Registration Number: {{org_field_registration_no}}

Recruitment and Employment of Ex-Offenders Policy

1. Purpose and Scope

The purpose of this Recruitment and Employment of Ex-Offenders Policy is to set out how {{org_field_name}} recruits and employs people who have a criminal record in a fair, transparent, proportionate and lawful manner while safeguarding people who use the service.

{{org_field_name}} recognises the importance of supporting rehabilitation and ensuring that people are not unfairly excluded from employment because of previous offending. At the same time, the organisation has a responsibility to ensure that all people employed or engaged to provide care and support are suitable for their roles and that people using the service are protected from avoidable harm.

This policy supports compliance with CQC Regulation 19: Fit and Proper Persons Employed and the requirements relating to safe and effective recruitment within adult social care.

This policy applies, where relevant, to:

Job applicants.
Employees and workers.
Apprentices.
Volunteers.
Temporary and agency workers where {{org_field_name}} is responsible for assuring itself of their suitability.
Contractors or other persons engaged to perform duties connected with the regulated activity.

{{org_field_name}} will only ask applicants or employees to provide criminal record information that it is legally entitled to request and consider. Protected convictions and cautions must not be requested, relied upon or used to make recruitment or employment decisions where the law prevents them from being considered.

Having a criminal record will not automatically prevent a person from working for {{org_field_name}}. Each matter will be considered individually, taking account of its relevance to the role and the associated risks. This does not apply where legislation prohibits the person from undertaking the proposed work, including where a person is barred from carrying out regulated activity with adults.

This policy should be read alongside the organisation’s Recruitment Policy, Safeguarding Policy, Equality and Diversity Policy, Data Protection Policy, DBS Handling Policy, Disciplinary Policy and any relevant safer recruitment procedures.

2. Policy Statement

Our domiciliary care company is committed to:

Promoting equality and inclusion by considering ex-offenders for employment based on merit.
Ensuring that a conviction, caution or other criminal record information does not automatically result in rejection unless the person is legally prohibited from carrying out the role. Where there is no legal prohibition, information will be considered individually and proportionately in relation to the requirements and risks of the role.
Conducting fair, transparent recruitment processes that respect the rights of applicants.
Maintaining the safety and well-being of service users through appropriate risk assessments.
Ensuring that no person is appointed or deployed to carry out regulated activity with adults where the organisation knows that the person is barred from undertaking that activity.
Requesting only the level of DBS check for which the particular role is legally eligible.
Ensuring that protected convictions and cautions are not requested or taken into account when making employment decisions.
Supporting the rehabilitation of ex-offenders through meaningful employment opportunities.

3. Legal and Regulatory Framework

This policy is implemented in accordance with relevant legislation, regulatory requirements and national guidance, including:

Legislation

Rehabilitation of Offenders Act 1974.
Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, as amended.
Police Act 1997, including provisions relating to Standard and Enhanced criminal record certificates.
Safeguarding Vulnerable Groups Act 2006, as amended.
Protection of Freedoms Act 2012.
Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, particularly:
- Regulation 13: Safeguarding service users from abuse and improper treatment.
- Regulation 17: Good governance.
- Regulation 18: Staffing.
- Regulation 19: Fit and proper persons employed.
- Schedule 3: Information Required in Respect of Persons Employed or Appointed for the Purposes of a Regulated Activity.
Equality Act 2010, including requirements relating to fair recruitment, reasonable adjustments and restrictions on pre-employment health questions.
UK General Data Protection Regulation (UK GDPR).
Data Protection Act 2018, as amended.
Care Act 2014, where relevant to safeguarding adults.

Regulatory Requirements and Guidance

{{org_field_name}} will also have regard to:

The Disclosure and Barring Service Code of Practice.
Current DBS eligibility guidance.
Current DBS filtering guidance.
DBS guidance on the recruitment of ex-offenders.
DBS guidance on the handling of certificate information.
CQC Regulation 19 guidance.
CQC’s Safe and Effective Staffing quality statement.
Current CQC guidance concerning recruitment policies and safer recruitment.

4. Principles of Fair Recruitment

Our recruitment practices are based on fairness, proportionality, safeguarding and compliance with the law.

4.1 Fair Treatment and Non-Discrimination

Applicants will be assessed primarily according to their skills, qualifications, competence, experience and suitability for the role.
A criminal record will not automatically exclude an applicant unless legislation prevents the person from performing the proposed work.
Criminal record information will only be considered where {{org_field_name}} is legally entitled to know about it.
Protected convictions and cautions will not be requested or considered.
Recruitment decisions will comply with the Equality Act 2010 and will not discriminate unlawfully because of a protected characteristic.

4.2 Transparency

Applicants will be informed where a role is subject to a DBS check.
The recruitment documentation will state the appropriate level of DBS check where this has been determined.
Where the role is covered by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, applicants will be informed that the organisation may lawfully ask about relevant unspent convictions and cautions and certain spent convictions and cautions that are not protected.
Applicants will be informed how criminal record information will be used and protected.
This policy will be made available to applicants on request.

4.3 Proportionality and DBS Eligibility

A Standard or Enhanced DBS check will only be requested where the particular position is legally eligible for that level of check.
The organisation will determine eligibility by considering the actual activities and responsibilities of the position rather than relying solely on the person’s job title.
Criminal record information will only be considered to the extent that it is relevant and proportionate to determining suitability for the particular role.

4.4 Rehabilitation and Support

Evidence of rehabilitation, the passage of time and positive changes in behaviour will be considered where appropriate.
Applicants will be given an opportunity to explain relevant criminal record information before an adverse employment decision is made.
Employment opportunities will be supported wherever this is compatible with legal requirements and the safety and well-being of people using the service.

5. Recruitment Process

The recruitment process will ensure fair consideration of applicants with criminal records while meeting the organisation’s safeguarding responsibilities and the requirements of Regulation 19.

5.1 Job Advertisements and Recruitment Information

Job advertisements will:

Clearly describe the duties and responsibilities of the position.
State that selection will be based on the applicant’s skills, qualifications, experience, competence and suitability.
State where the successful applicant will be required to undergo a DBS check.
Identify the appropriate level of DBS check where this has been established.
Explain where the position is eligible for an Enhanced DBS check with an Adults’ Barred List check because it involves regulated activity with adults.
Confirm the organisation’s commitment to equality of opportunity and fair treatment of applicants with criminal records.

5.2 Application and Criminal Record Declaration

{{org_field_name}} will only ask applicants to disclose criminal record information that it is legally entitled to request.

For positions that are not exempt from the Rehabilitation of Offenders Act 1974, applicants will not be required to disclose spent convictions or cautions.

For positions that are covered by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, applicants may be asked about:

Unspent convictions and cautions that may lawfully be requested.
Spent convictions and cautions that are not protected under the applicable filtering rules.

Applicants must not be asked to disclose protected convictions or cautions and these must not be taken into account if the organisation becomes aware of them in circumstances where it is not legally entitled to consider them.

Any criminal record declaration will be collected confidentially and access will be restricted to authorised persons involved in assessing suitability.

5.3 Interview and Discussion

Interviews will focus primarily on the person’s:

Skills.
Experience.
Qualifications.
Competence.
Values.
Suitability for the position.

Where relevant criminal record information has been disclosed or is subsequently revealed through a DBS check, an open, fair and measured discussion will take place with the applicant.

The applicant will be given an opportunity to:

Confirm the accuracy of the information.
Explain the circumstances surrounding the matter.
Provide relevant contextual information.
Provide evidence of rehabilitation or subsequent positive behaviour.
Raise any concern that information may be inaccurate or should have been filtered.

Recruiters responsible for considering criminal record information will receive appropriate guidance or training concerning DBS requirements, filtering and fair decision-making.

5.4 Conditional Offer and Final Decision

Offers of employment may be made conditional upon satisfactory completion of the relevant pre-employment checks.

Where applicable, these include:

Verification of identity.
Appropriate DBS and barred list checks.
References.
Full employment history and satisfactory explanations for employment gaps.
Verification of previous health or social care employment.
Verification, so far as reasonably practicable, of why previous employment involving children or vulnerable adults ended.
Relevant qualifications.
Professional registration where required.
Right-to-work checks.
Appropriate checks concerning fitness to perform the intrinsic requirements of the role, subject to the Equality Act 2010.

A conditional offer will not be withdrawn solely because a criminal record exists unless:

The individual is legally prohibited from undertaking the role; or
A documented assessment demonstrates that the information creates an unacceptable and relevant risk which cannot reasonably be managed.

Where practicable and lawful, any matter revealed through a DBS certificate which may affect the recruitment decision will be discussed with the applicant before a conditional offer is withdrawn.

The reasons for the final decision must be recorded.

DBS currently advises employers to hold an open and measured discussion about relevant information before making an adverse decision.

6. Pre-Employment Checks

{{org_field_name}} will carry out appropriate pre-employment checks before a person is appointed or deployed to perform duties connected with the regulated activity.

6.1 Determining the Appropriate DBS Check

The level of DBS check will be determined separately for each role by considering the actual duties performed and current DBS eligibility guidance.

For domiciliary care:

A person who provides personal care to an adult because of the adult’s age, illness or disability is undertaking regulated activity with adults and is eligible for an Enhanced DBS check with an Adults’ Barred List check.
Personal care includes relevant physical assistance and, in specified circumstances, prompting and supervising an adult with activities such as eating, drinking, toileting, washing, dressing and oral or personal care.
Some domiciliary care or support roles that do not amount to regulated activity may nevertheless qualify for an Enhanced DBS check without an Adults’ Barred List check where the statutory criteria for work with adults are met.
Administrative or office-based employment does not automatically qualify for a Standard DBS check. Eligibility must be determined from the actual responsibilities of the position.
Where a role is not legally eligible for a Standard or Enhanced DBS check, the organisation will not request one. A Basic DBS check may be considered where appropriate and proportionate.

{{org_field_name}} will not knowingly request a higher level of DBS check than the law permits.

This is directly supported by the September 2026 adult social care guidance: care workers providing personal care qualify for Enhanced DBS with the Adults’ Barred List, while other domiciliary workers may qualify for Enhanced without the barred list depending on their activities and frequency of contact.

6.2 DBS and Barred List Checks

Where required:

Identity will be verified in accordance with DBS requirements.
The appropriate DBS application will be completed.
Adults’ Barred List information will be requested where the role is eligible.
DBS information will be reviewed by an appropriately authorised person.
Where the DBS Update Service is used, any status check will be carried out lawfully and with the applicant’s or employee’s appropriate permission.
Required recruitment checks will be completed and considered before the individual is deployed to perform regulated activity.

A DBS check is only one part of the safer recruitment process and will not replace references, employment history checks, identity checks, qualification verification or other Regulation 19 checks.

6.3 Self-Disclosure and Filtering

Applicants will only be required to disclose information which {{org_field_name}} is legally entitled to ask about.

The organisation will:

Apply the current Rehabilitation of Offenders Act and DBS filtering rules.
Not ask applicants to disclose protected convictions or cautions.
Not take protected information into account where the law prevents it from doing so.
Give applicants an opportunity to discuss relevant information.
Allow applicants to raise concerns where they believe DBS information is inaccurate.

6.4 References and Previous Employment

{{org_field_name}} will normally obtain at least two satisfactory references, including a reference from the applicant’s most recent employer where reasonably practicable.

In addition, in accordance with Schedule 3 requirements, the organisation will obtain and verify:

Satisfactory evidence of conduct in previous employment concerned with health or social care or work with children or vulnerable adults.
So far as reasonably practicable, the reason why previous employment involving work with children or vulnerable adults ended.
A full employment history.
A satisfactory written explanation for any gaps in employment.

Any unexplained inconsistency, omission or concern arising from references or employment history will be investigated before the applicant is confirmed as suitable.

These points reflect the actual Schedule 3 requirements. Schedule 3 requires evidence of previous conduct, verification of the reason relevant employment ended, relevant qualifications, full employment history and explanations for gaps.

6.5 Applicants Who Have Lived or Worked Overseas

A DBS check principally contains information available through UK sources and may not provide a complete record of offences committed overseas.

Where an applicant has lived or worked outside the United Kingdom, {{org_field_name}} will consider obtaining, where reasonably practicable:

An overseas criminal record check.
A police clearance certificate.
A certificate of good conduct or equivalent.
Appropriate employment references.
A certified translation where documentation is not in English.

An overseas check does not replace a DBS check where a DBS check is required for the role.

Any inability to obtain overseas criminal record information will be documented and considered through an appropriate recruitment risk assessment.

DBS expressly warns that its checks cannot provide a complete picture of time spent overseas and recommends obtaining information from the relevant country where appropriate.

6.6 Other Regulation 19 and Schedule 3 Checks

The recruitment record will also include, as applicable:

Proof of identity, including a recent photograph.
Documentary evidence of qualifications relevant to the role.
Verification of registration with a professional regulator where registration is required.
Information sufficient to establish that the person has the competence, skills and experience required for the role.
Appropriate information concerning the person’s capability to perform the intrinsic requirements of the role after reasonable adjustments have been considered.

Health and disability questions during recruitment will comply with section 60 of the Equality Act 2010. Except where a statutory exception applies, general health questions will not be used before an offer of employment is made.

7. Risk Assessment and Decision-Making

Where relevant criminal record information is identified and there is no automatic legal prohibition on employing the individual, {{org_field_name}} will carry out an individualised and proportionate suitability risk assessment.

The assessment will consider, where relevant:

The nature and seriousness of the offence or other information.
Whether the conduct is relevant to the duties of the position.
The circumstances surrounding the offence.
How long ago the matter occurred.
The person’s age at the time, where relevant.
Whether the matter was isolated or forms part of a pattern of behaviour.
The frequency of any offending.
The sentence or other disposal imposed.
The applicant’s explanation of the circumstances.
Evidence of rehabilitation and subsequent conduct.
Employment history since the offence.
References and other evidence of character.
Whether the role involves:
- Lone working.
- Entering people’s homes.
- Personal care.
- Access to medicines.
- Handling money or property.
- Access to keys.
- Access to confidential information.
- Supporting people who may be particularly vulnerable.
Whether reasonable safeguards could reduce any identified risk.
The potential impact on the safety, rights and well-being of people using the service.
Any relevant legal restriction or barred list information.

Where a person is barred from regulated activity with adults, they must not be appointed or deployed to carry out that regulated activity.

Where employment remains legally possible, the decision will be made by the Registered Manager together with another appropriately authorised senior person or HR representative, where applicable.

Before an adverse decision is made because of information contained on a DBS certificate, the applicant will normally be given an opportunity to discuss the information.

The final decision and the reasons for it will be recorded. Where {{org_field_name}} decides that a person remains suitable despite information relevant to their character or suitability, the rationale for that conclusion will also be documented.

8. Employment Contracts and Onboarding

Employment will only be confirmed following satisfactory completion and consideration of the checks required for the particular role. Any conditions, safeguards or restrictions arising from a criminal record suitability assessment must be lawful, necessary, proportionate and documented.

Job title, duties, and responsibilities.
Salary, benefits, and working hours.
Safeguarding expectations and conduct standards.
Probationary period and performance expectations.

During onboarding, new employees receive training on safeguarding, confidentiality, and company policies.

Employees must inform {{org_field_name}} of any subsequent matter that may lawfully and materially affect their suitability for their role, including being added to a barred list or receiving a relevant conviction or caution. The organisation will only request, record and consider information that it is legally entitled to process.

9. Ongoing Support and Monitoring

To support ex-offenders during employment, the company provides:

9.1 Workplace Support:

Providing access to appropriate workplace support or mentoring where this is necessary and beneficial..
Regular one-on-one meetings with line managers.

9.2 Training and Development:

Access to professional development opportunities.
Tailored support to address skills gaps.

9.3 Well-Being and Mental Health:

Access to employee assistance or well-being support where such services are available
Encouragement to report concerns confidentially.

9.4 Performance Monitoring:

Regular performance reviews during probation and beyond.
Ongoing feedback to promote professional growth.

9.5 Fair and Proportionate Monitoring

An employee will not be subjected to additional scrutiny solely because they have a criminal record.
Any additional supervision or control measure must relate to an identified risk and be necessary, proportionate and regularly reviewed.
Employees with criminal records will have access to training, promotion and development opportunities on the same fair basis as other employees, subject to any lawful role-specific restrictions.

10. Safeguarding and Reporting Concerns

{{org_field_name}} is committed to protecting people who use the service from abuse, neglect, exploitation and avoidable harm.

The organisation will ensure that:

Safeguarding policies and procedures are implemented consistently.
Employees receive safeguarding training appropriate to their role.
Staff understand how and to whom safeguarding concerns must be reported.
Concerns about an employee’s conduct are addressed promptly and fairly.
Appropriate immediate action is taken where necessary to protect people using the service.
Allegations are investigated in accordance with safeguarding, disciplinary and employment procedures.
No adverse conclusion is reached merely because an allegation has been made; decisions will be based on the available evidence and applicable safeguarding requirements.

Where information indicates that an employee may no longer meet the requirements of Regulation 19, {{org_field_name}} will take necessary and proportionate action to ensure that the person remains fit and suitable for their role.

Where the employee is a healthcare professional, social worker or another professional registered with a health or social care regulator, the relevant professional regulator will be informed where Regulation 19 or other applicable requirements require this.

DBS Barring Referrals

As a regulated activity provider, {{org_field_name}} has a legal duty to make a referral to the Disclosure and Barring Service where the statutory referral conditions are met.

This may apply where:

A person has been removed from regulated activity; or
The organisation would have removed the person from regulated activity had they not resigned, retired or otherwise left; and
The organisation considers that the person has engaged in relevant conduct, caused harm, placed a person at risk of harm, or satisfies the applicable harm test.

A DBS referral may be required even where:

The person resigns before disciplinary proceedings are completed.
A safeguarding referral has already been made to the local authority.
The matter has been reported to the police.
A referral has been made to a professional regulator.

Where appropriate, {{org_field_name}} will also make safeguarding referrals, professional regulator referrals and statutory CQC notifications independently of any DBS referral.

11. Data Protection and Confidentiality

Criminal record information is criminal offence data for the purposes of Article 10 of the UK GDPR and the Data Protection Act 2018.

{{org_field_name}} will process criminal offence data only where:

There is an appropriate lawful basis under Article 6 of the UK GDPR.
The requirements of Article 10 are satisfied.
An applicable condition under Schedule 1 of the Data Protection Act 2018 is identified.
An Appropriate Policy Document is maintained where required by the applicable Schedule 1 condition.
The processing is necessary, proportionate and limited to the relevant purpose.

The ICO confirms that criminal offence data requires an Article 6 lawful basis and an appropriate Schedule 1 condition and that an Appropriate Policy Document is required for a number of those conditions, including relevant employment processing.

11.1 Access and Security

Criminal record information will be accessed only by people authorised to consider it as part of their duties.
Electronic information will be protected through appropriate access controls.
Paper records, where used, will be stored securely.
Criminal record information will not be disclosed to unauthorised persons.
DBS information will only be used for the purpose for which it was obtained.

11.2 DBS Certificate Information

DBS certificate information will be handled in accordance with the DBS Code of Practice and current DBS handling guidance.

Once a recruitment or other suitability decision has been made, certificate information will not be retained for longer than necessary.

Where certificate information is temporarily retained to allow for matters such as a dispute, complaint or safeguarding audit, it will normally not be retained beyond the period necessary for that purpose and will remain subject to strict security and access controls.

Once it is no longer necessary to retain a copy or representation of DBS certificate information, it will be securely destroyed.

{{org_field_name}} may retain an appropriate record of:

The date the DBS certificate was issued.
The name of the person checked.
The type and level of certificate requested.
The position for which the certificate was requested.
The unique certificate reference number.
The recruitment or suitability decision.

This reflects DBS’s current certificate handling guidance.

11.3 Recruitment Risk Assessments and Decision Records

A criminal record risk assessment or documented recruitment decision is not automatically subject to the same retention period as a DBS certificate.

Risk assessments and necessary records explaining recruitment or employment decisions may be retained in accordance with the organisation’s HR and records retention schedule where this is necessary for:

Employment purposes.
Demonstrating regulatory compliance.
Safeguarding.
Defending or establishing legal claims.
Demonstrating the rationale for a suitability decision.

Only information that remains necessary for those purposes will be retained.

11.4 Confidentiality and Transparency

Applicants and employees will be provided with appropriate privacy information explaining:

What criminal record information is collected.
Why it is required.
The lawful basis and applicable condition for processing.
Who may have access to it.
How long relevant information will be retained.
Their applicable data protection rights.

11.5 Secure Disposal

When criminal record information is no longer required, paper and electronic records will be securely destroyed or deleted in accordance with the organisation’s retention and disposal procedures.

12. Addressing Discrimination and Bias

{org_field_name}} will promote fair and lawful recruitment by:

Training or providing appropriate guidance to people responsible for recruitment and criminal record decisions.
Ensuring applicants are not unlawfully disadvantaged because of a protected characteristic under the Equality Act 2010.
Ensuring a conviction, caution or other criminal record matter is considered only where the organisation is legally entitled to consider it.
Ensuring protected convictions and cautions are not used in recruitment decisions.
Considering criminal record information individually rather than applying a blanket exclusion.
Recording the reasons for adverse employment decisions involving criminal record information.
Monitoring recruitment outcomes, where appropriate and lawful, to identify potential unfairness or disproportionate decision-making.
Providing applicants with access to the recruitment complaints or review procedure.

13. Complaints and Grievances

An applicant who believes that they have been treated unfairly during recruitment, including in relation to criminal record information, may raise a concern or request a review of the decision.

Concerns may be raised:

Verbally with the Registered Manager or person responsible for recruitment.
In writing to the Registered Manager.
By email to: {{org_field_registered_manager_email}}.
By telephone on: {{org_field_phone_no}}.

The concern will be handled confidentially and impartially.

Where appropriate:

The recruitment decision will be reviewed by a person who was not solely responsible for the original decision.
The applicant will be given an opportunity to provide additional relevant information.
Records supporting the original decision will be reviewed.
Any error identified will be corrected and appropriate action taken.

Making a complaint will not result in prejudice or retaliation against the applicant.

Where an applicant believes that information contained on their DBS certificate is incorrect, they will also be advised that they may use the DBS dispute procedure.

Data protection concerns relating to the processing of criminal record information will be managed in accordance with the organisation’s Data Protection Policy and applicable UK data protection legislation.

14. Monitoring and Quality Assurance

{{org_field_name}} will monitor implementation of this policy through its governance and quality assurance arrangements.

Recruitment audits will include, where relevant, checks that:

The correct level of DBS check has been requested for each role.
The role was legally eligible for the level of DBS check requested.
Adults’ Barred List information was obtained where required.
Schedule 3 information is complete.
Identity has been appropriately verified.
Relevant references have been obtained and verified.
Previous health and social care employment has been appropriately checked.
Reasons for previous employment involving children or vulnerable adults ending have been verified so far as reasonably practicable.
Full employment histories have been obtained.
Employment gaps have satisfactory written explanations.
Relevant qualifications and professional registrations have been verified.
Criminal record risk assessments are completed where required.
Recruitment decisions and their rationale are adequately documented.
Protected criminal record information has not been unlawfully requested or considered.
DBS information is being stored and disposed of appropriately.
Overseas criminal record information has been considered where applicable.
DBS barring referral obligations are understood and followed.

Any identified shortfall will result in an action plan, with responsibility and timescales assigned for completion.

Recruitment practices and outcomes will be reviewed for trends, learning and opportunities for improvement.

15. Policy Review and Continuous Improvement

This policy will be reviewed at least annually and sooner where necessary.

An earlier review will take place following:

Changes to relevant legislation.
Changes to DBS eligibility or filtering requirements.
Changes to the Rehabilitation of Offenders Act or its Exceptions Order.
Changes to CQC regulations, guidance or assessment requirements.
Changes to UK data protection legislation or ICO guidance affecting criminal offence data.
Significant safeguarding or recruitment incidents.
Findings from internal audits.
Relevant learning from complaints, DBS referrals or regulatory activity.
Changes to the organisation’s recruitment procedures.

The Registered Manager, or another appropriately authorised person, will ensure that:

Changes are incorporated promptly.
Relevant recruitment staff are informed of amendments.
Training or guidance is updated where necessary.
Previous versions are appropriately controlled.
Recruitment documentation and application forms remain consistent with the current policy.

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.

DC82-Recruitment and Employment of Ex-Offenders Policy