Document name:
Document type:
Disclosure of Criminal Records for
Employment and Voluntary
Appointments
Human Resources Guidance
Staff group to whom it applies:
All staff within the Trust
Distribution:
The whole of the Trust
How to access:
Intranet and internet / ward folder
Issue date:
March 2002
Next review:
January 2010
Approved by:
Director of Human Resources and
Workforce Development
Developed by:
James Corson Human Resources
Manager
Director lead:
Director of Human Resources and
Workforce Development
Contact for advice:
James Corson Human Resources
Manager or other Human
Resources Manager
Brief Overview of this Document
This Document provides guidance to Trust managers and staff on Criminal Records
Bureau (CRB) Disclosures (checks). It also details the procedures the Trust is
required to have in place to continue to be a CRB Registered Body.
Although not a legal requirement, CRB Disclosures are mandatory for all eligible
new staff in line with the Department of Health's "Standards for Better Health".
It is important to be aware that it is illegal to carry out a standard or enhanced
disclosure on any post which is not exempt from Rehabilitation of Offenders Act and
to do so could render an employer liable for legal action. Employers can only request
information about unspent convictions for any post which is not exempted under this
Act.
What this Document contains:

The different types of Disclosures - Standard and Enhanced

Information about the Rehabilitation of Offenders Act (Appendix 3). This Act
means that applicants for certain posts must declare previous convictions, which
might otherwise have been regarded as ‘spent’.

A policy on the recruitment of ex-offenders, so that having a criminal conviction
will not necessarily bar their recruitment by the Trust(Appendix 4).

A list of the jobs in the Trust which are required to have an enhanced disclosure
is at Appendix 2.

Important guidance to assist managers on how a CRB Disclosures is obtained, is
given at Appendix 6.

Information on what a manager may be able to do, should they need a member
of staff to start before a Disclosure is obtained from the CRB, or if an applicant
declares they have a criminal conviction, is given at Appendices 8 and 9.
See also the Recruitment Policy Code of Practice for further information regarding
recruitment and pre employment screening.
Contents
Page Number
Introduction
1
Criminal Records Bureau
1
The Disclosure Scheme
1
Maintaining Fair Play and Confidentiality
2
Guidance for Managers Involved in Employment Decisions
3
Guidance for Applicants
4
Procedure for Obtaining Disclosures
4
Access to the Additional information available
under the Care Standards Act 2000
4
Appendices
Appendix 1
CRB’s Code of Practice
Appendix 2
Posts Requiring Disclosures within the Trust
Appendix 3
Information and Policy on the Recruitment of Ex-Offenders
Appendix 4
Rehabilitation of Offenders Act 1974
Appendix 5
Security Policy Covering the Correct Handling and Safe-Keeping of
Disclosure Information
Appendix 6
Information for Appointing Officers
Appendix 7
Advice from the CRB Regarding Accepting Previously Issued
Disclosures
Appendix 8
Risk Assessment Form – Starting an Individual with no
CRB Disclosure
Appendix 9
Risk Assessment Form – Employing an individual who has
declared a criminal conviction
1.0
INTRODUCTION
Circular HSG(94) 43 required the Trust to minimise the risk to children in its care, by
ensuring that police checks were carried out. These checks applied to staff and
volunteers recruited to positions which had substantial access to children.
From 1st March 2002 the Criminal Records Bureau provided this service for
employers, which was previously undertaken by the police. In addition, they
undertake disclosures on staff and volunteers who work with vulnerable adults. It is
this latter which is mainly used by the Trust.
Circular HSC 2002/008 requires Trusts to ensure that they are carrying out
appropriate pre and post appointment screening. This includes using the Criminal
Records Bureau to undertake disclosures as appropriate. CRB Disclosures are now
mandatory for all NHS staff having contact with patients in the course of their duties.
2.0
THE CRIMINAL RECORDS BUREAU
The Criminal Records Bureau (CRB) was set up by the Home Office to improve
access to criminal record disclosures for employment-related and voluntary
appointment purposes. The level of disclosure is determined by the duties of the
position to be taken up.
In general, work that brings adults into close contact with children or other vulnerable
groups, and jobs that are sensitive for other reasons will qualify for the highest level
Disclosure, an Enhanced Disclosure.
The CRB draws on four primary sources of information:




The Police National Computer (PNC), which is a centralised information point for
the police forces of England and Wales.
Records held by the Department of Health about people considered unsuitable
for work with children or with vulnerable adults.
Similar records held by the Department for Education and Skills and
Local police force records.
The Bureau has a responsibility to check that recipients of disclosure information act
responsibly and use the information provided in an appropriate manner. Accordingly,
the Bureau has indicated it will monitor compliance with their Code of Practice (see
Appendix 1), by the Trust.
3.0
THE DISCLOSURE SCHEME
There are three levels of Disclosure available. The level is dependent on the type of
work involved. See Appendix 2 for those posts deemed to require Disclosures by the
Trust. The CRB are also able to offer guidance as to which Disclosure is appropriate
for a particular job.
3.1
The Basic Disclosure
These will be issued to the individual concerned on their request, subject to
confirmation of their identity. It will contain details of convictions held in
central police records which are not spent under the terms of the
Rehabilitation of Offenders Act 1974, or it will state if there are no such
convictions. Any employer is able to request a potential employee to apply for
a Basic Disclosure.
1
NB the Rehabilitation of Offenders Act 1974 enables certain convictions to be
regarded as ‘spent’ after a period of time. These ‘spent’ convictions would not
be disclosed in a Basic Disclosure. As the NHS has exemptions under this
Act, Basic Disclosures would not usually provide the appropriate level of
disclosure required by the Trust.
The CRB have not made this level of disclosure available as yet (November 2007).
See web site for further information: http://www.crb.gov.uk/default.aspx?page=0
3.2
Standard Disclosure
Standard Disclosures are for positions that involve regular contact with those
aged under 18, or people of all ages who may be vulnerable for other
reasons.
These may also be relevant for people entering other occupations which
involve positions of trust, for example accountancy professions.
The Disclosure will contain details of all convictions on record including
current and spent convictions (i.e. those that happened some time ago and
are defined as spent under the Rehabilitation of Offenders Act). In addition,
they include details of any cautions, reprimands or warnings held on the
police national computer.
If a job or voluntary position involves regular contact with children or
vulnerable adults, a Standard Disclosure will also give information contained
on government department lists, of those unsuitable to work with children or
vulnerable adults. These lists are held by the Department of Health and the
Department for Education and Skills.
3.3
Enhanced Disclosure
Enhanced Disclosures are for posts involving greater contact with children or
vulnerable adults. Such work might involve regularly caring for, training,
supervising or being in sole charge of such people.
As well as the information that would be on a Standard Disclosure for work
involving regular contact with children, Enhanced Disclosures may also
contain information that is held locally by the police.
This is the Disclosure that the Trust would normally expect to obtain.
4.0
MAINTAINING FAIR PLAY AND CONFIDENTIALITY
A condition of using the Disclosure service provided by the CRB, is that employers
will need to comply with the CRB’s Code of Practice (See Appendix 1). The Code of
Practice addresses both maintaining fair play and ensuring the confidentiality of all
information, throughout the whole process.
4.1
The Recruitment of Ex-offenders
The CRB requires that all recipients of disclosure information shall in the
interests of fair play:

Have a written policy on the recruitment of ex-offenders, so that a copy
can be given to all applicants for positions where a Disclosure will be
requested. (See Appendix 3).
2





4.2
Include in application forms, or accompanying material, a statement to the
effect that a criminal record will not necessarily be a bar to obtaining a
position, in order to reassure applicants that Disclosure information will
not be used unfairly.
Ensure that accompanying material with application forms for positions
where Disclosures will be requested, contain a statement that a
Disclosure will be requested in the event of a successful application, so
that applicants are aware of the situation.
Discuss any matters revealed in Disclosure information with the person
seeking the position before withdrawing an offer of employment.
Make every subject of a Disclosure aware of the existence of the CRB’s
Code of Practice (see Appendix 1) and make a copy available on request;
and
In order to assist staff to make appropriate use of Disclosure information
in reaching decisions, make available guidance in relation to the
employment and fair treatment of ex-offenders and to the Rehabilitation of
Offenders Act 1974.
Confidentiality
The CRB requires that all recipients of disclosure information shall in the
interests of ensuring confidentiality:





Have a written security policy covering the correct handling and safekeeping of Disclosure information (See Appendix 4).
Ensure that Disclosure information is not passed to persons not
authorised to receive it under section 124 of the Act. Under section 124,
unauthorised disclosure is an offence.
Ensure that Disclosures and the information they contain are available
only to those who need to have access to it, in the course of their duties.
Securely store Disclosures and the information that they contain.
Ensure neither Disclosures nor a record of Disclosure information
contained within them, is retained for longer than is required for the
particular purpose.
In general, this should be no later than six months after the date on which
recruitment or other relevant decisions have been taken. Or after the date on
which any dispute about the accuracy of the Disclosure information has been
resolved. This period should be exceeded only in exceptional
circumstances, which justify retention for a longer period.
5.0
GUIDANCE FOR MANAGERS INVOLVED IN EMPLOYMENT DECISIONS
Staff involved in employment and other decisions using Disclosure information
should receive guidance in the areas of:




The employment of persons who have been convicted in the past.
The Rehabilitation of Offenders Act and the Exceptions Order there under.
The Police Act 1997 and
The CRB’s Code of Practice.
Guidance for managers involved in the recruitment and selection process is outlined
at Appendix 6. There is also further in guidance in the Recruitment Policy and Code
of Practice (see the document store on the Trust’s Intranet / Internet)
The pros and cons of using a CRB Disclosure previously obtained on an individual,
by another organisation are listed at Appendix 6. Before considering using such a
Disclosure, the manager must discuss its acceptability with their HR manager.
3
6.0
GUIDANCE FOR APPLICANTS
Each applicant for a position (which requires a Disclosure), should be informed that a
Disclosure will be sought. This will be included in the advertisement and in other
recruitment documentation sent out with the application form.
Applicants will also receive the policy on the Recruitment of Ex-offenders and should
be made aware of the Trust’s commitment to CRBs Code of Practice. They will also
be informed that they can obtain a copy of the CRBs Code of Practice from the Trust.
7.0
PROCEDURE FOR OBTAINING DISCLOSURES
After the most suitable candidate has been selected for a post (which requires a
Disclosure), the offer of a post is provisional, subject to satisfactory medical and CRB
Disclosure.
The Trust will send a pre-printed Disclosure form (supplied by the CRB) to the
candidate. They will then complete the appropriate part of the form and take it with
the appropriate identity documents to their new manager. The manager will then
check the identity documents and fill in the details about the documents on the form
as required. The form will then be passed back to the recruiting officer and /or the
Countersignatory, who is authorised to countersign the form. It will then be sent to
the CRB for processing.
8.0
ACCESS TO THE ADDITIONAL INFORMATION AVAILABLE UNDER THE
CARE STANDARDS ACT 2000
The Care Standards Act 2000 provides for a scheme for the Protection of Vulnerable
Adults (PoVA), similar to the Protection of Children Act (PoCA) scheme. This scheme
holds information about individuals where there are concerns about them, but not to
the extent of a criminal conviction.
PoVA currently only applies to regulated posts within the Social Care Sector i.e. care
homes and domiciliary care services, and not the NHS. In the absence of a PoVA
check, care should be taken when recruiting staff to sensitive positions which involve
the care of the most vulnerable adult patients.
Changes to legislation are likely under the Safeguarding of Vulnerable Adults Act and
the launch of the new Vetting & Barring Scheme from Autumn 2008.
CRB Disclosures however will disclose any criminal records that an individual
may have in connection with caring for Vulnerable Adults.
4
APPENDIX 1
CRB CODE OF PRACTICE
FOR REGISTERED PERSONS AND OTHER RECIPIENTS OF DISCLOSURE
INFORMATION
Introduction
This Code of Practice is published under section 122 of the Police Act 1997 ("the
Act") in connection with the use of information provided to registered persons
("Disclosure information") under Part V of that Act.
Disclosure information
Is information:



contained in criminal record certificates under section 113 of the Act (which are
referred to in this Code as "Standard Disclosures"), or
contained in enhanced criminal record certificates under section 115 of the Act
(referred to in this Code as "Enhanced Disclosures"), or
provided by the police under section 115(8) of the Act.
Except where indicated otherwise, the Code of Practice applies to all recipients of
Disclosure information - that is to say:



registered persons,
those countersigning Disclosure applications on behalf of registered persons, and
others receiving such information.
Where reference is made to "employers", this should be read as including any person
at whose request a registered person has countersigned an application, including:


voluntary organisations and others engaging, or using the services of, volunteers,
and
regulatory and licensing bodies.
Further information in relation to the Code, and other matters relating to registered
persons and others having an involvement with Disclosure information, is contained
in an Explanatory Guide.
Purpose of the Code
The Code of Practice is intended to ensure - and to provide assurance to those
applying for Standard and Enhanced Disclosures - that the information released will
be used fairly.
The Code also seeks to ensure that sensitive personal information is handled and
stored appropriately and is kept for only as long as necessary. Guidance to
employers on other matters will be issued separately.
Obligations of the Code
These are as follows:
1. Fair use of Disclosure information
Recipients of Disclosure information shall:
 observe guidance issued or supported by the Criminal Records Bureau ("the
Bureau") on the use of Disclosure information - and, in particular, recipients of
Disclosure information shall not unfairly discriminate against the subject of
Disclosure information on the basis of conviction or other details revealed.
In the interest of the proper use of Disclosure information and for the reassurance of
persons who are the subject of Disclosure information, registered persons shall:


have a written policy on the recruitment of ex-offenders, so that a copy can be
given to all applicants for positions where a Disclosure will be requested.
ensure that a body or individual at whose request applications for Disclosures are
countersigned has such a written policy and, if necessary, provide a model for
that body or individual to use.
In order that persons who are, or who may be, the subject of Disclosure information
are made aware of the use of such information, and be reassured Employers shall:





ensure that application forms for positions where Disclosures will be requested
contain a statement that a Disclosure will be requested in the event of a
successful application, so that applicants are aware of the situation;
include in application forms or accompanying material a statement to the effect
that a criminal record will not necessarily be a bar to obtaining a position, in order
to reassure applicants that Disclosure information will not be used unfairly;
discuss any matters revealed in Disclosure information with the person seeking
the position before withdrawing an offer of employment.
make every subject of a Disclosure aware of the existence of this Code of
Practice, and make a copy available on request; and
in order to assist staff to make appropriate use of Disclosure information in
reaching decisions, make available guidance in relation to the employment and
fair treatment of ex-offenders and to the Rehabilitation of Offenders Act 1974.
2. Handling of Disclosure information
Recipients of Disclosure information:




must ensure that Disclosure information is not passed to persons not authorised
to receive it under section 124 of the Act. Under section 124, unauthorised
disclosure is an offence;
must ensure that Disclosures and the information they contain are available only
to those who need to have access in the course of their duties;
must securely store Disclosures and the information that they contain;
should retain neither Disclosures nor a record of Disclosure information contained
within them for longer than is required for the particular purpose. In general, this
should be no later than six months after the date on which recruitment or other
relevant decisions have been taken, or after the date on which any dispute about
the accuracy of the Disclosure information has been resolved. This period should
be exceeded only in very exceptional circumstances which justify retention for a
longer period.
Registered persons shall:


have a written security policy covering the correct handling and safe-keeping of
Disclosure information; and
ensure that a body or individual at whose request applications for Disclosures are
countersigned has such a written policy, and, if necessary, provide a model for
that body or individual to adopt.
3. Assurance
Registered persons shall:


cooperate with requests from the Bureau to undertake assurance checks as to
the proper use and safekeeping of Disclosure information
report to the Bureau any suspected malpractice in relation to this Code of
Practice or any suspected offences in relation to the misuse of Disclosures.
4. Failure to comply with the Code of Practice
The Bureau is empowered to refuse to issue a Disclosure if it believes that:


a registered person, or
someone on whose behalf a registered person has acted has failed to comply
with the Code of Practice.
APPENDIX 2
POSTS REQUIRING DISCLOSURES WITHIN THE TRUST
The Following Posts Require Enhanced Disclosures:
Counsellors
Dieticians
Domestics
Heath Care Assistants or equivalent
Home Support Workers
Housekeepers
Medical Staff (including locums where appropriate)
Occupational Therapists
Patient Advocacy and Liaison Service workers who work with to patients or clients
Pharmacists and pharmacy support staff as appropriate
Physiotherapists
Porters
Psychologists
Qualified Accountants when required
Qualified Nurses
Student Nurses
Therapy Assistants
Ward clerks
Ward Orderlies
Voluntary workers who may work with Mental Health Service Users or Vulnerable
Adults
APPENDIX 3
INFORMATION AND POLICY ON THE RECRUITMENT OF EX-OFFENDERS
Policy statement
The Trust has a duty to protect the patients and clients in its care. Any decisions
regarding the recruitment of staff will be guided by this principle.
The Trust in using the Criminal Records Bureau (CRB) Disclosure service to assess
applicants' suitability for positions of trust, will comply with the CRB’s Code of
Practice.
The Trust undertakes to treat all applicants for positions fairly and actively promotes
equality of opportunity for all. Applications are welcomed from a wide range of
candidates, including those with criminal records. Candidates are selected for
interview based on their skills, qualifications, experience and the requirements of the
post. A Disclosure is only requested where it is proportionate and relevant to the
position concerned.
Procedure
For those positions where a Disclosure is required, there will be a statement that a
Disclosure will be requested in the event of the individual being offered the position.
This statement will be included with application forms. The existence of this policy on
the recruitment of ex-offenders, will also be notified to all Disclosure applicants at the
outset of the recruitment process.
Rehabilitation of Offenders Act 1974 (Exemptions) Order 1975 (Amendment)
Order 1986
Due to the nature of the service provided by the NHS, the Trust is exempt from the
provisions of the Rehabilitation of Offenders Act 1974. This means that those
criminal offences that would normally be regarded as ‘spent’ (ie not needing to be
disclosed) under the Act, must be disclosed to the Trust.
There is therefore a requirement for all applicants called for interview to provide
details of their criminal record on the application form. This information will only be
seen by those who need to see it as part of the recruitment process.
Managers involved in the recruitment process will have been trained to identify and
assess the relevance and circumstances of offences. They will also have received
appropriate guidance and training in the relevant legislation relating to the
employment of ex-offenders, e.g. the Rehabilitation of Offenders Act 1974.
Disclosure of Convictions
At interview, or separately, an open and measured discussion will take place on the
subject of any offences or other matters that might be relevant to the position. Failure
to reveal information that is directly relevant to the position sought could lead to
withdrawal of an offer of employment.
Every individual who is subject to a CRB Disclosure will be made aware of the
existence of the CRB Code of Practice and that a copy is available on request.
The Trust undertakes to discuss any matter revealed in a Disclosure with the person
seeking the position before withdrawing a conditional offer of employment.
Having a criminal record will not necessarily bar individuals from working with
the Trust.
APPENDIX 4
REHABILITATION OF OFFENDERS ACT 1974 (Exemptions) Order 1975
(Amendment) Order 1986 (overview)
The Rehabilitation of Offenders Act 1974 enables criminal convictions to become
“spent” or ignored after a rehabilitation period. The length of the rehabilitation period
depends on the sentence given not the offence committed. For a custodial sentence,
the rehabilitation period is decided by the original sentence, not the time served.
Custodial sentences of two and a half years can never be spent. After the
rehabilitation period, with certain exceptions, an ex-offender is not obliged to mention
their convictions when applying for a job. The Act is more likely to help people with
few and/or minor convictions because further convictions usually extend rehabilitation
periods. People with many convictions, especially serious ones, may not benefit from
the Act unless the convictions are very old.
Due to the nature of the services provided by the NHS, most posts within the Trust
are exempt from the provisions of the Rehabilitation of Offenders Act 1974. This
means that those criminal offences that would normally be regarded as “spent” (ie
not needing to be disclosed) under the Act, must be disclosed to the Trust.
Where the position is a “regulated position” under the terms of the Protection of
Children Act 1999, checks will be carried out in accordance with the Act by the
Criminal Records Bureau (CRB). This means that anyone whose name is on the
Child register list, is barred from working with children. The Trusts Recruitment Policy
outlines the extra stages in the recruitment process which must apply when
appointing to posts with substantial access to children. Note: It is an offence for an
individual knowingly to offer work, or procure work for such a person.
There is a requirement for all applicants to provide details of their criminal
convictions. Applicants for those post exempt from the Act (see Appendix 1), are
required to obtain a CRB Disclosure and, complete and sign the Trust’s Declaration
Form (see below). A Disclosure is the process where the CRB checks the
background of the job applicant, to ensure that they do not have a history that would
make them unsuitable for the post they have applied for. Failure by an applicant to
reveal information that is directly relevant to the position sought could lead to the
Trust withdrawing a conditional offer of employment/work or terminating employment.
TRUST DECLARATION FORM
The Trust Declaration Form seeks to check the background of the job applicant
regarding criminal convictions, employment misconduct or, Professional practice
restrictions whilst working in the UK or any other country. Registration with a
professional body imposes a duty on health care professionals to provide a good
standard of care as laid down by their professional body. In order to assess job
related risks, applicants for posts that are exempt from the Rehabilitation of
Offenders Act 1974 will, in addition to the CRB Disclosure, be required to complete
and sign the Trust’s Declaration Form (see Appendix 11). Both the CRB Disclosure
and the Trust Declaration Form must be deemed satisfactory to the Trust before an
offer of appointment/work can be confirmed.
APPENDIX 5
SECURITY POLICY COVERING THE CORRECT HANDLING AND SAFEKEEPING OF DISCLOSURE INFORMATION
General principles
As an organisation using the Criminal Records Bureau (CRB) Disclosure service to
help assess the suitability of applicants for positions of trust, the Trust complies fully
with the CRB Code of Practice regarding the correct handling, use, storage, retention
and disposal of Disclosures and Disclosure information. It also complies fully with its
obligations under the Data Protection Act and other relevant legislation pertaining to
the safe handling, use, storage, retention and disposal of Disclosure information and
has a written policy on these matters, which is available to those who wish to see it
on request.
Storage & Access
Disclosure information is never kept on an applicant's personnel file and is always
kept in the Human Resources Directorate, separately and securely, in lockable, nonportable, storage container with access strictly controlled and limited to those who
are entitled to see it as part of their duties.
Handling
In accordance with section 124 of the Police Act 1997, Disclosure information is only
passed to those who are authorised to receive it in the course of their duties. That is,
those Human Resources staff involved in the process and those managers on the
appointment panel. A record of all those to whom Disclosures or Disclosure
information has been revealed will be kept in the Human Resources Directorate. It is
a criminal offence to pass this information to anyone who is not entitled to receive it.
Usage
Disclosure information is only to be used for the specific purpose for which it was
requested and for which the applicant's full consent has been given.
Retention
Once a recruitment (or other relevant) decision has been made, the Disclosure
information will not be kept for any longer than is absolutely necessary. This is
generally for a period of up to six months, to allow for the consideration and
resolution of any disputes or complaints. If, in very exceptional circumstances, it is
considered necessary to keep Disclosure information for longer than six-months, the
Trust will consult the CRB about this. In so doing it will give full consideration to the
Data Protection and Human Rights of the individual before doing so. Throughout this
time, the usual conditions regarding safe storage and strictly controlled access will
prevail. A Human Resources Officer will be nominated to ensure Disclosure
information is properly retained
Disposal
Once the retention period has elapsed, the nominated Human Resources Officer will
ensure that the Disclosure information is immediately destroyed by shredding.
Photocopies of the Disclosure or any copy or representation of the contents of a
Disclosure will not be kept. However, notwithstanding the above, a record will be kept
in the Human Resources Directorate, of the date of issue of a Disclosure, the name
of the subject, the type of Disclosure requested, the position for which the Disclosure
as requested, the unique reference number of the Disclosure and the details of the
recruitment decision taken.
APPENDIX 6
SOUTH WEST YORKSHIRE MENTAL HEALTH NHS TRUST
CRB DISCLOSURES - INFORMATION FOR APPOINTING MANAGERS
Background
The Criminal Records Bureau (CRB) was set up in March 2002, to act as a ‘one stop
shop’ to enable employers to check the criminal records of appointees, prior to them
taking up a post.
In the past the Trust requested the police to undertake checks on appointees whose
jobs involved ‘substantial access to children’. The CRB now undertakes to obtain
checks ‘Disclosures’, via the national police computer and other Home Office
databases, for all staff who have contact with patients as part of their duties.
Criminal Justice and Court Services Act 2000
Appointing managers should be aware of the responsibility the Criminal Justice and
Court Services Act 2000 places on them regarding a person who is ‘disqualified’ from
working with children.
Though the Act makes it an offence ‘to apply for, offer to do, accept, or do any work
with children (paid or unpaid) if they are disqualified from working with children’. It
also makes it an offence to knowingly offer a disqualified person work with children,
or to allow them to continue in such work.
Thus managers must ensure that the staff they appoint who will work with children,
have been checked through the CRB.
All matters concerning Disclosures must always be treated in strict confidence.
Responsibility of Appointing Managers when Applying for a CRB Disclosure
All appointees to posts that involve giving care to children, or vulnerable adults, must
be screened by the CRB. Due to the nature of the service the Trust provides, this
means that the majority of our posts will require screening. Advice should be taken
from an HR Manager if there is doubt over whether a CRB disclosure should be
sought.
It is important to be aware that it is illegal to carry out a standard or enhanced
disclosure on any post which is not exempt from Rehabilitation of Offenders Act and
to do so could render an employer liable for legal action. Employers can only request
information about unspent convictions for any post which is not exempted under this
Act.
HR will send out the CRB form and Trust’s declaration form to successful applicants
with their offer letter. This will state that the offer is subject to satisfactory CRB
clearance, medical screening and them satisfactorily completing the Trust’s
declaration form.
The CRB requires that all applications are verified by the Trust. Section X should be
completed either by their manager or HR. The details of an individual’s passport,
driving licence etc, need to be recorded at Section X on the form. Additionally their
address must be confirmed by reference to a utility bill (this being noted at Section X
15). Please ensure all documents are authentic. The last section, Section Y, can only
be completed by one of the registered countersignatures in HR.
The CRB states that their target is 90% of Standard Disclosures being returned in 10
days and 90% of Enhanced Disclosures returned in 4 weeks.
What if a Disclosure Has Not Been Received Prior to a Person’s Start Date?
It is only in rare and exceptional circumstances that managers can start an individual
before a satisfactory CRB check has been received. In these cases managers must
undertake a risk assessment (see Risk Assessment form Appendix 8). If the work
involves caring for children then the individual must not start without a satisfactory
CRB check. A Risk Assessment form must be completed and authorised by the
General Manager (or equivalent senior manager in Corporate Services) and a
Human Resources Business Partner (or equivalent in Corporate Services). The Risk
Assessment form will then be forwarded to the Human Resources Recruitment
section for retention on the person’s personal file. If the work involves caring for
children then the individual must not start without a satisfactory CRB check.
Managers must weigh up and be able to justify the risks involved, both to the Trust
and to patients/clients, of letting an individual start before a Disclosure has been
received.
The following points may be helpful when considering whether an individual can start
prior to a Disclosure being received:
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Was the individual working for the Trust prior to accepting the new post?
Has the individual worked for the Trust before?
Did they work for the NHS before?
Did they previously work in a post in an organisation, which screens their staff?
Have they been screened before?
Can reassurances be sought from the previous employer?
What is known about an individual?
Anything declared on their application form?
Have they been asked personally if they have any convictions?
Will they be alone with clients/patients (including on night shifts)?
Can the individual be supervised until they are cleared?
Could they work away from patients, during their induction until clearance is
received?
Have they signed the Trust’s declaration form? If not, ensure they have.
Appointing Applicants with Previous Criminal Convictions
There are usually two circumstances where criminal convictions will be brought to the
attention of the appointing manager. Firstly where declared on the application form
(and / or at interview) and secondly through a Disclosure being received from the
CRB. If a conviction has not been disclosed on the application form, then it is usual
for the provisional offer of employment to be withdrawn. (See Risk Assessment form
Appendix 9)
It is however important to take a balanced view when considering previous declared
convictions when appointing a candidate to a post.
Appointing managers should consider the following:
 Whether the conviction, or other matter revealed, is relevant to the position in
question.
 The circumstances of the offence.
 Whether they were repeated offences
 The seriousness of any offence, or other matter revealed.
 The length of time since the offence, or other matter, occurred.
 Whether the applicant has a pattern of offending behaviour.
 Whether the applicant’s circumstances have changed since the offending
behaviour, or the other relevant matters.
 The circumstances surrounding the offence and the explanation(s) offered.
 The nature of the job – exposure to money, property and people, what risk there
may be to the Trust and its patients.
 The individual’s attempt to ‘go straight’
If an appointing manager wishes to consider appointing an applicant who has
declared previous cautions convictions etc, a Risk Assessment must be undertaken.
(See Risk Assessment form Appendix 9).
A Risk Assessment form must be completed and authorised by the General Manager
(or equivalent senior manager in Corporate Services) and the Human Resources
Business Partner (or equivalent in Corporate Services). The Risk Assessment form
will then be forwarded to the Human Resources Recruitment section for retention on
the person’s personal file. If an applicant has been convicted of a serious criminal
offence (eg assault, fraud, sexual offences etc) advice must be taken from the
Director of Human Resources and Workforce Development.
In circumstances when the appointing manager is in doubt that a post can be offered
to an individual, they must discuss the matter with their HR Manager and, or
appropriate Director.
Unnecessary Checks
If a individual feels that a CRB Disclosure is being sought, but is unnecessary, they
should contact HR immediately, so that the requirements of the post can be
discussed.
Confidentiality
Managers are again reminded that in accordance with section 124 of the Police Act
1997, Disclosure information must only to be passed to those who are authorised to
receive it in the course of their duties. It is a criminal offence to pass this information
to anyone who is not entitled to receive it.
Cost of Disclosures
CRB Enhanced Disclosures currently (November 2007) cost £36 and are charged to
the relevant manager’s budget.
APPENDIX 7
Advice from the CRB Regarding Accepting Previously Issued Disclosures
PORTABILITY FRAMEWORK – Advice from CRB
The CRB no longer facilitates portability, organisations that choose to accept a
previously issued Disclosure do so at their own risk (see limitations below)
What is portability?
Portability refers to the re-use of a CRB check (Disclosure), obtained for a position in
one organisation and later used for another position in another organisation.
How can portability work?
If you ask an individual to be CRB checked and they tell you that they already have a
CRB check, you can:
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Ask the individual to show their copy of the CRB check.
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Contact the Countersignatory named on the front of the CRB check and
confirm that the reference number and identity details match.

Ask if the Countersignatory received any additional information - the
Countersignatory can only confirm or otherwise the existence of such
information – but not the content of the information.
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If there is no additional information, carry out a formal risk assessment to
decide whether to accept the CRB check.
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If there was additional information, you are strongly advised to ask the
individual to apply for a fresh check.
Those who move frequently between short-term appointments may not wish to apply
for a fresh CRB check each time they seek a new position, especially if this occurs
every few days. Similarly, those who take up two positions that both require a CRB
check (for example, a full-time job and a weekend or voluntary position) may be able
to avoid making two applications to the CRB – but read the limitations below and
carry out a full risk assessment.
Limitations

The CRB check may not be at the level you require - there are two different
levels of check: Standard & Enhanced. If an Enhanced check is needed do
not accept a ported Standard check.
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The CRB check may not have included a check of List 99, Protection of
Children Act List (POCA) and/or the Protection of Vulnerable Adults List Act
(POVA).
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A CRB check carries no formal period of validity and the older a check the
less reliable the information is, as the information it contains may not be up to
date. The date of the issue (on the individual’s copy) should be used as a
guide as to when to request a new CRB check.

Information revealed through a CRB check always reflects the information
that was available at the time of its issue.
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You may be required by law to carry out a fresh check with List 99, POCA
and/or POVA. In certain circumstances, portability cannot be used e.g. care
workers need a new POVA check each time they change employment.

An original CRB check, not a photocopy, contains a number of security
features to prevent tampering or forgery.

You need to understand the meaning of the wording that appears in the
information boxes on Disclosure. ‘None recorded’ means no information was
found, ‘Not requested’ means that that check was not done.
o BOX 1 - Police Records of Convictions, Cautions, Reprimands and
Warnings
o BOX 2 - Protection of Children Act List information
o BOX 3 - Protection of Vulnerable Adults List information
o BOX 4 - Information from the list held under Section 142 of the Education
Act 2002
o BOX 5 - Other relevant information disclosed at the Chief Police Officer(s)
discretion.

Once a recruitment decision (or other relevant decision – e.g. for regulatory or
licensing purposes) has been made, a recipient of a Disclosure must not
retain it, or any associated correspondence, for longer than is necessary for
the particular purpose. In general, this should be for a maximum of 6 months.

However:
o If you need to show it to the Commission for Social Care Inspection
(CSCI)/Care Standards Inspectorate for Wales (CSIW), you can keep it until
the next inspection, then it should be destroyed.
o If you are a teaching supply/recruitment agency you can retain CRB checks
for up to 3 years.
Risks

Using a previously issued CRB check does not constitute a fresh CRB check
– the person's criminal record or other relevant information may have
changed since its issue.

Registered Bodies are responsible for the accuracy of the information
provided to the CRB and on which it carries out its checks. By accepting a
previously issued CRB check you are accepting the risk that the previous
Registered Body provided the CRB with a fully validated applicant’s identity
on which to carry out its checks.

Enhanced checks may contain ‘approved’ non-conviction information
provided by the police from their local records. In the majority of cases, the
CRB will print this information on both the applicant’s and Registered Body’s
copy in the box entitled ‘Other relevant information disclosed at the Chief
Police Officer(s) discretion’. However, occasionally the Chief Police Officer
may, if thought necessary in the interests of the prevention or detection of
crime, withhold this information from the applicant’s copy. The Registered
Body's copy will contain the following words ‘Please refer to letter sent under
separate cover’, printed under the date of issue on the Disclosure. If you
choose to accept the applicant’s copy you will need to find out from the
previous Countersignatory if such information was revealed in a separate
letter.
Risk Assessment Framework
If you are considering accepting a previously issued CRB check you should carry out
a full risk assessment. You may also wish to take further independent advice. Any
risk assessment should take into account the following: Are you required by law to
get a new check?
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Is the level of CRB check the same as the level you need?
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How old is the CRB check?
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Is the position for which the previously issued CRB check was obtained
similar to the position for which you need a CRB check?
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Have all checks that you need been carried out?
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Have you validated and authenticated the person’s identity to ensure that the
person presenting the CRB check is the person on whom the check was
done? For instance, have you seen a range of identity documents that
confirm their name, address, date and place of birth?
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Is the applicant still living at the same address as the one printed on the CRB
check?
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If it is an Enhanced check, have you confirmed from the previous
Countersignatory if any additional information was released by way of a
separate letter?
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Have you obtained the consent of the applicant to approach the other
organisation?
SOUTH WEST YORKSHIRE MENTAL HEALTH NHS TRUST
APPENDIX 8
Risk Assessment form for Recording and Determining the Risk of a New Member of Staff Starting before their Criminal Records
Bureau (CRB) Disclosure has been Received
The Possible Risks listed are only examples and managers should ensure that they add any other appropriate risk categories
This form must be completed to ensure all risks have been assessed and a written record placed on their personal file of the decision made.
Risk Factor
Do they currently work for the Trust?
Have they worked for the Trust previously?
Are they currently working in the NHS?
Can they show us their original copy of their CRB disclosure?
What was the nature of the job they were doing previously?
Can reassurances be given by their current employer / manager?
What was declared on their application form and at interview?
Were they asked directly if they had any convictions?
Will they be alone with service users (particularly at night)?
Is there a risk to service users if they start without a check?
Can the individual be placed in a temporary position (during their
induction) under close supervision until the CRB check is
received?
Have they signed the Trust’s declaration form?
Overall Assessment
Bearing in mind the nature of the job – exposure to money,
expectation of trust, risk to service users, is it appropriate to
employ this individual given what they have said and the nature
of the work they are applying for?
If the decision is to appoint, then the manager must discuss and
sign this off with their General Manager and HR Business
Partner.
November 2007
Yes
No
Comments / Action / Decision
General Managers signature:
Date:
HR Business Partners signature:
Date:
APPENDIX 9
SOUTH WEST YORKSHIRE MENTAL HEALTH NHS TRUST
Risk Assessment Form for Recording and Determining the Risk of Employing a New Member of Staff who has Declared they have Criminal
Convictions – this may be for a post that requires a CRB disclosure or not
The Possible Risks listed are only examples and managers should ensure that they add any other appropriate risk categories
This form must be completed to ensure all risks have been assessed and a written record placed on their personal file of the decision made.
An open minded, but challenging view should be taken when discussing previous convictions with the individual. They should be informed that the Trust
always requests a CRB check for service user contact posts, which will reveal convictions usually be regarded as spent (the NHS is Exempt from the
Rehabilitation of Offenders Act). It is unlikely that offences that were of a violent or sexual nature will be permissible in appointing someone to a post where
they have access to service users.
This form must be completed to ensure all risks have been assessed and a written record placed on their personal file of the decision made.
Name of candidate:…………………………………………………….App no:…………………......................Post ref no:……….……………..
Name of appointing manager:……………………………………….Signature:………………………………Date:……………..…….………….
Name of department/service…………………………………………Locality/town…….………………………………………..………………….
Risk Factor
Is the conviction relevant to the nature of the work/post?
What are the circumstances/nature of the crime(s) how relevant are
they to the nature/duties of the post?
What was the sentence? The longer it was, the more serious.
How long ago were the offence(s) and what age was the individual
when they were committed? Was it a ‘one off’?
Is there a pattern of offending and how recent were the last offences?
Has the individual been honest throughout the interview/process?
Do the explanations offered appear genuine? If not give details.
Have their circumstances changed so that their previous behaviour is
unlikely to occur? Eg attended rehabilitation?
Does there appear to be a genuine desire to put the past behind them
and a commitment to the post applied for? Evidence of this?
What safeguards could be put in place against offending at work?
How well will they be supervised - what support is available?
Overall Assessment
Bearing in mind the nature of the job – working in finance, exposure to
money, expectation of trust, risk to service users, is it appropriate to
employ this individual given what they have said and the nature of the
work they are applying for?
If the decision is to appoint, then the manager must discuss and sign
this off with their General Manager and HR Business Partner.
November 2007
Yes
No
Comments / Action / Decision
General Managers signature:
Date:
HR Business Partners signature:
Date: