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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Recruitment and Employment of Ex-Offenders Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} provides fair and equal employment opportunities to individuals with criminal convictions while maintaining the safety and welfare of people we support, staff, and visitors. This policy ensures compliance with CQC regulations, UK employment laws, and the Rehabilitation of Offenders Act 1974, balancing risk management with inclusive employment practices. It also sets out clear guidelines for assessing suitability, conducting risk assessments, and ensuring that recruitment decisions are made with due consideration to both safeguarding and rehabilitation.

2. Scope

This policy applies to recruitment, appointment, engagement and ongoing employment decisions within {{org_field_name}} where criminal record information may be relevant to determining a person’s suitability to work for the purposes of a regulated activity.

For the purposes of this policy and the requirements of Regulation 19 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, the policy applies, where relevant, to:

• employees;
• bank workers;
• agency workers;
• contractors and persons supplied under contractual arrangements;
• volunteers; and
• any other person engaged to work for the purposes of carrying on a regulated activity.

{{org_field_name}} will ensure that criminal record information is requested and considered only where it is lawful, necessary and proportionate to the particular role.

This includes:

• assessing applicants on their suitability for the role and not automatically excluding a person because they have a criminal record;
• determining the legally permitted level of Disclosure and Barring Service (DBS) check for each role by reference to the actual duties undertaken and the applicable DBS eligibility requirements;
• checking the relevant barred list only where the work falls within the legal definition of regulated activity for which such a check is permitted;
• considering disclosed criminal record information individually and in relation to the requirements and risks of the role;
• ensuring that protected convictions and cautions, which an applicant is legally entitled not to disclose, are not requested or taken into account;
• ensuring that a person who is barred from regulated activity with adults is not permitted to undertake regulated activity with adults; and
• maintaining appropriate arrangements to monitor the continuing fitness and suitability of persons engaged by the service.

Nothing in this policy permits {{org_field_name}} to request a Standard or Enhanced DBS check, or a check of a barred list, unless the position is legally eligible for that level of check.

3. Legal and Regulatory Framework

This policy will be implemented in accordance with the legislation and regulatory requirements applicable to adult social care services in England, including:

• Health and Social Care Act 2008 – provides the statutory framework for the regulation of health and adult social care services in England and the powers under which requirements relating to persons working in regulated activities are made.
• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 19: Fit and Proper Persons Employed – requires persons employed for the purposes of carrying on a regulated activity to be of good character; to have the qualifications, competence, skills and experience necessary for their work; and to be able, after reasonable adjustments where required, to perform the tasks intrinsic to their role. Recruitment procedures must be established and operated effectively, the information required by Schedule 3 must be available where applicable, and appropriate action must be taken where a person no longer meets the required fitness criteria.
• Schedule 3 to the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – specifies information which must be available in relation to persons employed or appointed for the purposes of regulated activities, including the applicable criminal record certificate information where a check is legally required.
• Rehabilitation of Offenders Act 1974 – provides for certain convictions to become spent after the applicable rehabilitation period and generally protects individuals from being required to disclose spent convictions unless a statutory exception applies.
• Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, as amended – identifies positions and activities for which an employer may lawfully ask an exempted question about specified spent convictions and cautions. The organisation will observe the statutory filtering rules and will not require disclosure of protected convictions or cautions.
• Police Act 1997, Part V, and associated regulations – establishes the statutory framework for Standard and Enhanced criminal record certificates and the circumstances in which such checks may lawfully be requested.
• Safeguarding Vulnerable Groups Act 2006, as amended by the Protection of Freedoms Act 2012 – defines regulated activity with adults, establishes the adults’ barred list and places relevant duties on regulated activity providers, including duties relating to barred persons and referrals to the Disclosure and Barring Service.
• DBS Code of Practice – applies where {{org_field_name}} is acting as a Registered Body or otherwise falls within its scope and requires criminal record information to be obtained, used and handled fairly and appropriately.
• Data Protection Act 2018 and UK General Data Protection Regulation (UK GDPR) – regulate the collection, use, disclosure, security, retention and deletion of personal data, including the additional requirements applicable to personal data relating to criminal convictions and offences.
• Equality Act 2010 – applies to recruitment and employment decisions generally, including the prohibition of unlawful discrimination because of protected characteristics and the duty to make reasonable adjustments where applicable. A person’s criminal record or offending history is not, of itself, a protected characteristic under the Equality Act 2010.

{{org_field_name}} will also have regard to current CQC guidance on Regulation 19 and current Disclosure and Barring Service guidance on DBS eligibility, regulated activity, filtering and barring referrals.

4. Related Policies

This policy is linked to other employment and safeguarding policies within {{org_field_name}}, ensuring a holistic approach to fair and safe recruitment. These include:

• CH26 – Recruitment, Selection, and Retention Policy – Outlines the general recruitment framework followed by the organisation.
• CH19 – Fit and Proper Persons Employed Policy – Ensures all individuals hired meet the required legal and professional standards.
• CH13 – Safeguarding Adults from Abuse and Improper Treatment Policy – Establishes procedures for protecting people we support from potential harm.
• CH16 – Health and Safety at Work Policy – Defines safety procedures to mitigate workplace risks, including those related to recruitment.
• CH30 – Equality, Diversity, and Inclusion Policy – Reinforces the organisation’s commitment to fair treatment and inclusivity.

5. Policy Statement

{{org_field_name}} is committed to fair, lawful and safe recruitment and will not automatically exclude an applicant from employment or engagement because they have a criminal record.

Recruitment decisions will balance the rehabilitation of people with previous convictions with the organisation’s statutory safeguarding responsibilities and its obligation to employ fit and proper persons.

{{org_field_name}} will:

• assess applicants according to their skills, qualifications, competence, experience and suitability for the particular role;
• only ask an applicant to disclose convictions, cautions or other criminal record information that the organisation is legally entitled to ask about;
• only request the level of DBS check for which the particular position is legally eligible;
• only request an Adults’ Barred List check where the duties of the position constitute regulated activity with adults or another statutory basis permits that check;
• not require an applicant to disclose a protected conviction or protected caution and not take such information into account when making an employment decision;
• assess relevant criminal record information individually, fairly and proportionately;
• record the reasons for a decision to appoint a person where relevant criminal record information has been considered as part of the assessment of good character and suitability;
• protect the confidentiality of criminal record information and process it in accordance with applicable data protection legislation; and
• ensure that safeguarding and the safety and welfare of people using the service remain central to recruitment and employment decisions.

Where {{org_field_name}} is required by the DBS Code of Practice or applicable DBS requirements to maintain a written policy on the recruitment of ex-offenders, this policy will be made available to applicants on request.

A criminal record will not necessarily prevent a person from working for {{org_field_name}}. However, a person must not be appointed or permitted to undertake duties where doing so would be prohibited by law, including where the person is barred from undertaking regulated activity relevant to the role.

6. Recruitment and Disclosure Process

Determining the Appropriate DBS Check

Before requesting a DBS check, {{org_field_name}} will assess the actual duties and responsibilities of the position and determine the level of criminal record check that is legally available for that role.

A Standard or Enhanced DBS check will not be requested merely because an applicant will work in a care home. The level of check will be determined in accordance with the Police Act 1997, the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, the Safeguarding Vulnerable Groups Act 2006 and current DBS eligibility guidance.

For care home roles:

• a person who undertakes regulated activity with adults, including a care worker providing qualifying personal care to an adult because of their age, illness or disability, may be required to obtain an Enhanced DBS check including an Adults’ Barred List check;
• a person responsible for the regular day-to-day management or supervision of staff carrying out regulated activity with adults may also fall within regulated activity and may be eligible for an Enhanced DBS check including an Adults’ Barred List check;
• a person whose work in the care home does not constitute regulated activity but who meets the statutory criteria for work with adults may be eligible for an Enhanced DBS check without an Adults’ Barred List check;
• other eligible care home positions may qualify for a Standard DBS check; and
• where a position does not meet the statutory eligibility requirements for a Standard or Enhanced DBS check, {{org_field_name}} will not request one and will consider whether a Basic DBS check is appropriate and lawful.

An Adults’ Barred List check will only be requested where there is a lawful entitlement to request it.

Where a person is barred from regulated activity with adults, {{org_field_name}} will not knowingly employ, engage or permit that person to undertake regulated activity with adults.

Disclosure of Convictions and Cautions

For positions that are not covered by an exception to the Rehabilitation of Offenders Act 1974, applicants will only be required to disclose information that may lawfully be requested, including applicable unspent convictions.

Where the position is legally eligible for a Standard or Enhanced DBS check and an exempted question may lawfully be asked, {{org_field_name}} may ask about spent convictions and cautions only to the extent permitted by law.

Applicants will not be required to disclose a conviction or caution that is protected under the applicable statutory filtering rules.

{{org_field_name}} will not take a protected conviction or protected caution into account when determining a person’s suitability for employment.

Recruitment documentation will make clear, where applicable, that the position is subject to a DBS check and the level of check that will be requested following assessment of the role’s legal eligibility.

Assessment of Criminal Record Information

The existence of a conviction, caution or other relevant information on a DBS certificate will not automatically prevent appointment unless employment or engagement in the particular activity is prohibited by law.

Where relevant criminal record information is disclosed lawfully, {{org_field_name}} will undertake an individual and proportionate assessment before reaching a decision.

The assessment will consider, where relevant:

• the nature and seriousness of the offence or other disclosed information;
• the relevance of the matter to the duties, responsibilities and level of trust associated with the role;
• whether the role involves regulated activity with adults;
• any identifiable safeguarding implications for people using the service;
• the time that has elapsed since the offence or conduct;
• the circumstances surrounding the offence or conduct;
• the person’s behaviour and circumstances since the matter occurred;
• any evidence of rehabilitation;
• whether there is a pattern of relevant offending or concerning conduct;
• the explanation provided by the applicant;
• any restrictions or statutory barring applicable to the individual; and
• whether identified risks can lawfully and safely be managed without placing people using the service at risk.

A conviction must not, by itself, be treated as conclusive evidence that a person is not of good character. The assessment of good character will consider the available information as a whole, including honesty, trust, reliability and respect, and will be relevant to the particular role.

Where {{org_field_name}} concludes that an applicant remains suitable for appointment despite relevant criminal record information, the reasons for that decision will be recorded.

Where appointment would expose people using the service to an unacceptable safeguarding risk or would be prohibited by law, the applicant will not be appointed to that role.

7. Confidentiality and Data Protection

Information relating to criminal convictions, cautions, offences, allegations and DBS certificates is sensitive personal information and will be processed in accordance with the Data Protection Act 2018 and UK GDPR.

Criminal conviction and offence data will only be processed where {{org_field_name}} has:

• an appropriate lawful basis for processing under Article 6 of the UK GDPR;
• the necessary authority or applicable condition for processing criminal offence data under Article 10 of the UK GDPR and the Data Protection Act 2018; and
• where required by the Data Protection Act 2018, an Appropriate Policy Document setting out the organisation’s procedures for complying with the data protection principles and its retention and deletion arrangements.

Criminal record information will be:

• obtained only where necessary and lawful for the particular recruitment, safeguarding or employment purpose;
• limited to information that {{org_field_name}} is legally entitled and reasonably needs to process;
• accessed only by persons who require the information for authorised recruitment, safeguarding, employment or regulatory purposes;
• kept secure and protected against unauthorised access, disclosure, alteration or loss;
• used only for the purpose for which it was lawfully obtained, subject to any other lawful statutory requirement;
• retained for no longer than is necessary for the lawful purpose for which it is held; and
• securely destroyed or deleted when retention is no longer necessary.

DBS certificate information will be handled, stored, retained and disposed of in accordance with the DBS Code of Practice and applicable DBS guidance.

{{org_field_name}} may retain an appropriate record that the necessary DBS check was completed, including information that may lawfully be retained for recruitment and regulatory purposes, without retaining the full certificate or unnecessary details for longer than required.

Criminal record information will not be disclosed to another person or organisation unless there is a lawful basis or statutory authority for doing so.

8. Training and Awareness

• HR and recruitment staff must undergo training on fair recruitment practices for ex-offenders, ensuring compliance with best practices.
• Hiring managers must understand CQC requirements for safer recruitment and be equipped to make informed, balanced hiring decisions.
• Staff must be educated on anti-discriminatory hiring practices to ensure an inclusive recruitment process that balances rehabilitation with safeguarding.

9. Monitoring and Compliance

{{org_field_name}} will monitor compliance with this policy and with its statutory safer recruitment obligations.

Recruitment records will be reviewed or audited as necessary to ensure that:

• the appropriate level of DBS check has been requested for each role;
• barred-list information has only been requested where legally permitted;
• required recruitment and suitability information has been obtained and assessed;
• criminal record information has been considered fairly and proportionately;
• protected convictions and cautions have not been improperly requested or considered; and
• recruitment decisions and relevant risk assessments are appropriately documented.

Ongoing Fitness and Suitability

Suitability is not limited to the point of recruitment. {{org_field_name}} will maintain arrangements to ensure that persons working for the service continue to meet the applicable fitness requirements of Regulation 19.

Where information is received during employment or engagement that may call a person’s fitness, good character or suitability into question, {{org_field_name}} will assess the information promptly and take action that is necessary and proportionate to protect people using the service.

Where there may be an immediate safeguarding risk, appropriate interim measures will be taken while the matter is investigated.

Depending on the circumstances, action may include:

• reviewing or restricting the person’s duties;
• removing the person temporarily or permanently from regulated activity;
• undertaking a safeguarding or disciplinary investigation;
• carrying out a further risk assessment;
• obtaining an updated DBS check where there is a lawful basis and eligibility to do so;
• making a safeguarding referral;
• making a referral to the Disclosure and Barring Service where the statutory referral conditions are met; and
• notifying the relevant professional regulator where required.

Where a health care professional, social worker or other professional registered with a health or social care regulator no longer meets the applicable fitness requirements, {{org_field_name}} will inform the relevant regulator where required by Regulation 19.

Duty to Refer to the Disclosure and Barring Service

Where {{org_field_name}} is a regulated activity provider, it will comply with its legal duty under the Safeguarding Vulnerable Groups Act 2006 to make a referral to the Disclosure and Barring Service where the statutory referral conditions are met.

This includes circumstances where a person working in regulated activity has been removed from regulated activity, or would or might have been removed had they not resigned, retired or otherwise ceased working, and the applicable statutory criteria concerning relevant conduct, risk of harm, the harm test or a relevant offence are satisfied.

A person’s resignation or departure from employment will not prevent {{org_field_name}} from completing an appropriate investigation or making a DBS referral where the statutory duty applies.

A referral to the local authority safeguarding team, police, CQC or a professional regulator does not remove a separate legal duty to refer to the DBS where the statutory DBS referral criteria are met.

10. Responsibilities

• Registered Manager – Oversees the application of safer recruitment policies and ensures compliance with legal requirements.
• HR and Recruitment Team – Manages the DBS check process, reviews disclosures, and oversees recruitment procedures.
• Safeguarding Lead – Provides expert guidance on risk assessments and safeguarding considerations for applicants with convictions.
• All Staff – Must uphold fair and transparent hiring practices while maintaining a commitment to safeguarding and compliance.

11. Consequences of Non-Compliance

Failure to comply with this policy may have serious safeguarding, employment, regulatory and legal consequences.

Where an applicant or worker has deliberately provided false or misleading information, or has failed to disclose information that they were lawfully required to disclose, {{org_field_name}} will consider the circumstances and the relevance of the information to the person’s role before deciding what action is necessary and proportionate.

Depending on the circumstances, this may result in:

• withdrawal of a conditional offer of employment;
• review of the person’s suitability to remain in their role;
• disciplinary action in accordance with the organisation’s applicable procedures;
• dismissal where there is a fair and lawful basis for dismissal;
• removal from regulated activity;
• referral to the local authority safeguarding team, police or other relevant authority;
• notification to a professional regulator where required; or
• referral to the Disclosure and Barring Service where the statutory referral conditions are met.

No applicant or employee will be treated adversely for failing to disclose a spent conviction or caution that they were legally entitled not to disclose, including a protected conviction or protected caution.

{{org_field_name}} must not knowingly permit a person who is barred from regulated activity with adults to undertake regulated activity with adults.

Failure by {{org_field_name}} to operate effective recruitment and fitness procedures may result in regulatory action by the Care Quality Commission for non-compliance with Regulation 19 and may contribute to breaches of other statutory requirements.

Regulation 19 itself is not directly prosecutable by CQC; however, CQC may take regulatory action in response to a breach and, where the same circumstances amount to a breach of another regulation that carries an offence provision, enforcement action including prosecution may be available.

Failure to comply with statutory DBS referral requirements may also constitute an offence where the legal duty to refer applies.

Breaches involving the unlawful collection, use, retention or disclosure of criminal record information may result in action under applicable data protection legislation.

12. Policy Review

This policy will be reviewed annually or sooner if legislative changes, CQC updates, or business needs require amendments. Feedback from staff, applicants, and external stakeholders will be taken into account during the review process to enhance policy effectiveness.

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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}}
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