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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Employee DBS Reporting Policy

1. Purpose

The purpose of this policy is to establish the arrangements operated by {{org_field_name}} for obtaining, reviewing, monitoring and responding to Disclosure and Barring Service (DBS) information in relation to persons working at the care home service.

{{org_field_name}} will ensure that persons working at the service are fit to do so in accordance with Regulation 35 of the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended. This includes obtaining and maintaining the information and documentation required by Schedule 1 to those Regulations and ensuring that the appropriate DBS check is obtained where required.

This policy supports compliance with:

• the Regulation and Inspection of Social Care (Wales) Act 2016;
• the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended;
• the Safeguarding Vulnerable Groups Act 2006, as amended;
• the Police Act 1997, as amended;
• the Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, as amended;
• the Data Protection Act 2018 and UK GDPR;
• the DBS Code of Practice and current DBS guidance; and
• applicable Care Inspectorate Wales requirements and statutory guidance.

DBS checks form part of the wider assessment of whether a person is fit to work at the service. A DBS certificate does not, by itself, establish that an individual is suitable for employment or continued employment. {{org_field_name}} will consider all relevant recruitment, employment, safeguarding and fitness information when making such decisions.

{{org_field_name}} will only request the level of DBS check and barred-list information for which the particular role is legally eligible. Criminal-record information will be requested, considered and retained only where {{org_field_name}} is legally entitled to do so. Protected convictions and cautions which are subject to statutory filtering will not be requested or taken into account.

The aims of this policy are to:

• ensure appropriate DBS checks are obtained before a person starts work where required;
• ensure DBS Update Service status checks and DBS renewals are undertaken within the timescales required by Welsh regulations;
• ensure relevant concerns arising during employment are reported and assessed promptly;
• protect individuals receiving care and support from avoidable risk;
• ensure referrals are made to the DBS when the statutory referral conditions are met; and
• ensure notifications are made to Care Inspectorate Wales and other relevant bodies where required by law.

2. Scope

This policy applies to all employees, including permanent, temporary, and agency staff, volunteers, contractors, and students working within the care home, and senior management and HR personnel responsible for processing and monitoring DBS checks.

This policy covers pre-employment DBS checks and risk assessments, DBS renewal and monitoring processes, employee responsibilities in reporting changes, procedures for addressing DBS concerns, and reporting obligations to external agencies.

3. Pre-Employment DBS Checks

3.1 DBS Requirements

{{org_field_name}} must ensure that every person employed to work at the service, every volunteer allowed to work at the service, and any other person working in a position in which they may, in the course of their duties, have regular contact with individuals receiving care and support or other vulnerable persons is fit to work at the service in accordance with Regulation 35 of the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended.

Where a DBS check is required, {{org_field_name}} will determine the correct level of check according to the duties of the particular role and current DBS eligibility legislation.

Persons undertaking regulated activity with adults or children must have the appropriate Enhanced DBS check together with the relevant barred-list check where the role is legally eligible for such a check.

{{org_field_name}} will not request a barred-list check or any other level of DBS check for which the particular role is not legally eligible.

For agency staff, {{org_field_name}} will obtain satisfactory evidence that the appropriate recruitment and DBS checks have been completed. The service provider remains responsible for satisfying itself that agency workers deployed at the service have been subject to the appropriate checks and are fit for the work they are undertaking.

3.2 Completion of DBS Checks Before Work Commences

Before permitting a person to work at the service in a role to which Regulation 35 applies, {{org_field_name}} must be satisfied that the person meets the applicable fitness requirements and that the information and documentation required by Schedule 1 to the Regulations is available.

Where a DBS certificate is required, the appropriate valid DBS certificate must therefore be obtained and considered before the person begins undertaking the relevant duties.

A DBS certificate must be applied for by, or on behalf of, {{org_field_name}} for the purpose of assessing the person’s suitability for the post unless the person is registered with the DBS Update Service and the requirements for use of that service are satisfied.

The DBS check will be considered together with the other information required to establish fitness to work, including identity, references, employment history, qualifications and relevant professional registration.

No person will be permitted to undertake duties from which they are legally barred.

3.3 Existing DBS Certificates and the DBS Update Service

An existing DBS certificate obtained for employment with another organisation will not, by itself, be treated as satisfying the requirement for {{org_field_name}} to obtain a DBS certificate.

Where the individual is registered with the DBS Update Service, {{org_field_name}} may rely upon the existing certificate only where:

• the original DBS certificate is at the appropriate level for the role;
• the certificate relates to the appropriate workforce;
• the certificate contains the barred-list information required for the role, where applicable;
• the individual has given the necessary authority for {{org_field_name}} to undertake an Update Service status check;
• {{org_field_name}} is legally entitled to request the relevant level of DBS information; and
• the Update Service status check confirms that no new information has been identified that requires a new DBS certificate.

Where these conditions are not satisfied, {{org_field_name}} will apply for a new DBS certificate at the appropriate level.

Where a person is not registered with the DBS Update Service, the DBS certificate used to establish their fitness to work at the service must have been applied for by, or on behalf of, {{org_field_name}} in accordance with Regulation 35.

4. Employee Responsibilities in Reporting Relevant Changes

4.1 Duty to Report Relevant Information

Employees, workers and volunteers must inform {{org_field_name}} without delay of any matter arising during their employment or engagement which may affect their suitability or legal eligibility to perform their role, their fitness to work at the service, or the safety and well-being of individuals receiving care and support.

This includes, where relevant:

• a conviction or caution which {{org_field_name}} is legally entitled to ask about and which is not protected from disclosure under the applicable statutory filtering rules;
• being placed on, or being informed that they are being considered for inclusion on, a DBS barred list;
• being prohibited or otherwise legally restricted from undertaking regulated activity;
• a criminal charge, police investigation or other criminal justice matter where the circumstances may be relevant to the person’s duties, fitness to work or the safeguarding of individuals;
• an allegation, investigation, finding, restriction, suspension or sanction by a professional or regulatory body which may affect the person’s suitability or ability to carry out their role; and
• any other information which may reasonably call into question whether the person continues to meet the fitness requirements applicable to their role.

Nothing in this policy requires an employee, worker or volunteer to disclose a protected conviction or protected caution which {{org_field_name}} is prohibited by law from asking about or taking into account.

Failure to disclose information which the individual is required to disclose under this policy and which is material to their fitness, safeguarding responsibilities or legal eligibility to perform their role may result in disciplinary or other appropriate action.

4.2 Reporting and Immediate Action

A person to whom Section 4.1 applies must report the relevant matter to their line manager or the Registered Manager as soon as reasonably practicable after becoming aware of it.

The person should provide sufficient information to enable {{org_field_name}} to determine:

• whether there is any immediate safeguarding risk;
• whether the person remains fit and legally entitled to perform their duties;
• whether temporary restrictions, alternative duties or suspension should be considered;
• whether a new DBS check or Update Service status check is required;
• whether a safeguarding referral is required;
• whether a referral to the DBS or a professional regulator is required; and
• whether Care Inspectorate Wales, the police, the local authority or another relevant body must be notified.

Any information obtained will be handled confidentially and only disclosed to persons or organisations who require the information for a lawful purpose.

5. Ongoing DBS Monitoring and Renewal

5.1 Statutory DBS Monitoring and Renewal Requirements

{{org_field_name}} will maintain arrangements to ensure DBS checks remain compliant with Regulation 35 of the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended.

Where a person is registered with the DBS Update Service:

• {{org_field_name}} must check the person’s DBS certificate status at least annually;
• the check must relate to a DBS certificate that is appropriate for the person’s current role and workforce;
• the person’s authority must be obtained where required to undertake the status check;
• the outcome and date of each status check must be recorded; and
• where the Update Service indicates that the certificate is no longer current, {{org_field_name}} must obtain a new DBS certificate before continuing to rely upon that certificate as evidence of fitness.

Where a person is not registered with the DBS Update Service:

• {{org_field_name}} must apply for a new DBS certificate within three years of the issue of the certificate obtained for the person’s appointment; and
• thereafter, a further application must be made at least every three years for as long as the requirement continues to apply.

DBS certificates do not have an expiry date in themselves. For the purposes of the Welsh regulated-service requirements, however, a certificate for a person who is not registered with the DBS Update Service will cease to satisfy the regulatory validity requirement once more than three years have elapsed from its issue.

{{org_field_name}} will maintain a monitoring system identifying:

• the date each DBS certificate was issued;
• the level and workforce of the check;
• whether the relevant barred-list check was obtained, where applicable;
• whether the person is subscribed to the DBS Update Service;
• the date and outcome of each annual Update Service status check; and
• the date by which a new DBS application must be made where the person is not subscribed to the Update Service.

5.2 Additional Checks

In addition to the statutory monitoring and renewal requirements above, {{org_field_name}} may obtain a further DBS check where there is a lawful basis and the role remains eligible for the level of check requested, including where new information gives rise to concerns about a person’s continued fitness or suitability to work at the service.

Any additional DBS application or Update Service status check will only be undertaken where {{org_field_name}} is legally entitled to obtain the relevant information.

6. Managing DBS Concerns and Risk Assessments

6.1 Action Where DBS or Other Relevant Information Raises a Concern

The existence of information on a DBS certificate will not automatically prevent a person from being employed or continuing to work at the service unless the person is legally barred from undertaking the regulated activity required by the role or another legal prohibition applies.

Where a DBS certificate, Update Service check, self-disclosure, safeguarding investigation or other relevant information raises concerns about a person’s fitness or suitability, {{org_field_name}} will undertake an individual assessment.

The assessment will consider, as applicable:

• whether the individual is legally prohibited or barred from performing the relevant work;
• the nature and seriousness of the information;
• whether the information is relevant to the person’s role and responsibilities;
• the circumstances in which the matter occurred;
• the time which has elapsed;
• whether there is a pattern of concerning behaviour;
• evidence of rehabilitation or subsequent conduct;
• the degree of contact with and responsibility for individuals receiving care and support;
• the vulnerability and needs of those individuals;
• the risk of harm to individuals, staff or others;
• any information obtained through safeguarding, disciplinary, police or professional regulatory processes; and
• whether proportionate measures could safely manage any identified risk.

{{org_field_name}} will not request, consider or base an employment decision upon a protected conviction or protected caution which it is not legally entitled to take into account.

Pending the assessment, {{org_field_name}} may implement proportionate protective arrangements, including increased supervision, restriction of duties, redeployment or suspension where this is necessary to protect individuals or enable an appropriate investigation.

Following assessment, action may include:

• no further action;
• additional supervision or safeguards;
• additional training;
• modification or restriction of duties;
• redeployment where appropriate;
• disciplinary action; or
• termination of employment or engagement where the person is no longer fit or legally permitted to undertake the role.

Where a person is found to be barred from undertaking regulated activity which forms part of their role, {{org_field_name}} will not permit that person to undertake that regulated activity.

6.2 Referrals to the Disclosure and Barring Service and Notifications to Care Inspectorate Wales

DBS referrals

{{org_field_name}} will make a referral to the Disclosure and Barring Service where the statutory referral conditions under the Safeguarding Vulnerable Groups Act 2006, as amended, are met.

A referral must be considered where a person has been removed from regulated activity, including by dismissal or permanent redeployment away from regulated activity, or where {{org_field_name}} would or might have removed the person from regulated activity had the person not resigned, retired or otherwise ceased undertaking that activity, and the applicable statutory conditions for referral are satisfied.

This includes circumstances where {{org_field_name}} considers that the person has:

• engaged in relevant conduct;
• satisfied the harm test; or
• received a caution or conviction for a relevant offence,

where the applicable statutory referral criteria are met.

A DBS referral will not be withheld merely because a referral or notification has also been made to the local authority safeguarding team, the police, Care Inspectorate Wales, Social Care Wales or another professional regulator.

Where concerns arise, {{org_field_name}} will follow its safeguarding and disciplinary procedures, gather and preserve relevant information and determine promptly whether the statutory DBS referral duty has arisen.

Care Inspectorate Wales notifications

{{org_field_name}} will notify Care Inspectorate Wales of events which are required to be notified under Regulation 60 and Schedule 3 to the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended.

For all regulated services, relevant notification requirements include:

• any abuse or allegation of abuse in relation to an individual which involves the service provider, a member of staff or a volunteer;
• any allegation of misconduct by a member of staff; and
• any incident which is reported to the police.

Notifications must include details of the event and, unless another timescale is specified, must be made without delay, in writing and in the form or manner required by Care Inspectorate Wales.

Where the service provides care and support to children, any referral to the DBS under the Safeguarding Vulnerable Groups Act 2006 must also be notified to Care Inspectorate Wales. Where a care home service provides accommodation to children, a DBS referral must additionally be notified to the placing authority as required by Schedule 3.

Where a DBS concern is connected with another event that is independently notifiable to Care Inspectorate Wales, {{org_field_name}} will make the required notification without waiting for the DBS referral process to conclude.

6.3 Challenges, Disputes and Employee Rights

Where an employment or disciplinary decision is made because of information relevant to a person’s fitness to work, the individual will be informed of the decision and of any right to challenge or appeal that decision in accordance with {{org_field_name}}’s applicable disciplinary, grievance or employment procedures.

Where an individual believes that information contained on their DBS certificate is incorrect, they should use the DBS certificate dispute process. {{org_field_name}} will take appropriate account of any formal DBS dispute when determining what interim or final employment action is necessary.

Any employment decision will be made fairly and proportionately, taking account only of information which {{org_field_name}} is legally entitled to consider.

7. Managing This Policy

7.1 Employer Responsibilities

{{org_field_name}} will:

• ensure persons working at the service satisfy the fitness requirements in Regulation 35;
• obtain the DBS certificate and barred-list information appropriate to the person’s role where legally required;
• ensure a DBS certificate is applied for by, or on behalf of, the service provider unless the DBS Update Service provisions apply;
• check the DBS Update Service status of relevant persons at least annually where they are subscribed to the service;
• apply for a new DBS certificate within three years, and thereafter at least every three years, where a person is not registered with the DBS Update Service;
• maintain evidence demonstrating that the required checks have been undertaken;
• ensure agency workers are subject to appropriate checks and obtain evidence of those checks;
• undertake proportionate assessments where DBS or other relevant fitness information raises concerns;
• take necessary and proportionate action where a person ceases to satisfy the fitness requirements;
• make referrals to the DBS where the statutory referral conditions are met;
• inform the appropriate professional or regulatory body where required;
• make notifications to Care Inspectorate Wales and other relevant authorities where required; and
• ensure DBS and criminal-record information is handled securely and lawfully.

7.2 Employee, Worker and Volunteer Responsibilities

Employees, workers and volunteers must:

• provide accurate information required for lawful recruitment and DBS checking;
• cooperate with DBS applications and lawful Update Service status checks;
• maintain their DBS Update Service subscription where use of the Update Service has been agreed as the means by which the organisation will satisfy the applicable regulatory requirement;
• disclose relevant changes in accordance with Section 4 of this policy;
• not undertake regulated activity from which they are barred or otherwise legally prohibited;
• cooperate with safeguarding, disciplinary or fitness assessments arising from relevant information; and
• inform {{org_field_name}} promptly of information which may affect their fitness or legal eligibility to perform their role.

8. Related Policies

This policy must be read alongside, where applicable:

• Safeguarding Adults from Abuse and Improper Treatment Policy;
• Recruitment, Selection and Retention Policy;
• Disciplinary Policy and Procedure;
• Whistleblowing/Speaking Up Policy;
• Staff Conduct or Code of Conduct Policy;
• Confidentiality and Data Protection Policy;
• Records Management Policy; and
• any policy concerning allegations against staff, professional referrals or safeguarding investigations.

Where an incident falls within more than one policy, the requirements of this policy do not replace the duty to follow the safeguarding, disciplinary, whistleblowing or statutory notification procedures which also apply.

9. Handling DBS and Criminal-Record Information

{{org_field_name}} will process DBS and criminal-record information lawfully, fairly, securely and only for legitimate purposes connected with recruitment, continued fitness to work, safeguarding or compliance with legal and regulatory requirements.

Access to DBS information will be restricted to persons who require it for an authorised purpose.

{{org_field_name}} will:

• only request criminal-record information which it is legally entitled to obtain;
• only request the level of DBS check for which the role is legally eligible;
• not request or take into account protected convictions or cautions where prohibited by law;
• use DBS information only for the purpose for which it was obtained or another lawful and compatible purpose;
• ensure that DBS information is protected against unauthorised access, disclosure, loss or misuse;
• record employment and risk-assessment decisions sufficiently to demonstrate how relevant information was considered;
• retain DBS information only for as long as there is a lawful and necessary reason to retain it; and
• securely dispose of DBS information when retention is no longer justified, subject to any applicable statutory record-keeping requirement.

Where {{org_field_name}} uses the DBS Update Service, status checks will only be undertaken where the organisation is legally entitled to ask the relevant exempted question and the necessary authority from the individual has been obtained.

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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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