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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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DBS Checks Policy

1. Purpose

This policy ensures that all staff members employed by {{org_field_name}} have undergone appropriate Disclosure and Barring Service (DBS) checks in compliance with Regulation 19: Fit and Proper Persons Employed under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. The policy outlines the process of obtaining, verifying, and reviewing DBS checks to safeguard the people we support and maintain legal compliance.

2. Scope

This policy applies to:

• All employees, including permanent, temporary, and agency staff.
• Volunteers, students, and contractors who work directly with the people we support.
• Any external professionals engaged in delivering care or support services within {{org_field_name}}.
• Staff undergoing internal promotions to positions requiring a different level of DBS clearance.

3. Related Policies

This policy should be read alongside:

• CH02 – Fit and Proper Persons: Employed Staff Policy
• CH13 – Safeguarding Adults from Abuse and Improper Treatment Policy
• CH26 – Recruitment, Selection, and Retention Policy
• CH28 – Staff Conduct and Code of Ethics Policy
• CH40 – Assisting with Personal Care Policy

4. DBS Check Requirements and Process

4.1 Legal Requirements for DBS Checks

The level and type of Disclosure and Barring Service (DBS) check required must be determined by the duties and responsibilities of the particular role and the applicable statutory eligibility criteria. {{org_field_name}} will not request a Standard DBS check, Enhanced DBS check or check of either DBS Barred List unless the position is legally eligible for that level of check.

The following requirements will apply:

• A person whose duties amount to regulated activity with adults must be subject to an Enhanced DBS check for the adult workforce which includes a check of the Adults’ Barred List.
• Regulated activity with adults includes, where the statutory criteria are met, the provision of personal care, healthcare, social work, assistance with a person’s cash, bills or shopping because of their age, illness or disability, assistance in the conduct of a person’s own affairs and certain forms of conveying. A person who provides regular day-to-day management or supervision of a person carrying out regulated activity is also regarded as carrying out regulated activity.
• Care workers and care assistants who provide personal care to adults because of their age, illness or disability will normally be carrying out regulated activity with adults and must therefore have the appropriate Enhanced DBS check with an Adults’ Barred List check before undertaking that regulated activity.
• Where a person’s work in the care home does not amount to regulated activity but constitutes work with adults for DBS purposes, {{org_field_name}} will determine whether the statutory conditions make the position eligible for an Enhanced DBS check without an Adults’ Barred List check or a Standard DBS check.
• Ancillary, administrative, maintenance, domestic, catering, entertainment, professional and other roles will be assessed according to the activities actually undertaken, the frequency of the work and the person’s opportunity for contact with people living in the care home. A particular job title will not, by itself, determine the level of DBS check.
• A Basic DBS check may be requested where appropriate for a role which is not eligible for a Standard or Enhanced DBS check. A Basic DBS check will disclose information permitted under the applicable Rehabilitation of Offenders Act 1974 arrangements and must not be treated as equivalent to an Enhanced DBS check or a barred-list check.
• An Adults’ Barred List check will only be requested where the person will undertake regulated activity with adults and the organisation is legally entitled to request that barred-list information.
• {{org_field_name}} must not permit a person whom it knows, or has reason to believe, is barred from regulated activity with adults to undertake regulated activity with adults.

DBS eligibility will be assessed in accordance with the Safeguarding Vulnerable Groups Act 2006, the Police Act 1997, the Rehabilitation of Offenders Act 1974 and applicable Exceptions Orders and Regulations, together with current Disclosure and Barring Service eligibility guidance.

4.2 Recruitment and Pre-Employment DBS Screening

As part of its recruitment procedures, {{org_field_name}} will assess every role to establish whether a DBS check is legally required or permitted and, where applicable, the correct level, workforce and barred-list entitlement.

Where a DBS check is required for a role, the appropriate check must form part of the pre-employment suitability checks required under Regulation 19 and Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014.

Before employing or engaging a person for a role to which the relevant DBS requirement applies, {{org_field_name}} must:

• confirm the person’s identity, including appropriate photographic identification;
• establish the correct DBS level and workforce applicable to the person’s actual duties;
• obtain and check the required DBS certificate or complete a lawful DBS Update Service status check where all requirements for use of the Update Service are satisfied;
• confirm that any required Adults’ Barred List check has been completed where the role involves regulated activity with adults;
• consider any information lawfully disclosed on the DBS certificate which is relevant to the person’s suitability;
• complete and document any necessary risk assessment arising from information disclosed on the certificate; and
• ensure that all other information required by Schedule 3 and Regulation 19 has been satisfactorily obtained and verified.

A person must not undertake regulated activity with adults unless {{org_field_name}} has satisfied itself that the required statutory checks have been completed and that the person is suitable to undertake the role.

Where the DBS Update Service is relied upon, {{org_field_name}} must ensure that:

• the organisation is legally entitled to request the same level and type of DBS check for the role;
• the certificate relates to the correct workforce;
• any barred-list information shown on the certificate corresponds with the barred-list entitlement for the new role;
• the person’s identity has been checked;
• the person’s original DBS certificate has been seen in accordance with current DBS requirements; and
• the person has given permission for the Update Service status check.

If the Update Service indicates that the certificate is no longer current, an appropriate new DBS check must be obtained before reliance is placed upon that certificate.

Applicants will only be asked to disclose criminal record information that {{org_field_name}} is legally entitled to request for the relevant position. Applicants must not be required to disclose protected convictions or protected cautions which they are legally entitled to withhold.

Application forms, self-declaration forms and interview questions must not ask applicants to disclose all convictions, cautions, reprimands or warnings without qualification. Any criminal record declaration used by {{org_field_name}} must reflect the current Rehabilitation of Offenders Act 1974 and DBS filtering requirements.

Conditional offers of employment must make clear that appointment remains subject to satisfactory completion of all legally required pre-employment checks and a determination that the applicant is fit and proper for the role under Regulation 19.

4.3. Renewal and Continuous Monitoring of DBS Checks

• All DBS checks must be renewed every three years.
• Employees are encouraged to subscribe to the DBS Update Service, allowing for real-time monitoring.
• If an employee’s circumstances change (e.g., a new criminal conviction), they must inform the Registered Manager immediately.
• If a DBS renewal identifies new convictions, a risk assessment will be conducted to determine suitability for continued employment.

4.4 Handling, Recording, Retention and Security of DBS Information

DBS information is sensitive personal information and must be handled securely, confidentially and only for lawful recruitment, safeguarding and employment purposes.

Access to DBS information must be restricted to individuals who require it for recruitment, safeguarding, human resources or regulatory compliance purposes, including the Registered Manager and authorised members of the HR or recruitment team.

{{org_field_name}} must maintain sufficient evidence to demonstrate that the appropriate DBS check required for the role has been completed and considered.

The DBS record maintained by {{org_field_name}} must include, as applicable:

• the employee or worker’s name;
• the date the DBS certificate was issued;
• the DBS certificate number;
• the level of DBS check undertaken;
• the relevant workforce;
• whether an Adults’ Barred List check was requested and received where the role was eligible for such a check;
• the date on which the certificate or Update Service status was checked;
• the name or role of the person who checked the information;
• whether information requiring further consideration was disclosed;
• confirmation that any necessary risk assessment and suitability decision was completed; and
• the final recruitment or continued-employment decision.

Where {{org_field_name}} retains a copy of a DBS certificate, the organisation must have a lawful and documented reason for doing so. The copy must be stored securely with access strictly restricted and must not be retained for longer than necessary. Certificate copies must normally be destroyed securely once the recruitment or suitability process, including any dispute, has been concluded and in accordance with the current DBS Code of Practice and applicable data-protection requirements.

The organisation may retain an appropriate record that a DBS check was completed and of the recruitment decision for longer where this is necessary to demonstrate compliance with Regulation 19, Schedule 3 and the organisation’s legal and regulatory obligations.

DBS information must not be disclosed to persons who are not authorised to receive it and must not be used for a purpose unrelated to the purpose for which it was obtained.

All handling, retention, sharing and destruction of DBS information must comply with the UK General Data Protection Regulation, the Data Protection Act 2018 and the applicable DBS Code of Practice.

4.5 Managing Information Disclosed by a DBS Check

The existence of information on a DBS certificate will not automatically make an applicant or employee unsuitable for employment.

Where a DBS certificate lawfully discloses a conviction, caution, relevant police information or other information which may affect suitability, the Registered Manager or authorised decision-maker must complete and record an individual suitability and risk assessment before making a recruitment or continued-employment decision.

The assessment must consider, where relevant:

• the nature and seriousness of the offence, conduct or other information;
• the circumstances in which it occurred;
• the person’s age at the time;
• the length of time that has elapsed;
• whether there is evidence of repetition or a pattern of behaviour;
• the relevance of the information to the duties and responsibilities of the proposed or current role;
• the degree of contact with adults who may be at risk of abuse or harm;
• the level of supervision available;
• any explanation, evidence of rehabilitation or mitigating information provided by the individual;
• whether the information affects the person’s good character or fitness under Regulation 19;
• whether the person is prohibited or barred from carrying out any relevant activity; and
• any safeguarding risk to people using the service.

Only criminal record information which {{org_field_name}} is legally entitled to know about may be considered when making an employment decision.

Protected convictions and protected cautions which are subject to the applicable filtering rules must not be requested from an applicant and must not be taken into account when determining suitability.

Where, following a documented assessment, information lawfully available to {{org_field_name}} demonstrates that the person cannot safely or lawfully undertake the proposed role, the appointment must not proceed.

Where relevant information concerns an existing member of staff, {{org_field_name}} must take immediate and proportionate action to protect people using the service. This may include increased supervision, temporary restriction of duties, redeployment, suspension in accordance with the organisation’s employment procedures, a safeguarding referral, referral to a professional regulator or termination of employment where justified.

Where information indicates that the statutory conditions for a referral to the Disclosure and Barring Service may have been met, the Registered Manager or responsible senior manager must consider and comply with the organisation’s duty to make a DBS barring referral under section 4.7 of this policy.

The reasoning, evidence considered and outcome of the suitability assessment must be documented and retained securely.

4.6 Agency, Bank, Temporary and Contracted Staff DBS Checks

Regulation 19 applies to persons employed for the purposes of carrying on a regulated activity and includes agency staff, bank staff, contractors and other persons engaged to work for the service.

{{org_field_name}} remains responsible for satisfying itself that persons supplied or checked by another organisation are suitable for the work they will undertake.

The level of DBS check required for agency, temporary or contracted workers must therefore be determined by the worker’s actual duties and statutory DBS eligibility criteria. {{org_field_name}} must not apply a blanket requirement for an Enhanced DBS check or barred-list check where the particular role is not legally eligible for that level of check.

Before an agency, temporary or contracted worker begins work, {{org_field_name}} must obtain documented assurance that all checks required for that role under Regulation 19 and Schedule 3 have been satisfactorily completed.

Where applicable, the assurance must confirm:

• the person’s identity;
• the level and workforce of the DBS check;
• the date of the DBS certificate or appropriate Update Service status check;
• whether an Adults’ Barred List check was included where the person will undertake regulated activity with adults;
• that any information disclosed by the DBS check has been considered and the worker has been assessed as suitable;
• relevant employment history and satisfactory evidence of conduct in previous health, social care, children or vulnerable-adult employment where required;
• relevant qualifications and professional registration where applicable; and
• that no information is known which would make the worker unsuitable to undertake the proposed duties.

A general statement that an agency is “DBS compliant” is not sufficient where it does not enable {{org_field_name}} to satisfy itself that the appropriate checks for the individual worker and role have been completed.

Where requested for regulatory purposes, {{org_field_name}} must be able to obtain or make available sufficient evidence of the recruitment checks undertaken for agency, temporary and contracted workers.

Bank and temporary staff employed directly by {{org_field_name}} must be subject to the same Regulation 19 and Schedule 3 recruitment requirements as permanent employees undertaking equivalent duties.

4.7 Barred Persons and Duty to Refer to the Disclosure and Barring Service

{{org_field_name}} is a regulated activity provider where it is responsible for managing or controlling regulated activity with adults and therefore has statutory responsibilities under the Safeguarding Vulnerable Groups Act 2006.

A person who is included in the Adults’ Barred List must not be permitted to undertake regulated activity with adults.

{{org_field_name}} must not knowingly permit, or permit where it has reason to believe, that a person who is barred from regulated activity with adults is undertaking regulated activity with adults.

Where concerns arise about the conduct of a person undertaking regulated activity, the Registered Manager or responsible senior manager must consider whether the statutory conditions requiring a referral to the Disclosure and Barring Service have been met.

A referral to the Disclosure and Barring Service must be made where the legal referral conditions are satisfied. This includes circumstances in which {{org_field_name}} has removed a person from regulated activity, or would or might have removed the person had they not resigned, retired, been made redundant, been transferred to other duties or otherwise ceased working for the organisation, and the applicable harm, relevant conduct or other statutory barring criteria are met.

The duty to consider and, where required, make a DBS referral applies regardless of whether:

• the person resigns before a disciplinary or safeguarding investigation is completed;
• the person’s temporary, agency or fixed-term engagement has ended;
• the organisation has referred the matter to the local authority safeguarding team;
• the police have been informed;
• a safeguarding enquiry is being undertaken;
• a professional regulator has been notified; or
• another organisation is also considering making a referral.

A referral to the local authority, police, Care Quality Commission or professional regulator does not replace a statutory referral to the Disclosure and Barring Service where the DBS referral conditions are met.

Where a worker is supplied by an employment agency or other organisation, {{org_field_name}} must communicate relevant safeguarding information to that organisation where lawful and necessary and must establish which organisation has the statutory referral duty. The Registered Manager must not assume that the agency’s involvement removes {{org_field_name}}’s own responsibilities.

All decisions concerning whether a DBS referral is required must be recorded, including the information considered, the statutory criteria considered, the decision reached, the person making the decision and the date of the decision.

Where a referral is required, it must be made promptly and must contain the information reasonably available to {{org_field_name}} that is relevant to the DBS’s consideration of the case.

Records relating to DBS referrals must be stored securely and access must be limited to authorised persons.

5. Implementation and Monitoring

5.1. Staff Training on DBS Processes

• HR and recruitment teams must receive training on DBS check requirements, legal frameworks, and handling of disclosures.
• All staff must be informed of their responsibilities in reporting criminal convictions.
• Staff must be educated on how DBS checks contribute to safeguarding the people we support.

5.2. Auditing and Compliance Checks

• The Registered Manager will conduct quarterly audits of DBS records to ensure compliance.
• Spot-checks will be carried out to ensure that no staff member is working without a valid DBS certificate.
• Any non-compliance identified in audits will require immediate corrective action, which may include suspension of employment.

5.3. Handling Disputes and Appeals

• If an applicant or employee disputes the outcome of their DBS check, they must raise the issue with the Disclosure and Barring Service directly.
• The organisation will only reconsider employment if an official DBS correction is issued.
• Staff may appeal risk assessment decisions in writing to the Registered Manager and Nominated Individual for reconsideration.

6. Responsibilities

6.1. Registered Manager

• Ensures compliance with DBS legislation and this policy.
• Conducts risk assessments for positive disclosures.
• Maintains and reviews DBS check records.

6.2. HR and Recruitment Team

• Verifies the type of DBS check required for each role.
• Ensures that all new staff have satisfactory DBS clearance before starting work.
• Monitors renewal of DBS checks and supports employees in registering with the DBS Update Service.

6.3. Employees

• Must disclose any changes in their criminal record immediately.
• Must comply with renewal requirements and update DBS information as required.
• Must ensure the accuracy of information provided in DBS applications.

7. Compliance with CQC Regulations

This policy aligns with:

• Regulation 19: Fit and Proper Persons Employed – Ensuring only suitable individuals are employed.
• Regulation 13: Safeguarding from Abuse and Improper Treatment – Preventing the employment of individuals who may pose a risk.
• Health and Social Care Act 2008 – Meeting all regulatory employment checks for care providers.

CQC inspectors will evaluate compliance by:

• Reviewing staff files for DBS check records.
• Auditing risk assessments for any positive disclosures.
• Checking recruitment processes to ensure DBS checks are completed before employment starts.

8. Policy Review

This policy will be reviewed annually or sooner if legislation changes or business needs evolve. Any updates will be communicated to staff, and necessary training will be provided.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.