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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}} upholds a fair, transparent, and legally compliant approach to recruiting and employing ex-offenders while maintaining the highest safeguarding standards for service users. This policy ensures that all Disclosure and Barring Service (DBS) checks are conducted properly, and that individuals with past convictions are assessed fairly while ensuring the safety and well-being of vulnerable adults in our care.

This policy aligns with:

• The Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, as amended, which govern when spent convictions and cautions may lawfully be requested, disclosed and considered.
• The Police Act 1997, as amended, which provides the statutory framework for Standard and Enhanced Disclosure and Barring Service checks.
• The Safeguarding Vulnerable Groups Act 2006, as amended, including the requirements relating to regulated activity, barred persons and referrals to the Disclosure and Barring Service.
• 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 and Schedule 1 concerning the fitness and vetting of persons working in regulated services.
• The statutory guidance issued by the Welsh Ministers under the Regulation and Inspection of Social Care (Wales) Act 2016 and relevant Care Inspectorate Wales requirements.
• The UK General Data Protection Regulation and the Data Protection Act 2018 in relation to the lawful, fair, secure and proportionate processing of criminal offence data.

2. Scope

This policy applies to:

• All job applicants, including full-time, part-time, temporary, and volunteer positions.
• Existing employees, if their DBS status changes during employment.
• Agency workers and contractors, where they have direct or indirect contact with service users.
• Recruitment and HR personnel, ensuring compliance with fair hiring practices.

The policy covers:

• How DBS checks are conducted and reviewed.
• Assessing and managing risk when recruiting ex-offenders.
• How information about convictions is handled confidentially.
• Legal obligations and safeguarding best practices.

3. Fair Recruitment and DBS Checks

3.1. Commitment to Fair and Safe Recruitment

At {{org_field_name}}, we are committed to:

• Promoting equality of opportunity, ensuring that past convictions do not automatically disqualify individuals from employment.
• Complying with legal and safeguarding responsibilities, ensuring that all hires are suitable for roles involving vulnerable adults.
• Assessing applicants on a case-by-case basis, considering their individual circumstances, the nature of the offence, and its relevance to the role.

{{org_field_name}} will not permit a person who is barred from regulated activity with adults or children, as applicable, to undertake regulated activity from which that person is legally barred. Before requesting barred-list information, {{org_field_name}} will ensure that the duties of the particular role legally entitle the organisation to request that information.

A criminal record or other information disclosed through a DBS check will not, by itself, automatically prevent appointment unless employment in the particular activity is prohibited by law. Where there is no statutory prohibition, the information will be considered through an individual and proportionate assessment of the person’s suitability and fitness for the particular role.

3.2 DBS Checks and Legal Requirements

{{org_field_name}} will determine the appropriate level of DBS check for each role by reference to the duties and activities actually undertaken and the applicable statutory eligibility criteria. The organisation will not request a Standard, Enhanced or barred-list check unless the role is legally eligible for that level of check.

Where a person’s duties constitute regulated activity with adults, children, or both, the appropriate Enhanced DBS check together with the relevant barred-list information will be obtained where legally permitted and required.

For other positions, the appropriate level of criminal record check will be determined according to the statutory eligibility applying to the particular role. A person’s job title alone will not be used to determine the level of DBS check.

{{org_field_name}} will only ask an applicant or worker to disclose convictions, cautions or other criminal record information that the organisation is legally entitled to ask about. Protected convictions and protected cautions which are subject to the statutory filtering rules must not be requested or taken into account where the law prevents their disclosure or consideration.

Standard and Enhanced DBS certificates are subject to statutory filtering rules. Certain protected convictions and cautions will not be disclosed. The organisation will therefore ensure that recruitment forms, self-declaration questions and discussions about criminal records are framed so that applicants are not required to disclose information which they are legally entitled to withhold.

Where the post involves regulated activity, {{org_field_name}} will check the relevant barred list where the organisation is legally entitled to do so. A person who is barred must not be permitted to undertake regulated activity from which they are barred.

3.3. How {{org_field_name}} Conducts DBS Checks

• All job offers are conditional on a satisfactory DBS check.
• DBS applications are processed before employment begins, ensuring compliance with CIW regulations.
• A person must not commence duties for which the required Regulation 35 and Schedule 1 fitness and vetting requirements have not been satisfactorily completed. Where a required DBS check remains outstanding, the person will not undertake duties requiring that clearance until the service provider has obtained and considered the required information and is satisfied that the person is fit for the role.

• Where a person is registered with the DBS Update Service, {{org_field_name}} will check the status of the relevant DBS certificate for the purpose of assessing the person’s continuing suitability at least annually.
• 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 of the certificate obtained for the person and thereafter at least every three years, in accordance with Regulation 35.
• Any earlier check or reassessment required because of information affecting a person’s fitness or suitability will be undertaken without waiting for the annual or three-year review point.

Where agency workers or other persons are deployed in positions falling within Regulation 35, {{org_field_name}} will satisfy itself that the required fitness and vetting checks have been completed to the same required standard as for directly employed staff. The service will retain evidence demonstrating that the relevant checks have been undertaken and will have arrangements for assuring itself that any agency used has reliable and robust vetting processes.

4. Assessing and Managing Ex-Offenders in Employment

4.1. Assessing Suitability of Candidates with Convictions

{{org_field_name}} will only consider criminal record information which it is legally entitled to receive or require the individual to disclose. Information which is protected under the statutory filtering rules will not be requested or used in determining suitability where the law prevents its disclosure or consideration.

If a DBS check reveals a criminal record, {{org_field_name}} conducts a thorough risk assessment, considering:

• The nature and seriousness of the offence.
• When the offence occurred (recent vs. historical).
• Whether the offence was a one-time event or part of a pattern of behaviour.
• Rehabilitation efforts, including evidence of reform and positive employment history.
• Relevance to the job role (e.g., financial crimes for administrative roles, safeguarding concerns for care roles).
• Any risk to service users, staff, or the organisation.

4.2. Decision-Making Process

If an applicant has a conviction:

1. They will be invited to a confidential discussion to explain the circumstances of their record.
2. A DBS risk assessment will be completed, detailing potential risks and mitigation strategies.
3. The Registered Manager and HR team will assess whether the applicant can be safely employed.
4. If employment is granted, a supervision plan may be implemented, including additional monitoring.

4.3 Statutory Bars and Other Criminal Record Information

Where a person is included on the relevant DBS barred list, {{org_field_name}} will not permit that person to undertake regulated activity from which they are barred.

Other convictions, cautions or criminal record information which {{org_field_name}} is legally entitled to consider will not automatically result in rejection unless a specific statutory prohibition applies. The information will be assessed individually, taking into account its relevance to the role, the nature and circumstances of the matter, the risks associated with the duties, the person’s explanation and any other relevant evidence concerning their fitness and suitability.

For roles involving management of an individual’s money or property, relevant dishonesty or financial offending will form part of the suitability and safeguarding risk assessment, but will not be described as an automatic statutory disqualification unless the law imposes such a prohibition.

5. Handling and Confidentiality of Criminal Record Information

5.1. Secure Storage and Access

DBS records are stored securely and are only accessible to authorised HR and management personnel.

Information is retained only for as long as necessary, following UK GDPR guidelines.

DBS certificates and certificate information will be retained only for as long as there is a lawful and necessary reason to retain them. Where the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 require the relevant DBS documentation to be available for inspection by the service regulator, {{org_field_name}} will retain the information necessary to comply with that statutory requirement.

Access will be strictly limited to authorised persons. When the certificate or certificate information is no longer required for a statutory, regulatory or other lawful purpose, it will be securely destroyed in accordance with the DBS Code of Practice and applicable data-protection requirements. The organisation may retain permitted recruitment records such as the date of the check, level of check, certificate reference information and the recruitment or suitability decision where lawful and necessary.

5.2. Compliance with GDPR and Data Protection

Criminal conviction and offence information is criminal offence data for the purposes of data-protection law. {{org_field_name}} will not process this information unless it has identified an appropriate lawful basis under Article 6 of the UK GDPR and the processing complies with Article 10 of the UK GDPR and an applicable condition under Schedule 1 to the Data Protection Act 2018. Where an Appropriate Policy Document is required by the Data Protection Act 2018, one will be maintained.

Applicants and workers will be provided with appropriate privacy information explaining the processing of criminal offence and DBS information. Criminal offence information will be limited to what is adequate, relevant and necessary for the particular purpose and will be protected against unauthorised access or disclosure.

Criminal record information is processed lawfully and fairly.

Staff must not share DBS results except with authorised personnel.

Unauthorised access or disclosure of DBS information is treated as a data breach and reported to the Data Protection Officer: {{org_field_data_protection_officer_first_name}} {{org_field_data_protection_officer_last_name}}.

6. Supporting and Monitoring Ex-Offenders in Employment

6.1. Ongoing Support and Supervision

If an ex-offender is employed, {{org_field_name}} ensures:

• Regular supervision meetings to review performance and any safeguarding concerns.
• Access to additional training and mentorship, supporting rehabilitation and career development.
• Confidentiality and fairness, ensuring they are treated equally to other employees.

6.2. Continuous Monitoring and Risk Management

• Any staff member who commits a new offence must report it immediately.
• If a staff member’s DBS status changes, a risk assessment is conducted, and their employment is reviewed.
• Annual reviews of risk assessments ensure ongoing suitability for employment.

6.3 DBS and Professional-Regulator Referrals

Where concerns arise that a person working at the service has abused or harmed an individual, placed an individual at risk of harm, or otherwise ceased to satisfy the fitness requirements applicable to their role, {{org_field_name}} will take necessary and proportionate action to protect individuals and to comply with Regulation 35.

Where required, {{org_field_name}} will inform the Disclosure and Barring Service and any relevant regulatory or professional body.

Where {{org_field_name}} is a regulated activity provider and:

• removes a person from regulated activity, moves the person to duties which are not regulated activity, or would have done so had the person not resigned, retired or otherwise left; and
• considers that the person has engaged in relevant conduct, harmed or placed a child or adult at risk of harm, satisfied the statutory harm test or otherwise meets the statutory referral criteria,

{{org_field_name}} will make a referral to the Disclosure and Barring Service in accordance with its legal duty under the Safeguarding Vulnerable Groups Act 2006.

A DBS referral will be considered independently of referrals to the local authority safeguarding service, the police, Social Care Wales or another professional regulator. Making a referral to another organisation does not remove the organisation’s duty to refer to the DBS where the statutory referral conditions are met.

Internal investigation and disciplinary processes will not automatically cease because a worker resigns or otherwise leaves employment. The organisation will complete such enquiries as are necessary to determine whether a statutory referral obligation has arisen.

7. Managing Compliance Efficiently

7.1. Leadership and Accountability

• The service provider is responsible for ensuring compliance with the statutory fitness, recruitment and vetting requirements applicable to persons working at the service.
• The Responsible Individual must maintain effective oversight and assurance that the service provider’s recruitment, vetting, DBS and fitness arrangements comply with the applicable Regulations and that policies and procedures are kept up to date.
• The Registered Manager is responsible for implementing the service’s recruitment and employment procedures on a day-to-day basis and for escalating concerns regarding the fitness or suitability of staff, workers, contractors or volunteers.
• Where responsibility for administering DBS applications or recruitment records is delegated to HR or another authorised person, the statutory accountability of the service provider is not transferred by that delegation.

• The HR team manages DBS applications, renewals, and risk assessments.
• Supervisors and team leaders monitor and support ex-offenders in the workplace.

7.2. Staff Training and Awareness

• All recruitment personnel receive training on DBS compliance and fair hiring practices.
• Recruitment and management personnel must be kept sufficiently up to date with changes to DBS eligibility, filtering, barred-list requirements, statutory referral duties, data-protection requirements and the Regulation 35 fitness requirements to enable them to carry out their responsibilities lawfully and competently.
• Safeguarding training includes guidance on managing ex-offenders in social care.

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
• CHW34 – Confidentiality and Data Protection (GDPR) Policy

• Safeguarding Adults from Abuse and Improper Treatment Policy.
• Recruitment, Selection and Retention Policy.
• Confidentiality and Data Protection Policy.
• Disciplinary Policy and Procedure.
• Whistleblowing Policy.
• DBS/Criminal Records Handling Policy, where maintained separately.

9. Policy Review

This policy is reviewed annually, or sooner if legislative or regulatory changes require updates.

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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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