Disclosure and Barring Services (Dbs) Risk Assessment Form

THIS SCHEDULE IS FOR

PROVIDERS THAT SECURE THEIR OWN DBS EITHER DIRECTLY OR VIA AN EXTERNAL UMBRELLA BODY (NOT VIA LA).

SCHEDULE 11

DISCLOSURE AND BARRING SERVICES (DBS) RISK ASSESSMENT FORM

[DELETE IF NOT APPLICABLE]

Pursuant to ClauseC10.3.11 of this Contract the Provider will complete a risk assessment form similar to the one under this Schedule. If the Provider uses their own form, then it must reflect the same standards as this form. The Provider will follow the Council’s protocol for dealing with DBS traces (see Appendix 2 of this Schedule). If the Provider uses their own protocol then it must reflect the same standards.If any of the “Staff” providing the Services include either UK citizens who have lived overseas or non UK citizens into a post that require an enhanced DBS disclosure then the Provider must complete the Safeguarding and Foreign Nationals – Risk Assessment Form for such staff.

Under Clause C10.3.7 of this Contract, the Provider may choose one of three different methods for the advice, processing and storage of DBS checks. The required process for completing the risk assessment will vary dependent on which method the Provider chooses as follows:

1.If the Provider uses the Council’s DBS Umbrella Body, the Provider shall enter into a separate contract with the Council to provide this service and under this Contract the form below shall be used and the risk assessments shall be carried out in accordance with Council’s risk assessment process.

2.If the Provider is DBS registered and carries these out directly, or

3.uses an external umbrella body, then the Provider shall use either the form below or a similar form which reflects the same standards. The risk assessments shall be carried out in accordance with the Provider’s internal risk assessment process or the relevant external umbrella body’s risk assessment process, as appropriate.

The Council’s Contract Manager will be monitoring the Provider’s compliance with this during the contract monitoring process as specified within this Contract schedule.

In relation to Clause C10.3.11, the Council’s Contract Manager will also be seeking evidence that the process stated is being complied with.

There are legal requirements on Providers so please ensure that you are aware of your responsibilities. For example:

• It is a criminal offence to knowingly employ anyone in Regulated Activity who is barred by the Disclosure and Barring Service (DBS). Some DBS Disclosures will show whether or not a person is barred.
• A mandatory 'duty to refer' will apply - you must tell the DBS if you have concerns about an individual who may pose a risk to vulnerable people. Full details are available on the DBS website. See Schedule 11 Appendix 1.

In addition to the DBS Risk Assessment Form/ Safeguarding and Foreign Nationals – Risk Assessment Form please also see:

• Appendix 1 of this Schedule - Employer’s guide to the DBS Duty to Refer plus Where to go for further help and guidance
• Appendix 2 of this Schedule - Protocol for Dealing with DBS Traces.

DBS schedule 11 version 3.0 Confidential Page 1 of 21

DBS DISCLOSURE RISK ASSESSMENT FORM (Employment)

To be used to assess the suitability of the applicant where a Disclosure certificate

has revealed offences

NOTE: You MUST disregard any offences declared by the applicant that do not appear

on the certificate.

Please note: the information and evidence referred to in this form will be relied upon to make an employment decision in relation to staff working with vulnerable groups. It is therefore important that it is fully completed and includes evidence rather than a series of statements. Forms that are not fully evidenced will be returned. Please refer to the guidance attached to this form and contact the Safe Staffing team if you require further assistance.

Name of Applicant
Position Applied For
Disclosure Type
Disclosure Ref No
Disclosure Issue Date
Tel No
Dept/Service
Name of Hiring Manager/ Head undertaking risk assessment

This form consists of three sections - please ensure that each section is completed in full, including a full account of offences disclosed.

SECTION A – To be completed during the discussion between hiring manager and applicant

Question / Applicable
(Please delete as appropriate) / Evidence relied upon to support this decision
Did the applicant declare the offence(s)/trace(s) on the Council declaration form and at the interview? / Yes / No
(if not why not)
Did the applicant agree that the information on the DBS Certificate was correct? / Yes / No
(if not why not)
No. / Offences declared by applicant / Brief circumstances behind offence
Question / Applicable
(Please delete as appropriate) / Evidence relied upon to support this decision
How did the applicant regard the offence(s)/trace(s) with hindsight and what is their attitude towards the matters now? / Please explain
What would they have done/do differently now? / Please explain
Have the applicant’s circumstances changed since the offence? E.g. location, friends, partner, education? / Yes / No
Please explain
Is the applicant stating any mitigating circumstances? E.g. peer pressure, financial need or lack of judgement / Yes / No
Please explain

SECTION B – Hiring Manager Assessment

Question / Applicable
(Please delete as appropriate) / Evidence relied upon to support this decision
Did the offences/traces disclosed form any pattern? E.g. is there a cycle or history, reoccurrence, repeat offences / Yes/No
Please explain
Did the applicant demonstrate any efforts not to re-offend? E.g. rehabilitation course / Yes/No
Please explain
What is the nature of the contact the individual has with children/vulnerable adults? / Please describe
Can any safeguards be implemented to reduce/remove any risk? / Yes/No/Not applicable
Please explain
Will the nature of the post present any realistic opportunities for re-offending? / Yes/ No
Please explain
Does the post have any direct contact with the public and how vulnerable are they? / Yes/No
Please explain
What supervision is available and how will it be used to mitigate risk? / Please explain
Summary of evidence taken into account and rationale for this decision. Any additional comments from the hiring manager/ Headteacher:
Do you wish to proceed with employment? Yes/No Date:
(if yes please explain here why)
Name:
Signature:

Once the form is completed please email it to[email address] or return it in a private and confidential envelope to [Insert name] DBS team [Address]

SECTION C – Authorisation

[The Council’sSafe Staffing Team]
Outcome: Continue with offer/withdraw offer (please delete as appropriate)
Are there any conditions attached to this offer e.g. recommendations, restrictions, safeguards to be implemented by the employing service/school
Yes/No (if Yes, please detail)
Name of DBS Authorising Officer:
Assistant Director
Outcome: Agreement to continue with offer/withdraw offer (if agreed please give details of the evidence relied upon to make this decision)
Name of Assistant Director: Date risk assessment authorised:

For high risk or complex cases: Statutory Director [Authorised Lead of the Council]

Outcome: Agreement to continue with offer/withdraw offer (if agreed please give details of the evidence relied upon to make this decision)

Name of Director: Date risk assessment authorised:

Safeguarding and Foreign Nationals – Risk Assessment Form Template and Guidance Notes

Safeguarding and UK Citizens who have lived or worked overseas.

The following guidance and risk assessment form outlines the Council’s procedure when recruiting either UK citizens who have lived overseas or recruiting non UK citizens into a post that requires an enhanced DBS disclosure. This document should be read in conjunction with the [Local internal Safe Staffing] (DBS (Disclosure and Barring Service)) Policy and Procedure.

The DBS currently cannot access criminal records held overseas, therefore a DBS check may not provide a complete picture of an individual’s criminal record. It is considered good practice to obtain a certificate of good conduct from the embassy of the country the applicant has specified they have spent a significant period of time in.

As stipulated within the [Local internal Safe Staffing] (DBS (Disclosure and Barring Service)) Policy and Procedure this is part of an applicant’s pre-employment checks please note that a DBS and all other recruitment checks must be sought taking extra care with references and other background checks.

Limitations of Certificate of Good Conduct/Letter of Good repute

Managers and heads should note that the information provided on certificates of good conduct / letters of good repute can be subjective due to the following reasons;

• Data protection
• Political willingness e.g. Countries with political unrest are unlikely to provide information.
• Culture e.g. age of consent in a number of EU countries is less than 16.
• Each country may provide different information, and in some cases, will not provide any information. For details of what each country is able to provide, please refer to the CPNI Website.

Obtaining a Certificate of good conduct/good repute

The applicant is responsible for requesting a ‘Certificate of Good Repute/Letter of Good Conduct’ from the home embassy of that country which can authenticate the document. It also reduces the need and cost for potential translation requirements. Costs for the certificate/letter can vary according to the country and the applicant must cover this charge.

Applicants must provide a certificate of good repute / letter of good conduct from a country that is able to provide one. If this is not obtained, they must provide evidence that an attempt was made to obtain a certificate / letter.

Useful Contacts/Links

Foreign and Commonwealth website or telephone 020 7008 1500

CPNI – Centre for the protection of National Infrastructure -

NCSL safeguarding training which can be found at

The Council’s HR – [Local internal Safe Staffing Team] – [Contact details]

Risk Assessment Template-

Overseas Certificate of Good Repute/ Letter of Good Conduct

What is this assessment for?

If an applicant has lived or worked overseas within the last five years for a period 6 months or more, they must seek to obtain a certificate of good repute/letter of good conduct. If the applicant is unable to provide a certificate of Good Repute / Letter of Good Conduct from the embassy of the country they have spent time in, Line Managers/head teacher should make an assessment of any potential risks.

Who completes it?

The Line Manager must complete this assessment with knowledge of the role and service, ensuring that appropriate safeguards are put in place.

Where do I keep it?

This form should be retained on the personal file of the individual involved.

Risk Assessment

Considerations
(tick Yes/No, and add necessary comments) / Yes / No / N/A / Comments
Has the applicant provided evidence that a Cert. good conduct / Letter of Good Repute has been requested?
If one has not been requested, please state reasons?
Is the certificate/ letter from a country where it may prove difficult to obtain?
Have satisfactory employment references been sought and received?
Have references been validated to ensure accurate? eg. dates stated match, from a genuine source.
Have satisfactory other pre-employment checks been completed? eg. Proof of right to work, health, qualifications etc.
Has the person completed their DBS application form?
Have they declared any information

N.B -Following on from completing this assessment of risks, if the applicant is employed, it is imperative that the employee is provided with an in-depth induction and any relevant professional codes of conduct are issued.

Line Manager:Date:

Outcome: Agreement to continue with offer/withdraw offer (if not agreed please give details)

SCHEDULE 11 - APPENDIX 1

EMPLOYER’S GUIDE TO THE DBS DUTY TO REFER

The Protection of Freedoms Act (May 2012) has introduced changes to the Safeguarding Vulnerable Groups Act 2006. This replaces many of the original requirements of the national Vetting and Barring Scheme subsequently halted in June 2010

The Disclosure and Barring Service (DBS) came into force on 1 December 2012. It is the Non-Departmental Public Body established under the Protection of Freedoms Act 2012, sponsored by the Home Office and accountable to parliament with certain statutory responsibilities to help prevent unsuitable people from working with vulnerable groups, and merges the functions previously carried out by the Criminal Records Bureau (CRB) and Independent Safeguarding Authority(ISA)

Barred Lists and the Duty to Refer

Certain aspects of the Vetting and Barring Scheme which were introduced will remain in place;

• Since January 2009, the Independent Safeguarding Authority (ISA) have made independent barring decisions. The Disclosure and Barring Service (DBS) will continue to maintain two constantly updated lists, one for those barred from working with children, the other for those barred from working with vulnerable adults;
• existing requirements concerning DBS under the definition of regulated activity and Access Northern Ireland checks will remain in place, and those entitled to such checks can continue to apply for them; and
• Employers remain legally obliged to refer information to the DBS if they have moved or removed an individual because they have harmed or there is a risk of harm to a member of a vulnerable group.

See also Clause C10.7

Next Steps

This information is correct at January 2013.

Further information and updates are available through the Government website:

and for information about the changes introduced as a result of the Protection of Freedoms Act

Please ensure that you regularly review updates to the DBS.

THIS PROTOCOL IS FOR A LOCAL AUTHORITY THAT

OFFERS DBS UMBRELLA BODY SERVICE.

IF DBS UMBRELLA BODY SERVICE IS NOT OFFERED PLEASE REPLACE THE APPENDIX 2 BELOW WITH THE WORDS “NOT USED”

SCHEDULE 11 - APPENDIX 2

PROTOCOL FOR DEALING WITH DBS TRACES

[name of]Council - Safe Staffing Policy

Protocol for dealing with DBS Traces

Related Legislation:The Rehabilitation of Offenders Act 1974

(Exceptions) (Amendment) Order 2001.

Criminal Justice and Court Services Act, 2000.

Safeguarding Vulnerable Groups Act 2006

Protection of Freedoms Act 2012

Scope

This protocol is for employees (including volunteers) and for organisations that use the Council’s DBS Umbrella Body who work in partnership with us.

Please note where organisations use the Council’s DBS Umbrella Body service and have no connection with the Council, the [Local internal safe staffing]Team will process the DBS application and on receipt of the Disclosure forward it immediately to the customer who is then responsible for assessing the suitability.

Protocol

Enhanced level DBS Disclosures provides the highest level of safeguard and in addition to a check for criminal convictions also covers:

• DBS Childrens Barred List
• DBS Vulnerable Adults Barred List
• Relevant information held by the Police National Computer (PNC)
• Relevant and proportionate information held by the local police force

This check provides employers with both hard information relating to criminal records and ‘soft data’ which means information about investigations, cautions etc that has not led to a conviction but is nevertheless of potential concern.

Spent and Unspent Convictions

If an offender does not re-offend for the time specified within the Rehabilitation of Offenders Act 1974 their conviction becomes ‘spent’. This means that in most circumstances the offender would not be required to reveal their offence to their employer. However the act lists a number of exceptions to this including working with children and vulnerable adults. In these circumstances DBS checks will reveal both spent and unspent convictions, in line with the revised DBS guidance on filtering of convictions

Recruitment of Offenders and Ex-Offenders

Having a criminal record does not automatically debar someone from working with children or vulnerable adults unless they fall into one of the categories covered below. Neither does the disclosure of soft data. (the council’s policy on the Recruitment of Ex-Offenders is attached at Annex 1)

In circumstances where the Enhanced DBS check reveals hard and/or soft data the ‘trace’ is notified and it is the Council’s responsibility to undertake a thorough risk assessment to determine whether or not it is safe to appoint, or for existing employees whetherto continue to employ the person concerned.

Under the Safeguarding Vulnerable Groups Act 2006 it is unlawful for organisations to employ persons, regardless of any mitigating circumstances who may engage in regulated activity with children and/or vulnerable adults who are:

• Included on the list maintained by the Disclosure and Barring Service (DBS) of people judged to be unsuitable to work with children and/or vulnerable adults

Guidance for decision- making

These guidance notes are provided as a reminder of the types of offences that the Council considers high risk when employing an individual to work with either children or vulnerable adults. They take into account the 2006 guidance from NACRO (National Association for the Care and Resettlement of Offenders).

Apart from cases covered by the above paragraph, having a criminal record must not automatically bar a person from employment. Employers are required to consider whether ‘the conviction or other matter revealed is relevant to the position in question.’

Managers must review the job and the person and weigh up whether there is a risk to the service user(s) against possible safeguards and precautions. Remember our foremost duty is the safety of our children, young people and vulnerable adults.

In addition the following examples, whilst not exhaustive, can be used as guide:-

Work with Children

Under the Protection of Children Act 1999 and the Criminal Justice and Courts Services Act 2000, it is unlawful for the Council to employ persons, regardless of any mitigating circumstances, who may have regular contact with children who areeither: