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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}} adopts a fair, consistent, and legally compliant approach when recruiting individuals with criminal records, balancing the rehabilitation of ex-offenders with the requirement to protect vulnerable service users, staff, and the wider community.

This policy ensures compliance with:

• The Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (as amended) – sets out when spent convictions must be disclosed for exempt (regulated) roles.
• The Police Act 1997 (criminal record certificates / enhanced certificates) and associated DBS framework (basis for Standard/Enhanced checks).
• The Safeguarding Vulnerable Groups Act 2006 – barred list checks and the legal duty to refer to DBS when the duty-to-refer criteria are met.
• Regulation and Inspection of Social Care (Wales) Act 2016 and The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 (as amended) – especially Regulation 35 (Fitness of staff), Schedule 1 (required recruitment information), and Regulation 60 / Schedule 3 (notifications).
• Social Care Wales (SCW) registration requirements and Codes of Professional Practice (where applicable) – including employer responsibilities where fitness to practise is in question.
• Equality Act 2010 – fair, non-discriminatory recruitment decisions based on role-relevance and proportionate risk assessment.

2. Scope

This policy applies to:

• All job applicants, employees, agency staff, and volunteers at {{org_field_name}}.
• Individuals with previous criminal convictions, including spent and unspent convictions.
• The recruitment and selection process for regulated roles in domiciliary care.

It covers:

• Fair and inclusive recruitment of ex-offenders.
• Disclosure of criminal records.
• DBS checks and risk assessments.
• Safeguarding considerations.
• Confidentiality and data protection.
• Ongoing monitoring and compliance.

3. Commitment to Fair Recruitment Practices

At {{org_field_name}}, we recognise that individuals with past convictions can make valuable contributions to the workforce. However, we must also ensure that all staff working with vulnerable service users meet the highest safety, integrity, and professional standards.

We are committed to:

• Treating all applicants fairly and without discrimination based on previous convictions.
• Only considering convictions relevant to the role being applied for.
• Making recruitment decisions based on individual risk assessments, not blanket exclusions.
• Complying with DBS eligibility criteria for regulated social care roles.

4. DBS Checks and Disclosure of Criminal Records

4.1 When DBS Checks Are Required

• All staff applying for regulated roles must undergo an Enhanced DBS check with Barred List check before starting employment.
• Non-care staff (e.g., administrative roles) may require a Standard DBS check depending on the nature of their work.
• All job offers are conditional upon a satisfactory DBS check.

4.2 Other mandatory safer recruitment checks (Regulation 35 / Schedule 1)

In addition to any DBS check, {{org_field_name}} will only appoint staff/volunteers/agency workers to regulated roles where we have obtained, checked and recorded the full set of required recruitment information in line with Regulation 35 and Schedule 1 of the 2017 Regulations (as amended). This includes, as applicable:

• Proof of identity including a recent photograph;
• Two written references, including the most recent employer reference where available, and verification of the reason employment ended where the role involved work with children or vulnerable adults;
• Full employment history, with a satisfactory written explanation of any gaps;
• Documentary evidence of relevant qualifications and (where applicable) professional registration / membership;
• Where relevant, documentary evidence of registration with Social Care Wales and confirmation of any conditions/fitness-to-practise outcomes;
• Evidence of satisfactory linguistic ability to safely deliver care and support.

Where agency staff are used, we will obtain written assurance and evidence that the agency has completed the equivalent checks and we will retain this evidence on file.

4.3 Applicants who have lived or worked outside the UK

Where an applicant has lived/worked outside the UK, {{org_field_name}} will obtain appropriate overseas criminal record information (where available and proportionate) in addition to the DBS check, to support a robust assessment of integrity and good character.

4.4 Disclosure of Criminal Records

Because domiciliary care roles that involve regulated activity are generally exempt under the Rehabilitation of Offenders legislation, applicants will be asked to disclose all convictions and cautions that are not protected/filtered and to consent to the appropriate DBS check for the role.

Applicants are encouraged to discuss any relevant history at the earliest opportunity so that we can make a fair, proportionate decision based on an individual risk assessment.
Failure to disclose information that is legally required for an exempt role, or providing false or misleading information during recruitment, may result in withdrawal of an offer and/or disciplinary action.

4.5 Handling of DBS Disclosure Information

• DBS disclosures will be treated confidentially and only reviewed by authorised personnel.
• If a conviction is revealed, a risk assessment will be conducted before making an employment decision.
• The Registered Manager will assess:
  • Nature and severity of the offence.
  • Time elapsed since the conviction.
  • Relevance to the role.
  • Evidence of rehabilitation.

5. Risk Assessments for Recruiting Ex-Offenders

If an applicant has a criminal record, a DBS Risk Assessment Form must be completed, assessing:

• The type of offence and its relevance to the role.
• Whether the offence was an isolated incident or part of a pattern.
• The individual’s rehabilitation efforts and work history.
• Safeguarding risks to service users and staff.
• Whether reasonable adjustments or extra supervision would be necessary.

Following the risk assessment, possible outcomes include:

• Proceeding with employment with additional supervision or restrictions.
• Rejecting the application due to safeguarding concerns.

6. Safeguarding Considerations and Barring List Checks

If an employee is identified as barred (or becomes barred) from regulated activity, they will be immediately removed from regulated activity, and we will take necessary safeguarding and employment action (including suspension where appropriate) in line with our safeguarding and disciplinary procedures.

Where there are concerns that a person working at the service has abused, caused harm to, or placed an individual at risk of abuse or harm, {{org_field_name}} will notify the DBS and any relevant professional registration body (including Social Care Wales where applicable) without delay.

We recognise our legal duty under the Safeguarding Vulnerable Groups Act 2006 to make a barring referral to DBS where the duty-to-refer criteria are met (including where a person is removed from regulated activity or would have been removed had they not resigned).
We will notify CIW of notifiable events in line with Regulation 60 and Schedule 3. Notifications will be made without delay and in writing, in the form CIW requires; as a general rule this means as soon as practicable and usually within 24 hours of the event occurring.

7. Confidentiality and Data Protection

• Criminal record information is handled in line with GDPR and the Data Protection Act 2018.
• Only authorised personnel (e.g., HR, Registered Manager) can access DBS disclosures.
• Disclosure information is not shared with third parties without the applicant’s explicit consent.
• All DBS records are stored securely and retained for no longer than necessary.

DBS certificate handling (storage, retention and disposal): DBS certificate information will only be used for the specific purpose for which it was requested and with the applicant’s consent. Once a recruitment decision is made, we will not keep DBS certificate information for longer than necessary. We will not keep photocopies or scanned images of DBS certificates; however, we may retain a minimal compliance record (date of issue, name, level/type of check, role applied for, certificate reference number and the recruitment decision). DBS certificate information will be securely destroyed once the retention period has elapsed.

8. Supporting Employees with Criminal Records

• Employees with disclosed criminal records who are successfully recruited will be offered appropriate support and supervision.
• If required, additional training and mentorship will be provided to ensure they integrate successfully into the team.
• Employees must inform management immediately if they are convicted of a new offence during their employment.

9. Ongoing Monitoring and Compliance

• DBS re-checking will follow Regulation 35 requirements:
  • Where a worker is registered with the DBS Update Service, {{org_field_name}} will carry out an online DBS status check at least annually (with the worker’s consent) and record the outcome.
  • Where a worker is not registered with the DBS Update Service, {{org_field_name}} will apply for a new DBS certificate within 3 years of the issue date of the previous certificate and at least every 3 years thereafter.
  • We may bring forward a re-check where this is indicated by role change, safeguarding concerns, or other risk factors.Spot audits will be conducted to ensure recruitment and DBS procedures comply with CIW regulations.
• Care Inspectorate Wales (CIW) will review recruitment records during inspections.

10. Consequences of Misrepresentation or Non-Compliance

• If an applicant falsifies or withholds criminal history, the job offer will be withdrawn.
• If an employee fails to disclose a new conviction, disciplinary action may be taken, up to and including dismissal.
• Any breaches of safeguarding protocols will be reported to CIW and relevant safeguarding authorities.

11. Related Policies

This policy should be read in conjunction with:

• DBS Checks Policy (DCW44).
• Safeguarding Adults from Abuse and Improper Treatment Policy (DCW13).
• Whistleblowing (Speaking Up) Policy (DCW29).
• Recruitment and Employment Policy (DCW25).
• Confidentiality and Data Protection (GDPR) Policy (DCW34).

12. Policy Review

This policy will be reviewed annually or sooner if required by legislative updates, CIW guidance, or operational needs.

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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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