Employment Manual
T
CRB DISCLOSURE
POLICY,
PROCEDURES
& TOOLKIT
DOCUMENT
“Lincolnshire Leads!”
Document compiled by: S. M. Rose
Corporate CRB Manager
February 2008
CRB DISCLOSURE POLICY, PROCEDURES & TOOLKIT DOCUMENT
CONTENTS TABLE
CRB DISCLOSURE POLICY, PROCEDURES & TOOLKIT DOCUMENT ................................... 2
FOREWORD................................................................................................................................ 1
INTRODUCTION ......................................................................................................................... 2
1 POLICY & PROCEDURES OVERVIEW ........................................................................... 3
1.1
Outline ........................................................................................................................ 3
1.2
What is the Policy about? ........................................................................................... 3
1.3
Use of Criminal Records ............................................................................................ 3
1.4
Records in Schools .................................................................................................... 3
1.5
Relevancy of Disclosure ............................................................................................. 3
1.6
Duty of Care ............................................................................................................... 4
1.7
Human Rights Act ...................................................................................................... 4
1.8
Data Protection .......................................................................................................... 4
1.9
Publicising/Distribution of the Policy ........................................................................... 4
1.10 Reviewing the Policy .................................................................................................. 4
2 SCOPE OF THE LCC POLICY & PROCEDURES ............................................................ 5
2.1
THE CRB CODE OF PRACTICE ............................................................................... 5
3. REHABILITATION OF OFFENDERS ................................................................................ 5
4. CRB POLICY FOR RECRUITMENT ................................................................................. 7
4.1. CRB Policy for recruitment of Ex-Offenders ............................................................... 8
5 ............................................................................................................................................ 8
5.1
General Principles ...................................................................................................... 8
5.2
Storage & Access....................................................................................................... 8
5.3
Handling ..................................................................................................................... 9
5.4
Usage ......................................................................................................................... 9
5.5
Retention .................................................................................................................... 9
5.6
Disposal ..................................................................................................................... 9
6. FLOWCHART ON THE USE OF CRIMINAL RECORD DISCLOSURES WITHIN A
RECRUITMENT PROCEDURE.............................................................................................. 10
APPENDIX A ............................................................................................................................. 11
THE CRIMINAL RECORDS BUREAU ................................................................................... 11
(i) Background to the CRB ............................................................................................... 11
(ii)
Disclosure Level ....................................................................................................... 11
(iii)
Disclosure checking service ..................................................................................... 11
(iv)
Disclosure Certificate information ............................................................................. 11
(v)
CRB Code of Practice .............................................................................................. 12
APPENDIX B ............................................................................................................................. 13
EMPLOYING PEOPLE WITH CRIMINAL RECORDS ............................................................ 13
(i) Relevancy of criminal record........................................................................................ 13
(ii)
Equality of Opportunity ............................................................................................. 13
(iii)
Validity of CRB Disclosures...................................................................................... 13
(iv)
Rehabilitation of Offenders ....................................................................................... 13
(v)
Job Offer .................................................................................................................. 14
APPENDIX C ............................................................................................................................. 15
THE DISCLOSURE PROCEDURE ........................................................................................ 15
(i) Processing an application form for Disclosure ............................................................. 15
(ii)
Documentary Evidence ............................................................................................ 15
APPENDIX C (Part 2) ................................................................................................................ 16
PROFORMA CERTIFYING DISCLOSURE APPLICATION ................................................... 16
APPENDIX C (Part 3) ................................................................................................................ 17
APPLICANTS GUIDE TO COMPLETING DISCLOSURE APPLICATION ............................. 17
APPENDIX C (Part 4) ................................................................................................................ 21
GUIDELINES FOR HEAD/MANAGER/ DESIGNATED PERSON CHECKING PART X OF
THE CRB DISCLOSURE APPLICATION FORM ................................................................... 21
APPENDIX D ............................................................................................................................. 25
ASSESSING THE RELEVANCE OF CRIMINAL RECORDS ................................................. 25
(i) Disclosure Information .................................................................................................... 25
(ii) Consideration of Conviction Information ........................................................................ 25
(iii)
Candidate Awareness .............................................................................................. 26
(iv) Managers’ Awareness .................................................................................................. 26
APPENDIX E ............................................................................................................................. 27
APPOINTING SUBJECT TO DISCLOSURE RESULTS ........................................................ 27
(i) How long is a Disclosure valid? ................................................................................... 27
(ii)
Accepting an existing CRB Disclosure Certificate .................................................... 27
(iii)
Staff awaiting CRB clearance................................................................................... 28
(iv)
Commencement of work pending Disclosure results ............................................... 28
(v)
Adverse Disclosure results – following commencement (see also para (ix) ............. 28
(vi)
CRB Disclosures for existing employees and re-checking existing employees ........ 29
(vii) Existing employee re-checks.................................................................................... 29
(viii) Existing employees who have not previously required a Disclosure check .............. 29
(ix)
Existing employees who have not been previously checked – adverse Disclosure
results 29
(x)
Complaints ............................................................................................................... 30
APPENDIX F .............................................................................................................................. 31
SITUATIONS REQUIRING A FRESH DISCLOSURE CHECK .............................................. 31
(i) Agency/Contractors Staff ............................................................................................. 31
(ii)
Notification of Offences or other information received .............................................. 31
APPENDIX G ............................................................................................................................. 32
AGREEMENT PROFORMA REGARDING AGENCY/CONTRACTOR EMPLOYEE
GRANTING PERMISSION FOR INFORMATION SHARING. ................................................ 32
APPENDIX G ............................................................................................................................. 33
CRB CHECKS FOR EMPLOYEES IN SCHOOLS ................................................................. 33
(i) Central School Record ................................................................................................. 33
(ii)
Volunteers ................................................................................................................ 33
(iii)
Further Considerations ............................................................................................. 34
(iv)
Supply Staff .............................................................................................................. 34
(v)
School Governors .................................................................................................... 34
APPENDIX G (Part 1) ................................................................................................................ 35
CENTRAL SCHOOL RECORD .............................................................................................. 35
APPENDIX G (Part 2) ................................................................................................................ 37
LINCOLNSHIRE COUNTY COUNCIL SUPPLY AND RELIEF DATABASE ........................... 37
NEW SUPPLY TEACHERS AND RELIEF STAFF ................................................................. 40
AGENCY STAFF .................................................................................................................... 40
APPENDIX G (Part 3) ................................................................................................................ 41
FOREIGN NATIONALS OR UK RESIDENTS WHO HAVE WORKED OR BEEN RESIDENT
OVERSEAS IN THE PAST FIVE YEARS ............................................................................... 41
CRB Advice ........................................................................................................................ 41
APPENDIX H ............................................................................................................................. 43
GLOSSARY OF LEGAL TERMS ............................................................................................ 43
FOREWORD
Proper recruitment practices form a crucial part of in the protection of the Council’s vulnerable
clients.
The Disclosure checks available through the Criminal Records Bureau are only one aspect of
the Council’s commitment to ensuring that those employed in a paid or voluntary capacity are
not able to harm others. A recruitment process cannot definitely identify an individual as
permanently suitable to work with children or other vulnerable people.
As Sir Michael Bichard has previously indicated –
“There are those who seek to target working with children or the vulnerable,
where there is no information about them. These individuals will only become
known where their actions come to light”.
What is therefore required within the Council and amongst its workforce is a continuing culture
of vigilance.
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INTRODUCTION
This document sets out Lincolnshire County Council’s policy towards the recruitment and
retention of people, who wish to work with children and/or vulnerable adults, and who may have
a criminal record. The County Council recognises that, subject to certain exceptions, those
convicted of criminal offences are entitled to have “the slate wiped clean” after a certain period
of time and that employment is an important factor in an individual’s rehabilitation.
Under its Equality & Diversity Policy the County Council is fully committed to recruitment on the
basis of an objective and systematic assessment of candidates against job related factors.
Through the use of fair employment practices and the adoption of this policy, the County
Council is keen to ensure that information relating to criminal records is dealt with in context and
with discretion.
To this end, the County Council gives assurances that it will take no account of spent criminal
offences, except in relation to those occupations exempt from the provisions of the
Rehabilitation of Offenders Act 1974 (ROA) and/or where the County Council has a duty under
other legislation to protect vulnerable groups in the community. Details of the practices,
standards and safeguards that the County Council will apply in dealing with the sensitive
information relating to criminal records are set out below.
Additionally, this document provides advice and guidance to managers on how to manage the
risks of engaging new employees (both temporary and permanent), casual staff, volunteers,
prospective foster parents, adopters, and other carers into positions where they will have
unsupervised access to children and vulnerable adults.
The purpose of this policy is to facilitate the protection of the public and service users, especially
children and vulnerable adults as well as council property/assets/staff etc. by defining the use of
criminal record information in the selection of persons involved in service delivery.
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1
POLICY & PROCEDURES OVERVIEW
1.1
Outline
The County Council also has policies for the following matters:
Policy for the Rehabilitation of Offenders
Policy for the handling, secure storage and retention of Disclosure information
All adverts/Job Descriptions that relate to a position where a Disclosure is required will contain a
statement advising that a Disclosure will be requested in the event of a successful application.
Further information about this is included in the recruitment pack.
1.2
What is the Policy about?
The policy will apply to those seeking paid or unpaid work with the County Council. In addition,
certain types of voluntary or seasonal work, fostering arrangements, student placements,
permitted drivers, elected members, school governors, preferred contractors and other
regulated positions will also come under the provisions of the policy, particularly where they
involve unsupervised contact with children or vulnerable adults. In addition, where there are
reasonable grounds, the County Council may require existing employees to apply for an up to
date criminal record certificate.
1.3
Use of Criminal Records
The relevance of criminal records to the workplace is a constantly developing area of
employment and the County Council will need to review and amend its policies in the light of
experience or new legislation (i.e. pending changes through the Independent Safeguarding
Authority scheme – also known as the Vetting & Barring scheme). Where, due to changes in
legislation, occupational groups become subject to regulation for the first time, the County
Council will require existing employees in those groups to obtain a criminal records certificate
(known as a Disclosure) under the terms of this policy.
1.4
Records in Schools
The County Council undertakes to carry out such checks only when it is appropriate to do so, for
example, when the post involves substantial, regular and unsupervised access to children
and/or vulnerable adults or where there is a legal requirement. Within Lincolnshire schools, the
Governors and the Head teacher are responsible for appointments and are responsible for the
maintenance of the Central School record. Please substitute the Governing Body for any
reference to the County Council where the vacancy or position is a school appointment.
Throughout the policy specific provisions that apply to schools are clearly indicated. Further
information is available at Section 8.
1.5
Relevancy of Disclosure
Disclosures should only be applied for in respect of posts that are included in the Exceptions
Order to the Rehabilitation of Offenders Act 1974. It may be an offence under Section 123 (2)
of the Police Act 1997 to apply for a Disclosure in respect of a post not covered by the
Exceptions Order. This guidance will apply equally to internal candidates (i.e. those currently
employed by LCC and external candidates being considered for relevant permanent, temporary,
casual or volunteer positions). It will also apply where external agencies recruit and employ
staff to carry out contract work on behalf of the County Council or where external agencies
recruit staff to become employees of the Council
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1.6
Duty of Care
The authority has a statutory duty of care towards vulnerable members of society. However,
this duty must be carried out with due regard to all other relevant legislation including the
Rehabilitation of Offenders Act (1974) (see section 2.4), the Data Protection Act (1998), and the
Human Rights Act (1998).
1.7
Human Rights Act
Under the Human Rights Act anyone who believes their rights as set out in the European
Convention on Human Rights have been violated by a public authority is able to raise their
complaint before a UK court. Managers should therefore be aware of the possibility of legal
challenge from ex-offenders who believe their rights have been violated under article 14 of the
Act, which guarantees freedom from discrimination. Equally, they should be aware that victims
of physical/verbal/sexual abuse caused by employees known to have a criminal record might
also seek legal challenge on the grounds that the organisation failed to protect them sufficiently.
In order to avoid prosecution by the courts, the Council needs to apply policies that ensure
vulnerable people are protected but at the same time treat ex-Offenders fairly.
1.8
Data Protection
Under the Data Protection Act 1998 individuals have the right to see their own personal data
subject to the rights of confidentiality of any third parties involved in that information. In addition
all applicants receive their own copy of the Disclosure certificate. The Council is committed to
confidentiality and complies with the Data Protection Act. All information will be handled and
stored sensitively and used only for its proper purpose. The policy statement regarding correct
handling, use, storage, retention and disposal is contained within the toolkit for ease of
reference – see Section 5.
1.9
Publicising/Distribution of the Policy
The existence of this document is made known to all Directors, Members,
Heads of Service/Contracting Officers, HR Mangers and Advisors engaged in the recruitment
process, the Corporate Recruitment Team, Head Teachers, Governors, Partners, Agencies and
Contractors. A copy can be viewed via the Internet Human Resources Policies and Procedures
site.
1.10 Reviewing the Policy
The Council’s Corporate CRB Manager will keep the currency of this Policy under review, on a
bi-annual basis (or subject to changes in legislation or Regulations) and will make such changes
to the Policy as deemed appropriate following necessary consultation with Members, Officers
and the trade unions. The latest version will always be that found on the County Councils
Intranet site/Lincolnshire County Council Connects - www.lincolnshire.gov.uk and Netlinc.
4
2
SCOPE OF THE LCC POLICY & PROCEDURES
2.1
THE CRB CODE OF PRACTICE
The Code of Practice is produced by the Criminal Records Bureau and all staff, Members,
Partnerships, Agencies and Contractors will abide by its contents. The Code is published under
section 122 of the Police Act 1997 in connection with the use if information provided to
registered persons (Disclosure information) under Part V of that Act.
Disclosure information is that
Contained in criminal record certificate under section 115 of the Act (referred to in this Code as
“Enhanced Disclosures”), or
Provided by the police under section 115(B) 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 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
Assurance
Registered Persons shall;
Co-operate with requests from the CRB to undertake assurance checks as to the proper use
and safekeeping of Disclosure information;
Report to the CRB any suspected malpractice in relation to the Code of Practice or any
suspected offences in relation to the misuse of Disclosures.
Failure to comply with the Code of Practice
The CRB 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.
3.
REHABILITATION OF OFFENDERS
The Rehabilitation of Offenders Act (ROA) 1974 sets out to make life easier for many people
who have been convicted of a criminal offence and who have since lived on the right side of the
law. A person convicted of a criminal offence and who receives a sentence of no more than 2½
years in prison, whether suspended or not, benefits from the Act if they are not convicted again
during a specified period. This is called the Rehabilitation Period. In general terms, the more
severe the penalty is, the longer the rehabilitation period. Once a rehabilitation period has
expired and no further offending has taken place, a conviction is considered to be “spent”.
Once a conviction has been spent, the convicted person does not have to reveal it or admit its
existence in most circumstances, including, for example, when applying for a job. In most
5
circumstances, an employer cannot refuse to employ someone, or dismiss them, on the basis of
a spent conviction. (But for exceptions see below).
NB.
Rehabilitation Periods
Sentence
AGE 18 OR OVER
WHEN CONVICTED
Convictions resulting in terms in imprisonment in
excess of 2 ½ years are never spent.
Prison and Young Offender Institution 10 years
– sentence of more than 6 months –
2 ½ years
Prison and Young Offender Institution 7 years
– sentence 6 months or less
Fines, compensation order, probation 5 years
(for people convicted on or after 3
February 1995), community service,
combination order, action plan,
curfew order, drug treatment,
reparation order.
Borstal (abolished 1983)
7 years
Detention Centres (abolished 1988)
3 years
Absolute Discharge
6 months
UNDER 18 WHEN
CONVICTED
5 years
3 years
2 ½ years or until the
order expires
(whichever is the
longer)
7 years
3 years
6 months
Sentences for which the rehabilitation period varies
Probation order (for people convicted
Until the order expires (minimum period
prior to 3 February 1995), conditional
of 1 year)
discharge, bind over, supervision order,
care order
Attendance Centre Orders
Length of the order plus 1 year.
Hospital Order
2 years after the order expires (with a
minimum of 5 years from the date of
conviction).
Suspended Sentences
A suspended prison sentence is treated as one that has taken effect and the rehabilitation
period is the same as for the full sentence.
Consecutive and concurrent sentences
An offender may be sentenced at one time for several offences. If the court decides that
imprisonment is the right penalty for more than one offence, it can order that these run
concurrently or consecutively. If a person is sentenced to two terms of imprisonment of six
months each, to run concurrently, the person will be subject to a rehabilitation period of seven
years. If they were ordered to run consecutively, they would be subject to a rehabilitation period
of ten years.
Extension of rehabilitation periods
Rehabilitation periods may be extended if a person receives further convictions while an original
rehabilitation period is still running. If the second conviction is for a summary offence, i.e. an
offence that can be tried only in a Magistrates’ Court, then the first rehabilitation period is not
affected and both rehabilitation periods will run their separate course. If, however, the second
6
conviction is more serious and could be tried in a Crown Court, then neither conviction will
become spent until the longer rehabilitation period has expired.
Where the original sentence resulted in a disqualification, probation or other penalty, the
rehabilitation period will not be affected if the person is convicted of a further offence.
Protection of a rehabilitated person
The unauthorised disclosure of information about a spent conviction is made illegal.
Unauthorised disclosure is where an official with access to information about the person’s
criminal record discloses this information other than in the course of official duties. Serious
misuse of a person’s criminal record could result in a prison sentence of up to six months or a
fine of up to £1,000, or both.
Exceptions to the Act
Various kinds of employment, occupations and professionals are exempted. The Exceptions
Order overrules the employment rights an ex-offender would otherwise have in respect of spent
convictions. Ex-offenders have to disclose information about spent, as well as unspent
convictions, provided the employer states clearly on the application form or at the interview that
the job applied for is exempted. Exempted occupations fall into the following categories:
 Work involving matters of national security, for example, some civil service posts, defence
contractors etc.
 Work that brings the person into contact with vulnerable groups such as the infirm, elderly,
mentally ill and young people under the age of 18.
 Professionals that have legal protection, for example, nurses, doctors, dentists, chemists,
accountants.
 Posts concerned with the administration of justice, for example, police officers, lawyers,
probation officers, and traffic wardens.
 Health Service appointments.
4.
CRB POLICY FOR RECRUITMENT
As a Registered Body of the Criminal Records Bureau (CRB) Disclosure service assess
applicant’s suitability for positions of trust and comply fully with the CRB Code of Practice and
undertake to treat all applicants for positions fairly. We undertakes not to discriminate unfairly
against any subject of a Disclosure check on the basis of conviction or other information
revealed.
We will:
i. Not ask for a CRB Disclosure where it would be an offence under the Police Act 1997 to
do so.
ii. Ensure where a Disclosure is required that all application forms, job adverts and
recruitment briefs will contain a statement that a Disclosure will be requested in the event
of the individual being offered the position.
iii. Undertake all Disclosure checks at Enhanced level.
iv. Make every subject of a CRB Disclosure aware of the existence of the CRB Code of
Practice and make a copy available on request.
v. Not accept a Disclosure obtained by an applicant from their previous employer.
7
vi. Where a Disclosure is to form part of the recruitment process, encourage all applicants to
provide details of their criminal record at an early stage and we undertake that this
information is only seen by those that need to see it as part of the recruitment process
vii. Request that a Certificate of Good Conduct is provided where one is required – see
Appendix H (Part 3).
viii. Undertake to discuss any matter revealed in a Disclosure with the person seeking the
position before withdrawing a conditional offer of appointment.
ix. Ensure that sensitive personal information is held securely, and only seen by only those
entitled to see it in the course of their duties. CRB Disclosures will only be stored for as
long as necessary, and then confidentially destroyed (see policy statement on the secure
storage, handling, use, retention and disposal of Disclosures and Disclosure information.
See Section 5.
4.1.
CRB Policy for recruitment of Ex-Offenders
(Posts exempt from the Rehabilitation of Offenders Act)
As in the section 4 above, but in addition we will:
i.
(Unless the nature of the position allows the County Council to ask questions about an
individual’s entire criminal record we will only ask about “unspent” convictions as defined
in the Rehabilitation Act 1974.
ii. At interview, or in a separate discussion, we will undertake an open and measured
discussion on the subject of any offences or other matter that might be relevant to the
position. Failure to reveal information that is directly relevant to the position sought, could
lead to the withdrawal of an offer of appointment.
iii. Not discriminate unfairly against the subject of a Disclosure, on the basis of conviction or
other information revealed.
POLICY STATEMENT ON THE SECURE STORAGE, HANDLING, USE,
RETENTION AND DISPOSAL OF DISCLOSURES AND DISCLOSURE
INFORMATION
5
5.1
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 Council complies fully with the CRB Code of
Practice regarding the correct handling, use, retention and disposal of Disclosures and
Disclosure information. It complies fully with its obligations under the Data Protection Act and
other relevant legislation pertaining to the safe handling, use, retention and disposal of
Disclosure information and has a written policy, which is available to those who wish to see it on
request.
5.2
Storage & Access
Disclosure information is never kept on an applicant’s personnel file and is always kept
separately and securely, in lockable, non-portable, storage containers with access strictly limited
to those entitled to see it as part of their duties.
8
5.3
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. We maintain a record of all
those to whom Disclosure or Disclosure information n has been revealed and we recognise it is
a criminal offence to pass this information to anyone who is not entitled to receive it.
5.4
Usage
Disclosure information is only used for the purpose for which it was requested and for which the
applicant’s full consent has been given.
5.5
Retention
Once a recruitment decision or other relevant decision has been made, we do not keep
Disclosure information for any longer than is necessary and they can be destroyed confidentially
as soon as the recruitment decision has been conformed. However to allow for consideration
and resolution of any disputes or complaints Disclosure certificates can be retained for up to six
months. If, in exceptional circumstances, it is considered necessary to keep Disclosure
information for longer than six months, we will consult the CRB about this and 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 apply.
Exceptions allowed by the CRB are as follows:
 For establishments regulated by the Social Care Inspection (CSCI) then Disclosure must be
destroyed after 12 months.
 For staff employed in residential schools Disclosures must be destroyed after 12 months
 For Disclosure relating to Fostering or Adoption, Disclosures must be destroyed after 36
months
5.6
Disposal
Once the retention period has elapsed, we will ensure that any Disclosure information is
immediately destroyed by secure means, i.e. by shredding (at level 6), pulping or burning. Whist
awaiting destruction Disclosure information will not be kept in an insecure receptacle (e.g. waste
bin or confidential sack). We will not keep any photocopy or other image of the Disclosure or
any copy or representation of the contents of the Disclosure.
In order to maintain the Council’s CRB database (a record of Disclosures undertaken) we will
keep a record of the name of the subject, the date of the Disclosure, the position for which the
Disclosure was requested, the unique reference number of the Disclosure and the details of any
associated recruitment decision taken e.g employed or not employed.
Following consultation with the CRB the “top portion” of the Disclosure certificate can be
retained on the personnel file but only if there is no conviction information on the reverse side.
Additionally there should be no indication of the existence of additional information in the top
right hand corner (this is a reference indicating that additional information is to be forwarded by
a Chief Police Officer).
9
6. FLOWCHART ON THE USE OF CRIMINAL RECORD DISCLOSURES WITHIN A
RECRUITMENT PROCEDURE
Directorate determines that an Enhanced Disclosure check is required for the post to be
advertised
Post advertised – details of Disclosure requirement included in advert and in further
particulars
Completed application forms are received by Designated/Recruiting Officer.If post is exempt
from the Rehabilitation of Offenders Act then the applicant must have revealed any
convictions.
Normal call up for interview and references taken. Letter to Applicants informs applicant
what proof of identity will be required at interview.
Decision to recruit using normal criteria. Panel Chair checks prescribed documents to verify
identity of successful candidate.
Applicant completes their section of the Disclosure application form with help if necessary.
Panel Chair completes their section of the form and dispatches under confidential cover to a
named and registered counter signatory in People Services for signature and dispatch to
CRB.
People Services receive a Criminal Disclosure Certificate. If a finding is revealed which
raises doubt about an applicants suitability for employment, the Appointing Officer is
consulted.
The Appointing Officer confirms or otherwise the appointment to the applicant based on
information/advice received.
Chair of the Interview Panel notifies People Services who issues the contract of
employment. Induction packs for new recruits to include, where appropriate, requirement to
undergo a triennial check via CRB.
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APPENDIX A
THE CRIMINAL RECORDS BUREAU
(i)
Background to the CRB
The Criminal Record Bureau (CRB) is an executive agency of the Home Office established
under provision of the Police Act 1997 and commenced operation in March 2002. It was
established to help employers in the public, private and voluntary sectors identify individuals
who may be unsuitable for certain types of work, especially that involving contact with children
or other vulnerable members of society, by providing controlled access to criminal records and
related information through its Disclosure service.
The Disclosure service is a single focussed process and enables organisations to make safer
recruitment decisions by checking the background of applicants to ensure they do not have a
history that would make them unsuitable for the position for which they have applied.
(ii)
Disclosure Level
There are currently two levels of Disclosure available, Standard or Enhanced. The County
Council in seeking to fulfil its duty of care, undertakes all disclosure checks at Enhanced level,
as this is the only level that discloses all relevant information
(iii)
Disclosure checking service
The Disclosure checking service, offered by the CRB, is accessed via the Registered Bodies
operating within the County Council and its business partner, Mouchel.
The CRB checks each Disclosure applicant against the Police National Computer (PNC), Local
Police Intelligence, List 99 (Department for Children, Schools & Families), the Department of
Health Consultancy List; the Protection of Children Act (POCA) list and the Protection of
Vulnerable Adults (POVA) list. A comprehensive check can thus be made on those individuals
potentially coming into contact with children or vulnerable adults.
It should be stressed that, whilst CRB checks are vital in the consideration of appropriately
staffing posts with access to vulnerable people, they are just one in a range of pre-employment
checks which must be carried out in order to assess the suitability of candidates. Other checks
include thoroughly confirming identities, qualifications, taking up references and examining
dates of employment histories on application forms. Further guidance can be found in the
Council’s Safeguarding Children Toolkit, which can be found at www.lincolnshire.gov.uk/lscb
(and found in the professional guidance section)
(iv)
Disclosure Certificate information
For relevant positions, the results of the CRB Disclosure checks are the final components of the
recruitment process. Any matter of potential concern revealed in a Disclosure must be fully
discussed with the person seeking the post before a decision to either withdraw or confirm a
conditional offer of employment is taken. An Enhanced Disclosure will contain information
regarding;
 Current and spent convictions
 Cautions
 Reprimands
 Warnings which are held on the Police National Computer
 Any relevant information that is held by the police
11
Where the post involves working with children or vulnerable adults the following may also be
searched:
 Protection of Children Act List (POCA)
 Protection of Vulnerable Adults List (POVA)
 Information that is held under Section 142 of the Education Act 2002 (List 99)
(v)
CRB Code of Practice
The CRB Code of Practice sets out the obligations that must be met by recipients of Disclosure
Information. Every subject of a CRB Disclosure will be made aware of the existence of the
Code of Practice and a copy of it will be made available to that individual on request or by
visiting the CRB web-site at www.crb.gov.uk. and go to “Quick Links”. In addition, a guide to
completing the Disclosure application form can also be found at the above web site or by
contacting the Mouchel CRB Admin Team.
12
APPENDIX B
EMPLOYING PEOPLE WITH CRIMINAL RECORDS
(i)
Relevancy of criminal record
Possessing a criminal record is not necessarily a bar to working for Lincolnshire County Council,
but it may preclude working in certain positions. This will depend on the nature of the position
and the circumstances and background of the offences committed.
An application to the CRB for Disclosure will be requested only where this is considered
relevant to the post and is permitted under the Exceptions order to the Rehabilitation of
Offenders Act 1974. For those positions where a Disclosure is required, any recruitment
information will contain a statement that candidates will be asked to provide details of their
criminal record prior to their interview and that the successful candidate will be required to apply
to the CRB for Disclosure.
(ii)
Equality of Opportunity
The County Council’s commitment to equality of opportunity extends to candidates with criminal
records. We seek candidates with the right mix of talent, skills and potential. All candidates must
be selected for interview on the basis of their skills, competencies, qualifications and experience
and will not be treated differently unless this is appropriate and justified. Furthermore,
candidates will not be rejected automatically for having declared “unspent” convictions unless
those offences are relevant to the job for which they are applying.
(iii)
Validity of CRB Disclosures
First and foremost, it must be established that the post to be filled is exempt under the
Exceptions Order of the Rehabilitation of Offenders Act 1974. This makes it possible for
questions about the candidate’s criminal convictions to be asked and for an application for
Disclosure to be made. Not all positions are subject to CRB checking and, in some cases, it
can be an offence under Section 123 (2) of the Police Act 1997 to apply for a Disclosure in
respect of a post which is not included in the Exceptions Order of the Rehabilitation of Offenders
Act 1974. For example, if an employee has access to sensitive or confidential information such
as home addresses, financial details, databases of vulnerable clients or medical information,
application for a Disclosure does not, currently fall within legislation; this is because the
employee has no direct contact with children and/or vulnerable adults.
(iv)
Rehabilitation of Offenders
The Council’s job application pack/job description/advertisement will advise if the post being
offered requires an Enhanced CRB Disclosure check. When seeking to recruit people for posts
that are exempted under the Rehabilitation of Offenders Act, the advertisement and/or job
information available for all candidates must make it clear that the post requires the disclosure
of all criminal record information, including details and dates of “spent” convictions, cautions,
reprimands and final warnings. As the County Council seeks Enhanced Disclosures, other
relevant non-conviction information such as police enquiries and pending prosecutions will also
be requested. The recruitment interview provides an opportunity for managers to raise issues
concerning declared offences with applicants in open discussion.
Any sensitive information provided by the candidate prior to interview will be seen only by those
who need to see it as part of the recruitment process. At the interview stage the candidate’s
entire criminal record can be referred to as defined in the Rehabilitation of Offenders Act 1997.
For further information see Appendix F.
13
(v)
Job Offer
A job offer should be made subject to satisfactory checks such as references, medical
information, and disclosure details. It is at this point when the job offer is made that the CRB
disclosure should be requested. Disclosure information should not be requested for all shortlisted applicants only the successful candidate.
14
APPENDIX C
THE DISCLOSURE PROCEDURE
(i)
Processing an application form for Disclosure
The following is a step-by-step guide to the Disclosure process during a recruitment campaign –
see also Appendix D. Further guidance is also available on the CRB and Dept. of Children,
Schools & Families web sites.









Appointing officers should decide whether the post to be advertised requires a CRB
Disclosure check. If advice on this is required this can be obtained from your Directorate HR
Advisor. This information will be entered on to the Advert request form and consequently
contained in all associated information/forms related to the post.
All short-listed candidates will be required to provide details of all convictions, cautions, and
warnings including those considered as “spent”. This information should also include
pending prosecutions. This will be destroyed if they are unsuccessful. Additionally these
individuals should be requested to bring all appropriate identity documentation with them
should they be the preferred candidate.
The successful candidate will be provided with a blank Disclosure application form and other
pre-employment documentation e.g. a pre-employment health & screening form
The successful candidate must fully complete various sections of the CRB application form
requesting a criminal record disclosure and return it to the Appointing Officer.
The appointing or a designated officer will be responsible for completing Section X of the
Disclosure application form and verifying the identity of the candidate (see 3.2). Additionally
and to avoid incorrectly completed forms being submitted the checklist at Appendix 3 (iii)
should be read in conjunction.
Disclosure forms and associated supporting papers will be forwarded to the appropriate
Registered Body administration team who will arrange for the form to be checked and
entered on a database.
The form will then be duly signed by a registered counter-signatory of the Council and
forwarded to the CRB for processing.
If the Disclosure application form is not completed correctly it will be returned to the applicant
or the appointing/designated officer highlighting the error, requesting amendment and resubmission.
The CRB will subsequently issue a Disclosure Certificate to the County Council and the date
of receipt and any other data will be logged accordingly. If clearance is given this information
will be forwarded to the appointing/designated officer in order that the appointment can be
confirmed. A copy of the Disclosure is also sent to the applicant.
(ii)
Documentary Evidence
As part of the disclosure procedure the successful candidate will have to produce documentary
proof of identity. Documents containing a photograph, such as a passport or photo-style driving
licence, are preferred. If these are not available other documents can be accepted.
Confirmation of address is also required in the form of a Bank Statement, Credit Card Statement
or domestic utility bill. Only original documents or official duplicates are acceptable for this
purpose. Photocopies are not acceptable. Further information is available at Appendix C (ii)
listing acceptable documentation and how to check for indications of fraud. If there are any
doubts about documentation that has been presented to you contact the departmental HR
advisor.
15
APPENDIX C (Part 2)
PROFORMA CERTIFYING DISCLOSURE APPLICATION
(Currently excludes Transport Services and Fostering & Adoptions)
FOR THE ATTENTION OF THE PERSON COMPLETING PART X
When you are satisfied that the applicant has correctly and clearly completed all relevant parts
of the CRB Disclosure Application Form in accordance with the guidelines provided, and you
have completed Part X, again in accordance with the guidelines, please return the form in a
confidential envelope, along with this form to:
The CRB Administration Team
Mouchel People Services
Mill House
Brayford Wharf North
LINCOLN
LN1 1YT
Telephone 01522 836778
Do not complete Sections Y and Z
NB:
Section X checkers in Directorates, please complete parts (a) and (b)
Section X checkers in Schools, please complete part (b) of this form only
I certify that I have checked the content of the Disclosure Application Form and
completed Section X, in the presence of the applicant, and printed my name at
point 16 to confirm. I have kept a record of the form reference number and date
of birth to enable me to check the on-line tracking system.
(a) Please send the letter confirming the outcome of this application to me
at ……………………………………………………………………………………
………………………………………………………………………………………
or to ………………………………………………………………………………..
at ……………………………………………………………………………………
………………………………………………………………………………………
This is a 3 yearly follow up check (not schools) Yes / No
(b) Signed …………………………………………… Date ……..……………
Name (in capitals) Mr, Mrs, Miss, Ms …..…………………………………..
Job Title ………………………………………………….
Contact Telephone Number(s)……………………………………………….
E-Mail Address ………………………………………………………………….
16
APPENDIX C (Part 3)
APPLICANTS GUIDE TO COMPLETING DISCLOSURE APPLICATION
Please read the following notes before completing the CRB Application Form. If you have any queries
or questions, please contact the CRB Administration Team on 01522 836778
NB: The CRB may reject incomplete or incorrect forms and you will be required to fill in a completely
new form
General
Section A
1-12
Section B
13-19
Section C
20 - 35
Section C
28 - 35
Section D
Sections E&F
Section G
Section H
66
67
68
69
70
Always use BLACK ink and BLOCK CAPITALS
Complete Parts A,B,C,D and H. See additional notes below. Do not complete Parts
E,F,G,X,Y,Z
You will be required to provide documental evidence to enable your manager to
complete Section X
Enter only one letter or number in each box
Correct mistakes by drawing a line through and then insert the correction to the right if
there is sufficient space, if not as close as possible
NEVER USE TIPPEX
Leave an empty box between words but not between numbers (postcodes/telephone
numbers)
Indicate choices with an “X”
Include all forenames. It is important that these names match information on driving
licence or the form will be rejected by CRB
Include National Insurance No
NB: University Students show regular home address here. See Section D for term time
address(es)
State your Job Title and Organisation Name and Address you are working for. If you are
applying for supply or relief position, please state this clearly and include the Lincolnshire
County Council address as quoted on the application form
Females – If you have stated Mrs, Ms or other title (e.g. Dr) at Section A, you must
complete 20 (surname at birth) If your title is Ms and name at birth is the same as you
presently use, please repeat it in the box for clarity. If you are married but use your birth
name and title of Ms, or there are other unusual circumstances, include a cover note
explaining your situation
It is important to include all other surnames/forenames used to ensure that a complete
check is carried out
Males – please complete
NB: If you were adopted before the age of 10, you are not required to quote your birth
name
Your application will be rejected if addresses spanning a full 5 years from the date of
your application are not included. List all previous addresses and dates of residence
using continuation sheet if necessary.
Eg
1 Any Street from 05 1999 to 08 2000 (month and year only)
3 Next Street from 09 2000 – 03 2003
6 Stay Street from 04 2003 – present time
Dates should be continuous with no gaps
If you have travelled abroad within the five years, other than for a normal holiday, please
list the Countries visited and the time spent in each
NB: University Students – List term time addresses on a separate piece of paper,
headed “Term Time Addresses” and include dates from and to for each address
Not required
Payment is met by Lincolnshire County Council, you are not required to enclose a
cheque
Complete as appropriate
Complete if necessary
Sign this box
Do not sign this box
Remember to date your application
17
Continuation
Sheet
Section X
Section Y
If you are unable to fit all the relevant information on the application form, please use an
A4 sheet of paper and complete detail in BLACK ink and BLOCK CAPITALS and
include your name and current address. Paper clips may be used to attach this
additional sheet to the application form but DO NOT use staples or other fastening
methods
An authorised person must complete this section before it is returned to the Mouchel
CRB Admin Team. Please see reverse for further guidance
SUPPLY AND RELIEF: If you are applying for a supply or relief position in a school,
please contact a school local to where you live and make arrangements with them to
complete Section X
Please see reverse for further guidance
DO NOT COMPLETE SECTION Y
18
DOCUMENTATION TO BE PROVIDED FOR HEAD/MANAGER TO COMPLETE SECTION X
Three forms of identity are required with at least one from Group 1 below
If you are unable to produce any documents from Group 1, you must produce 5 from Group 2
SUITABLE FORMS OF DOCUMENTATION FOR IDENTIFICATION PURPOSES
NB: At least one item of identification must show your current address and at least one must show date of birth
Group 1
 Valid passport (any nationality)
 UK driving licence (photo-card or paper) – up to date in current name. A photo-card is valid only with
counterpart licence
 UK (original) birth certificate (issued within 12 months of birth)
 Valid photo identity (EU Countries only)
 UK Firearms Licence
 HM Forces ID Card (UK)
 UK Adoption Certificate
Group 2
 Marriage certificate
 Non-original birth certificate (issued after 12 months from birth)
 P45/P60 statement **
 Bank or Building Society statement *
 Utility bill (electricity, gas, water, telephone – including mobile)*
 Valid TV Licence
 Credit card statement*
 Valid insurance certificate
 Certificate of British nationality
 British work permit/visa**
 Correspondence or a document from:*
The Benefits Agency
The Employment Service
The Inland Revenue
A Local Authority
 Financial statement (eg Pension, Endowment, ISA)**
 Valid vehicle registration document
 Mail order catalogue statement**
 Court summons**
 Valid NHS card
 Addressed payslip**
 National Insurance Number Card
 Examination certificate (e.g. GCSE, NVQ)
 Child Benefit Book**
 Connexions Card
 Certificate of British nationality
 Work Permit/Visa**
 Letter from Head teacher*
 CRD Disclosure Certificate**
 Asylum Registration Card
* Document should be less than three months old
** Document should have been issued within the past 12 months
After careful completion following these guidelines, return the form to your Line Manager, who will check
the content and complete Part X, in your presence.
The form will then be returned to The CRB Administration Team, People Services, Mill House, Brayford
Wharf North, Lincoln LN1 1YT, by your line manager via the Courier service.
19
Important: You will receive a personal copy of the result of the enclosed application from the CRB, please check
the details carefully. If there are any discrepancies (i.e. mis-spelt name(s), incorrect date of birth etc) this could
invalidate the clearance. It is essential, therefore to advise the CRB Administration Team immediately.
Please show your copy of the disclosure to your Line Manager so that any restrictions that may be in place pending
the result can be lifted.
All applications are processed in accordance with the CRB Code of Practice, a copy of which is available from your
Manager, from this office on request or can be viewed on www.crb.gov.uk/PDF/code_of_practice.paf
20
APPENDIX C (Part 4)
GUIDELINES FOR HEAD/MANAGER/ DESIGNATED PERSON CHECKING PART X
OF THE CRB DISCLOSURE APPLICATION FORM
Your co-operation at this stage is greatly appreciated
NB: The form MUST be completed in BLACK ink and BLOCK capitals throughout
Please contact the CRB Administration Team on 01522 836622/24 if you have any queries.
NB: The CRB may reject incomplete or incorrect forms and a completely new one will be required which
will inevitably cause delay
Please check all identification documents (in the presence of the applicant) in
accordance with the detail overleaf. Ensure that parts A, B, C, D and H of the application
form have been correctly completed by the applicant
NB: See summary of frequent errors/omissions listed below *
Section X
1,2,3,4
Please complete all boxes and check date of birth and issue date carefully
5/6 and
7/8/9
Please ensure that the employee has included all forenames at Part A if the driving
licence indicates a middle name. NB: Example driving licence number for Mr Andrew
Lawrence Robinson “ROBIN12345AL9MP35”
Please complete all boxes
Please complete all boxes including issue date
10/11 and
12
15
16
If two documents from Group 2 that show evidence of address have been seen, mark
with ‘X’
If you have only seen one, do not put an ‘X’ but indicate item of evidence seen
Print your name but you may also sign above the box or state your designation (ie
Head/Manager/Administrator etc)
PLEASE DO NOT COMPLETE SECTION Y

COMMON ERRORS/OMISSIONS TO WATCH OUT FOR
HAS THE FORM BEEN COMPLETED IN BLACK INK?
Section A
1
9
12
Section B
13
14
Section C
20/21
28 – 35
Section D
36-45
If applicant indicates Ms or Dr, ensure that Section C, Nos 20 and 21 have also been
completed
Addresses must span at least 5 years; if the applicant has occupied this address for less
than five years, see Section D
NI number should be inserted
Full description of position applied for
Full Organisation address
See A1 above
Mandatory completion
Addresses should be concurrent and span at least five full years from the date of the
application, e.g.: from July 2000 – August 2002, September 2002 – January 2004,
February 2004 – present. Forms will be returned from CRB if 4 years 11 months etc.
CRB address history pro-forma is supplied
If applicant has travelled abroad within the five years, other than for a normal holiday, the
21
countries visited should be listed and the time spent in each
Section H
66
67
68
69
70
One box must be crossed
Should be completed if appropriate
Signature is required
Signature is not required
Form must be dated
22
DOCUMENTATION TO BE PROVIDED FOR MANAGER TO COMPLETE SECTION X
Three forms of identity are required with at least one from Group 1 below
If the applicant is unable to produce any documents from Group 1, they must provide 5 from Group 2
SUITABLE FORMS OF DOCUMENTATION FOR IDENTIFICATION PURPOSES
NB: At least one item of identification must show the applicant’s current address and at least one must
show date of birth
Group 1
 Valid passport (any nationality)
 UK driving licence (photo-card or paper) – up-to-date in current name. A photo-card is valid only
with counterpart licence
 UK (original) birth certificate (issued within 12 months of birth)
 Valid photo identity (EU Countries only)
 UK Firearms Licence
 HM Forces ID Card (UK)
 UK Adoption Certificate
Group 2
 Marriage certificate
 Non-original birth certificate (issued after 12 months from birth)
 P45/P60 statement **
 Bank or Building Society statement *
 Utility bill (electricity, gas, water, telephone – including mobile)*
 Valid TV licence
 Credit card statement*
 Valid insurance certificate
 Certificate of British nationality
 British work permit/visa**
 Correspondence or a document from:*
The Benefits Agency
The Employment Service
The Inland Revenue
A Local Authority
 Financial statement (e.g. Pension, Endowment, ISA)**
 Valid vehicle registration document
 Mail order catalogue statement**
 Court summons**
 Valid NHS card
 Addressed payslip**
 National Insurance Number Card
 Examination certificate (e.g. GCSE, NVQ)
 Child Benefit Book**
 Connexions Card
 Certificate of British nationality
 Work Permit/Visa**
 Letter from Head teacher*
 CRB Disclosure Certificate**
 Asylum Registration Card
* Document should be less than three months old
** Document should have been issued within the past 12 months
NB: Please arrange for the completed form to be sent to the CRB Administration Team, People Services,
Mill House, Brayford Wharf North, Lincoln LN1 1YT via the courier service. Incomplete forms will be
rejected by the CRB thus delaying clearance of the applicant
Contracts are now issued, subject to clearance, so it is advisable to request that employees/applicants
show you their own copy of the disclosure as soon as they receive it so that any restrictions that may be in
place whilst the clearance is in progress can be lifted
All applications are processed in accordance with the CRB Code of Practice, a copy of which is available from this
office on request or can be viewed on www.crb.gov.uk/PDF/code_of_practice.paf
23
The CRB Administrative Team, if required can track the progress of applications on line. Please remember that the
CRB clearance only forms part of the appointment process and other clearances may be required before
appointment.
24
APPENDIX D
ASSESSING THE RELEVANCE OF CRIMINAL RECORDS
Having a conviction will not necessarily bar someone from employment with the County Council.
This will depend upon the circumstances and background to the offence(s) and the nature of
work or position being sought. The County Council will only take a criminal record into account
when the conviction is relevant
Protection of the applicant’s rights and interests must be weighed against the rights and
interests of clients, employees and the public, including the County Council’s duties and
responsibilities towards these or other groups.
(i) Disclosure Information
If the Disclosure certificate contains information that was not revealed by the candidate, or
additional information from the Police is received, it will be necessary to hold a further
discussion with the candidate and undertake a further review against any risk assessment prior
to deciding either, to confirm, or to withdraw the offer of employment and this may involve
assistance of the Council’s Legal Services. If the candidate has made a false declaration on
their application form then the Council will not be able to confirm the appointment.
(ii) Consideration of Conviction Information
When assessing any disclosure or declared conviction information received, consideration
should be given to:





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







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Identified job requirements and safeguards against offending at work.
What level of supervision the post holder will receive.
Possible safeguards and precautions.
The employer’s duties in law.
Whether the post involves any direct responsibility for finance or items of value.
Whether the post involves direct contact with the public.
Whether the nature of the job presents any opportunities for the post holder to re-offend in
the place of work.
The nature of the crime, when it happened, the circumstances involved, the sentence,
The availability of assessments and reports from those Agencies involved in the applicant’s
process of rehabilitation. For example, Probation Service, Specialists working in prison,
other Agencies.
The seriousness of the offence/s and relevance to the safety of other employees, customers,
service users and property. Generally speaking, the longer the sentence, the more seriously
the Courts viewed the offence at the time. Custodial sentences are usually more serious
than non-custodial sentences.
Patterns of offending, efforts to avoid re-offending.
The length of time since the offence occurred. (e.g. how effective has rehabilitation been?).
Any relevant information offered by the applicant about the circumstances that led to the
offence being committed, for example, the influence of domestic or financial difficulties.
Was the offence a one-off, or part of a history of offending (e.g. is the offence likely to reoccur?).
Whether the applicant’s circumstances have changed since the offence was committed,
making re-offending less likely (e.g. improved personal circumstances, drug addiction
therapy etc.)
The country in which the offence was committed; for example, some activities are offences
in Scotland and not in England and/or Wales, and visa versa.
25


Whether the offence has since been decriminalised by Parliament.
The degree of remorse, or otherwise, expressed by the applicant and their motivation to
change.
(iii)
Candidate Awareness
Applicants should be forewarned that Enhanced Criminal Record Disclosures might include
non-conviction information from local police records, if the police think the information is relevant
to the post in question. In addition to details of cautions, reprimands and warnings, this
information may include police intelligence relating to ongoing investigations and details of
relationships with known or suspected criminals. On occasions the police may place restrictions
on the County Council, forbidding it to share this information with the applicant. In this respect
further advice can be obtained from the Corporate CRB Manager, the directorate HR Advisor
and Legal Services. In these situations the County Council will give assurances that Counter
signatories and Appointing Officers will continue to apply the principles set out above and will
apply a systematic approach to assessing the relevance of the available information and its
implications for the suitability of the applicant for the post.
Applicants should be aware that failure to disclose convictions on an application form may also
result in disciplinary action.
(iv) Managers’ Awareness
Managers must be aware of the dangers of personal prejudices that might cloud judgement and
good practice. In considering the relevance of offences, most offences involving violence would
be relevant to positions involving unsupervised contact with the public. Sexual or child
pornography offences would disqualify any person required to work with children. It should be
remembered that no two offences are exactly alike. For example, a premeditated burglary that
involves extensive damage to property and the physical intimidation of the occupants is different
from someone convicted or reaching in through an open window and stealing a purse on a
whim.
It would be illegal to employ people with certain convictions in specific jobs. Managers need to
be aware of their legal duties. Under the Protection of Children Act 1999 and the Criminal
Justice and Court Services Act 2000, it is an offence for any organisation to offer employment
that involves regular contact with young people under the age of 18 to anyone who has been
convicted of certain specified offences, or included on lists of people considered unsuitable for
such work held by the Department for Children, Schools & Families (DCSF). It is also an offence
for people convicted of particular offences to apply for work with young people.
26
APPENDIX E
APPOINTING SUBJECT TO DISCLOSURE RESULTS
If a disclosure subsequently reveals details of convictions, which render the applicant unsuitable
for the applied post, the appointing manager will discuss the situation with the applicant in line
with the CRB Code of Practice. The council may decide, following confirmation of the
convictions, that there is no alternative but to withdraw the offer of employment.
Additionally, where a Chief Police Officer releases information from local police records relevant
to the post following an enhanced disclosure. This may be in two ways:
(a)
information that is disclosed to both the employer and the applicant, OR
(b)
information that is only released to the employer and cannot be revealed or
discussed with the applicant. If the latter circumstance arises and the information
is of such concern that the council would not wish to confirm a provision
appointment then further advice must be obtained from your HR Advisor and
Legal Services.
(i)
How long is a Disclosure valid?
Each Disclosure will contain the date the Disclosure was printed. Disclosures do not carry a predetermined period of validity because a conviction or other matter could be recorded against the
subject of a Disclosure at any time after it is issued.
(ii)
Accepting an existing CRB Disclosure Certificate
It is important to be aware of the limitations of the information contained within a Disclosure
certificate. In particular, there can be no absolute guarantee that the information contained in a
Disclosure certificate is accurate or up-to-date at the time it is issued. This is because a
conviction or other matter could be recorded against the subject of the Disclosure at any time.
For this reason, Disclosure certificates are not valid for any pre-determined period of time and
are not necessarily “portable” between jobs or organisations. Certificates are intended to be
used on receipt; any recruitment decision should be made as soon as possible after the
Disclosure certificate has been received.
In the interests of protecting the safety of children and other vulnerable groups, an external
candidate’s Disclosure certificate issued through previous employment will not be accepted for a
role, which requires a CRB check when he/she joins the County Council as a new employee.
To prevent recruitment processes from becoming overly bureaucratic, there may be instances
when a Disclosure certificate issued for one position within the County Council could be used for
another job or voluntary position within the authority, provided that there has been no break in
service. For example, between schools or day care centres but this will depend on the nature of
the duties concerned.
Where casual, temporary or agency staff move frequently between short appointments within
the County Council, it will not be necessary to apply for a fresh Disclosure each time they move
jobs, especially if this occurs every few days, provided that they remain within the same area of
work, have the appropriate level of Disclosure certificate and have been in continuous
employment (i.e. with no break in service of 3 months or more) with the County Council since
the Disclosure certificate was issued.
27
(iii)
Staff awaiting CRB clearance
Ideally a CRB Disclosure should be obtained before an individual starts work. Where it is
necessary to engage a member of staff /voluntary worker where the CRB Disclosure has not yet
been received the Manager/appointing officer must undertake a written risk assessment and
ensure that the employee is appropriately supervised. In all cases an Enhanced CRB Disclosure
must have been applied for and all other recruitment checks completed. Arrangements should
be put in place to ensure the individual will have no unsupervised contact with
children/vulnerable adults until such time as clearance has been obtained via the Disclosure
Certificate and confirmed to the line manager.
Appropriate supervision for staff who start work prior to the result of a CRB Disclosure being
known needs to reflect what is known about the person concerned, their experience, the nature
of their duties and the level of responsibility they will carry. For those with limited experience
and where references have provided limited information the level of supervision required may
be high. For those with more experience and where the references are detailed and provided
strong evidence of good conduct in previous work a lower level of supervision could be
appropriate. For all staff without completed checks it should be made clear that they are subject
to this additional supervision. The nature of the supervision should be specified and the roles of
staff undertaking the supervision spelt out. The arrangements should be reviewed regularly, at
least every two weeks, until the CRB Disclosure is received.
Where the individual is allowed to work whilst awaiting the results of the CRB check, the line
manager is responsible for monitoring the progress of the CRB check and must investigate the
reason for any delay in receiving the results. The Manager must keep a written record of such
actions during this period of supervision. Only when a satisfactory CRB clearance has been
obtained should the manager remove any special measures that were put in place and allow the
employee to take up the full responsibilities of their role recording this on the individual’s
personnel file.
(iv)
Commencement of work pending Disclosure results
It is recognised that delays can sometimes occur in the processing of CRB checks and that this
may place additional pressure on services in terms of meeting client needs and overall service
objectives. However, the paramount consideration must always be the safety of the service
users.
If a new employee commences work, subject to checks, they must be allocated other workrelated duties, which do not involve close or sole unsupervised contact with children and/or
vulnerable adults until the results of the disclosure and/or other checks have been received.
(v)
Adverse Disclosure results – following commencement (see also para (ix)
It is possible following commencement of work, that disclosure certificates state previously
undisclosed information. Where a Chief Police Officer releases information that is relevant to the
post, to the Registered Body but not the applicant, this cannot be revealed or discussed with the
employee, but will be taken into account when the decision regarding future employment
options is taken.
After investigation, and depending on the disclosure results, the outcome may render the newly
appointed employee unsuitable for the applied post. The appointing manager will discuss the
situation with the applicant in line with the CRB Code of Practice and the individual should be
removed immediately from their duties after seeking advice from a HR Advisor on how to do
this.
The line manager may ultimately decide on one of the following options:
28


To terminate employment, OR
To look for alternative employment within the Council, subject to an appropriate vacancy
being available.
(vi)
CRB Disclosures for existing employees and re-checking existing employees
Employees appointed prior to April 2002 will not have been subject to the current more rigorous
CRB Disclosure process. They may have been subject to less thorough checking or have not
been checked. With regard to these groups of employees, LCC has no plans to instigate a
programme of retrospective checking at this stage. However, it reserves the right to ask
existing members of staff in relevant positions to apply for Disclosure if their actions or activities
give ‘cause for concern’.
The grounds for ‘cause for concern’ could include allegations of suspicious or inappropriate
behaviour made by a child or other vulnerable person or a colleague, parent, carer or member
of the public. In such instances, a full investigation of any such allegations will be conducted in
accordance with County Council’s disciplinary procedures. As part of the investigation process,
the employee may be required to undergo a CRB check with consideration and legal advice
taken in respect of human rights and employment legislation.
It should be noted that this does not preclude specific groups from being retrospectively
checked where regulation or statute dictate.
(vii) Existing employee re-checks
Existing employees who have been CRB checked and who continue in a role where re-checks
are required will generally undertake this every three years. However, this will vary according to
circumstances and re-checks may be carried out more frequently than every three years in
some service areas. The Council will review and amend this policy decision in accordance with
any future changes in the requirements of appropriate government inspection bodies and
relevant legislation. If should be noted that this does not preclude specific groups from being rechecked where regulation or statue dictate. The County Council reserves the right to ask
existing members of staff in relevant positions to apply for Disclosure if their actions or activities
give ‘cause for concern’ as set out above
(viii) Existing employees who have not previously required a Disclosure check
Existing employees may, as a result of the changes to legislation, regulations or working
practices, be required to undertake a CRB disclosure check during the course of their
employment with the Council. All employees will be expected to comply. Any existing employee
refusing to comply with the request for a full CRB disclosure check will be advised that their
deliberate and unreasonable refusal to carry out, lawful and safe instructions issued by an
appropriate manager and/or to comply with a contractual agreement, will lead to the employee
being subject to a disciplinary investigation.
(ix)
Existing employees who have not been previously checked – adverse Disclosure
results
It is acknowledged that Disclosures may reveal spent and/or unspent convictions for existing
employees, which the council was unaware of.
The line manager and the employee should be advised immediately that the CRB check has
revealed information about a criminal record. The employee may confirm or refute the
information provided by the CRB.
The HR Adviser in conjunction with the employee’s line manager may pursue a range of options
and this may include further checking with the CRB. It may be appropriate to move the
29
employee to an alternative post with no access to children and/or vulnerable adults,
property/information/resources etc pending the outcome of a full investigation.
It should be considered whether the conviction is relevant to the post and evidence of previous
convictions should not be used to dismiss a person for poor job performance. The track record
of the individual should be carefully assessed and if it is satisfactory, this should be considered
positively. Only after a full appraisal of the situation, including the risks involved, and other
alternatives should dismissal be considered.
If the Disclosure results are considered not to be serious, and, do not impinge on an employee’s
ability to work in their existing role, the line manager should inform the employee accordingly in
writing. Failure to give full consideration to the circumstances of the conviction may be
considered unreasonable.
If the Disclosure results are considered to be of a serious nature and prove to be correct, the
manager may consider various options. Options include:
 Termination of employment.
 Redeployment pending the availability of a suitable vacancy.
 The introduction of safeguards, or
If the manager decides to consider termination of employment, then the employee must be
informed in writing and a hearing held in line with the disciplinary procedure. It may be that
there are no suitable duties the employee could undertake during this period which do not bring
them into contact with children/vulnerable adults. If this is the case, the manager must give
consideration to suspending the employee on full pay pending the outcome of the disciplinary
investigation.
(x)
Complaints
Applicants unhappy with any aspect of the recruitment process, including the application of this
policy, should initially raise their concerns through the Appointing Officer or the Corporate CRB
Manager. Where this fails to produce a satisfactory resolution, applicants have the right to
complain to the Chief Executive, Assistant Chief Executive or Director or to the Governing Body,
where it is a school appointment.
Separate complaints procedures shall apply for those seeking to foster children, Permitted
Drivers and other volunteers. More information is available from the directorate providing the
service.
The above complaints procedures are intended to deal with the County Council’s own internal
processes. Complaints relating to mistaken identify or the nature of the information given in a
criminal record disclosure can only be dealt with by the CRB.
30
APPENDIX F
SITUATIONS REQUIRING A FRESH DISCLOSURE CHECK
A further disclosure should be undertaken in the following cases:
when appointing a new employee from another employer,
 where a school governor seeks to act as a “classroom helper”,
 if there is a break in service of three months or more,
 for specific posts where the Council requires a three yearly re-check of disclosure,
 if the County Council, school, or employing agency/organisation has grounds for concern
about an employee’s/applicant’s suitability to work with children,
 where an existing employee moves from a post working with children to one where they are
working with vulnerable adults, or vice versa.
(i)
Agency/Contractors Staff
Contract responsibilities
It is recommended that Heads of Service or Commissioning/Contract Managers must ensure
that where agency or contractor workers are supplied to carry out duties within the council, that
bring them into unsupervised contact with children and or vulnerable adults, an Enhanced CRB
Disclosure check must be carried out before they commence work with the council. Heads of
Service or Commissioning/Contract Managers must ensure that relevant clauses are included in
any contracts in advance of the work starting. It is essential that these checks are up to date
and renewed in accordance with this policy.
(ii)
Notification of Offences or other information received
Additionally it is recommended that all employees of agencies and contractors should sign a
proforma (example shown at Appendix 6(i) indicating that they give permission for any
information received through a Disclosure to be shared with the contracting officer/HR advisor of
the Council (see CRB Code of Practice section 6 – “Other circumstances in which disclosing
Disclosure information would not be an offence”). This is to ensure that the Council has the right
to declare an agency/contractor employee as unsuitable to work with the Council’s vulnerable
client.
31
APPENDIX G
AGREEMENT PROFORMA REGARDING AGENCY/CONTRACTOR EMPLOYEE
GRANTING PERMISSION FOR INFORMATION SHARING.
Name of applicant (BLOCK CAPITALS)
……………………………………………………………
Address ………………………………………………………………………………………
…………………………………………………………………………………………………
Post Code…………………………………….. Telephone No……………………………
In seeking to undergo an Enhanced CRB Disclosure Check in respect of my employment at
……………….. I hereby agree that the authorised officer of the Agency/Company can
discuss/disclose information received via the Disclosure Certificate, with the designated officer
of Lincolnshire County Council’s……………….. Group, as I may be required to undertake duties
concerning the conveyance of school children.
Signature of Applicant………………………………. Dated……………………………
Agency/Company Signatory Confirmation
I confirm as the authorised person to receive Disclosure information the following:
CRB Disclosure No.
Date of Issue:
Name:
: - 001122334455
: - 1st April 2006
: - John Doe
Following receipt of the Disclosure Certificate I have discussed the matter with
………………………………… in the …………………………. Group
Name of authorised person (print) …………………………………..
Signature………………………….Position……………………………Date………………
32
APPENDIX G
CRB CHECKS FOR EMPLOYEES IN SCHOOLS
(i)
Central School Record (For further assistance see Appendix H(i)
Following the introduction in May 2006 of new regulations Head teachers are responsible for the
establishment and maintenance of the Central School Record. This is a database of all those
employed at the school and contains information regarding an individual’s vetted status, i.e.
 teachers appointed prior to 1978 were only List 99 checked
 teachers appointed prior to March 2002 were List 99 and police checked
 teachers appointed after March 2002 were CRB checked (inclusive of List 99)
 all those appointed at a school from May 2006 are required to undertake an Enhanced CRB
Disclosure check (which includes a check against List 99) as all schools are considered to
be “regulated premises”.
 Foreign Nationals/UK residents who have lived / worked abroad (For further information see
Appendix H (Part 3)
(ii)
Volunteers
Children or vulnerable adults will see volunteers, in terms of working within their environment,
as safe and trustworthy individuals.
Volunteers who assist on a “regular” basis are also required to undertake a CRB check.
Regular contact can be taken to mean, three times in a thirty-day period, or overnight. Although
the Disclosure is provided free there is an internal administrative charge. A volunteer is
described as a person who performs an activity which involves spending time, unpaid (except
for travelling and approved out of pocket expenses) doing something which aims to benefit
someone (individuals or groups) other than or in addition to close relatives.
Some people can be referred to as volunteers but do not actually meet the CRB’s criteria to get
a free check. This may be because they may receive or expect to receive, a benefit such as
remuneration or a credit towards a qualification e.g. students on a training placement. Foster
carers are also not classed as volunteers and therefore not entitled to a free Disclosure.
Please note if you are taking on a volunteer, they should be properly described under role of
applicant on the disclosure form e.g. “Volunteer classroom helper” – do not just indicate
“Volunteer”. In coming to a decision Head teachers should consider:
1. The duration, frequency and nature of contact with children and then ….
2. What the Head knows about the volunteer, including formal or informal information
offered by staff or other volunteers
3. Whether the volunteer is well known to others in the community who are likely to be
aware of behaviour that could cause for concern
4. Whether the volunteer has other employment, or undertakes voluntary activities where
referees would advise on suitability
5. Any other relevant information about the volunteer or the work they are likely to do
This information will allow Heads to make a risk assessment and use their professional
judgment and experience in deciding whether a CRB Disclosure is necessary. Under no
circumstances must a volunteer, who has not obtained a CRB Disclosure because one is not
required due to infrequent contact, be left unsupervised with children.
33
(iii)
Further Considerations
Lincolnshire teachers who have been previously CRB checked and are starting at a new school
within Lincolnshire and have not had a break in service of 3 months or more may continue to
work under “portability” of Disclosure.
For employees new to the school system, or those who have had a break in service of 3
months or more, they can begin work only if they are adequately supervised and subject to the
discretion of the Head teacher. The Head will undertake a written risk assessment and ensure
that they have been pre-checked against List 99.
The County Council or Head teachers should not ask existing staff who were not previously
eligible for List 99 checks and/or criminal background checks to apply for retrospective
Disclosure, unless they have grounds for concern about the person’s suitability to work with
children.
(iv)
Supply Staff
Detail on the operation of the County Council’s Supply staff list is shown at
Appendix H (Part 2)
Head Teachers should ask supply teachers/staff to produce their copy of the Enhanced
Disclosure certificate and should ask agencies to confirm the validity of the document. Some
supply teachers, through their continuity of service with the County Council, may not have a
Disclosure certificate and in these cases confirmation of suitability should be confirmed through
the Mouchel Supply & Relief Team. Additionally to maintain a record of continuity of service all
potential supply teachers were issued with a “Record Card” which is endorsed by a school for
any month in which they are employed at that school. This will identify any break in service that
then requires a new CRB Disclosure check.
(v)
School Governors
Generally School Governors do not require a CRB check. However, any new, reappointed or
serving Governor whose activities or actions provide “cause for concern” can be asked to apply
to the CRB for an Enhanced Disclosure. Failure to comply will result in disqualification.
Appointing Bodies may request that any candidate for Governor be asked to complete a
Declaration of Eligibility to serve as a School Governor. All such appointments are subject to a
check against the DCSF List 99 – this is a list of individuals whose employment with children is
prohibited.
Any Governor that seeks to “volunteer” to work regularly with children within the
school/classroom is subject to the conditions given above – see para (ii) above.
34
APPENDIX G (Part 1)
CENTRAL SCHOOL RECORD – notes for assistance
Issues that Ofsted Inspectors will raise at Inspection
Questions for the school
1.
Is a Single Central Record
(SCR) of staff in place?
2.
Does the SCR record the
names, addresses and
dates of birth of all
members of staff?
3.
Is there evidence on the
single central record that all
teachers have been
checked against List 99
(L99)?
(If a teacher has a CRB
check in place they have
been List 99 checked)
4.
Is there evidence that all
staff that have regular
contact with children
employed since March 2002
have been CRB checked?
5.
Have all staff appointed
since May 2006 whether or
not they have regular
contact with children been
CRB checked?
Does the CSR include
evidence that supply
teachers who work at the
school regularly been
checked against List 99 or
have a recent CRB check?
6.
7.
Fully in
place
Has the school evidence
that agency supply teachers
have been L99 or CRB
checked?
35
Partly in place
Not in place
8.
Have volunteers including
governors who have regular
contact with children been
CRB checked or are they
never left in sole charge of
children?
9.
Does the SCR record the
date when the CRB or L99
check was carried out?
10.
Does the SCR record all
teachers who have qualified
teacher status (QTS)?
11.
Does the SCR record
evidence of permission to
work for those who are not
nationals of European
Economic Area (EEA)
country?
12
The Inspector may also ask
for details of the date of
appointment to be shown on
the Central School Record
All teachers should be checked against List 99 before they start teaching in England.
Schools can undertake a L99 check, for a small fee, through the Teachers’ Pensions on
line service:
www.teacherspensions.co.uk/.
36
APPENDIX G (Part 2)
LINCOLNSHIRE COUNTY COUNCIL SUPPLY AND RELIEF DATABASE
Lincolnshire County Council Supply and Relief database currently holds information on over
1,600 people cleared to work in schools in the county.
Like schools we are undertaking a full audit of all these staff to establish who have and have not
had a CRB check. Early indication suggests only one third of the supply and relief staff do have
a CRB check where the remainder are staff that have been cleared through the old systems
before April 2002. We will be undertaking a paper exercise to check all remaining staff to
reassure ourselves that all the necessary checks are in place.
Original Data source of Lincolnshire County Council Supply and Relief database
All data on staff on the Supply and Relief panel was obtained from SAP in 2002.
Since the database has been established in 2002 all staff have been checked on an annual
basis to ensure they have not had a break in service of more than one year thus maintaining
their police/CRB clearance. Anyone with a break of service of more that one year have been
removed from the database.
We have now put in place a process to check every supply and relief staff record to ensure
there is not a three month break in service so police/CRB checks remain valid and we meet the
new DCSF legislation.
WHAT YOU NEED TO DO TO CONFIRM SOMEONE FROM THE SUPPLY AND RELIEF
DATA BASE IS CLEARED TO WORK TODAY
EITHER
Anyone issued with a letter from this office titled “Important information regarding the
Lincolnshire County Council Supply Teacher Panel” personalised to them with the correct
name/address and with a username on the front sheet was cleared to work for the supply and
relief panel as of 1st October 2006. (See copy of letter attached with this correspondence). You
can take this as a ‘LETTER OF WORTHINESS’ and put a copy onto your staff file.
OR (AND THE RECOMMENDED PROCEEDURE)
 Visit the on-line supply and relief database accessible through the head teachers area of
Netlinc or via the Internet and put in your username and password
http://supplytest.netlinc.org.uk/sms/admin
 Details of any supply and relief staff in your region are visible to you
 Click on ‘Jobs’ button – (which will be changing to “search for supply/relief staff”). Click on
the ‘create’ button. The following screen will come up
37
Fill in the cells and once you have clicked ‘save job’ the system will search and show all supply
and relief staff cleared to work and living in and around your school.
Click on the name of the person you are checking clearance for and the following information
will be viewable
38
If this box contains the text
“This supply teacher/relief staff
has requested that schools do
not contact them” please
respect their wishes
You will be able to see the staff’s personal details and a ‘date cleared until’ field
Print a copy of this record and add to your supply and relief staff file.
IF YOU WISH TO USE THIS MEMBER OF STAFF IN THE FUTURE YOU NEED TO
EITHER (AND THE RECOMMENDED PROCEEDURE)
 Check their record on the internet database each time the ‘date cleared until’ date expires on
your staff file
OR
 Look at their “Record card for confirmation of continuing CRB clearance” (See a copy of this
record card attached with this correspondence). Each member of the supply and relief panel
has been issued with this. Supply teachers are keeping a record of when they are working in
schools as evidence of continuous service. You may be asked to sign this card for the
supply and relief staff you are using. Please agree to do so as it enables these staff to
evidence their continuous work record and thus their continuing clearance.
WHAT WE WILL DO TO CONFIRM SOMEONE FROM THE SUPPLY AND RELIEF
DATABASE IS CLEARED TO WORK
We will be checking the records of all supply and relief staff every three months to
confirm they have maintained a continuous work record. If they have not done so they
will be removed from the database and will need to apply for re-clearance. If they have
maintained this continuous work record we will update their ‘date cleared until’ record.
We will be recognising the work of supply and relief staff in both Foundation and in the schools
in the county who do not use the HBS payroll system. Where supply and relief staff work in
either we are asking them to maintain their record card for confirmation of continuing CRB
clearance and sending us a copy of this card every 3 months. We will contact the school at
which they have been working to confirm this and will then update their ‘date cleared until’ date.
Over the next months we will be re-confirming the police check status of all staff on the
database. Those with CRB checks are definitely cleared to work. Those without will be rechecked through their personnel file to confirm no breaks in service have ever occurred longer
than those breaks allowed by the legislation. Our ultimate aim will be to undertake fresh CRB
39
checks for these staff on the database but we will have to work with the DCSF and CRB office
to schedule these clearances so the CRB office can manage the national increased demand for
checks.
NEW SUPPLY TEACHERS AND RELIEF STAFF
With so many cleared supply and relief staff available to schools in Lincolnshire we are asking
that schools do not instigate a clearance of a new supply or relief staff.. If people wish to join the
supply panel they need to contact Mouchel Business Services Supply and Relief Panel staff.
(PLEASE DO NOT GIVE OUT A SUPPLY/RELIEF PACK – OFTEN THERE ARE CONTENTS
MISSING /CHANGED OR UPDATED – THIS CAN REALLY SLOW DOWN THE CLEARANCE
PROCESS)
If we have many supply teachers in a region at the right key stage and subject we may not clear
additional staff but put them on a waiting list until our database shows we have demand in that
area for new supply and relief staff. If you require details for more supply or relief staff
please check on the database first to see if there is anyone suitable for the work and already
cleared. If there is no one suitable please let me know and we can then clear additional staff.
Using the system ensures
you are only using full cleared staff so do not need to carry out any risk assessments
Cleared supply and relief staff are being fully utilised and thus more likely to maintain a
continuous record of employment
Lincolnshire County Council does not waste resources clearing staff that subsequently does not
go on to work in schools in the county.
AGENCY STAFF
Head teachers will be aware that they will need to confirm with an Agency that any staff they
supply have an Enhanced CRB Disclosure and that they have had no break in the continuity of
their employment, of 3 months or more. All appropriate documentation should be checked and
references verified. For further advice see DCSF guidance.
If you have any queries regarding the content included in this Appendix please contact: Cathy O’ Reilly
Corporate Recruitment Manager
Resources Directorate
40
APPENDIX G (Part 3)
FOREIGN NATIONALS OR UK RESIDENTS WHO HAVE WORKED OR BEEN
RESIDENT OVERSEAS IN THE PAST FIVE YEARS
The CRB can only access criminal records held on the Police National Computer
and this does not hold details of convictions, cautions, reprimands or warnings
from outside the United Kingdom. A CRB check will not provide details of an overseas criminal
record that may, or may not exist.
All persons who are appointed to a post requiring a CRB check must however still undergo a
CRB check regardless of their length of stay in the UK or, even if they have never been
resident. All new arrivals to the UK must provide, in addition to all documentation in relation to
the Immigration requirements, and CRB requirements, a STATEMENT OF GOOD CONDUCT
(SOGC). The definition of new arrival is an applicant who has worked or been resident
overseas in the previous five years and this includes citizens of the UK who have worked or
lived overseas.
It is preferred that the SOGC is obtained via the relevant UK embassy of every country in
which residency or employment is relevant. The applicant is responsible for acquiring this.
Managers and Head Teachers should request that the applicant obtains the Certificate of Good
Conduct in English, as otherwise costs may be incurred for translation. This document should
be considered along with the internal risk assessment process and all other employment checks
before taking a decision regarding appointment. It is recommended therefore that prospective
candidates are advised that they should obtain their SOGC(‘s) prior to application or at least
before interview. References must be obtained from previous employers and in the case of
those seeking to work with children and/or vulnerable adults, one of these references should
be from the last employer where the individual worked with vulnerable clients. In addition
particular care must be taken with the usual range of other pre-employment checks such as
confirming identity, qualifications, verifying work permits and eligibility to work and preemployment medical questionnaires must be carried out.
Although it may be of limited value to ask a person who has little or no previous residence in the
UK to apply for Disclosure, advice indicates, that if the person applies to work in the regulated
childcare sector or with vulnerable adults, the employer is required to check the Protection of
Children list through the Disclosure process.
The unavailability of an applicant’s Certificate of Good Conduct may give cause for concern
about his or her suitability to be offered employment in a position of trust. Although such
candidates will not be barred from working for the County Council, Appointing Officers must
make their final recruitment decision with due regard to all the relevant facts, the risk
assessment and the overall requirement to protect vulnerable groups. Any decision not to
appoint must be carefully explained to the candidate and reassurance given about the reasons
for it.
CRB Advice
The CRB cannot currently access overseas criminal records or other relevant information as
part of its Disclosure service. If you wish to obtain a fuller picture of an applicant’s background
the CRB also provides guidance on how to acquire information from certain countries as listed
below. Certificates of Good Conduct obtained in this way, from the appropriate UK embassy,
can therefore be authenticated by contacting that embassy. Contact details for those countries
41
that have a representative in the UK can be found at www.fco.gov.uk or telephone 020 7008
1500
Countries carrying out Criminal Record Checks
Australia
Latvia
Canada
Malaysia
Czech Republic
Malta
Denmark
Netherlands
Finland
New Zealand
France
Philippines
Germany
Poland
Hungary
South Africa
Irish republic
Spain
Italy
Sweden
Jamaica
If an applicant is from a country listed above then they should be asked to follow the procedure
for that country. Details can be found at www.crb.gov.uk/overseas
The CRB is not involved in the processing of applications made by individuals to overseas
authorities and therefore will not be responsible for the contents or length of time taken for the
information to be returned.
42
APPENDIX H
GLOSSARY OF LEGAL TERMS – including those likely to be used on a Disclosure
Certificate
A
Abscond
To secretly seek to evade legal proceedings or the jurisdiction of a court usually by
leaving the country
Absolute
Discharge
An absolute discharge (which is not to be confused with a finding of not guilty) is used
where the court, having found the offender guilty of the offence charged, considers
that no further action is required on its part beyond the finding of guilt. This may
reflect the triviality of the offence, circumstances in which it came to be prosecuted, or
factors relating to the offender.
Accused
Acquittal
The person charged. The person who has allegedly committed the offence.
Discharge of defendant following verdict or direction of not guilty
Adoption
An act by which the rights and duties of the natural parents of a child are extinguished
and equivalent rights and duties become vested in the adopter or adopters, to whom
the child then stands in all respects as if born to them in marriage
Adult
Someone who is treated by the law as no longer being a minor, having attained the
age of 18 in England and Wales or 16 in Scotland
Appeal
Application to a higher Court or authority for review of a decision of a lower Court or
authority
Appearance
The attendance by a party to legal proceedings in court either personally or by a legal
representative
Arrestable
Offence
An arrestable offence is one for which the penalty on first conviction can be at least
five years imprisonment or for which the penalty is fixed by statute. In addition some
offences have been declared arrestable by parliament. These include taking a vehicle
without authority or driving with excess alcohol
Assault
An unlawful attack on someone by words or deeds. Physical contact is not essential
B
Bail
Release of a defendant from custody, until his/her next appearance in Court, subject
sometimes to security being given and/or compliance with certain conditions
Battery
The deliberate use of unlawful force on somebody, ranging from touching them to the
use of physical violence.
Bind over for
sentence
An order that requires the defendant to return to Court on an unspecified date for
sentence. Failure to observe this order may result in a forfeit or penalty to be enforced
43
Breach
C
Care Order
Person failing to fulfil the requirements of either a court order or the conditions of a
post-release license.
The Care order is available both in care proceedings in the juvenile court and in
criminal proceedings if a juvenile is prosecuted and found guilty of an offence
punishable in the case of an adult with imprisonment. It commits the offender to the
care of the local authority who decides on the placement in a residential centre,
community home, voluntary home or boarding with foster parents
Category A, B or
See Conviction
C Conviction
Caution
A caution can be given when there is sufficient evidence for a conviction and it is not
considered to be in the public interest to institute criminal proceeds. For a caution to
be issued there must be evidence of the offender’s guilt sufficient to give a realistic
prospect of conviction; the offender must admit the offence; and the offender must
understand the significance of a caution and give informed consent to being cautioned
Simple Caution - A simple caution should only be given if the public interest justifies it
and in accordance with Home Office guidelines. Where it is felt that such a caution is
appropriate, Crown Prosecutors must inform the police so they can caution the
suspect. If the caution is not administered, because the suspect refuses to accept it, a
Crown Prosecutor may review the case again.
Charge
Committal
Community
Punishment
Orders (CPO)
Community
Punishment and
Rehabilitation
Orders (CPRO)
Community
Rehabilitation
Orders (CRO)
Conditional Caution - Conditional Cautions are a new disposal introduced in the
Criminal Justice Act 2003. A Conditional Caution may be appropriate where a Crown
Prosecutor considers that while the public interest justifies a prosecution, the interests
of the suspect, victim and community may be better served by the suspect complying
with suitable conditions aimed at rehabilitation or reparation. These may include
restorative processes.
A formal accusation against a person that a criminal offence has been committed
i)
Committal for trial: Following examination by the Magistrates of a case
involving and indictable or either way offence, the procedure of directing the
case to the Crown Court to be dealt with.
ii)
Committal for Sentence: Where the Magistrates consider that the offence
justifies a sentence greater than they are empowered to impose they may
commit the defendant to the Crown Court for sentence to be passed by a
judge.
iii)
Committal Order: An order of the Court committing someone to prison.
Community Punishment Orders are a community sentence for offenders aged 16
years+, who have committed an offence punishable by imprisonment. The Order
requires offenders to perform unpaid work in the community, from a minimum of
40hours to a maximum of 240.
Community Punishment and Rehabilitation Orders are similar to CPOs. Offenders
perform unpaid work in the community, from a minimum of 40hours to a maximum of
100, under the supervisions of a probation officer for between 12 months and three
years.
Community Rehabilitation Orders are a community sentence for offenders aged 16
years+ with a pattern of offending which could be dealt with by being in regular contact
with the Probation Service. Orders range from six months to three years. Offenders
attend regular meetings with a probation officer, initially once a week, tapering off
towards the end of the order if progress is adequate.
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Community
Service Order
Compensation
Order
Concurrent
Sentence
Conditional
Discharge
Consecutive
Sentence
Contempt of
Court
Conviction
Count
Criminal
D
Damages
Defendant
Deposition
Direction
Disability
Discontinuance
Dismissal
E
Entry of
Judgment
The community service order was introduced with the primary purpose of providing a
constructive alternative for those offenders who would otherwise have received a short
custodial sentence. The effect of the order is intended as a penal sanction that makes
serious demands on the offender, working for the benefit of the community, as a viable
alternative to a custodial sentence. Work for offenders is found with local voluntary or
public bodies or on projects directly organised by the Probation Service.
The courts may, in addition to dealing with the offender in any other way, order him to
pay compensation for any personal injury, loss or damage resulting from the offence
or from any other offence which is taken into account. The compensation order may
be combined with any other sentence or order (such as probation, conditional
discharge and absolute discharge). The court may order compensation in any case
where it appears appropriate, whether or not the victim has made an application.
A direction by a Court that a number of sentences of imprisonment should run at the
same time
A discharge of a convicted defendant without sentence on condition that he/she does
not re-offend within a specified period of time
An order for a subsequent sentence of imprisonment to commence as soon as a
previous sentence expires. Can apply to more than two sentences
Disobedience or wilful disregard to the judicial process, or conduct that interferes or
prejudices the administration of justice.
A conviction is each finding of guilt for every (notifiable) offence considered by a
criminal court for each convicted person. A finding of guilt would include a plea of
guilty.
Convictions are classified by their severity into Category A, B or C. This categorisation
will decide the retention policy for such conviction details. Annexe A identifies a
selection of more common convictions in categories A and B, further information can
be found using this link ACPO which includes full lists of all convictions
An individual offence set out in an indictment
Person who has been found guilty of a criminal offence
An amount of money claimed as compensation for physical/material loss, e.g.
personal injury, breach of contract
Person standing trial or appearing for sentence
A statement of evidence written down and sworn on oath, or by affirmation
Court Order laying down procedural steps to be taken
The inability of a person to handle their own affairs (e.g. through mental illness or a
minor under 18 years of age) which prevents involvement in civil legal proceedings
without representation
Notice given by the Court, on instruction by the claimant, that they no longer wish to
proceed with the case
To make order or decision that a case be ceased
Decision of the Court in favour of one or other of the parties
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F
False Accounting Providing dishonestly, information which is misleading or deceptive with a view to
cause loss to another, or the destruction concealment or falsification of information
relating to a financial account
Fines
Every criminal offence, except murder, is punishable by a fine, and for many of the
less serious offences a fine is the only penalty prescribed by law. Fines are by far the
most frequently used power available to the Court. A fine is a principle, not ancillary,
sentence and may not be used in conjunction with an order for absolute or conditional
discharge, probation or Community Punishment Order. A Magistrate’s Court is
required to take into account what it knows of an offender’s means in fixing the level of
a fine. Where a juvenile offender is ordered to pay a fine, damages, compensation or
costs the court may – and must if the offender is under the age of 14 – order the sum
to be paid by the parent or guardian.
Fixed Penalty
FPNs, including the Penalty Notices for Disorder (PND) scheme, have been
Notice (FPN)
introduced as a means of dealing with low-level, anti-social and nuisance offending,
which does not require a court hearing. Once a penalty notice has been issued, the
recipient must either pay the amount shown on the notice or request a court hearing.
This must be done within 21 days of the date of issue. Payment of the penalty by the
recipient discharges their liability to conviction of the offence for which the notice is
issued. Payment involves no admission of guilt and removes both the liability to
conviction and a record of criminal conviction.
Formal warning A formal (street) warning for the possession of cannabis
for Possession of
Cannabis
G
Guardian
Guilty Plea
A person appointed to safeguard/protect/manage the interests of a child or person
under mental disability
A case in which all defendants either plead guilty to all counts \9or acceptable
alternative counts) or plead guilty o some counts and not guilty to others and a jury is
not sworn. The conviction, even where a defendant pleads guilty is not confirmed until
sentence is set by the court
H
Hospital/Guardian Similar to the Care Orders, Hospital and Guardianship orders enable a juvenile court,
Order
where a juvenile is prosecuted and found guilty of an offence punishable in the case of
an adult with imprisonment, to remand the offender in custody or on bail for medical
examination and assessment under the Mental Health Act 1959
I
Imprisonment
The power of the Courts to pass sentences of imprisonment and the maximum for
each offence is specified by law. Where an offence is dealt with by the Crown Court,
the maximum term of imprisonment that may be imposed is, in nearly all cases, higher
than that available to Magistrates’ Court.
Indictable Offence Offences for which an adult defendant must be tried by the Crown Court, e.g. robbery,
arson, and rape. The different types of offence are classified 1, 2, 3 or 4. Murder is a
class 1 offence
Infant
Also known as a minor: A person under 18 years of age which prevents them from
acting on their own behalf in legal proceedings
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J
Judgment
Juvenile
L
Licence
M
Minor
Mitigation
O
Order
P
Plea
Power of Arrest
Probation Order
Q
Quash
R
Recognisance
Remand
Final decision of a Court A monetary judgment requires the payment of a sum of
money by one party to another
Person under 17 years of age
If an offender is released from prison under licence, they are placed under the care of
the Probation Service. Certain conditions are attached to the release. Breach of these
conditions will result in the offender being returned to prison.
Someone below 18 years of age in England and Wales or below 16 in Scotland, and
unable to sue or be sued without representation, other than for wages.
Reasons submitted on behalf of a guilty party in order to excuse or partly excuse the
offence committed in an attempt to minimise the sentence
A direction by a Court
A defendant's reply to a charge put to him by a court; i.e. guilty or not guilty
An order attached to some injunctions to allow the police to arrest a person who has
broken the terms of the order
Also called a Supervision Order. The aim of a probation order is to leave the offender
at liberty in the community but subject to certain conditions regarding his way of life.
The order requires the offender to be under the supervision of a probation officer for a
specified period of not less than 6 months nor more than 3 years. The court has
discretion to include any further requirements that it considers of the case to secure
the good conduct of the offender or to prevent him from committing further offences.
To annul; i.e. to declare no longer valid
An undertaking before the Court by which a person agrees to comply with a certain
condition, e.g. keep the peace/appear in court. A sum of money is normally pledged to
ensure compliance
To order an accused person to be kept in custody or placed on bail pending further
Court appearance
S
Spent Convictions A conviction that, after a period of time, can be treated as if it never existed and no
longer needs to be disclosed, unless applying for a post that would warrant an
Enhanced Disclosure from the CRB
Suspended
A custodial sentence, which will not take effect unless there is a subsequent offence
Sentence
punishable by imprisonment within a specified period, the sentence of imprisonment,
cannot exceed 2 years. It is not intended as a substitute for non-custodial penalties or
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for probation but as an incentive for the offender to avoid trouble in future. This gives
the Court the opportunity to distinguish between the gravity of the offence and
mitigating circumstances which they mark by the length of the sentence and the needs
of the offender.
T
Taken into
Consideration
(TIC)
Trustee
An offence may be taken into consideration (TIC) by a court when deciding on
sentence and compensation awards. It is an alternative top charging an offender with
a substantial number of offences. The offender must admit their guilt before the court
can take the offence(s) into consideration.
Property legally entrusted to a person with instructions to use it for another person (or
persons benefit)
A person who holds or administers property in a trust for another (or others)
V
Verdict
The finding of guilty or not guilty by a jury
Trust
W
Warrant of
Committal
Y
Youth Custody
Method of enforcing an order of the Court whereby the penalty for failing to comply
with its terms is imprisonment; the bailiff is authorised to carry out the arrest and
deliver the person to prison (or in some instances the Court)
Also known as Borstal or Youth Detention. Where a person under the age of 17 is
convicted of an offence for which an adult may be sentenced to imprisonment, the
Court may, if it is of opinion that none of the other available non-custodial measures
such as fining or probation is suitable, sentence the offender to be detained in a
Detention Centre. The offender is carefully observed and assessed, usually in a
remand centre, and an Institution Board then makes its recommendations to the
Secretary of State regarding a suitable allocation. This may vary according to the age
of the offender and circumstances of the case but may be a community home, a youth
treatment centre, a borstal or a young prisoner’s centre.
The Children and Young Persons Act 1969 provided for the phasing out of Borstal
training and Detention Centres.
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