adult face to face and/or over the telephone. 7
Scenario 16 Contractor, supplying and servicing laboratory equipment Craig provides services to the NHS through an external contractor. His role involves supplying and servicing laboratory equipment. He does not have access to patients. This role would not be eligible for any level of DBS check as he is unlikely to have access to patients and is not providing health care services. Scenario 17 GP practice manager Ijaz has applied for a position as a GP practice manager, he will be responsible for the day to day management of doctors and nursing staff employed within the practice. GP practice managers would be eligible under regulated activity and would therefore require an enhanced with barred list DBS check on the basis that they would be responsible for the 'day to day management or supervision' of doctors and nurses who carry out roles and responsibilities under the new definition of regulated activity - i.e. those who are providing health care either as, or under the direction of, health care professionals (see para 7(1)(a) of Schedule 4 to the Safeguarding Vulnerable Groups Act). Scenario 18 Volunteer proving trolley service on a ward Raquel also volunteers in the hospital restaurant but she is often required to provide a trolley service selling sandwiches to patients on a ward. Raquel is providing a service wholly or mainly to patients therefore her position requires a standard DBS check. If her responsibilities also required her to physically assist or prompt patients to eat where they are unable to do this themselves because of their age, illness or disability then this should be considered against eligibility for an enhanced DBS check with barred list information. 8
Scenario 19 - Pharmacist Victor has applied for a position in the pharmacy based on a hospital site. He will be serving and advising patients on their medication. Any person who is a healthcare professional who provides health care is working in regulated activity and would therefore be eligible for an enhanced DBS check with barred list information. This includes all individuals registered with the General Pharmaceutical Council. Scenario 20 Contractor, engineer Vincent is appointed through an external contractor as an engineer working in the estates team within New-Town NHS Foundation Trust. His role involves the installation of systems, in facilities management, and maintenance anywhere within the hospital site. The type of jobs and activities contractors are required to do on NHS premises can be far reaching so not all will be eligible for a DBS check. It is essential therefore for employing organisations to stipulate in any contract arrangements with external bodies providing NHS services, whether or not the position meets the eligibility criteria for a DBS check and most importantly, at what level. Vincent would not be undertaking regulated activity and therefore his position would not be eligible for an enhanced DBS check. However, given that this position may involve him working on ward areas where he would have access to patient areas, the trust may wish to consider whether these activities meet eligibility for a standard level DBS check. 9
Scenario 21 - Emergency call handler Philippa has applied for a position as an emergency call handler dealing with NHS 111 calls. She will be providing health related advice to adults under the direction of a health care professional. Eligibility for any such position depends on the type of advice and guidance the call handler is required to give. In this case Philippa would be providing health-related advice to adults under the direction or supervision of a health care professional which would be regarded as a regulated activity, therefore an enhanced with barred list check would be required. However, where call handlers provide advice or guidance but not under the direction or supervision of a health care professional, then an enhanced DBS check without barred list information may be considered. Call handlers who purely act as an information directory, such as giving contact details for health services to adults, or where they redirect calls through to a health care professional who then provides the health related advice or guidance to an adult, would not be required to have any level of DBS check. Contact us NHS Employers 2 Brewery Wharf Kendell Street Leeds LS10 1JR Published May 2014 NHS Employers 2014. Ref: www.nhsemployers.org enquiries@nhsemployers.org @nhsemployers NHS Employers www.youtube.com/nhsemployers 10