Example policy on disclosure of criminal convictions

Policy on disclosure of criminal convictions

The Trust considers that this policy is required in order to comply with the regulations in the Care Standards Act 1999 and the Criminal Records Bureau’s Code of Practice, **** Trust must ensure that new staff have a check made on their criminal convictions or cautions, before starting work and existing employees are checked every three years. An offer of promotion is also subject to a check if there had been no disclosure within the preceding 2 years.

1.The groups of staff to be checked are those:

(i)Where there is access (either unsupervised or regular contact) to residents or service users.

(ii)Where there is access to money, cheque books, cheques or financial recording systems.

(iii)Where there is access to confidential information about residents, service users or staff.

2.The three levels of disclosure are:

(i)Basic Disclosures. Basic disclosures only detail spent and unspent convictions held on the central databases, are not job-specific and are only issued to the individuals themselves.

(ii)Standard Disclosures. This will be used where the post involves regular contact with residents. This detail spent and unspent convictions, as well as cautions, reprimands and warnings that are recorded centrally. It will also indicate if there are no such matters on record.

(iii)Enhanced This will apply to those posts where there is regular and unsupervised access to residents and will be used for all care staff (including Day Centre Instructors). This will detail the same information as a standard disclosure as well as non-conviction information from local police records which a chief police officer thinks may be relevant in connection with the employment.

3.Administration, Maintenance and Estates posts will be risk assessed to determine the most appropriate level of disclosure.

4.Volunteers who are required by the Care Standards Act will be checked in accordance with the above guidelines. Where there is regular contact, Standard Disclosure will be sufficient; however, where there is unsupervised access, Enhanced Disclosure will be used. Applicants to New Positions

1.A satisfactory police check is a condition of starting employment. Failure to comply with this without reason will result in dismissal or not being appointed to the post offered.

2.When applying for a position, candidates should be told that **** would be asking for a satisfactory police check as a condition of employment. This is processed through the Criminal Records Bureau and the cost will be met by the Trust. The candidate will be told the conditions of the offer in writing – a letter is attached in the appendix that can be used for this. A flowchart is attached, which details the process for seeking a police check. The CRB service standard states that Enhanced Disclosures will be produced within 3 weeks 90% of the time, Standard and Basic Disclosures within 1 week 95% of the time.

3.Candidates can not work until a satisfactory police check has been produced and the Assessment Panel has vetted it.

4.Individuals will be told telephone the Criminal Records Bureau in their offer letter. The application for disclosure is sent back to **** and they will need sign the application and produce evidence to prove their identity to the counter-signature. This should be at least one item of photographic evidence (e.g. current passport or a new-style UK driving licence) and one item of address-related evidence (e.g. a utility bill, bank, credit card or mortgage statement), this should have the full name and address of the applicant. Where an applicant has changed their name, evidence will need to be seen (e.g. marriage certificate)

5.A copy of the disclosure will be sent to both the applicant and the counter-signatory.

6.If there are any convictions (spent or unspent) or matters of concern raised, an Assessment Panel will assess whether or not the offer of employment can go ahead.

7.The Assessment Panel will comprise the Personnel Manager, the Care Manager and the relevant manager. The aim of the Panel is to balance the best interests of the residents and Trust with the civil liberties of the individual. To this end, the Panel may decide to contact the person to clarify any issues that they may have.

Existing Employees

The Trust considers that in order to protect the interests of staff, service users and the Trust, existing employees will also be subject to disclosure every 3 years. Where a conviction (spent or unspent) or matter of concern is raised, there are a number of possible outcomes:

(i)The check shows up conviction(s) or caution(s) that **** already knows about and which the Trust has already decided do not affect the individual’s employment. In this circumstance, no action will be taken.

(ii)The check shows up conviction(s) or caution(s) that are spent or unspent, which **** were not aware at the time of appointment.

(iii)The check shows up conviction(s) or caution(s) that are spent or unspent, that happened after appointment and before the check.

In the event of either (ii) or (iii), depending upon the nature of these, the various time spans involved (e.g. since the conviction or caution, since expiry, etc), the Assessment Panel could either take no action or decide to refer to a separate Disciplinary Panel. If the Assessment Panel refers an employee to a separate Disciplinary Panel, the Disciplinary Procedure will be used. This gives the employee the chance to state their case and to appeal against any decision.

At the disciplinary, the Panel would decide whether or not a sanction should be given and if so, at what level. This may lead to dismissal; however, the number of possible circumstances makes it impossible to predict an outcome.

Disclosure of Convictions

The following list sets out examples of what **** consider as convictions or cautions that are unacceptable. However, this list is not exhaustive and may be added to from time to time and individual circumstances may determine whether or not an offer of employment can go ahead. Factors that will be taken into consideration are:

(iv)Whether the conviction or other matter revealed is relevant to the post,

(v)The seriousness of the offence or other matter,

(vi)The length of time since the conviction or other matter occurred,

(vii)Whether the applicant’s circumstances have changed since the offending behaviour, and

(viii)The circumstances surrounding the offence and the explanation(s) offered by the candidate.

The Welfare and Maintenance Sub-Committee will review this list from time to time.

Position where there is…

• Unacceptable conviction or caution
• Access to residents.
• Sexual offences (e.g. rape, indecency).
• Certain driving offences.
• Assault.
• Battery.
• Actual or Grievous Bodily Harm.
• Incitement and/or conspiracy to commit any of the above.
• Access to money, chequebooks, cheques or financial recording systems.
• Fraud.
• Tax evasion.
• Handling or passing stolen property.
• Perjury.
• Theft.
• Incitement and/or conspiracy to commit any of the above.
• Access to confidential information about service users or staff.
• Fraud.
• Perjury.
• Incitement and/or conspiracy to commit any of the above.

N.B. Any capital crime would automatically disbar employment.

The contents of a disclosure will only be made known to those people who need to know to fulfil their duties. With new employees, this would be staff who were directly involved in the recruitment process. Disclosures of existing employees would only be made known to immediate line managers if there was a matter disclosed by the conviction, that the disciplinary panel considered was compatible with continued employment. If the there was a matter which was incompatible with continued employment and resulted in dismissal, the nature of the offence(s) or concern would not be disclosed. However, **** Trust is required to make disclosure of this dismissal to the General Social Care Council.

Breach of this disclosure bar, would constitute a criminal act, would result in disciplinary proceedings and potentially police proceedings.

External candidates for employment will be contacted directly by Personnel as to the decision of the Assessment Panel. There is no right of appeal against the decision.

Returned forms will be kept in the central Personnel files, separately from the individuals personnel file and destroyed after 6 months in accordance with the requirements of the Criminal Records Bureau.

Our Ref.: JP\P Sunday, 30 August 2009 Private & Confidential <<name>> <<address 1>> <<street>> <<town>> <<county>> <<postcode>>

Dear... Re: (Position)

Thank you for attending the interviews recently for the above position, and I am pleased to confirm that we are offering you the post subject to satisfactory references and employee health declaration. As agreed, your salary will be £.. per annum/hour and your start date is to be <<.... >>.

As was stated at interview as this post involves access to residents\finances\confidential information, this offer is subject to a satisfactory standard/enhanced1 disclosure, the cost of which will be met by **** Trust.

To that end, I would ask that you telephone the Criminal Records Bureau on (0845) xxx xxx. They will ask for your name and address.

The Bureau will send an application form for your signature to me. On arrival I will contact you and ask that you come into the Personnel office to sign the disclosure application and bring with you two forms of identity.

The attached Policy on the Disclosure of Criminal Convictions explains what forms of identification are preferred. I shall now take up your references as discussed.

A full contract and associated documents will follow shortly, but meanwhile I would be grateful if you would confirm in writing whether you wish to accept this offer.

I look forward to hearing from you.

Yours sincerely,

PERSONNEL MANAGER.