Manager's guidance to the DBS procedure

New staff: 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 Faculty/Service.

Existing staff: The Line Manager should complete the DBS Request and Approval form.

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.

Any person carrying out duties classed as  Regulated Activity need to be apply for an Enhanced with Barred List (Child and /or adult) check.

For roles requiring a DBS check, it is essential that the recruitment panel undertakes a thorough and robust approach during the interview process. In particular, the panel must ensure that any gaps in employment history and the reasons for leaving previous roles are explored in detail with each candidate. These discussions should take place during the interview and must be clearly documented as part of the interview record.

This step is a vital safeguarding measure to help identify any potential concerns and to ensure a transparent and safe recruitment process, particularly when candidates will be working with children or vulnerable adults

The successful candidate will be emailed the log in details to a secure website where the checks will be carried out using an external supplier. Information on self disclosure will also be included and the candidate will be informed of the DBS Code of Practice.

If the individual already works for the University and has signed up to the DBS Update Service, then the university can check their status online.

Obtaining references for potential staff is always important but particularly so for those roles where a DBS check is required.  All references should be received for these specific roles prior to a job offer being made. It is essential that all references are not only obtained but also deemed satisfactory before confirming an appointment. Any potential concerns identified should be discussed with the applicant and addressed prior to employment commencing,

The successful candidate will complete the DBS application form online and may be asked to self-disclose any relevant information to the University of Exeter if necessary. HR will be responsible for verifying the identity documents against the information completed online by the candidate and HR will then submit the check.

The disclosure will be sent directly to the candidate from the DBS and the University will only be informed if the check is clear or if there is a disclosure. Where a disclosure has been made, the University will contact the candidate to ask to see a copy of the DBS disclosure and discuss the circumstances in more detail.

When the application has been processed, the DBS will send a copy of the certificate to the individual. The DBS are no longer sending certificates to the employer however the online system will inform the University if the disclosure is clear or not (but will include no further detail). The disclosure will cover any past convictions to the date that it is issued. Should any disclosures be made then you may be required to present the disclosure to HR.

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 Faculty PVC/Head of Service and the HR Partner.

Any offences or matters that are declared or disclosed which might be relevant to the position will be discussed with the applicant, Faculty PVC/Head of Service and the HR 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 disclosure with the person seeking the position before withdrawing a conditional offer of employment or amending an employee's duties after consultation with the Director of HR.

Guidance on the documentation process if a DBS is not clear.

In instances where a DBS check reveals information (i.e. it is not “clear”), it is essential that a fair, consistent, and well-documented process is followed. Recruiting managers must conduct a confidential discussion with the candidate to explore the content of the DBS disclosure and allow the candidate the opportunity to provide context or clarification.

When documenting the discussion, all notes should be treated as confidential and stored securely, in line with data protection legislation. Only individuals involved in the recruitment decision should have access to this information.

1. Recording:
   • Record the date and time of the discussion.
   • Note who was present during the meeting.
   • Summarise the nature of the information disclosed in the DBS check (e.g., caution, conviction, or other relevant detail) without unnecessary detail.
   • Capture the candidate’s explanation or context provided during the discussion, using their own words where possible.
   • Avoid subjective commentary—stick to what was said and any responses given.
2. Assessment and Outcome:
   • Document the panel or recruiting manager’s assessment of the relevance of the disclosure to the role.
   • Consider factors such as the seriousness of the offence, how long ago it occurred, its relevance to the duties of the role, and evidence of rehabilitation.
   • Clearly record the final decision and the rationale for proceeding or not proceeding with the appointment.
3. Follow-Up Actions (if any):
   • Note any conditions, additional checks, or agreed actions (e.g., safeguarding measures or further references).
4. Retention:
   • Keep records only for as long as necessary and in accordance with the organisation’s DBS and data retention policies.

This approach ensures transparency, supports fair recruitment, and strengthens safeguarding by providing an audit trail that demonstrates due diligence and compliance with safer recruitment practices.