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DC76-DBS Checks Policy

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Registration Number: {{org_field_registration_no}}

DBS Checks Policy

1. Purpose and Scope

The purpose of this DBS (Disclosure and Barring Service) Checks Policy is to outline how {{org_field_name}} ensures that all employees, contractors, and volunteers working with vulnerable service users meet the highest standards of safety and integrity. This policy explains the process for conducting DBS checks, the different levels of checks, how results are managed, and how our company ensures compliance with legal and regulatory frameworks.

This policy applies to all employees, agency workers, contractors, and volunteers engaged in delivering or supporting domiciliary care services. It covers pre-employment checks, ongoing monitoring, and the management of any issues arising from DBS disclosures.

2. Policy Statement

{{org_field_name}}is committed to:

3. Legal and Regulatory Framework

{{org_field_name}} will undertake Disclosure and Barring Service checks in accordance with applicable legislation, regulations and current DBS and CQC guidance, including:

Role-Based Eligibility

{{org_field_name}} will determine the appropriate level of DBS check by considering the actual duties and activities of each role, rather than job title alone.

Standard, Enhanced and Enhanced with Barred List checks may only be requested where the role is legally eligible for that particular level.

It is unlawful to request information through a higher-level DBS check where the organisation has no legal entitlement to that information.

Where eligibility is uncertain, {{org_field_name}} will check the current DBS eligibility guidance or eligibility tool before submitting the application.

4. Types of DBS Checks

There are different types of criminal record check. The appropriate check depends on the legal eligibility of the role.

4.1. Basic DBS Check

A Basic DBS check:

A Basic check may be appropriate where a role does not qualify for a Standard or Enhanced check but {{org_field_name}} considers a criminal record check necessary and proportionate.

4.2. Standard DBS Check

A Standard DBS check is only available for positions specifically covered by legislation.

It may disclose:

Protected cautions and convictions must not be automatically disclosed or taken into account.

A person’s employment in adult social care does not automatically make them eligible for a Standard DBS check.

Eligibility must be established from the role and duties.

4.3. Enhanced DBS Check

An Enhanced DBS check is available only where the role meets the statutory eligibility criteria.

It may contain:

An Enhanced check does not automatically include a Barred List check.

4.4. Enhanced DBS Check with Adults’ Barred List

An Enhanced DBS check with an Adults’ Barred List check may be requested where the role involves regulated activity with adults and the statutory eligibility conditions are met.

Examples of regulated activity relevant to domiciliary care include:

A person who is barred from regulated activity with adults must not be permitted to carry out regulated activity with adults.

4.5. Filtering

Standard and Enhanced DBS checks are subject to statutory filtering rules.

{{org_field_name}} will not require applicants to disclose protected criminal record information which they are not legally required to disclose.

In particular:

Where a conviction or caution is protected, {{org_field_name}} will not unlawfully take it into account in recruitment or employment decisions.

5. Roles Requiring DBS Checks

The level of DBS check will be determined from the duties of each individual role.

5.1. Care Workers Providing Personal Care

A care worker who provides personal care within the statutory definition is carrying out regulated activity with adults.

This includes, where the adult requires assistance because of age, illness or disability:

These roles are normally eligible for an:

Enhanced DBS check with an Adults’ Barred List check.

5.2. Managers and Supervisors

A person responsible for the regular day-to-day management or supervision of care workers undertaking regulated activity may themselves be undertaking regulated activity and may therefore be eligible for:

Enhanced DBS with an Adults’ Barred List check.

Eligibility must be determined from their actual managerial duties.

A supervisor or manager must not automatically be assigned a Barred List check solely because their job title contains the word “manager” or “supervisor”.

5.3. Registered Manager Applications to CQC

A person applying to CQC to become a Registered Manager must meet CQC’s separate registration requirements concerning DBS checks.

At the date of this policy, CQC requires Registered Manager applicants to have an Enhanced DBS check with the appropriate barred-list information which meets CQC’s application requirements.

This registration check is separate from the organisation’s normal assessment of employee DBS eligibility.

5.4. Domiciliary Care Workers Not Providing Personal Care

A domiciliary care worker who does not undertake regulated activity may nevertheless qualify for an Enhanced DBS check without an Adults’ Barred List check where they:

For example, regular home-help activities undertaken to enable a disabled or older person to live independently may qualify for an Enhanced check without the Adults’ Barred List.

5.5. Office and Administrative Staff

Office staff must not automatically receive a Standard DBS check merely because they can access service-user information.

The organisation will assess their actual duties against the statutory eligibility criteria.

Where no entitlement to a Standard or Enhanced check exists, {{org_field_name}} may request a Basic DBS check if this is considered necessary and proportionate.

5.6. Volunteers

Being a volunteer does not automatically determine the level of DBS check.

Paid and unpaid roles are assessed under the same activity-based eligibility principles.

For example:

5.7. Contractors

A contractor must not automatically receive an Enhanced DBS check merely because they may enter a service user’s home.

Eligibility will depend on:

Where the contractor’s role does not meet Standard or Enhanced eligibility criteria, a Basic check may be considered where appropriate.

5.8. Transport Roles

Where a worker transports an adult on behalf of {{org_field_name}} to, from or between places where the adult receives healthcare, personal care or social work so that they can access those services, the activity may constitute regulated activity and be eligible for an Enhanced DBS check with an Adults’ Barred List check.

Other transport may qualify for an Enhanced check without the Barred List where the statutory frequency conditions are met.

The current DBS eligibility guidance will be checked before determining the required check.

6. Pre-Employment DBS Checks

All prospective employees and volunteers must undergo DBS checks before commencing work. The process includes:

6.1 Recruitment Stage:

6.2 Application Submission:

6.3 DBS Processing:

6.4 Receiving Results:

7. Managing DBS Disclosures

A criminal record does not automatically prevent a person from working for {{org_field_name}}.

Where a lawful DBS check discloses criminal record or relevant police information, the organisation will assess the information fairly, consistently and proportionately.

7.1. Information That May Lawfully Be Considered

{{org_field_name}} will only consider criminal record information that it is legally entitled to receive and take into account.

The organisation will not:

7.2. Risk Assessment

Where relevant information is disclosed, the Registered Manager or another authorised senior person will consider:

The assessment and decision will be documented.

7.3. Discussion with the Applicant or Worker

The individual will normally be given a reasonable opportunity to:

7.4. Barred Persons

Where a person is included on the Adults’ Barred List, {{org_field_name}} must not knowingly permit them to undertake regulated activity with adults.

A barred person must not:

Any alternative non-regulated role will only be considered following a separate suitability and safeguarding assessment.

8. Ongoing Monitoring and Rechecks

DBS checking forms part of ongoing safer employment but does not replace:

8.1. Staff Duty to Report Relevant Changes

Staff must promptly inform {{org_field_name}} of relevant matters which may affect their suitability for their role, including where required by employment terms:

The organisation will only require disclosure of information that it is legally entitled to request.

8.2. Periodic DBS Rechecks

There is no universal statutory requirement that Enhanced DBS checks must be repeated every three years.

{{org_field_name}} may nevertheless adopt a three-year recheck period, or another interval, as an internal safer-employment measure.

The frequency of any recheck will be determined by:

A new DBS check may also be required where:

8.3. DBS Update Service

{{org_field_name}} may encourage eligible staff to subscribe to the DBS Update Service.

The Update Service is available for Standard and Enhanced certificates.

It does not constitute automatic or continuous employer monitoring.

An employer:

DBS does not automatically notify {{org_field_name}} when an employee’s Update Service status changes.

There is no statutory prescribed frequency for employer status checks.

{{org_field_name}} will determine an appropriate risk-based checking schedule.

The organisation must stop conducting status checks if:

9. Handling Positive DBS Checks

When a DBS check reveals a criminal record:

9.1 Assessing Relevance:

Employment decisions concerning disclosed criminal information will be:

Employment may proceed where the information does not make the person unsuitable for the role and any risks can be appropriately managed.

Where information demonstrates that the person is unsuitable, {{org_field_name}} may:

9.2. Legal Duty to Refer to DBS

Where {{org_field_name}} employs or manages people undertaking regulated activity, it is a regulated activity provider for the purposes of the Safeguarding Vulnerable Groups Act 2006.

{{org_field_name}} has a legal duty to make a barring referral to DBS where the statutory referral conditions are met.

The duty applies where:

  1. The organisation has removed a person from regulated activity, or would have removed them had they not resigned, retired or otherwise left; and
  2. The organisation considers that the person has:
    1. Engaged in relevant conduct which harmed or placed a child or adult at risk of harm;
    1. Satisfied the statutory harm test; or
    1. Met another applicable statutory referral criterion.

The duty may therefore apply where a person:

9.3. Separate Safeguarding and Regulatory Referrals

A referral to:

does not replace a statutory DBS referral.

Where the DBS referral duty applies, {{org_field_name}} must make the DBS referral even where another body has already been informed.

Failure to make a referral where the statutory duty applies may constitute an offence.

9.4. Investigation and Evidence

Before determining whether the statutory referral conditions have been met, {{org_field_name}} will:

A person leaving employment does not automatically bring the investigation or DBS referral consideration to an end.

10. Data Protection and Confidentiality

DBS information is highly sensitive criminal offence data and must be processed lawfully, fairly and securely.

{{org_field_name}} will comply with:

10.1. Access

DBS certificate information will only be available to people who need access for authorised recruitment, employment, safeguarding or regulatory purposes.

Certificate information must not be disclosed to an unauthorised person.

10.2. Storage

Where certificate information is temporarily retained, it will be stored securely with access strictly controlled.

Paper information will be stored in secure restricted-access storage.

Electronic information will be subject to appropriate technical and organisational security measures.

10.3. Retention

DBS certificate information will not be retained for longer than necessary.

Once a recruitment or suitability decision has been completed, DBS guidance normally expects certificate information to be retained for no longer than six months, unless there is a documented lawful and necessary reason to retain it for longer.

Where longer retention is considered necessary for:

the necessity and proportionality of the retention will be reviewed.

The six-month principle does not automatically mean that all recruitment records, risk assessments or evidence of the recruitment decision must be destroyed after six months.

Those records will be retained according to {{org_field_name}}’s lawful employment and records-retention schedule.

10.4. Information That May Be Retained

After DBS certificate information is destroyed, the organisation may retain appropriate recruitment evidence such as:

{{org_field_name}} will not retain an unnecessary photocopy, scan, photograph or other reproduction of a DBS certificate.

10.5. Disposal

When DBS certificate information is no longer required, it will be securely destroyed so that it cannot be reconstructed or recovered.

11. Staff Training and Awareness

All staff involved in recruitment and DBS management receive training on:

Training is refreshed annually, and staff competency is regularly assessed.

12. Monitoring and Quality Assurance

We maintain high standards through continuous monitoring and improvement:

12.1 Internal Audits:

12.2 Incident Reporting:

13. Complaints and Appeals

Applicants and employees can raise concerns about the DBS process through our complaints procedure:

  1. Submitting a complaint verbally or in writing.
  2. Investigation by the Registered Manager.
  3. Communicating outcomes and offering an appeal process.

14. Continuous Improvement

We are committed to continuous improvement through:

15. Policy Review

This policy will be reviewed at least annually, or sooner where necessary, to ensure that DBS checking and safer recruitment arrangements remain lawful and consistent with current CQC and DBS requirements.

An earlier review will take place where:

The Registered Manager will ensure that the review considers:

Where weaknesses are identified, {{org_field_name}} will:

Material amendments will be documented, approved and communicated to relevant staff.

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}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.

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