Manager's guidance to the procedure
Please contact your Human Resources Business Partner for advice on this procedure if required.
Stage 1 - Identifying the need for a check
The need for a certificate should be established by the Recruiting Manager early on in the recruitment process and be highlighted on the ESR1. The manager should also include a statement to that effect within the job description. Note: The DBS charge for the certificate will be met by the recruiting College/Service.
Before we can ask a person to make an application for a DBS check, we are legally responsible for ensuring that we are entitled to ask the employee to reveal their conviction history. The Exceptions Order to the Rehabilitation of Offenders Act (ROA) 1974 lists the types of work, employment or professions on which we can legally obtain a check.
The key criterion for checking employees is "regular and unsupervised contact", (ad hoc or irregular contact for short periods of time are not eligible), with children or vulnerable adults.
Definition of a child: the Criminal Justice and Court Services Act defines a child as someone who is under 18 (under 16 if the child is employed).
Definition of a vulnerable adult: a person aged 18 or over who has a condition of the following type: i) a learning or physical disability; ii) a physical or mental illness, chronic or otherwise, including an addiction to alcohol or drugs; iii) a reduction in physical or mental capacity.
Some example University posts:
- Student support staff: who may be involved with counselling and advising vulnerable adults (eg counsellors)
- Nursery nurses
- Research staff: who are carrying out research in schools or hospitals
- Academic staff: who are carrying out teaching/research duties in a clinical environment
- Student recruitment/widening participation/Summer School staff: who are regularly visiting schools/colleges and are involved with children's activities.
- Teachers of foreign language students: eg TEFL teachers who participate in summer schools
- Sports Centre staff: who are coaching children and/or participating in children's activities
This is not an exhaustive list, a risk assessment should be undertaken when deciding whether or not a post requires a check.
Stage 2 - Offer of employment
The successful candidate will be sent a DBS application form and a University of Exeter self disclosure form with their written offer of employment and will be informed of the DBS Code of Practice.
Stage 3 - Obtaining a check
The successful candidate will complete the DBS application form and the University of Exeter self disclosure form. HR will be responsible for checking the identity documents against the form, authorising it and sending the relevant documentation to the DBS. The certificate can take up to 8 weeks to be returned by the DBS.
Stage 4 - Outcome of the certificate
When the application has been processed, the DBS will send one copy of the certificate to the individual and another to the University (your HR Business Partner). The certificate will cover any past convictions to the date that it is issued.
Having a criminal record will not necessarily bar an applicant from working within the University. Rather, depending on the nature of the position and the circumstances and background of the offences, a decision will be made in agreement with the College Dean/Head of Service and the HR Business Partner.
Any offences or matters that are declared or disclosed which might be relevant to the position will be discussed with the applicant, College Dean/Head of Service and the HR Business Partner. Failure to reveal information that is directly relevant to the position sought may lead to withdrawal of an offer of employment or disciplinary action including dismissal. The University undertakes to discuss any matter revealed in a certificate with the person seeking the position before withdrawing a conditional offer of employment or amending an employee's duties.
Other issues
DBS certificate not received by start date of employment
Should the certificate not be returned by the DBS by the date that the applicant is due to commence employment, then information stated on the Self Disclosure form should be taken into account.
Data protection and confidentiality
Information regarding offences and any other information provided in a DBS certificate and the University Self Disclosure form must be kept confidential and on a need-to-know basis. In the event that the Project/work is being co-ordinated by someone external to the College/Service eg Education Liaison Office, then information given in the certificate will also be shared with the Senior Manager in that department. Applicants need to be confident that information about their convictions will not be disclosed to colleagues unless there is a specific reason for doing so. On appointment an individual with a conviction should be advised as to who within the organisation knows of their conviction and the reason why the information has been disclosed.
Where the applicant will be involved with working with a partner organisation, explicit consent will be obtained from the applicant to agree to information received in the certificate being shared with the organisation. The applicant will be asked to sign a written statement agreeing to this.
Information on decisions will be noted but the certificate will be destroyed and not record of criminal matters, past or pending will be kept on the individual's personnel file. However, information regarding the post being subject to a DBS check will be recorded (see Statement on the secure storage, handling, use, retention & disposal of Disclosures).
Lifespan of certificates and frequency of checks
A DBS certificate will give details of any past convictions to the date that it is issued. Since it provides only "snapshot" information on the date it is issued, Colleges/Services should not rely solely upon the DBS certificate to manage the risks associated with working with children and vulnerable adults. It is the policy of the University to require a new Enhanced Certificate every three years (unless changes in the job mean that it is no longer required).
