DC127-Employee DBS Reporting Policy

Registration Number: {{org_field_registration_no}}

Employee DBS Reporting Policy

1. Introduction and Purpose

{{org_field_name}} is committed to ensuring that people who use our service are protected from avoidable harm, abuse and neglect by operating safe recruitment, employment, monitoring and reporting arrangements. This policy sets out how the organisation obtains, records, reviews and responds to Disclosure and Barring Service (DBS) information for employees, workers, volunteers, contractors, agency staff and any other persons employed or engaged for the purposes of carrying on regulated activity.

This policy supports compliance with the Health and Social Care Act 2008, the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, including Regulation 13 Safeguarding service users from abuse and improper treatment, Regulation 17 Good governance and Regulation 19 Fit and proper persons employed, the Care Quality Commission (Registration) Regulations 2009, including Regulation 18 Notification of other incidents, the Safeguarding Vulnerable Groups Act 2006, the Police Act 1997, the Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, the Data Protection Act 2018, UK GDPR, and the DBS Code of Practice.

2. Scope of the Policy

This policy applies to all employees, volunteers, contractors, and agency staff engaged in providing care services. It covers:

Initial DBS checks during recruitment.
Ongoing monitoring and rechecks.
Reporting concerns and updating DBS status.

DBS eligibility will be assessed on a role-by-role basis before any DBS application is requested. The organisation will only request the level of DBS check that is legally permitted for the role. Staff who provide personal care to adults, including physical assistance with eating, drinking, toileting, washing, dressing, oral care, skin, hair or nail care, or prompting and supervising these activities where the adult cannot make the decision for themselves, are undertaking regulated activity with adults and will normally require an Enhanced DBS check with an Adults’ Barred List check. Staff who do not provide personal care may still be eligible for a DBS check depending on their duties, contact with people using the service, frequency of work and whether they provide advice, assistance, instruction or support to adults because of age, illness or disability.

3. Initial DBS Checks During Recruitment

To ensure only suitable individuals are employed, the following steps are undertaken:

Pre-Employment Screening: Before appointment, the organisation will assess the duties of the role and obtain the appropriate DBS check for that role. Staff who will undertake regulated activity with adults, including personal care, will require an Enhanced DBS check with an Adults’ Barred List check. Staff who are not undertaking regulated activity will only be subject to the level of DBS check that is legally permitted for their role. The organisation will not request a higher level of DBS check or barred list information unless the role is legally eligible.
Identity Verification: The applicant’s identity, full name, date of birth, current address and address history will be verified in line with current DBS identity checking requirements before the application is submitted. Any discrepancy in identity documents, application information or employment history must be clarified and documented before the recruitment decision is made. Where false identity information or document fraud is suspected, the recruitment process will be paused and escalated to the Registered Manager and/or provider’s nominated safeguarding lead.
Conditional Employment and DBS Adult First: No person will start unsupervised work in regulated activity until the appropriate DBS outcome has been considered and the organisation has made and recorded a suitability decision. In exceptional circumstances only, where there is a genuine and documented need to maintain safe staffing or service continuity, the organisation may use DBS Adult First for a role that is eligible for an Adults’ Barred List check. The person may only start before the full DBS certificate is received where the DBS Adult First response confirms that no match exists on the Adults’ Barred List, a written risk assessment has been completed and approved by the Registered Manager, the appointment remains conditional, the person is appropriately supervised, and the full DBS certificate is obtained and reviewed as soon as it is issued. If the DBS Adult First response states that the Registered Body must wait for the DBS certificate, the person must not start regulated activity until the full certificate has been received and assessed.
Decision Making: Any information disclosed on a DBS certificate, self-declaration, overseas check, reference, safeguarding enquiry or other recruitment information will be assessed fairly, objectively and proportionately. The assessment will consider the nature, seriousness and relevance of the matter, how long ago it occurred, whether there is a pattern of concern, the person’s explanation, evidence of rehabilitation, the duties of the role, the level of supervision available and the potential risk to people using the service. The applicant will be given an opportunity to discuss relevant information before a final recruitment decision is made, unless doing so would place a person at risk or prejudice a safeguarding, police or regulatory enquiry. The organisation will apply its recruitment of ex-offenders policy and will not take into account protected cautions or protected convictions that are filtered from DBS certificates.

3.1 Employment Checks and Schedule 3 Records

For each person employed or engaged for the purposes of carrying on regulated activity, the organisation will maintain a recruitment and suitability file containing the information required by Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, where applicable. This will include evidence of identity including a recent photograph, the appropriate DBS check information, satisfactory evidence of conduct in previous employment where relevant, a full employment history with a written explanation of gaps, documentary evidence of relevant qualifications, registration or training, evidence of physical and mental fitness where relevant to the role, and any other information needed to demonstrate that the person is fit and proper for the role.

The organisation will ensure that this information can be made available to CQC when requested and that any missing, incomplete or unsatisfactory information is risk assessed, escalated and resolved before the person starts work or, where already employed, before they continue in duties that may place people at risk.

3.2 Overseas Criminal Record and Good Character Checks

Where an applicant has lived or worked outside the UK, the organisation will consider whether additional overseas criminal record checks, certificates of good conduct or equivalent evidence are required. A DBS check alone may not provide a complete view of a person’s criminal history where they have lived overseas. Where overseas evidence is unavailable, delayed or incomplete, the Registered Manager will complete and record a risk assessment before any appointment is confirmed. This will include consideration of the role, length of time overseas, available references, employment history, supervision arrangements and any safeguarding risk.

4. Ongoing Monitoring and Rechecks

DBS checking is one part of the organisation’s wider system for monitoring ongoing staff suitability. The organisation will monitor staff fitness and suitability throughout employment through supervision, appraisal, competency checks, observations, incident review, safeguarding review, annual declaration and management oversight.

Annual Self-Declaration: All staff must complete an annual declaration confirming whether there has been any change in their criminal record, barred list status, police investigation status, professional registration status, right to work, health or conduct that may affect their suitability for their role.

DBS Rechecks: The organisation will normally renew DBS checks every three years as an internal safe recruitment standard, or earlier where there is a change in role, change in duties, a break in service, a safeguarding concern, new information, an unexplained gap, a concern about authenticity, or any other matter that may affect suitability. The level of recheck must be legally appropriate for the role at the time of recheck.

DBS Update Service: Staff are encouraged to subscribe to the DBS Update Service where appropriate. The organisation may carry out Update Service status checks only with the person’s consent, only where the organisation is legally entitled to request the same level and type of DBS check for the role, and only where the check relates to the same workforce. If the Update Service indicates that new information is available, or if the role requires a different level or type of check, a new DBS application must be obtained.

Ongoing Suitability Review: Any information that may affect a person’s suitability will be reviewed promptly by the Registered Manager and safeguarding lead. The review will consider the person’s current duties, the risk to people using the service, supervision requirements, whether temporary restrictions are needed and whether referral to the local authority safeguarding team, DBS, police, professional regulator or CQC is required.

5. Reporting DBS Concerns

Any concerns regarding an employee’s DBS status or behaviour must be addressed promptly to maintain the safety and well-being of service users. Our domiciliary care company has established clear procedures for reporting, investigating, and resolving DBS-related concerns, ensuring compliance with safeguarding requirements.

Internal Reporting

Staff must immediately inform their line manager, HR or the Registered Manager if they are arrested, charged, cautioned, convicted, subject to a conditional caution, placed under police investigation, released on bail or under investigation, made subject to a court order, barred or considered for barring, referred to DBS by another organisation, restricted by a professional regulator, dismissed or suspended from another care role, or involved in any matter inside or outside work that may affect their suitability to work with people who use the service.
Employees are reminded of their contractual obligation to disclose any changes to their criminal record status as part of their employment terms.
Line managers will document the report, ensuring confidentiality while initiating the appropriate follow-up actions.

Risk Assessment

Upon receiving information about a DBS concern, an immediate risk assessment is conducted by the safeguarding lead and HR team.
The risk assessment considers the nature and severity of the offence, its relevance to the employee’s role, and the potential risk to service users.
During the investigation, the employee may be suspended with pay or assigned to non-care duties if the concern poses an immediate risk.
The outcome of the risk assessment determines whether the employee can continue working while the issue is under investigation.

The risk assessment must clearly record whether the employee may continue working, whether duties must be restricted, whether the employee must be removed from lone working, whether increased supervision is required, whether access to medication, finances, keys, records or particular service users must be restricted, and whether suspension or redeployment is necessary. The decision must be reviewed whenever new information becomes available and must remain proportionate to the level of risk identified.

DBS Referral

The organisation will make a referral to the Disclosure and Barring Service where the legal duty to refer is met. This includes circumstances where the organisation has withdrawn permission for a person to engage in regulated activity, dismissed them, redeployed them away from regulated activity, would have dismissed or removed them had they not resigned, retired, been made redundant or otherwise left, and the reason is that the person has harmed, may have harmed, put at risk of harm, attempted to harm, incited another person to harm, or may pose a risk of harm to an adult at risk.

A DBS referral must be considered even where the matter has also been referred to the local authority safeguarding team, police, CQC, a commissioner, an employment agency or a professional regulator. The Registered Manager, with HR and the safeguarding lead, will ensure that the referral contains relevant evidence, including incident records, witness statements, risk assessments, disciplinary findings, safeguarding meeting minutes, outcome letters and reasons for decisions. The referral decision, date submitted and supporting rationale will be recorded securely.

CQC Notification

The Registered Manager will notify CQC without delay where a DBS concern is linked to a notifiable incident under the Care Quality Commission (Registration) Regulations 2009, Regulation 18. This includes abuse or allegations of abuse concerning a person using the service, serious injury, incidents reported to or investigated by the police, events that stop or may stop the service from running safely and properly, or any other notifiable event affecting the health, safety or welfare of people using the service.

A DBS concern about a member of staff is not automatically notifiable to CQC solely because a DBS matter exists. The Registered Manager must assess whether the underlying incident or allegation meets a CQC notification category. Where it does, the notification will be submitted using the current CQC provider portal or current CQC notification form and will include the nature of the concern, immediate actions taken, safeguarding actions, risk controls, referrals made, staffing restrictions and the outcome or planned follow-up.

Follow-Up Actions

Following the resolution of the DBS concern, a formal review is conducted to identify lessons learned and areas for process improvement.
The employee’s ongoing suitability for their role is reassessed, and any necessary adjustments to their duties or supervision are implemented.
If the employee is cleared of the concern, documentation is updated, and the individual is reinstated to their full duties.

6. Confidentiality and Data Protection

DBS information is sensitive personal information and must be handled confidentially, securely and only for the purpose for which it was obtained. The organisation will process DBS information in accordance with the DBS Code of Practice, UK GDPR, the Data Protection Act 2018 and its data protection policies.

DBS certificates and certificate information must only be seen by staff who need the information to make or review a recruitment, suitability, safeguarding or employment decision. Information must be stored securely, access must be restricted, and information must not be copied, shared or retained unnecessarily.

The organisation will not normally retain DBS certificates or detailed certificate information for longer than six months after the recruitment or suitability decision has been made, unless there is a justified and documented reason to retain it for longer, such as an ongoing dispute, safeguarding enquiry, disciplinary process, regulatory enquiry or legal claim. Where a certificate is not retained, the organisation may keep a secure record of the date of issue, certificate number, level and type of check, workforce, barred list information requested, recruitment decision, risk assessment outcome and the name of the person who made the decision.

7. Employee Responsibilities

Employees, workers, volunteers, contractors and agency staff must:

provide accurate and complete information during recruitment and ongoing employment checks;
disclose immediately any arrest, charge, caution, conviction, police investigation, bail condition, court order, safeguarding concern, professional restriction, DBS barring matter or other issue that may affect their suitability;
complete annual declarations and any requested DBS recheck or Update Service consent process where legally appropriate;
inform the organisation if their role, duties, name, identity details or Update Service status changes;
co-operate with safeguarding, HR, DBS, CQC, police, local authority or regulatory enquiries;
not work in regulated activity if they know or have reason to believe they are barred from doing so.

8. Management Responsibilities

Management must ensure that:

each role is assessed for DBS eligibility before a DBS application is requested;
the correct level of DBS check is obtained before the person starts work, unless a documented and exceptional DBS Adult First process is used;
staff do not work in regulated activity if they are barred from doing so;
Schedule 3 recruitment information is obtained, checked, recorded and available for CQC inspection;
agency staff, contractors and volunteers are subject to appropriate checks before they work in or for the service;
written confirmation is obtained from agencies that appropriate DBS checks, identity checks, right to work checks, references, training and suitability checks have been completed;
DBS concerns are risk assessed promptly and proportionately;
safeguarding referrals, DBS referrals, police referrals, professional regulator referrals and CQC notifications are made where required;
decisions are documented, reviewed and audited as part of governance arrangements.

9. Training and Awareness

All staff receive training on:

The importance of DBS checks in safeguarding.
How to report concerns about their own or a colleague’s DBS status.
Confidentiality and data protection requirements.
role-based DBS eligibility, including the difference between Enhanced DBS checks with and without Adults’ Barred List checks;
the legal duty to refer to DBS;
when to notify CQC under the Care Quality Commission (Registration) Regulations 2009, Regulation 18;
how to manage DBS information confidentially and fairly;
how to identify and escalate concerns about staff conduct, suitability, abuse, neglect, financial abuse, medication concerns or unsafe practice.

10. Monitoring and Audit

To maintain compliance and effectiveness:

Regular audits of DBS records are conducted.
Non-compliance is addressed through disciplinary procedures.
Trends and patterns are reviewed to improve the process.

Audits will include a sample check of staff files to confirm that role-based DBS eligibility decisions are recorded, the correct DBS level has been obtained, barred list checks have only been requested where legally permitted, Schedule 3 information is complete, annual declarations are up to date, Update Service checks have valid consent, agency staff assurance is documented, DBS risk assessments are completed where required, and referrals or notifications have been made appropriately. Audit findings will be reported to the Registered Manager and provider, with actions, timescales and named leads recorded.

11. Safeguarding and Escalation

Where a DBS check, self-declaration, allegation, incident, complaint, safeguarding concern or external information raises concern about a person’s suitability, the Registered Manager and safeguarding lead will take immediate action to protect people using the service. This may include removing the person from duties, restricting duties, increasing supervision, suspending the person, informing commissioners, making a safeguarding referral to the local authority, contacting the police, notifying CQC, making a DBS referral or referring to a professional regulator.

The organisation will follow local safeguarding adults procedures and will not delay protective action while waiting for a DBS certificate, disciplinary outcome or external investigation. All actions, decisions and reasons must be recorded clearly.

12. Policy Review and Legislative Updates

This policy will be reviewed at least annually, or sooner if there are changes to DBS guidance, CQC guidance, legislation, safeguarding requirements, local authority procedures, organisational structure or learning from incidents, audits, complaints or inspections. The Registered Manager is responsible for ensuring that the policy remains current and that staff are informed of any changes affecting their responsibilities.

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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