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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Employee DBS Reporting Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} effectively manages the Disclosure and Barring Service (DBS) checks for employees, in compliance with CQC regulations, the Health and Social Care Act 2008, the Safeguarding Vulnerable Groups Act 2006, and the Rehabilitation of Offenders Act 1974. The policy establishes robust procedures for obtaining, renewing, and reporting DBS checks to safeguard service users and maintain a legally compliant workforce.

This policy aims to:

• Ensure all employees meet the legal and regulatory requirements for working in health and social care settings.
• Prevent individuals who pose a risk from working with vulnerable adults.
• Comply with CQC regulations regarding safe staffing and safeguarding practices.
• Provide clear guidance on the frequency of DBS checks and the process for reporting concerns.

2. Scope

This policy applies to:

• All employees, including permanent, temporary, agency, and volunteer staff.
• Job applicants and prospective employees.
• Contractors and external service providers who have direct contact with service users.
• Registered managers, safeguarding leads, and HR personnel responsible for ensuring compliance.

3. Legal and Regulatory Compliance

This policy aligns with:

• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014:
  • Regulation 5 – Fit and Proper Persons: Directors
  • Regulation 13 – Safeguarding Service Users from Abuse and Improper Treatment
  • Regulation 17 – Good Governance
  • Regulation 19 – Fit and Proper Persons Employed
• Disclosure and Barring Service (DBS) Regulations – Governs background checks.
• Safeguarding Vulnerable Groups Act 2006 – Legal duty to prevent unsuitable individuals from working with vulnerable people.
• Rehabilitation of Offenders Act 1974 – Rules on criminal record disclosures.
• General Data Protection Regulation (GDPR) and Data Protection Act 2018 – Governs data handling of DBS records.

4. DBS Check Requirements and Categories

4.1 Types of DBS Checks

• Basic DBS Check – Includes unspent convictions and cautions.
• Standard DBS Check – Includes spent and unspent convictions, cautions, warnings, and reprimands.
• Enhanced DBS Check – Includes everything from a Standard Check, plus additional information held by police.
• Enhanced DBS Check with Barred Lists – Includes all of the above plus checks against the adults’ and/or children’s barred lists.

{{org_field_name}} requires Enhanced DBS Checks with Barred List checks for all staff providing direct care.

4.2 Who Requires a DBS Check?

• All frontline care staff (support workers, carers, nurses, managers) must have an Enhanced DBS Check with Barred List.
• Ancillary staff (cleaners, kitchen staff, maintenance workers) require a Standard DBS Check, unless they have unsupervised contact with service users.
• Office-based staff (admin, finance) require a Basic DBS Check, unless their role involves access to sensitive service user information.

5. Recruitment and Pre-Employment DBS Process

5.1 Obtaining a DBS Check

1. All job offers are conditional upon a satisfactory DBS check.
2. HR must request and verify the DBS certificate before employment begins.
3. If a DBS check is delayed, risk assessments and supervision arrangements must be put in place.
4. A copy of the certificate number and issue date will be recorded securely in compliance with GDPR.
5. Any disclosures on a DBS check will be risk-assessed before a final hiring decision is made.

5.2 Assessing DBS Disclosures

If a DBS check reveals convictions or concerns, HR will:

• Conduct a risk assessment based on the nature of the offence, time passed, and relevance to the role.
• Discuss the disclosure confidentially with the applicant.
• Consider whether safeguarding risks can be mitigated.
• Consult senior management and safeguarding leads before a final decision is made.

A criminal record does not automatically disqualify a candidate unless the offence is relevant to safeguarding.

6. Ongoing DBS Monitoring and Renewal

6.1 Renewal Requirements

• DBS checks must be renewed every 3 years for all care staff.
• Employees are encouraged to subscribe to the DBS Update Service, allowing for real-time status checks.
• Any changes in criminal records must be reported to HR immediately.
• Random DBS audits will be conducted to ensure ongoing compliance.

6.2 Reporting Changes to DBS Status

If an employee is arrested, charged, or convicted of an offence during employment, they must:

• Notify HR immediately.
• Submit to a new risk assessment to determine fitness to practice.
• Agree to a repeat DBS check if deemed necessary.
• Understand that failure to disclose criminal activity may lead to disciplinary action.

7. Handling and Storing DBS Information

7.1 GDPR Compliance

• DBS information will be securely stored in line with GDPR.
• Only authorised personnel will have access to DBS records.
• DBS certificates will not be retained longer than necessary (6 months maximum).

7.2 Data Protection and Confidentiality

• Information must not be shared without the consent of the individual.
• Any breach of confidentiality may result in disciplinary action.

8. Managing DBS Concerns and Referrals

8.1 Reporting to the DBS and CQC

If an employee poses a risk to service users, {{org_field_name}} must:

1. Immediately remove the individual from duties involving service users.
2. Report safeguarding concerns to the local authority.
3. Refer the individual to the DBS under legal barring referral obligations.
4. Notify the CQC in cases where an employee’s fitness to practice is in question.

8.2 DBS Barring Decisions

If an employee is barred from working with vulnerable adults, they:

• Must cease employment immediately.
• Will not be permitted to reapply for a role within social care.
• May appeal through the DBS appeal process.

9. Staff Training and Responsibilities

9.1 Training Requirements

All staff must be trained on:

• DBS requirements and reporting duties.
• Safeguarding and recognising risks related to staff misconduct.
• Data protection and handling sensitive information.

9.2 Roles and Responsibilities

• HR and Recruitment Teams – Ensure all DBS checks are completed and recorded.
• Line Managers – Monitor ongoing employee suitability and report concerns.
• Safeguarding Leads – Manage referrals and liaise with external agencies if needed.

10. Monitoring, Compliance, and Continuous Improvement

10.1 Auditing and Review

• Quarterly audits of DBS records will be conducted.
• Any patterns of DBS-related concerns will be reviewed for policy improvements.
• Staff feedback will be incorporated into training updates.

10.2 Continuous Policy Improvement

• This policy will be reviewed annually or sooner if legal requirements change.
• Updates will be communicated to all staff and relevant stakeholders.

11. Related Policies

• Safeguarding Adults from Abuse and Improper Treatment Policy
• Recruitment and Selection Policy
• Staff Conduct and Disciplinary Policy
• Data Protection and Confidentiality Policy

12. Policy Review

This policy will be reviewed annually to ensure compliance with CQC, DBS regulations, and safeguarding best practices.

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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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