Criminal Records Bureau Disclosure Policy

Criminal Records Bureau Disclosure Policy Page 1 of 27

Leicestershire PartnershipNHS Trust

NHS

Version: Version 1

Ratified by: Senior Operational Group

Date ratified: 8 June 2010

Name of originator/author:

Alison Smith HR Advisor

Name of responsible committee:

Safeguarding Committee

Lead Executive Director

John Short

Date issued for publication:

09 August 2010

Review date: June 2015

Expiry date: n/a

Target audience: All Trust Employees, Workers and Volunteers

Criminal Records Bureau Disclosure

Policy


CONTRIBUTION LIST

Key individuals involved in developing the document

Circulated to the following individuals for consultation:

Name Designation Sarah Willis Head of Human Resources Alison Smith HR Advisor The following groups were also involved in initial development of the policy prior to consultation Safeguarding Committee Workforce Development Group Scrutiny Committee

Name Designation Jackie Ardley Director of Quality and Innovation Mohammed Al-Uzri Clinical Director of Integrated Locality Services Jennette Battisby Senior Human Resources Advisor

Sab Bhaumik Medical Director Norma Burford Staff Side Chair Lisa Laws HR Project Manager Paul Dempsey General Manager, Adult mental Health Services - Inpatient Dr D Das Clinical Director Specialist Services Val Dawson Staff Side Secretary Gerald Bristow Head of Estates and Facilities

Martin Fahy General Manager, Specialist Services Jane Ford General Manager, Adult mental Health Services - Community Jules Galbraith General Manager, Learning Disabilities Daniel Norbury Recruitment/ HR Office Manager Sue Hitchenor Managing Director Finance and Business Strategy Rachel Seagrave General Manager, MHSOP -Inpatients

Jackie Channell Acting General Manager, CAMHS Ahmeen Joondan Acting General Manager, MHSOP -Community Satheesh Kumar Clinical Director, Learning Disabilities Girish Kunigiri Clinical Director, Adult Mental Health Services - Community Diane Mallon Senior Human Resources Advisor Chris Meakin Clinical Director, Adult Mental Health Services - Inpatient

Richard Prettyman Clinical Director, MHSOP Helen Rae Senior Human Resources Advisor Dr A Rathore Clinical Director, CAMHS Angela Salmen Senior Medical Staffing Manager Antony Sheehan Chief Executive John Short Chief Operating Officer


Graham McKay Director of Change Programmes Linda Stewart Director of Adult Mental Health Services Stella Traynor Bank Nurse Manager Jane Warrington Chair of Local Negotiating Committee (LNC) Dave Anderson Associate Director of People Partnerships


CONTENTS

EQUALITY IMPACT ASSESSMENT………………………………………5

1.0 INTRODUCTION ...................................................................................8

2.0 SCOPE ..................................................................................................8

3.0 RESPONSIBILITIES..............................................................................9

CRIMINAL RECORDS BUREAU DISCLOSURES....................................................10

4.0 ABOUT THE CRIMINAL RECORDS BUREAU ...................................10

5.0 REGISTERED BODY ..........................................................................10

6.0 CRB CODE OF PRACTICE.................................................................11

7.0 THE REHABILITATION OF OFFENDERS ACT (ROA) 1974 ..............11

8.0. EXEMPTIONS TO THE REHABILITATION OF OFFENDERS ACT....12

9.0. NOTIFIABLE PROFESSIONS .............................................................13

10.0 DISCLOSURE TYPES.........................................................................13

11.0 WHO IS REQUIRED TO UNDERTAKE A CRB CHECK .....................15

12.0 WHEN WILL CRB CHECKS BE UNDERTAKEN.................................15

13.0 SECURE STOREAGE, HANDLING, USE, RETENTION AND................

DISPOSAL OF CRB DISCLOSURE INFORMATION ..........................17

14.0 ASSESSMENT OF CRB DISCLOSURES ...........................................17

15.0 MANAGING SENSITIVE INFORMATION............................................19

16.0 RECRUITMENT / EMPLOYMENT DECISIONS ..................................19

17.0 REFERENCES AND ASSOCIATED DOCUMENTATION …………….20 APPENDIX 1 PROCESS FOR DEALING WITH CRB DISCLOSURES ……………..21

APPENDIX 2 DEALING WITH ADDITIONAL INFORMATION FROM THE POLICE22

APPENDIX 3 ASSESSING A POST FOR CRB.......................................................22

APPENDIX 4 DISCLOSURE STATEMENT..............................................................24


Initial Equality Impact Assessment Tool

Pro-forma for the Initial Assessment

Directorate …Human Resources….. Dept/Service …..Human Resources…..

Name of policy : Criminal Records Bureau and Independent Safeguarding Authority (ISA) Registration Policy

Originating source Human Resources To be completed and attached to any procedural document (e.g. policies, guidance notes, etc) when submitted to the appropriate committee for consideration and approval. An Equality Impact Assessment must always be carried out when there is a proposal to develop or change a function, e.g. Service Development within the Organisation.

Comments

1. What is the purpose of the proposal?

To ensure that LPT has a process in place to manage the risk associated with employing people with criminal convictions who are required to providing care to vulnerable adults and children or are involved in the care or have access to medical information. Also to manage the requirement for staff to be ISA registered

2. Could the proposal be of public concern?

No

3. Who is intended to benefit from the proposal and in what way?

The Trust as it will have clear arrangements in relation to the management of employing people with Criminal convictions and the requirement for ISA registration

4. What outcomes are wanted for the proposal?

To have a consistent process in place for dealing with CRB and ISA applications and outcomes.


Comments

Yes/No Comments

5. Is there a possibility that the outcomes may affect one group less or more favourably than another on the basis of:

• Race No This policy will equally apply to all employees and workers.

• Ethnic origins (including gypsies and travellers)

No This policy will equally apply to all employees and workers.

• Nationality No This policy will equally apply to all employees and workers.

• Gender No This policy will equally apply to all employees and workers.

• Culture No This policy will equally apply to all employees and workers.

• Religion or belief No This policy will equally apply to all employees and workers.

• Sexual orientation including lesbian, gay and transsexual people


• Age No This policy will equally apply to all employees and workers.

• Disability - learning disabilities, physical disability, sensory impairment and mental health problems


6. Is there any evidence that some groups are affected differently?

No

7. If you have identified that some groups may be affected differently is the impact justified E.g. by Legislation: National guidelines that require the Trust to have a

No


Comments

policy, or to change its practice.

8. Is the impact of the proposal likely to be negative?

No

9. If so can the impact be avoided? N/A

10. What alternatives are there to achieving the proposal without the impact?

N/A

11. Can we reduce the impact by taking different action?

No

If you have identified a potential discriminatory impact; please ensure that you do a Full Impact Assessment. Initial Assessment completed by: Name: ….. Alison Smith ……….. Designation: …Human Resources Advisor Signed: Date: -…21 April 2010… Tele Ext.: …0116 225 6599


Criminal Records Bureau Disclosure and Independent Safeguarding Authority (ISA) Registration Policy

1.0 INTRODUCTION

The Trust has a responsibility to comply with legislation and to help prevent unsuitable people undertaking paid or volunteer work with children or vulnerable adults. Employees who are employed by Leicestershire Partnership NHS Trust (the Trust) whose role involves working with vulnerable people, and meets the Criminal Records Bureau code of practice are required to undertake a Criminal Records Bureau (CRB) Disclosure check before commencing employment or volunteering. A new Vetting and Barring Scheme was introduced on 12th October 2009 to help prevent unsuitable people from undertaking paid or volunteer work with children or vulnerable adults. People who are included on the Vetting and Barring lists are barred from working with vulnerable people. It is illegal to employ or allow a volunteer who is barred from working with vulnerable people. The purpose of this Policy is to clearly define CRB procedures, providing guidance to the Trust as to when CRB information is required, how it is obtained and how it should be used and stored. The Trust will observe the CRB Disclosure Code of Practice when using disclosure information, so as to ensure that information provided is used fairly and handled and stored appropriately. The Trust is also required to comply with the NHS employment standards which include CRB checks. This Policy also sets out the responsibilities of the Trust and its employees to comply with the requirement to undertake a CRB check and comply with ISA Vetting and Barring Scheme governing the protection of vulnerable people.

2.0 SCOPE

2.1 This policy will apply to all employees, workers, work experience, students and volunteers within the Trust.

2.2 A new public body called the Independent Safeguarding Authority (ISA) has

been created. The ISA make decisions about who should be barred from working with vulnerable people. These decisions are legally binding so a barred person must not undertake certain roles under any circumstances. Failing to comply could result in both the Trust and the employee or volunteer being prosecuted and even going to prison.


2.3 A CRB Disclosure will reveal if the person has committed an offence that would make The Trust consider them unsuitable to do the specific job, such as convictions for theft, fraud or dishonesty. When used together, the ISA-Vetting and Barring scheme and CRB checking process will provide the Trust with a comprehensive assessment to safeguard vulnerable people.

2.4 CRB checks are a mandatory part of the NHS pre-employment checking

process outlined by NHS Employers, and apply to every new recruit, or existing employees who are changing roles who has access to service users as part of their normal duties.

3.0 RESPONSIBILITIES

3.1. The Head of Human Resources is responsible for ensuring that robust

processes and procedures are in place to enable the efficient and equitable application of this policy.

3.2 The Head of Human Resources has responsibility for ensuring that the

application of this policy is monitored and audited and that reports on the application of the policy are provided regularly (at least annually) to the Joint Staff Consultative Committee and to the Trust Board.

3.3 Recruiting managers are responsible for identifying the appropriate level of

CRB Disclosure required for individual posts. 3.4 The Trust in considering CRB information, there is a need to balance the risk

between preventing unsuitable people from working in sensitive posts with the need to ensure that this does not discriminate against ex-offenders who have been rehabilitated.

3.5 All employees, workers and volunteers have a responsibility for complying

with the policy.


CRIMINAL RECORDS BUREAU DISCLOSURES 4.0 ABOUT THE CRIMINAL RECORDS BUREAU

4.1 The Criminal Records Bureau is an Executive Agency of the Home Office,

which provides wider access to criminal record information through its Disclosure service. This service enables organisations to make safer recruitment decisions by identifying candidates who may be unsuitable for certain work, especially that involving work with children or vulnerable adults. The CRB was established under Part V of the Police Act 1997 and was launched in March 2002.

4.2 The CRB delivers the service through a number of strategic partnerships with:

• the Police - for the provision of information that is held on the Police National Computer and held locally by the forces;

• Capita - the CRB’s private sector partner that operates an administrative infrastructure and call centre; and

• Registered Bodies - as the primary contact point for checking Disclosure applications and validating information provided by the applicant; establishing the identity of the applicant; submitting a fully completed application form; and, countersigning the application form to confirm that the organisation is entitled to receive the Disclosure information.

4.3 The CRB also works in partnership with the Department of Health (DH) and

the Department for Education and Skills (DfES) for the provision of information that is held by them. This information relates to details of persons who are considered unsuitable or banned from working with children and vulnerable adults.

5.0 REGISTERED BODY

5.1 Leicestershire Partnership NHS Trust is registered with the CRB, and therefore is entitled to ask exempted questions under the Exceptions Order to the Rehabilitation of Offenders Act (ROA) 1974 Exceptions Order 1975.

5.2 The Trust’s role as a registered body is to:

• Check and validate the information provided by the applicant on the application form;

• Establish the true identity of the applicant, through the examination of a range of documents using guidance provided by the CRB;

• Ensure the application form is fully completed;

• Countersign applications to confirm that the organisation has an entitlement to access criminal record information; and to,

• Comply with the CRB’s Code of Practice.


6.0 CRB CODE OF PRACTICE

6.0 As a registered body, the Trust is required to comply with the CRB’s Code of Practice. It subsequently must use Disclosure Information fairly, and ensure that it is handled and stored appropriately.

6.1 The Code of Practice states that Disclosure information should only be used in the context of a policy on the recruitment of ex-offenders, designed to protect applicants from unfair discrimination on the basis of non-relevant past convictions. This policy constitutes such a policy.

6.2 The Code of Practice states that the storage, handling and disposal of

Disclosure information is important and the Trust has therefore developed a system relating to this. (Refer to Secure Storage, Handling, Use, Retention & Disposal of Disclosures and Disclosure Information Section13).

7.0 THE REHABILITATION OF OFFENDERS ACT (ROA) 1974

7.1 The ROA 1974 applies to England, Scotland and Wales and is aimed at helping people who have been convicted of a criminal offence and who have not re-offended since.

7.2 Anyone who has been convicted of a criminal offence, and received a

sentence of not more than 2.5 years in prison benefits as a result of the Act, if he or she is not convicted again during a specified period otherwise known as the ‘rehabilitation period’. The length of this period depends on the sentence given for the original offence and runs from the date of the conviction. If the person does not re-offend during this rehabilitation period, they become a ‘rehabilitated person’ and their conviction becomes ‘spent’.

7.3 Sentences can carry fixed or variable rehabilitation periods and these

periods can be extended if the person offends again during the rehabilitation period. However, if the sentence is more than 2.5 years in prison, the conviction never becomes ‘spent’. It is the sentence imposed by the courts that counts, even if it is a suspended sentence, not the time actually spent in prison.

7.4 Once a conviction is ‘spent’ the convicted person does not normally have to

reveal it or admit its existence in most circumstances. However, this is not the case for persons working with children or vulnerable adults. These roles/jobs are, exempt from the Rehabilitation of Offenders Act (see Section 8 below).

Sentence Rehabilitation Period for people aged under 18 when convicted

Rehabilitation Period for people aged 18 or over when convicted


Prison sentences(1) of 6 months or less

3.5 years 7 years

Prison sentences of more than 6 months to 2.5 years

5 years 10 years

Borstal (abolished in 1988) 7 years 7 years Detention centres (abolished in 1988) 3 years 3 years Fines,(2) compensation, probation,(3) community service,(4) combination,(5) action plan, curfew, drug treatment and testing, and reparation orders

2.5 years 5 years

Absolute discharge 6 months 6 months

(1) Including suspended sentences, youth custody (abolished in 1988) and detention in a young offender institution (abolished for those under 18 in 2000 and for those aged 18–20 in 2001).

(2) Even if subsequently imprisoned for fine default. (3) For people convicted on or after 3 February 1995. These orders are now called

community rehabilitation orders. (4) These orders are now called community punishment orders.

(5) These orders are now called community punishment and rehabilitation orders. 8.0. EXEMPTIONS TO THE REHABILITATION OF OFFENDERS ACT

8.1 Various kinds of employment, occupations and professions are exempt from the Rehabilitation of Offenders Act. This means that the employment rights of an ex-offender in respect to convictions are overruled. Ex-offenders therefore have to disclose information about spent, as well as unspent convictions including any convictions, cautions, warnings, reprimands and bind-overs.

8.2 Exempted occupations fall into the following categories:

• work that brings the person into contact with vulnerable groups such as the infirm, elderly, mentally ill and young people under 18

• posts concerned with the administration of justice, for example, police officers, lawyers

• Professions that have legal protection, for example, nurses, doctors, dentists, chemists etc

• Health Service appointments

• work involving matters of national security. 8.3 It is illegal to carry out a CRB check, either Standard or Enhanced, on any

post that is not exempt under the Rehabilitation of Offenders Act (Exceptions) Order, and to do so could render the Trust liable for legal action.


8.4 Such posts are defined as those where the individual does not have access to patients in the course of their normal duties. For example, this would include administration or management staff who work in separate building or have minimal access to patients; maintenance staff who are not required to work on ward areas; laundry staff; catering staff who do not deliver food to patients.

9.0. NOTIFIABLE PROFESSIONS

9.1 Home Office guidelines place All persons employed in the care of vulnerable adults and/or children in

• Care Homes,

• their Own Home (where the person needs personal care due to incapacity);

• Ancillary staff in any type of care home or employed in the care sector,;

• Adult Placement Schemes, Hospitals, Clinics, Medical Agencies or NHS bodies;

• Care workers and Nurses employed in the care sector

• Registered Medical Practitioners

• Medical Students

• Nurses on the Notifiable Occupations List Category 1. This means that there is a

presumption on the part of police services to notify the Trust about all recordable convictions, cautions, reprimands and final warnings which arise.

9.2 Minor offences such as traffic offences which may have a material bearing on

a persons work will also be reported to the Trust by the police service. 9.3 In addition, where someone is employed to work with children or vulnerable

adults is under suspicion of an offence of violence or a sexual offence, notification would normally be given by the police service whilst the investigation is underway and is likely to be forwarded to the Trust Chief Executive.

10.0 DISCLOSURE TYPES

Two types of CRB check are currently available for posts exempt under the Rehabilitation of Offenders Act 1974; Standard and Enhanced. The nature of the job role will determine the type of CRB check required.

10.1 Standard Disclosures

10.1.1 As defined by the Police Act and Rehabilitation of Offenders Act 1974,

Standard disclosures apply to posts exempted under the Act, such as posts that involve the individual having access to patients in the course of their normal duties.


10.1.2 Standard disclosures list all convictions (spent and unspent), cautions, reprimands or warnings held on the Police National Computer, and in relevant cases reveals if an individual is on any lists held by the Department of Health or the Department for Education and Skills and is unsuitable to work with children or vulnerable adults.

10.2 Enhanced Disclosures

10.2.1 As defined by the Police Act and Rehabilitation of Offenders Act 1974,

Enhanced disclosures are for posts involving greater contact with children or vulnerable adults, such as jobs involving the caring for, supervising, training or being in sole charge of a person aged under 18, or a person aged 18 or over who is a vulnerable adult.

10.2.2 The full definition of a vulnerable adult, in accordance with the Police Act

1997 (Enhanced Criminal Record Certificates; Protections of Vulnerable Adults) Regulations 2002, refers to a person aged 18 years or over who is receiving one of the following services:

• Accommodation and nursing or personal care in a care home

• Personal care or nursing or support to live independently at home

• Any services provided by an independent hospital, independent clinic, independent medical agency or NHS body

• Social care services

• Any services provided in an establishment catering for a person with learning difficulties

As a result of one of the following conditions:

• A learning or physical disability

• A physical or mental illness, chronic or otherwise, including an addiction to alcohol or drugs

• A reduction in physical or mental capacity Who has one of the following disabilities

• A dependency upon others in the performance of, or requirement for assistance in the performance of, basic physical functions

• Severe impairment in the ability to communicate with others

• Impairment in a person’s ability to protect themselves from assault, abuse or neglect

10.2.3 Enhanced disclosures contain the same information as the Standard

disclosure in addition to non-conviction information from local police records that is considered relevant to the position being applied for. For example, this may include information about a current investigation. This information will not appear on the applicant’s copy of the disclosure and it is a criminal offence for an employer to share any such information with the applicant.


10.3 Additional Information

In some cases, an Enhanced Disclosure check may result in the local police force disclosing non-conviction information to the registered body, by way of a separate letter, and not to the applicant. This may include information about a current investigation. In such cases, the Trust will not pass this information on to the CRB Disclosure applicant, and acknowledges that to do so would be an offence under the Police Act 1974. Appendix 2 should be applied in this case.

11.0 WHO IS REQUIRED TO UNDERTAKE A CRB CHECK

11.1 The Trust will request that a CRB Disclosure check be undertaken where:

• the position to be filled involves a degree of risk; or where,

• there is a legal requirement to do so (as per Sections 8 above). 11.2 Whilst the CRB Code of Practices advises us that the level of CRB

Disclosure required should always be as determined appropriate for specific roles, the nature of the work of the Trust where working with vulnerable adults and children is integral to our activities means that all CRB Disclosures will be undertaken at Enhanced Level.

11.3 The only exception to this, where a Standard Level Disclosure may be determined more appropriate, would be a post where there was no contact whatsoever with vulnerable adults and/or children and the level of risk identified deemed an enhanced level disclosure unsuitable. Such decisions would be made, by exception, by the Safeguarding Committee and CRB Lead Counter-signatory for the Trust.

12.0 WHEN WILL CRB CHECKS BE UNDERTAKEN

12.1 All applicants for posts within the Trust which are exempt from the

Rehabilitation of Offenders Act will be subject to a disclosure during the Trusts recruitment process.

12.2 All persons within the Trust who undertake a role which is exempt from the

Rehabilitation of Offenders Act, do so, subject to on-going CRB Disclosure information satisfactory to the Trust.

12.3 The Trust reserves the right to request any person within the Trust who

undertakes a role which is exempt from the Rehabilitation of Offenders Act to undertake a CRB Disclosure, as required for the position applied for. If required an employee may be required to undertake subsequent CRB checks to maintain the safety of vulnerable persons.


12.4 If a member of staff moves within Leicestershire Partnership NHS Trust to another position, a CRB check will be required before they take up the post, unless the post does not require a CRB check.

12.5 Existing employees may also be required to undertake a CRB check

where it is assessed that their role is exempt from the ROA or is required by legislation.

12.6 Existing employees of the Trust are contractually obliged to disclose to the

Trust any criminal conviction or caution incurred since their initial appointment. In these circumstances, employees are advised to inform their line manager initially in writing and another CRB check will be required to assess the risk of continuing employment, and/or the matter managed through the Trusts Performance and Conduct Policy.

12.7 Doctors in training are required to undertake a CRB check at least once

every three years when undertaking an educationally approved training rotation, a risk assessment can be carried out to assess whether the doctor in training needs to be CRB checked before starting in a new training post.

12.8 Where there is evidence of a successful CRB Disclosure under an NHS

employing organisation within the last three years, and the new post does not affect the status of the CRB check required, a risk assessment may indicate that the CRB checking requirement can be set aside. (This only applies to Doctors in training)

12.9 When a doctor in training is appointed to a training post that affects the

status of the CRB check required, for example a post that involves working with children, a new CRB check must be carried out before they commence in the post.

12.10 Agency workers, Trust Bank workers, locums and other temporary, highly

mobile staff will require a CRB check to be carried out at least once a year. This should be provided by the agency in line with NHS Buying Solutions contract.

12.11 Leicestershire Partnership NHS Trust will ensure that a satisfactory CRB

check has been conducted by the host University of students or trainees that work within LPT as part of their training course.

12.12 Volunteers working with Leicestershire Partnership NHS Trust, who have

significant and regular contact with users of the service in the course of their normal duties, will be required to undertake a CRB check before commencing in their role.

12.13 When recruiting staff from abroad, Leicestershire Partnership NHS Trust

will ensure that the necessary overseas criminal records are checked, in addition to obtaining a CRB disclosure.


13.0 SECURE STOREAGE, HANDLING, USE, RETENTION and DISPOSAL OF CRB DISCLOSURE INFORMATION

13.1 Storage and Access

Disclosure information should be kept securely, in lockable, non-portable, storage containers with access strictly controlled and limited to those who are entitled to see it as part of their duties.

13.2 Handling In accordance with section 124 of the Police Act 1997, Disclosure information

is only passed to those who are authorised to receive it in the course of their duties. We maintain a record of all those of whom Disclosures or Disclosure information has been revealed and it is a criminal offence to pass this information to anyone who is not entitled to receive it.

13.3 Usage Disclosure information is only used for the specific purpose for which it was

requested and for which the individual’s full consent has been given. 13.4 Retention Once a recruitment (or other relevant) decision has been made, we will not

keep Disclosure information for any longer than is necessary. This would not normally be more than 6 months. Consideration to the data protection and human rights of the individuals in the necessary retention of Disclosure information is taken into account. Throughout this time, the usual conditions regarding the safe storage and controlled access will prevail.

13.5 Disposal

13.5.1 When disposal is required, the Trust will ensure that any Disclosure information is destroyed by secure means, i.e. by shredding or confidential destruction.

13.5.2 While awaiting destruction, Disclosure information will not be

kept in any insecure receptacle (e.g. waste bin or confidential waste sack). Copies of the Disclosure will not normally be kept.

13.5.3 However, notwithstanding the above, we may keep a record of

information which substantiates that a Disclosure was undertaken and the recruitment decision taken and basis for that. Such information is likely to consist as a minimum of the date of issue of a Disclosure, the name of the subject, the type of Disclosure requested, the position for which the Disclosure was requested, the unique reference number of the Disclosure and the details of the recruitment/ employment decision taken.

14.0 ASSESSMENT OF CRB DISCLOSURES

14.1 The Trust acknowledges that deciding on the relevance of convictions to specific posts is not an exact science. In some cases the relationship between the offence and the post will be clear enough for the Trust to


decide easily on the suitability of the current employee or applicant for the job.

14.2 In other cases the suitability for employment of a person with a criminal record will be less clear and will vary depending on the nature of the job and the details and circumstances of any convictions. In these situations an assessment is required. The process for this is outlined in Appendix 1.

14.3 The Trust will operate a CRB Assessment Panel which will assess the employee /applicant’s skills, experience and conviction circumstances against the risk assessment criteria for the job as outlined in Appendix 1 and 3, and in sections 14.4 to 14.6.

14.4 The Trust CRB Assessment Panel which will consist of at least one

Director, one senior clinical representative and a Senior HR Advisor who are able to assess the offences in line with best practice and the CRB Code of Practice.

14.5 An employee’s / applicant’s criminal record will be assessed in relation to

the tasks that they will be required to perform and the circumstances in which that work will be carried out.

14.6 In line with best practice, the Trust will consider the following points when

deciding on the relevance of offences to particular posts:

• Does the post involve one-to-one contact with children or other vulnerable groups as employees, customers or clients?

• What level of supervision will the post holder receive?

• Does the post involve any direct responsibility for finance or items of value?

• Does the post involve direct contact with the public?

• Will the nature of the job present any opportunities for the post holder to re-offend in the course of work?

14.7 For current employees or a preferred candidate who has met the

requirements of the person specification and has disclosed a criminal record, the relevance of each offence will be considered by the Trust and/or where appropriate additional information sought from the individual, taking into account the following issues:

• the seriousness of the offence and its relevance to the safety of other employees, customers, clients or property;

• the number of offences

• the honesty of the applicant in disclosing the information when requested;

• the length of time since the offence occurred;

• any relevant information offered by the applicant about the circumstances which led to the offence being committed, for example, the influence of domestic or financial difficulties;

• whether the offence was a one-off, or part of a history of offending;


• the potential for re-offence

• whether the applicant’s circumstances have changed since the offence was committed, making re-offending less likely;

• whether the offence has been decriminalised by Parliament;

• the country in which the offence was committed. Some activities are offences in Scotland and not in England and Wales, and vice versa;

• the degree of remorse, or otherwise, expressed by the applicant and their motivation to change

15.0 MANAGING SENSITIVE INFORMATION

15.1 The Trust will ensure that information regarding offences is kept confidential,

so that employees and applicants feel confident that information about their convictions will not be disclosed to anyone unless there is a specific reason for doing so.

15.2 Only persons directly involved in management of the employee /recruitment

and the CRB Assessment Panel members will be informed of an applicant’s criminal record.

15.3 On request, an employee / successful applicant will be informed who in the

organisation has been told about the conviction and the reasons for this. If the individual’s line manager was not directly involved in the assessment or recruitment process, they will only be informed of the offence if it is directly connected with the job.

15.4 Offence information and any additional police information provided

separately under an Enhanced Disclosure will be stored and handled in accordance with the Trust’s Secure Storage, Handling, Use, Retention & Disposal of Disclosure and Disclosures Information section.

15.5 Additional information supplied by an employee or applicant will be retained

on the employee personal file/ recruitment file. The individual on supply of such information signs a declaration to that affect.

15.6 In the case of an employee, should additional CRB Disclosures be

required in the future the Trust, will not seek to reassess the entries already assessed, unless the nature of the job being assessed is fundamentally different. In these cases re assessment may be appropriate.

15.7 If an applicant has failed to disclose that they have a criminal record when

directly asked i.e. at interview or on application of CRB, The Trust may need to refer the information that they did not disclose to the NHS Counter Fraud department as it may be deemed that the individual is trying to gain employment using false information.

16.0 RECRUITMENT / EMPLOYMENT DECISIONS


16.1 Recruitment decisions will be made on the basis of all information released by the Criminal Records Bureau, including that contained in any separate letter, and additional information supplied by the individual in accordance with good recruitment practice. (Appendix 4)

16.2 If the decision is made to withdraw a provisional offer of an appointment, the

applicant will be informed of that decision. It may be that matters revealed in the Disclosure justify such a decision or, that information contained in a separate letter from the police as in the case of Standard or Enhanced Disclosures, provides evidence that, in the view of the Trust, the applicant is unsuitable for the position.

16.3 If the individual is a current employee of the Trust the matter may be

managed by the Performance and Conduct Policy. Including terminating the contract of employment. Other remedial action may also be required.

16.4 The Trust will not reveal the existence of any separate letter or its content as

it is a criminal offence to disclose information of this type without the written permission of the police. (Refer to 10.3).

17 REFERENCES AND ASSOCIATED DOCUMENTATION

This policy was drafted with reference to the following, Criminal Records Bureau (CRB) www.crb.homeoffice.gov.uk Independent Safeguarding Authority (ISA) www.isa-gov.org.uk NHS Employers – NHS Employment Check Standards www.nhsemployers.org Safeguarding Vulnerable Groups Act 2006


Appendix 1 Process for dealing with CRB Disclosures (Employee and Recruitment)

Job offer made, subject to any outstanding pre-employment checks

Employer receives Disclosure

Disclosure confirms no convictions/cautions/reprimands/final

warnings etc

Disclosure reveals information about convictions/cautions/reprimands/final

warnings etc

Confirm appointment/ continue employment

Trust requests additional information for CRB Assessment Panel. Discusses with applicant or may withdraw provisional offer, as

appropriate and in line with CRB Code of Practice.

Applicant disputes the information of the Disclosure and raises this with CRB Disputes

Team

Applicant provides additional information to CRB Assessment

Panel

Decision taken via panel as to whether or not to proceed with

appointment. Decision based on CRB Code of Practice

CRB confirm accuracy of information

(return to section above i.e., ‘Disclosure reveals information

about a Convictions’)

CRB confirm error (return to section

above i.e., ‘Employer receives Disclosure)’

Withdraw provisional offer of employment/ refer to Trust Performance and Conduct

Policy

Confirm appointment/ continue with employment

Put offer on hold to allow information to be

checked

The information is correct

The new information is discussed with the applicant and assessed by

CRB Assessment Panel

The Trust is not happy with the explanation and assurances given

Withdrawal of provisional offer of employment / refer to Trust

Performance and Conduct Policy

The Trust is happy with the explanation and assurances given

The information is not correct; the applicant has given the correct

information

Confirm appointment/ continue with employment


Appendix 2 Dealing with Additional Information from the Police

Appendix 3 Assessing a Post for CRB

Enhanced Disclosure Obtained

The police provide no additional information directly to the employer

The police provide additional information in confidence to the employer

Follow the flow chart Process for dealing with CRB Disclosures (Appendix 1)

Additional confidential information is not relevant to proposed job

Additional confidential information is relevant to proposed job

Assessed by CRB Assessment Panel. Provisional offer of employment withdrawn

Applicant does not query or contest withdrawal of provisional offer

Applicant queries or contests withdrawal of provisional offer

Employer explanation, which DOES NOT make reference to additional police information, not accepted by applicant

Employer explanation, which DOES NOT make reference to additional police information, is accepted by applicant

File papers securely in line with CRB Storage, Handling and Use section

Applicant refers matter to an employment tribunal (form IT1) and it is accepted for hearing

Employer can’t defend its position at employment tribunal without revealing additional police information

Employer can defend its position at employment tribunal without revealing additional police information

Date set for employment tribunal hearing

Employer advises CRB of situation

CRB acknowledges receipt of information

Police request that employment tribunal hears relevant additional information in camera

Employer advises relevant Chief Police Officer

Police decide whether or not additional confidential information can be released to employment tribunal

No Yes Continue with normal tribunal process


Will the nature of the job present any realistic opportunities to reoffend at work?

Does this job have exemption status under ROA 1974, or duties under the Police Act 1997, or Acts listed within Section 13 of this policy?

To what extent are you bound by other legal constraints?

Does the job involve direct contact with members of the public?

Would the offence create unacceptable risk for other employees, customers, suppliers or clients?

Does the job involve any direct responsibility for finance or other items of value?

What could happen at work and how serious would that be?

It is illegal to employ certain ex-offenders in some occupations (refer to Section 13 of this policy)

Exemption status for a particular job gives the employer the right to ask applicants about relevant spent convictions

For example, those with motoring convictions employed as drivers

For example, those with convictions for theft employed looking after money

For example, those with convictions for assault or sexual offences required to visit people in their homes.

Consider the factors that might decrease or increase the risk, such as supervision, working alone etc.


Appendix 4 LEICESTERSHIRE PARTNERSHIP NHS TRUST DISCLOSURE STATEMENT Please ensure that you complete every section of this statement. If a question is not applicable to your circumstances, please mark it N/A. If you have more than one statement to submit please complete an additional form(s). Personal Details Surname

Forename

Other names

Date of Birth D D M M Y Y

Current Post /Post applied for

Place of work /applied to work

Conviction Details Date of Conviction

Offence

Court

Disposal

Type of Criminal Record (please tick) Spent conviction � Bind over order � Unspent conviction � Reprimand/Warning � Caution � Other, please explain below �

1. We need additional information on the offence listed. Please provide an explanation of how the offence occurred including the circumstances surrounding the offence and include any mitigating circumstances, or explanations you wish to give.


2. Have your circumstances changed since the offence occurred? If so in what way?

3. What impact did the offence have on you as an individual and did it change

your view point in any way? 4. Have you submitted an application form for any post in this Trust since the incident?

Yes / No

5. If so, did you volunteer details of your criminal record on the application form?

Yes / No

6. If not why not?(give details) 7. If you attended for interview did you declare details of your criminal record at interview?

Yes / No

8. If not, why not? (give details) 9. Have you ever been refused employment on the basis of a CRB Disclosure? If so please complete the sections below Name of post declined: Employer: Date of decline:


FOR CURRENT EMPLOYEES ONLY 10 Start Date with Trust

11. Were you employed by the Trust at the time of the incident? Yes / No

12. If yes, did you inform your manager? Yes / No

13. If yes, please give their name and their job title at that time

Name Job Title

14. Please can you confirm when you told your manager?

15. How did you inform them e.g. verbally/ letter etc

16. What was the response/outcome from the manager?

17. If not, why didn’t you inform your manager?

I understand that by giving this information it will be used by the Trust to assess my suitability to continue to work/ continue with my recruitment. The information will only be disclosed to individuals who are responsible for making the assessment decision. On completion of the assessment this statement and the assessment form will be retained on my personal file (for current/perspective employees) or for one year for applicants who are refused employment on CRB Disclosure grounds. Signed: Name in capitals: Date:


HR Use Only If you are currently employed by the Trust HR will contact your line manager to provide the following information. This information will be used in the assessment process. Manager Contacted: Date Contacted: Does the post involve one-to-one contact with children or other vulnerable groups as employees, service users or the public?

Yes/No/n/a

Will the individual be directly supervised on a day to day basis?

Yes/No/n/a

Will the post applied for provide opportunity for access to items of value belonging to the Trust or others?

Yes/No/n/a

How long have you managed this person?

Please provide an assessment of the individuals work performance and behaviour below Information taken by: Name in capitals: Job Title: Date:

Documents

Criminal Records Bureau Disclosure Policy