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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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DBS Checks Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} carries out Disclosure and Barring Service (DBS) checks, safer recruitment checks and ongoing suitability checks in accordance with the Regulation and Inspection of Social Care (Wales) Act 2016, The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended, Welsh Government statutory guidance, Care Inspectorate Wales (CIW) expectations, the Safeguarding Vulnerable Groups Act 2006, the Rehabilitation of Offenders Act 1974 and UK data protection legislation.

This policy supports {{org_field_name}} to ensure that no person is employed, engaged, contracted or allowed to volunteer at the service unless they are fit to do so, of suitable integrity and good character, appropriately skilled and competent, and have provided the information and documentation required for inspection by CIW.

This policy aligns with:

• The Regulation and Inspection of Social Care (Wales) Act 2016.
• The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended, particularly Regulation 35, Schedule 1 and Schedule 2.
• Welsh Government statutory guidance for providers and responsible individuals of care home services, secure accommodation services, residential family centre services and domiciliary support services.
• Care Inspectorate Wales (CIW) requirements for safe recruitment, fitness of staff, DBS checks, notifications and inspection evidence.
• The Safeguarding Vulnerable Groups Act 2006, including the duty to make referrals to the DBS where a person has harmed, or poses a risk of harm to, a child or vulnerable adult.
• The Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, where applicable.
• The Protection of Freedoms Act 2012.
• The Data Protection Act 2018, UK GDPR and the DBS Code of Practice.
• Social Care Wales registration requirements and relevant codes of professional practice.

2. Scope

This policy applies to:

• all applicants for employment;
• all employees, including permanent, temporary, fixed-term, bank and casual staff;
• agency workers and persons supplied by an employment agency;
• volunteers;
• students and work placement learners;
• contractors, consultants and self-employed persons where their role may involve regular contact with individuals receiving care and support or other vulnerable persons;
• registered nurses, registered professionals and social care workers;
• the Registered Manager, Responsible Individual and senior staff, where applicable;
• any other person who may work at the service in a position where they may have regular contact with individuals receiving care and support.

For the purposes of this policy, no person will be permitted to work at the service unless {{org_field_name}} is satisfied that the person is fit to do so in accordance with Regulation 35 of The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended.

The policy covers:

• The types of DBS checks required.
• The process for obtaining and renewing DBS checks.
• How DBS information is handled and stored.
• Decision-making processes regarding criminal records.

2.1 Fit Person Requirements

Before any person is employed, engaged or permitted to volunteer at the service, {{org_field_name}} will ensure that the person:

• is of suitable integrity and good character;
• has the qualifications, skills, competence and experience necessary for the role;
• is able, after any reasonable adjustments, to properly perform the tasks intrinsic to the role;
• has provided full and satisfactory information and documentation required under Schedule 1 of The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended;
• has an appropriate and valid DBS certificate, or has a DBS Update Service status check completed where this is legally permitted and appropriate;
• is registered with Social Care Wales or another relevant professional regulator where registration is required for the role.

Evidence of these checks will be retained and made available to CIW on request.

3. Types of DBS Checks Required

3.1. Levels of DBS Checks

Different levels of DBS checks apply depending on the role:

Standard DBS Check

• Reveals spent and unspent convictions, cautions, reprimands, and warnings.
• A Standard DBS check will only be requested where the role is legally eligible for that level of check. Administrative or non-care roles must be individually assessed against DBS eligibility criteria and the nature, frequency and context of any contact with individuals receiving care and support. {{org_field_name}} will not request a Standard, Enhanced or barred list check unless the role is eligible.

Enhanced DBS Check

• Includes all information from the Standard Check plus additional details from police records.
• Required where the role is eligible for an Enhanced DBS check, including roles involving regulated care activity, direct care, support, supervision or regular relevant contact with individuals receiving care and support. The level of check will be determined by the duties of the role and current DBS eligibility guidance.

Enhanced DBS Check with Barred List Check

• Includes all information from the Enhanced Check plus a check against the Adult Barred List.
• Required for roles that fall within regulated activity with adults and/or children, as applicable. This includes roles involving personal care and day-to-day management or supervision of staff carrying out regulated activity. A barred list check will only be requested where the role is legally eligible.

Where a person is not registered with the DBS Update Service, {{org_field_name}} will apply for a new DBS certificate within three years of the issue date of the previous DBS certificate, and at least every three years thereafter. Where a person is registered with the DBS Update Service, {{org_field_name}} will check the person’s DBS certificate status before appointment and at least annually thereafter, provided that the original certificate is for the correct workforce, role, level of check and barred list, where applicable.

3.2 Determining DBS Eligibility

The Registered Manager, with support from HR where applicable, will determine the appropriate level of DBS check before recruitment begins. The decision will be based on:

• the duties in the job description;
• whether the role involves regulated activity with adults and/or children;
• whether the role involves personal care, nursing care, social work, assistance with household finances, conveying individuals to or from care or health appointments, or day-to-day management or supervision of regulated activity;
• whether the role is eligible for a barred list check;
• the workforce category required for the DBS application;
• current DBS eligibility guidance.

The reason for the level of DBS check requested will be recorded on the recruitment file.

4. DBS Application and Renewal Process

4.1. New Staff and Recruitment Procedures

• All offers of employment, engagement, placement or volunteering are conditional on completion of satisfactory safer recruitment checks, including an appropriate DBS check where required.
• DBS applications must be made by, or on behalf of, {{org_field_name}}, unless the applicant is registered with the DBS Update Service and an Update Service status check is appropriate for the role.
• Before a person starts work, {{org_field_name}} must have obtained and assessed all required Schedule 1 information, including proof of identity, employment history, satisfactory written explanations for any gaps in employment, references, evidence of qualifications, evidence of linguistic ability where relevant, and details of registration with any professional body.
• Staff must not commence work in regulated activity until the appropriate DBS check, including barred list check where required, has been completed and assessed as satisfactory, unless an exceptional, documented and risk-assessed decision has been made by the Registered Manager and Responsible Individual.
• Where a supervised start is authorised before receipt of the DBS certificate, this must be exceptional, time-limited, risk assessed, approved in writing, and must not permit unsupervised regulated activity or any activity prohibited by law.
• If the DBS check or barred list information shows that the person is barred from the relevant regulated activity, the person must not be employed, engaged, placed or allowed to volunteer in that activity.
• Job descriptions, person specifications and recruitment materials will state where a role is subject to an Enhanced DBS check and barred list check.
• A record will be kept of the DBS certificate date, the level of check, the workforce, whether a barred list check was included, the recruitment decision, and whether any action was taken as a result of the certificate.

4.2 Recruitment Evidence Required

{{org_field_name}} will maintain a recruitment file for each person working at the service. The file will include, as applicable:

• proof of identity, including a copy of the person’s birth certificate and passport where available;
• a full employment history;
• satisfactory written explanation of any gaps in employment;
• references obtained and verified;
• evidence of qualifications, skills and experience;
• evidence of linguistic ability for the purpose of providing care and support to the individuals the worker will support;
• details of registration with Social Care Wales, the Nursing and Midwifery Council, the Health and Care Professions Council or any other relevant professional body;
• the date and level of DBS certificate;
• whether the DBS certificate included an adult and/or child barred list check;
• the outcome of any DBS risk assessment;
• whether any action was taken as a result of the DBS certificate.

These records will be kept securely and made available to CIW on request.

4.3 Renewing DBS Checks and Update Service Checks

• Where a member of staff, volunteer or other person working at the service is not registered with the DBS Update Service, {{org_field_name}} will apply for a new DBS certificate within three years of the date of issue of the previous certificate, and at least every three years thereafter.
• Where a person is registered with the DBS Update Service, {{org_field_name}} will carry out and record an Update Service status check before appointment and at least annually thereafter.
• The Update Service will only be used where the original DBS certificate is for the correct workforce, the correct level of check, and includes the relevant barred list check where required.
• If the Update Service status check indicates that new information may be available, the person must apply for a new DBS certificate before {{org_field_name}} makes a final suitability decision.
• A new DBS check may be required sooner if the person changes role, changes workforce, takes on regulated activity, has a break in service, returns after absence, or where concerns arise about their suitability.
• Staff are encouraged to subscribe to the DBS Update Service, but this does not remove {{org_field_name}}’s responsibility to complete and record annual status checks and ongoing suitability reviews.

4.4 Handling Delayed or Pending DBS Checks

Where a DBS certificate is delayed, the person must not carry out unsupervised regulated activity until the appropriate DBS certificate and barred list check, where required, have been received and assessed.

In exceptional circumstances only, the Registered Manager may authorise a supervised and restricted start where:

• identity and all other recruitment checks have been completed;
• references and employment history have been verified;
• the person is not undertaking unsupervised regulated activity;
• the person has no access to individuals’ money, medicines, confidential records or lone working duties;
• a written risk assessment has been completed;
• the Responsible Individual has approved the arrangement;
• the arrangement is reviewed at least weekly until the DBS outcome is received.

If the barred list check indicates that the person is barred from the relevant regulated activity, the person must not start or continue in that activity under any circumstances.

4.5 Agency Staff, Contractors and Third Parties

Where agency staff, contractors or other third-party workers are used, {{org_field_name}} will obtain written confirmation from the agency or supplier before the person starts work that:

• the person has been subject to the same level of recruitment and DBS checks as directly employed staff;
• the DBS check is appropriate to the role, workforce and barred list requirements;
• references, identity checks, employment history and gap checks have been completed;
• the person has the required qualifications, competence and experience;
• the person is registered with Social Care Wales or another professional regulator where required;
• there are no known concerns about the person’s suitability to work with vulnerable adults or children.

{{org_field_name}} will keep evidence of these assurances and will periodically audit the agency or supplier to ensure its recruitment checks are reliable and robust. Agency staff will not work at the service unless these assurances have been received and assessed.

4.6 Social Care Wales and Professional Registration

{{org_field_name}} will check and record registration with Social Care Wales or any other relevant professional regulator before appointment and as part of ongoing suitability monitoring.

Social care managers must be registered with Social Care Wales before commencing in post. Social care workers must be registered with Social Care Wales within the required statutory timescale, which is currently within six months of starting in a role requiring registration, unless a specific legal exemption applies.

Registered nurses and other registered professionals must maintain registration with their professional regulator. Any lapse, condition, suspension or removal from a professional register must be reported immediately to the Registered Manager and will be risk assessed.

5. Managing DBS Disclosures and Criminal Records

5.1. Handling Criminal Record Information

If a DBS certificate contains information, the Registered Manager will complete a written suitability and risk assessment before any final employment decision is made. The assessment will consider:

• the nature, seriousness and relevance of the offence or information;
• whether the information is relevant to the role and the individuals using the service;
• the length of time since the matter occurred;
• the person’s age and circumstances at the time;
• whether there is a pattern of offending or concern;
• evidence of rehabilitation, reflection and changed behaviour;
• the person’s explanation and any supporting information;
• the level of supervision available;
• the risk to individuals, staff, visitors and the service;
• whether the person is legally barred from the activity;
• whether a referral to the DBS, Social Care Wales, a professional regulator, safeguarding team, police or CIW is required.

The individual will be given an opportunity to discuss the information confidentially before a final decision is made, unless doing so would place any person at risk or prejudice a safeguarding or police investigation.

The decision, reasons for the decision, any restrictions, and any required referrals or notifications will be recorded.

Minor offences, not relevant to the role, do not automatically disqualify candidates. Offences or information relating to abuse, neglect, exploitation, fraud, dishonesty, violence, sexual misconduct, safeguarding concerns or harm to children or adults at risk will be treated as serious and will be risk assessed. Where the person is barred from regulated activity, or where the risk assessment concludes that the person is unsuitable, the person will not be appointed or will be removed from the role in accordance with employment law, safeguarding duties and regulatory requirements.

5.2. Right to Appeal

Applicants or staff members have the right to:

• Appeal decisions regarding employment suitability.
• Provide additional information or references to support their case.
• Challenge inaccurate DBS disclosures through the DBS dispute resolution process.

5.3 Ongoing Suitability and Self-Disclosure

All staff, volunteers, agency workers and contractors must immediately inform the Registered Manager if, during their employment or engagement, they:

• are arrested, charged, cautioned or convicted;
• become subject to a police investigation;
• are barred or considered for barring by the DBS;
• receive any condition, warning, suspension or removal from Social Care Wales or another professional register;
• become aware of any matter that may affect their suitability to work with individuals receiving care and support.

Failure to disclose relevant information may result in disciplinary action and may be referred to the DBS, Social Care Wales, another professional regulator, safeguarding authority or CIW where appropriate.

5.4 DBS Referrals and Professional Referrals

{{org_field_name}} has a legal duty under the Safeguarding Vulnerable Groups Act 2006 to refer a staff member, volunteer or other relevant person to the DBS where:

• the person has been removed from regulated activity, or would have been removed had they not resigned, retired, been made redundant or otherwise left; and
• the person has harmed, or poses a risk of harm to, a child or vulnerable adult; or
• the person has engaged in relevant conduct or satisfied the harm test.

Where there are concerns that a person working at the service has abused, harmed, neglected, exploited or placed an individual at risk of harm, {{org_field_name}} will notify the DBS and any relevant professional regulator without delay where required.

Referrals to Social Care Wales, the Nursing and Midwifery Council, the Health and Care Professions Council or any other professional body will be made where a person’s fitness to practise may be impaired.

5.5 CIW Notifications

{{org_field_name}} will notify CIW without delay and in writing, using the method required by CIW, where a notifiable event occurs. This includes, but is not limited to:

• any abuse or allegation of abuse involving the service provider, a member of staff or a volunteer;
• any allegation of misconduct by a member of staff;
• any incident reported to the police;
• the service provider, Responsible Individual or appointed manager being convicted of a criminal offence;
• where the service provides care and support to children, any referral to the DBS under the Safeguarding Vulnerable Groups Act 2006;
• any other event required to be notified under the applicable regulations.

A record of the notification, the date sent, the person who sent it and any response from CIW will be retained.

6. Confidentiality and Data Protection

6.1. Secure Storage and Access

DBS certificates and certificate information will not normally be retained for longer than six months after the recruitment or suitability decision has been made, unless there is a lawful and documented reason for longer retention, such as a dispute, safeguarding matter, regulatory requirement or legal claim. Where certificate information is retained beyond six months, the reason will be recorded and the information will be reviewed regularly.

• {{org_field_name}} will not retain photocopies or scanned copies of DBS certificates unless there is a lawful and documented reason to do so.
• {{org_field_name}} will retain a record of the DBS certificate date, level of check, workforce, barred list check where applicable, recruitment decision, Update Service check where applicable, and whether any action was taken as a result of the certificate.
• DBS information will be stored separately from general personnel information where practicable, with access restricted to authorised persons only.

• DBS records are stored electronically in a secure, password-protected system.
• Only authorised personnel (HR, Registered Manager) have access to DBS information.

6.2. Compliance with GDPR and Data Protection

• DBS data is handled lawfully, fairly, and securely.
• Staff members must not share or disclose DBS results without explicit authorisation.
• Any data breaches must be reported immediately to the Data Protection Officer: {{org_field_data_protection_officer_first_name}} {{org_field_data_protection_officer_last_name}}.

7. Managing DBS Checks Efficiently

7.1. Leadership and Accountability

• The Responsible Individual has oversight of the effectiveness of this policy and must ensure that safe recruitment, DBS and ongoing suitability arrangements are operated effectively.
• The Registered Manager is responsible for ensuring that DBS checks, Update Service checks, risk assessments, recruitment records, agency assurances and ongoing suitability checks are completed, recorded and reviewed.
• HR personnel, where applicable, support the administration of DBS applications, recruitment records and renewal monitoring.
• Senior management will ensure that the service has sufficient governance arrangements to comply with CIW requirements, Regulation 35 and safeguarding duties.
• Any concern about a person’s suitability to work at the service must be escalated immediately to the Registered Manager and, where appropriate, the Responsible Individual.

7.2. Staff Training and Awareness

• Staff involved in recruitment, selection, DBS risk assessment or decision-making will receive training appropriate to their role.
• Managers will receive training on safer recruitment, DBS eligibility, barred list checks, criminal record risk assessment, Rehabilitation of Offenders Act requirements, data protection, safeguarding referrals, DBS referral duties and CIW notification requirements.
• Staff will be informed during induction and supervision of their duty to disclose matters that may affect their suitability to work with individuals receiving care and support.
• Training and competence in this area will be reviewed at least annually and sooner where legislation, guidance or CIW expectations change.

7.3 Monitoring and Continuous Improvement

{{org_field_name}} will maintain a DBS and safer recruitment tracker showing:

• staff name and role;
• start date;
• DBS certificate date;
• level of DBS check;
• workforce;
• barred list checked, where applicable;
• whether the person is subscribed to the DBS Update Service;
• date of last Update Service status check;
• next DBS renewal or status check date;
• Social Care Wales or professional registration status, where applicable;
• agency assurance date, where applicable;
• any restrictions, risk assessments or actions.

The Registered Manager will audit the tracker at least monthly. The Responsible Individual will review compliance as part of governance oversight. Any gaps, delays or concerns will be actioned immediately and recorded.

8. Related Policies

This policy works alongside:

• CHW13 – Safeguarding Adults from Abuse and Improper Treatment Policy
• CHW16 – Health and Safety at Work Policy
• CHW26 – Recruitment, Selection, and Retention Policy
• CHW29 – Whistleblowing (Speaking Up) Policy
• CHW34 – Confidentiality and Data Protection (GDPR) Policy

9. Policy Review

This policy will be reviewed at least annually, and sooner where there are changes to legislation, DBS guidance, Social Care Wales requirements, CIW expectations, safeguarding procedures, inspection findings, incidents, audit outcomes or organisational practice. The review will include checks that the policy remains aligned with Regulation 35, Schedule 1 and Schedule 2 of The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended.

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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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