CRB DISCLOSURE POLICY, PROCEDURES & TOOLKIT DOCUMENT
CONTENTS TABLE
CRB DISCLOSURE POLICY, PROCEDURES & TOOLKIT DOCUMENT 3
FOREWORD 1
INTRODUCTION 2
1 POLICY & PROCEDURES OVERVIEW 3
1.1 Outline 3
1.2 What is the Policy about? 3
1.3 Use of Criminal Records 3
1.4 Records in Schools 3
1.5 Relevancy of Disclosure 3
1.6 Duty of Care 4
1.7 Human Rights Act 4
1.8 Data Protection 4
1.9 Publicising/Distribution of the Policy 4
1.10 Reviewing the Policy 4
2 SCOPE OF THE LCC POLICY & PROCEDURES 5
2.1 THE CRB CODE OF PRACTICE 5
3. REHABILITATION OF OFFENDERS 5
4. CRB POLICY FOR RECRUITMENT 7
4.1. CRB Policy for recruitment of Ex-Offenders 8
5 8
5.1 General Principles 8
5.2 Storage & Access 8
5.3 Handling 9
5.4 Usage 9
5.5 Retention 9
5.6 Disposal 9
6. FLOWCHART ON THE USE OF CRIMINAL RECORD DISCLOSURES WITHIN A RECRUITMENT PROCEDURE 10
APPENDIX A 11
THE CRIMINAL RECORDS BUREAU 11
(i) Background to the CRB 11
(ii) Disclosure Level 11
(iii) Disclosure checking service 11
(iv) Disclosure Certificate information 11
(v) CRB Code of Practice 12
APPENDIX B 13
EMPLOYING PEOPLE WITH CRIMINAL RECORDS 13
(i) Relevancy of criminal record 13
(ii) Equality of Opportunity 13
(iii) Validity of CRB Disclosures 13
(iv) Rehabilitation of Offenders 13
(v) Job Offer 14
APPENDIX C 15
THE DISCLOSURE PROCEDURE 15
(i) Processing an application form for Disclosure 15
(ii) Documentary Evidence 15
APPENDIX C (Part 2) 16
PROFORMA CERTIFYING DISCLOSURE APPLICATION 16
APPENDIX C (Part 3) 17
APPLICANTS GUIDE TO COMPLETING DISCLOSURE APPLICATION 17
APPENDIX C (Part 4) 21
GUIDELINES FOR HEAD/MANAGER/ DESIGNATED PERSON CHECKING PART X OF THE CRB DISCLOSURE APPLICATION FORM 21
APPENDIX D 25
ASSESSING THE RELEVANCE OF CRIMINAL RECORDS 25
(i) Disclosure Information 25
(ii) Consideration of Conviction Information 25
(iii) Candidate Awareness 26
(iv) Managers’ Awareness 26
APPENDIX E 27
APPOINTING SUBJECT TO DISCLOSURE RESULTS 27
(i) How long is a Disclosure valid? 27
(ii) Accepting an existing CRB Disclosure Certificate 27
(iii) Staff awaiting CRB clearance 28
(iv) Commencement of work pending Disclosure results 28
(v) Adverse Disclosure results – following commencement (see also para (ix) 28
(vi) CRB Disclosures for existing employees and re-checking existing employees 29
(vii) Existing employee re-checks 29
(viii) Existing employees who have not previously required a Disclosure check 29
(ix) Existing employees who have not been previously checked – adverse Disclosure results 29
(x) Complaints 30
APPENDIX F 31
SITUATIONS REQUIRING A FRESH DISCLOSURE CHECK 31
(i) Agency/Contractors Staff 31
(ii) Notification of Offences or other information received 31
APPENDIX G 32
AGREEMENT PROFORMA REGARDING AGENCY/CONTRACTOR EMPLOYEE GRANTING PERMISSION FOR INFORMATION SHARING. 32
APPENDIX G 33
CRB CHECKS FOR EMPLOYEES IN SCHOOLS 33
(i) Central School Record 33
(ii) Volunteers 33
(iii) Further Considerations 34
(iv) Supply Staff 34
(v) School Governors 34
APPENDIX G (Part 1) 35
CENTRAL SCHOOL RECORD 35
APPENDIX G (Part 2) 37
LINCOLNSHIRE COUNTY COUNCIL SUPPLY AND RELIEF DATABASE 37
NEW SUPPLY TEACHERS AND RELIEF STAFF 40
AGENCY STAFF 40
APPENDIX G (Part 3) 41
FOREIGN NATIONALS OR UK RESIDENTS WHO HAVE WORKED OR BEEN RESIDENT OVERSEAS IN THE PAST FIVE YEARS 41
CRB Advice 41
APPENDIX H 43
GLOSSARY OF LEGAL TERMS 43
FOREWORD
Proper recruitment practices form a crucial part of in the protection of the Council’s vulnerable clients.
The Disclosure checks available through the Criminal Records Bureau are only one aspect of the Council’s commitment to ensuring that those employed in a paid or voluntary capacity are not able to harm others. A recruitment process cannot definitely identify an individual as permanently suitable to work with children or other vulnerable people.
As Sir Michael Bichard has previously indicated –
“There are those who seek to target working with children or the vulnerable, where there is no information about them. These individuals will only become known where their actions come to light”.
What is therefore required within the Council and amongst its workforce is a continuing culture of vigilance.
INTRODUCTION
This document sets out Lincolnshire County Council’s policy towards the recruitment and retention of people, who wish to work with children and/or vulnerable adults, and who may have a criminal record. The County Council recognises that, subject to certain exceptions, those convicted of criminal offences are entitled to have “the slate wiped clean” after a certain period of time and that employment is an important factor in an individual’s rehabilitation.
Under its Equality & Diversity Policy the County Council is fully committed to recruitment on the basis of an objective and systematic assessment of candidates against job related factors. Through the use of fair employment practices and the adoption of this policy, the County Council is keen to ensure that information relating to criminal records is dealt with in context and with discretion.
To this end, the County Council gives assurances that it will take no account of spent criminal offences, except in relation to those occupations exempt from the provisions of the Rehabilitation of Offenders Act 1974 (ROA) and/or where the County Council has a duty under other legislation to protect vulnerable groups in the community. Details of the practices, standards and safeguards that the County Council will apply in dealing with the sensitive information relating to criminal records are set out below.
Additionally, this document provides advice and guidance to managers on how to manage the risks of engaging new employees (both temporary and permanent), casual staff, volunteers, prospective foster parents, adopters, and other carers into positions where they will have unsupervised access to children and vulnerable adults.
The purpose of this policy is to facilitate the protection of the public and service users, especially children and vulnerable adults as well as council property/assets/staff etc. by defining the use of criminal record information in the selection of persons involved in service delivery.
1 POLICY & PROCEDURES OVERVIEW
1.1 Outline
The County Council also has policies for the following matters:
Policy for the Rehabilitation of Offenders
Policy for the handling, secure storage and retention of Disclosure information
All adverts/Job Descriptions that relate to a position where a Disclosure is required will contain a statement advising that a Disclosure will be requested in the event of a successful application. Further information about this is included in the recruitment pack.
1.2 What is the Policy about?
The policy will apply to those seeking paid or unpaid work with the County Council. In addition, certain types of voluntary or seasonal work, fostering arrangements, student placements, permitted drivers, elected members, school governors, preferred contractors and other regulated positions will also come under the provisions of the policy, particularly where they involve unsupervised contact with children or vulnerable adults. In addition, where there are reasonable grounds, the County Council may require existing employees to apply for an up to date criminal record certificate.
1.3 Use of Criminal Records
The relevance of criminal records to the workplace is a constantly developing area of employment and the County Council will need to review and amend its policies in the light of experience or new legislation (i.e. pending changes through the Independent Safeguarding Authority scheme – also known as the Vetting & Barring scheme). Where, due to changes in legislation, occupational groups become subject to regulation for the first time, the County Council will require existing employees in those groups to obtain a criminal records certificate (known as a Disclosure) under the terms of this policy.
1.4 Records in Schools
The County Council undertakes to carry out such checks only when it is appropriate to do so, for example, when the post involves substantial, regular and unsupervised access to children and/or vulnerable adults or where there is a legal requirement. Within Lincolnshire schools, the Governors and the Head teacher are responsible for appointments and are responsible for the maintenance of the Central School record. Please substitute the Governing Body for any reference to the County Council where the vacancy or position is a school appointment. Throughout the policy specific provisions that apply to schools are clearly indicated. Further information is available at Section 8.
1.5 Relevancy of Disclosure
Disclosures should only be applied for in respect of posts that are included in the Exceptions Order to the Rehabilitation of Offenders Act 1974. It may be an offence under Section 123 (2) of the Police Act 1997 to apply for a Disclosure in respect of a post not covered by the Exceptions Order. This guidance will apply equally to internal candidates (i.e. those currently employed by LCC and external candidates being considered for relevant permanent, temporary, casual or volunteer positions). It will also apply where external agencies recruit and employ staff to carry out contract work on behalf of the County Council or where external agencies recruit staff to become employees of the Council
1.6 Duty of Care
The authority has a statutory duty of care towards vulnerable members of society. However, this duty must be carried out with due regard to all other relevant legislation including the Rehabilitation of Offenders Act (1974) (see section 2.4), the Data Protection Act (1998), and the Human Rights Act (1998).
1.7 Human Rights Act
Under the Human Rights Act anyone who believes their rights as set out in the European Convention on Human Rights have been violated by a public authority is able to raise their complaint before a UK court. Managers should therefore be aware of the possibility of legal challenge from ex-offenders who believe their rights have been violated under article 14 of the Act, which guarantees freedom from discrimination. Equally, they should be aware that victims of physical/verbal/sexual abuse caused by employees known to have a criminal record might also seek legal challenge on the grounds that the organisation failed to protect them sufficiently. In order to avoid prosecution by the courts, the Council needs to apply policies that ensure vulnerable people are protected but at the same time treat ex-Offenders fairly.
1.8 Data Protection
Under the Data Protection Act 1998 individuals have the right to see their own personal data subject to the rights of confidentiality of any third parties involved in that information. In addition all applicants receive their own copy of the Disclosure certificate. The Council is committed to confidentiality and complies with the Data Protection Act. All information will be handled and stored sensitively and used only for its proper purpose. The policy statement regarding correct handling, use, storage, retention and disposal is contained within the toolkit for ease of reference – see Section 5.
1.9 Publicising/Distribution of the Policy
The existence of this document is made known to all Directors, Members,
Heads of Service/Contracting Officers, HR Mangers and Advisors engaged in the recruitment process, the Corporate Recruitment Team, Head Teachers, Governors, Partners, Agencies and Contractors. A copy can be viewed via the Internet Human Resources Policies and Procedures site.
1.10 Reviewing the Policy
The Council’s Corporate CRB Manager will keep the currency of this Policy under review, on a bi-annual basis (or subject to changes in legislation or Regulations) and will make such changes to the Policy as deemed appropriate following necessary consultation with Members, Officers and the trade unions. The latest version will always be that found on the County Councils Intranet site/Lincolnshire County Council Connects - www.lincolnshire.gov.uk and Netlinc.
2 SCOPE OF THE LCC POLICY & PROCEDURES
2.1 THE CRB CODE OF PRACTICE
The Code of Practice is produced by the Criminal Records Bureau and all staff, Members, Partnerships, Agencies and Contractors will abide by its contents. The Code is published under section 122 of the Police Act 1997 in connection with the use if information provided to registered persons (Disclosure information) under Part V of that Act.
Disclosure information is that
Contained in criminal record certificate under section 115 of the Act (referred to in this Code as “Enhanced Disclosures”), or
Provided by the police under section 115(B) of the Act.
Except where indicated otherwise the Code of Practice applies to all recipients of Disclosure information – that is to say
Registered persons
Those countersigning applications on behalf of registered persons, and
Others receiving such information
Where reference is made to “employers” this should be read as including any person at whose request a registered person has countersigned an application, including:
Voluntary organisations and others engaging, or using the services of volunteers, and
Regulatory and licensing bodies
Assurance
Registered Persons shall;
Co-operate with requests from the CRB to undertake assurance checks as to the proper use and safekeeping of Disclosure information;
Report to the CRB any suspected malpractice in relation to the Code of Practice or any suspected offences in relation to the misuse of Disclosures.
Failure to comply with the Code of Practice
The CRB is empowered to refuse to issue a Disclosure if it believes that a registered person, or someone on whose behalf a registered person has acted, has failed to comply with the Code of Practice.
3. REHABILITATION OF OFFENDERS
The Rehabilitation of Offenders Act (ROA) 1974 sets out to make life easier for many people who have been convicted of a criminal offence and who have since lived on the right side of the law. A person convicted of a criminal offence and who receives a sentence of no more than 2½ years in prison, whether suspended or not, benefits from the Act if they are not convicted again during a specified period. This is called the Rehabilitation Period. In general terms, the more severe the penalty is, the longer the rehabilitation period. Once a rehabilitation period has expired and no further offending has taken place, a conviction is considered to be “spent”. Once a conviction has been spent, the convicted person does not have to reveal it or admit its existence in most circumstances, including, for example, when applying for a job. In most circumstances, an employer cannot refuse to employ someone, or dismiss them, on the basis of a spent conviction. (But for exceptions see below).