CRB Disclosure Policy by 1gmsr7W

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									                                University of Plymouth
                                 Human Resources




Independent Safeguarding Authority and Criminal Records Bureau

In 2010 the coalition committed to reviewing the vetting and barring scheme to scale
it back to common sense levels. The government has now announced provisions to
revise its vetting and barring arrangements, to ensure fair and proportionate
regulation of those who want to work with vulnerable groups. On February 11 2011
the Coalition Government published the findings of its Review into the Vetting and
Barring Scheme and changes will be implemented during 2012.

The current situation is that the Independent Safeguarding Authority continues to be
responsible for the barring function and the Criminal Records Bureau is responsible
for the disclosure of criminal records.

The Independent Safeguarding Authority

The Independent Safeguarding Authority will continue to carry out its work as an
independent decision making body as well as continuing to maintain its two barred
lists (individuals barred from engaging in regulated activity with children and
vulnerable adults). They will also continue to accept safeguarding referrals from
employers and other regulatory bodies.

Safeguarding regulations introduced in October 2009 continue to apply. These
include:

      if your organisation works with children or vulnerable adults and you dismiss
       or remove a member of staff or a volunteer because they have harmed a
       child or vulnerable adult (or there is a risk of harm), or you would have done
       so if they had not left, you must tell the Independent Safeguarding Authority

      a person who is barred by the ISA from working with children or vulnerable
       adults will be breaking the law if they work or volunteer, or try to work or
       volunteer with those groups

      an organisation which knowingly employs someone who is barred to work
       with those groups will also be breaking the law

Therefore the university as an employer has a legal obligation to refer any
information about individuals who may pose a risk to children and/or vulnerable
adults directly to the ISA, for example if the University is carrying out a relevant
investigation or disciplinary action.

Further information regarding the ISA can be found on their website
http://www.isa.homeoffice.gov.uk/




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Criminal Records Bureau (CRB)

A CRB Disclosure will reveal if the person has convictions that would make an
employer consider them unsuitable to do the specific job.

The different levels of Disclosure reflect the amount of contact with children or
vulnerable people or the amount of responsibility taken by the post holder, for those
children or vulnerable adults.

Standard CRB check

Standard CRB checks show current and spent convictions, cautions, reprimands
and warnings held on the Police National Computer.

Enhanced CRB Check

Enhanced CRB checks contain the same information as the Standard Disclosure
but with the addition of;

      any relevant and proportionate information held by the local police forces.
      a check of the new Children and or Vulnerable Adults barred lists where
       requested.

Further information can be found in the policy below or on the website
http://www.crb.homeoffice.gov.uk/




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Criminal Records Bureau - Disclosure Policy for use within the
University of Plymouth


CONTENTS:

Disclosure Policy


CRB Code of Practice for Registered Persons and            Annexe A
Other Recipients of Disclosure Information


Meaning of Regulated Position                              Annexe B


Guidance Notes for completion of Disclosure                Annexe C
Application forms


Policy Statement on the Recruitment of Ex-Offenders        Annexe D



Policy Statement on the Secure Storage, Handling,          Annexe E
Use, Retention and Disposal of Disclosures and
Disclosures Information




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Criminal Records Bureau - Disclosure Policy for use within the
University of Plymouth

Introduction

1      The Rehabilitation of Offenders Act 1974 and the amendment orders prohibit
       discrimination against persons with prison/criminal records within defined
       limits relating to length of sentence and the period free of a criminal record
       after the sentence was completed. Therefore once the sentence and
       qualifying time free of a criminal record has lapsed, the conviction is
       described as ‘spent’ and the person no longer needs to state this when
       asked about their criminal record. However, where a post involves contact
       with children or vulnerable adults and in certain other cases, the University is
       entitled to make enquiries about the applicant’s entire criminal record and will
       seek a Disclosure from the Criminal Records Bureau (CRB)

2      The University of Plymouth employs staff that work in various positions of
       trust in a variety of settings ranging from academic and research staff with
       significant contact with children and/or vulnerable adults and staff working on
       Summer Schools. These posts are subject to an Enhanced Disclosure from
       the CRB.

3      Criminal records searches are administered by the Criminal Records Bureau
       (CRB), a government agency established under the Police Act 1997, by
       means of the Disclosure Service. The CRB defines a child as someone
       who is under 18 (under 16 if the child is employed) and a vulnerable
       adult as a person aged 18 or over who has a learning or physical
       difficulty, a physical or mental illness, chronic or otherwise, including
       an addiction to alcohol or drugs; or a reduction in physical or mental
       capacity.

4      The Disclosure Service assists employers in making appropriate recruitment
       decisions by identifying candidates who are unsuitable for certain work,
       particularly work which involves contact with children or vulnerable adults. It
       may also be relevant for occupations which are exceptions to the
       Rehabilitation of Offenders Act 1974 (ROA).

5      The University of Plymouth is a registered user of the CRB and will use the
       Disclosure Service as an additional pre-employment check for certain posts
       and in advance of confirmation of an offer of a place on certain courses. As
       a registered body, the University complies with the CRB Code of Practice
       (see Annexe A) and undertakes to treat all applicants for positions fairly and
       consistently. It will not discriminate unfairly against any applicant on the
       basis of conviction or other information revealed in a criminal records
       Disclosure.

6      The University of Plymouth is committed to the fair treatment of all of its staff
       and potential staff, regardless of gender, ethnicity, colour, disability, religion,
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          nationality, age, occupation, marital status, sexual orientation or any other
          irrelevant distinction, as laid out in the Equality and Diversity Policy and the
          CRB Code of Practice.

Level of Disclosure

7         Enhanced Disclosure For posts involving a far greater degree of contact
          with children or vulnerable adults. In general the type of work will involve
          regularly caring for, supervising, training or being in sole charge of such
          people. This involves an extra level of checking with local police force
          records in addition to checks with the Police National Computer and the
          government department lists held by the Department of Education and Skills
          and Department of Health, where appropriate.

8         In general there will be no requirement for an applicant to disclose spent
          convictions for a job within the University and with no prejudice for failing to
          mention spent convictions. However, the University and potential employees
          have a statutory obligation and a duty of care to ensure the protection of
          certain vulnerable groups in particular circumstances.

9         As an organisation using the CRB Disclosure Service to assess applicants’
          suitability for positions of trust, the University of Plymouth complies fully with
          the CRB Code of Practice and undertakes to treat all applicants for positions
          fairly and equitably and it undertakes not to discriminate unfairly against any
          subject of a Disclosure on the basis of conviction or other information
          revealed.

10        Unless the nature of a position allows the University to ask about an
          applicant’s entire criminal record (i.e. if it is a regulated position1, see Annexe
          B), it will only enquire about ‘unspent’ or pending convictions as defined by
          the Rehabilitation of Offenders Act (ROA).


General Guidance and Process

11        This policy will be made available to all applicants for whom a criminal record
          Disclosure will be required upon request to the HR Directorate. Successful
          candidates will also be sent Guidance Notes to assist with completing the
          Disclosure application form (see Annexe C).

13        The University of Plymouth actively promotes equality of opportunity for all,
          and welcomes applications from a wide range of candidates, including those
          with criminal records. Appointments are made on the basis of merit and
          suitability. Criminal conviction will not automatically preclude an applicant
          from appointment (see Annexe D – Policy on the Recruitment of Ex-
          Offenders).


1
     Regulated position – defined in the Criminal Justice & Court Services Act 2000 as ‘working with children’. See Annexe A
for the full definition of regulated positions contained within the Act.

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14     A Disclosure will only be requested when it is deemed to be relevant to the
       position concerned, and where a Disclosure is required, recruitment
       documentation will include a clear statement to this effect. A disclosure will
       only be sought where an offer of employment has been made and accepted.
       Examples of ‘regulated’ posts where a disclosure would be appropriate will
       include:

          Academic and research staff who have significant contact with children or
           vulnerable adults, e.g. in areas such as Health, Peninsula College of
           Medicine & Dentistry, Education, Psychology
          Nursery staff, Counsellors, Occupational Health, Disability Assist, sports
           centre and Schools Liaison staff, staff working on summer schools
          Any other staff who will have significant contact with children and/or
           vulnerable adults

       This list is not exhaustive and other vacancies might from time to time be
       identified as requiring a Disclosure.

       Examples of ‘controlled’ posts where a Disclosure is appropriate:

              Catering staff, cleaners, receptionists

       Examples of posts where a lower level of Disclosure in respect of a position
       of trust a ‘Standard Level CRB Disclosure may be appropriate:

              Finance, Estates, Drivers

15     Volunteers - whether a Disclosure is required for those working in a
       voluntary capacity will be assessed according to the extent to which they
       fulfil the criteria regarding ‘regulated’ and ‘controlled’ activities. In this
       instance, please seek advice from HR.

16     All applicants will be encouraged to provide details of any criminal
       convictions during the application process. If a CRB check is applicable,
       successful candidates will subsequently be required to apply for a Disclosure
       as a condition of appointment/offer.

17     All Disclosure information will be sent under separate, confidential cover to
       designated CRB counter-signatories within the University of Plymouth only.

18     The University will ensure that recruitment training includes the Disclosure
       Policy.

19     The University also undertakes to ensure that any offences or other matter
       relevant to the appointment revealed on a Disclosure are discussed openly
       with the applicant as soon as the Disclosure information is received from the
       CRB, wherever possible this will be before the commencement date



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20     Failure to declare information directly relevant to an appointment that is
       subsequently revealed on a Disclosure may lead to the withdrawal of a
       conditional offer or the termination of employment if the employee has
       commenced work. Information revealed in a Disclosure will be considered
       carefully and discussed with the applicant before a conditional offer is
       withdrawn if possible before the commencement of employment.

       From the 12 October 2009 the university as employer has a legal
       obligation to refer, any information about individuals who may pose a
       risk to children and/or vulnerable adults, directly to the ISA.

21     Where a nationally recognised professional body has identified that certain
       convictions would debar an individual from practice, this will be made clear to
       applicants at the earliest possible stage in the application process.

22     The University uses processes for reviewing convictions which are open and
       transparent, using clearly identified and consistent criteria, and ensuring that
       details of disclosures made are made available only to counter signatories
       (See Annexe E– Policy Statement on the Secure Storage, Handling, Use,
       Retention and Disposal of Disclosures and Disclosures Information).

23     The identity of applicants will be thoroughly checked.

24     Each case will be considered carefully, and considerations might include

          how long ago the conviction/caution occurred
          penalty imposed
          type of offence
          age of applicant when offence committed
          time since last conviction and application
          stability of employment history subsequent to conviction
          mitigating circumstances

       Note people barred in regulated activities can be employed in a controlled
       activity providing that adequate safeguards are in place.

25     There will be occasions when more information is required, e.g. reports from
       probation officers or prison authorities, or evidence of any mitigating
       circumstances, and in such cases, the applicant will be asked for
       authorisation before the further information is requested.

26     Letters rejecting applicants on the basis of a CRB Disclosure will only refer to
       an ‘unsatisfactory CRB check’, because in the case of an Enhanced
       Disclosure there may be information which we are unable to disclose to the
       applicant. In such cases, applicants may appeal against the decision by
       writing to the Lead Signatory (Head of HR Operations).

27     New employees should disclose any further convictions or pending cases at
       the time of starting work.
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28     Either Admissions or Human Resources should apply for a Disclosure for a
       student who is also an employee, and not both offices. The individual is
       responsible for ensuring that copies of the returned Disclosure are forwarded
       to the other party. Where required by the contract of employment HR will
       check and record that a copy has been provided.

29     The disclosure will cover any past convictions to the date that it is issued.
       This process should therefore be repeated every three years unless changes
       in the job require it earlier.

30     With regard to portability (i.e. the re-use of a CRB Disclosure, obtained for a
       position in one organisation and later used for another position in another
       organisation), the CRB does not endorse this practice due to the risks
       involved. Therefore, the University of Plymouth will not normally allow the re-
       use of an existing Disclosure and will require a fresh check to be carried out.

31     Where the applicant will be involved with working with a partner organisation,
       explicit consent will be obtained from the applicant to agree to information
       received in the Disclosure from the CRB being shared with the partner
       organisation. The applicant will be asked to sign a written statement
       agreeing to this.

32     Information on the decision will be noted but the disclosure form will be
       destroyed and no record of criminal matters, past or pending, will be kept on
       the individual’s personnel file. However, information regarding the post being
       subject to a CRB check will be recorded (see Annexe F - Policy on the
       Secure Storage, Handling, Use, Retention and Disposal of Disclosures and
       Disclosure Information).




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Procedure for Existing Staff changing Post/Duties

33     Once the need for a change of post/duties has been established as requiring
       a Disclosure by the appropriate Senior Manager (i.e. Dean/Head of
       School/third level Manager), any staff affected should be made aware of this
       fact by their Manager. On receipt of the Disclosure from the CRB, if an
       offence has been identified, the following will be taken into account by the
       Lead Signatory (Head of HR Operations):

          Whether the conviction or other matter revealed is relevant to the position
           in question
          The seriousness of any offence revealed
          The length of time since the offence or other matter occurred
          Whether the employee has a pattern of offending behaviour or other
           relevant matters
          Whether the employee’s circumstances have changed since the
           offending behaviour or other relevant matter.

34     Matters revealed in the Disclosure will be discussed with the member of staff
       before any decision to withdraw or confirm the opportunity to change
       post/duties.

Overseas Applicants

35     Careful consideration should be given when requesting a Disclosure in
       respect of an applicant with a substantial record of overseas residence.
       Applicants falling into this category include UK residents, whether British
       nationals or otherwise, with recent periods of overseas residence. Also in
       this category are those with little or no previous UK residence.

36     Evidence of identity is required for all employees; however a Disclosure may
       be of limited value in respect of a person with very substantial gaps in their
       UK residence, or of individuals with little or no previous residence in the UK.
       The Police National Computer contains a limited number of overseas
       convictions but this data is by no means comprehensive. However, a
       substantial period of overseas residence should not mean that an individual
       will be precluded from consideration for employment, as the Disclosure
       service is only one part of the overall recruitment process. In such a
       situation, the University will engage in a full range of pre-appointment
       checks.

37     The CRB offers guidance to employers about the availability of criminal
       record checks in a variety of foreign countries, and the University can ask
       those with overseas residence to apply for the equivalent of a Disclosure, if
       available.




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                                                                           ANNEXE A

CRB Code of Practice for Registered Persons and other Recipients
of Disclosure Information
Introduction

This Code is established under section 122 of Part V Police Act 1997 and
determines the obligations which govern initial and ongoing registration of
Registered Bodies with the Criminal Records Bureau (CRB).

The Code applies to all Registered Bodies and Umbrella Bodies, hereon referred to
as Registered Bodies, and their clients. The Code also applies to applications for,
and handling of, both Standard and Enhanced Disclosures.

The obligations within this Code are determined by Part V Police Act 1997 and in
particular the Police Act 1997 (Criminal Records) (Registration) Regulations 2006.
These provisions determine the legal requirements upon persons seeking to
register and maintain their registration with the CRB as Registered Bodies. They
address the way in which the CRB will ensure that:

• Organisations are assessed as suitable to receive sensitive Disclosure
information;

• Organisations do not breach the spirit and requirements of the Rehabilitation of
Offenders Act 1974 (Exceptions) Order 1975 by submitting ineligible Disclosure
applications;

• Registered Bodies correctly verify the identity of Disclosure applicants to ensure
the integrity of all Disclosures issued by the CRB;

• Sensitive and personal data contained within the Disclosure is correctly managed
and used by Registered Bodies;

• The efficiency of the Disclosure Service is maintained by the timely payment of
fees and the accuracy of Disclosure application data;

• Registered Bodies treat their applicants fairly when considering sensitive
Disclosure information;

• Registered Bodies who fail to comply with the obligations within this Code may be
suspended or de-registered in order to maintain the overall integrity of the
Disclosure service.

The CRB takes seriously its statutory duties relevant to the rehabilitation of
offenders, data protection and human rights legislation. It will therefore seek to
ensure strict compliance with the Code through the full range of CRB assurance
management processes.


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This Code applies to all Disclosure information that is information contained within
the Disclosure including information provided under the Independent Safeguarding
Authority (ISA) scheme when introduced as well as information provided under
separate cover.

The Obligations

1. REGISTRATION

Registered Bodies must:

1. Provide sufficient information to the CRB to allow registration to proceed. This
includes information on the organisation’s status, the suitability of proposed counter
signatories and the purposes for which registration is requested;

2. Demonstrate that they are likely to countersign and submit applications for
relevant positions and employment;

3. Demonstrate that they are likely to submit the minimum annual number of
Disclosure applications determined by the CRB;

4. Provide up-to-date information to the CRB as required in respect of the
registration information and counter signatories;

5. Provide information on their organisation and nominated Lead and counter
signatories as and when required by the CRB to determine suitability for initial and
ongoing registration with the CRB;

6. Give access to CRB officials to official premises, data and documentation as and
when reasonably required by the CRB to determine suitability for ongoing
registration;

7. Submit Registration and Disclosure applications in the prescribed format;

8. Ensure that Disclosure applications are completed accurately and that all
mandatory data fields are completed in full;

9. Ensure that any electronic application system complies with CRB specifications
as stipulated.




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2. IDENTITY VERIFICATION

Registered Bodies must:

1. Accurately and comprehensively verify the identity of the applicant prior to the
submission of a Disclosure application;

2. Ensure that any person undertaking identity verification checks on their behalf is
suitable and trained accordingly.

3. MANAGEMENT AND USE OF DISCLOSURE INFORMATION

Registered Bodies must:

1. Have a written policy on the secure handling of Disclosure information which, in
the case of Umbrella Bodies, should be made available to their clients;

2. Store Disclosure information securely;

3. Retain Disclosure information, its content or any representation of the same in
any format for no longer than is necessary and for a maximum of six months
following the recruitment decision unless a dispute is raised or, in exceptional
circumstances, where CRB agreement is secured;

4. Ensure that no reproductions of the Disclosure or its content are made, including
photocopies or scanned images, unless with the prior agreement of the CRB or as a
result of a stipulated requirement relating to the e-channel service;

5. Only share Disclosure information with relevant persons in the course of their
specific duties relevant to recruitment and vetting processes;

6. Dispose of Disclosure information in a secure manner;

7. Ensure that Additional Information, including information as to its existence, is not
revealed to the Disclosure applicant and is disposed of in the appropriate manner
and at the appropriate time;

8. Ensure that they comply with CRB guidance on the portability of Disclosures and
their contents.




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4. SUITABILITY POLICY

Registered Bodies must:

1. Have a written policy on the suitability of ex-offenders that is available upon
request to potential applicants and which, in the case of Umbrella Bodies, should be
made available to their clients;

2. Ensure that all applicants for relevant positions or employment are notified in
advance of the requirement for a Disclosure;

3. Notify all potential applicants of the potential effect of a criminal record history on
the recruitment and selection process and any recruitment decision;

4. Discuss the content of the Disclosure with the applicant before withdrawing any
offer of employment;

5. Provide a copy of the CRB Code of Practice to the applicant upon request.


5. PAYMENT AND FEES

Registered Bodies must:

1. Pay the prescribed registration fee before registration may proceed;

2. Pay counter signatory fees within the prescribed period;

3. Pay all subsequent Disclosure fees within the prescribed period;

4. Pay all fees related to Disclosure applications submitted after any decision by the
CRB to suspend registration or de-register the organisation;

5. Publish all fees associated with Disclosure applications in relevant
documentation;

6. Notify the CRB in writing of any change to the fees associated with Disclosure
applications.


6. ELIGIBILITY

Registered Bodies must:

1. Use all reasonable endeavours to ensure that they only submit Disclosure
applications in accordance
with the Disclosure eligibility criteria for relevant positions or employment;



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2. Correctly apply the CRB definition of a volunteer to assert eligibility for free-of-
charge Disclosures.


7. ASSURANCE AND COMPLIANCE

Registered Bodies and their clients must co-operate in full with the CRB
Registration Management team enquiries, audits and investigations in seeking to:

1. Determine eligibility for initial registration with the Disclosure service in
accordance with the prescribed processes and criteria;

2. Ensure ongoing compliance of Registered Bodies with the obligations under this
Code by undertaking assurance audits on a regular basis in accordance with the
prescribed processes and criteria;

3. Implement the suspension or de-registration of a Registered Body where non-
compliance is established in accordance with the prescribed de-registration
processes and criteria.


8. OFFENCES

Registered Bodies must note that it is an offence to:

1. Disclose information contained within a Disclosure to any person who is not a
member, officer or employee of the Registered Body or, in the case of Umbrella
Bodies, their client unless a relevant legal exception applies;

2. Disclose information to any member, officer or employee where it is not related to
that employee’s duties;

3. Knowingly make a false statement for the purpose of obtaining, or enabling
another person to obtain a Disclosure. Persons guilty of such offences are liable to
deregistration, imprisonment or a fine unless a relevant exception applies as
outlined in CRB Guidance.

GUIDANCE

Each of the obligations of this Code is supplemented by detailed Guidance available
on the CRB website at www.crb.gov.uk

This Guidance will be updated on a continual basis to ensure that it reflects the
reality of CRB operations and the needs of Registered Bodies. Significant changes
to the Guidance will be notified to Registered Bodies as required.




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GLOSSARY OF TERMS

Additional Information (Enhanced Disclosures Only)
In a very small number of circumstances (typically to protect the integrity of current
police investigations), Additional Information may be sent under separate cover to
the counter signatory. Please note the applicant’s copy of the Disclosure will not
refer to this information. Therefore this information must not be shared with the
applicant.

Where the police issue a separate letter, the counter signatory’s copy of the
Enhanced Disclosure will contain the following words ‘Please refer to letter sent
under separate cover’, printed under the ‘date of issue’ on the Disclosure.

Approved Information (Enhanced Disclosures Only)
This is non-conviction information provided by the police from their local records.
The Chief Police Officer in each force will decide what, if any, information to
provide. The CRB will print this information on both the applicant’s and the counter
signatory’s copy.

Assurance Audits
These are used to determine the level of compliance of Registered Bodies
focussing on ID validation and data quality. It takes the form of a self-assessment
questionnaire that must be completed by Lead Signatories. Where areas of non-
compliance have been identified, they are addressed in a detailed report to the
Lead Signatory, and in some cases a compliance visit to the organisation may also
take place for further examination of their internal processes.

Counter signatory
This is a person within a Registered Body who is registered with the CRB to
countersign applications and receive the Disclosure.

Criminal Records Registration Regulations 2006
Conditions set by CRB which must be met in order to maintain registration status.

Disclosure
This term is used to describe the service provided by the CRB and the document
issued to the applicant and Registered Body when a CRB check has been
completed.

Exceptions Order 1975
The Exceptions Order to the Rehabilitation of Offenders Act (ROA) 1974 sets out
those occupations and positions exempt from the provisions of the ROA. These are
generally positions of trust; where there is a valid need to see a person’s full
criminal history in order to assess their suitability for a position. This information is
intended as general guidance only. It must not be regarded as a definitive
interpretation of the Act. Anyone requesting further guidance should seek legal
advice.

Enhanced Disclosure

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Also referred to as an Enhanced check, these are for posts that involve a far greater
degree of contact with children or vulnerable adults. In general the type of work will
involve regularly caring for, supervising, training or being in sole charge of such
people. Examples include a Teacher, Scout or Guide leader. Enhanced checks are
also issued for certain statutory purposes such as gaming and lottery licences.

This level of check involves an additional level of check to those carried out for the
Standard CRB check - a check on local police records. Where local police records
contain additional information that may be relevant to the post the applicant is being
considered for, the Chief Officer of police may release information for inclusion in an
Enhanced check.

Exempted Question
An exempted question is a valid request for a person to reveal their full criminal
history (including spent convictions) and is made possible by virtue of the
Exceptions Order to the Rehabilitation of Offenders Act (ROA) 1974.

Independent Safeguarding Authority (ISA)
The ISA have been created to help prevent unsuitable people from working with
children and vulnerable adults by working in partnership with the Criminal Records
Bureau (CRB), gathering relevant information on every person who wants to work or
volunteer with vulnerable people.

Identity Verification Checks
This is a process that Registered Bodies undertake to check and validate the
information provided by the applicant on the application form.

Lead Signatory
A senior figure within a Registered Body who has overall responsibility for the use of
the CRB checks in their organisation.

Online Tracking
This is a facility that can be used on the CRB website to track an application by
providing the form reference number and date of birth.

Part V Police Act 1997
This is the piece of legislation that brought about the CRB.

Personal Data
This is data that relates to a living individual who can be identified from that data.

(Sensitive) Data – Data which includes:
      Racial or ethnic origin;
      Religious or other beliefs of a similar nature;
      Physical or mental health or condition;
      Sexual life;
      Offences (including alleged offences)

Portability

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Portability refers to the re-use of a CRB Disclosure, obtained for a position in one
organisation and later used for another position in another organisation. This
practice is no longer endorsed by the CRB due to the risk factors involved.

Registered Body
This is an Organisation that has registered directly with the CRB to use its services.

Rehabilitation of Offenders Act (ROA) 1974
The Rehabilitation of Offenders Act (ROA) 1974 enables some criminal convictions
to become ‘spent’, or ignored, after a ‘rehabilitation period’. A rehabilitation period is
a set length of time from the date of conviction. After this period, with certain
exceptions, an ex-offender is not normally obliged to mention the conviction when
applying for a job or obtaining insurance, or when involved in criminal or civil
proceedings.

Standard Disclosure
Also referred to as a Standard check, these are primarily for posts that involve
working with children or vulnerable adults. Standard checks may also be issued for
people entering certain professions, such as members of the legal and accountancy
professions. The Standard check contains details of all convictions held on the PNC
including current and ‘spent’ convictions as well as details of any cautions,
reprimands or final warnings.




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                                                                             ANNEXE B
Criminal Justice & Court Services Act 2000
Meaning of ‘Regulated Position’:

36 –   (1)     The regulated positions for the purposes of the Part are –
               (a) a position whose normal duties include work in an establishment
                   mentioned in subsection (2) below
               (b) a position whose normal duties include work on day care premises
               (c) a position whose normal duties include caring for, training,
                   supervising or being in sole charge of children
               (d) a position whose normal duties include unsupervised contact with
                   children under arrangements made by a responsible person
               (e) a position whose normal duties include caring for children under
                   the age of 16 in the course of the children’s employment
               (f) a position a substantial part of whose normal duties includes
                   supervising or training children under the age of 16 in the course of
                   the children’s employment
               (g) a position mentioned in subsection (6) (see below)
               (h) a position whose normal duties include supervising or managing
                   an individual in his/her work in a regulated position.

       (2)     The establishments referred to in subsection (1) (a) are –
               (a) an institution which is exclusively or mainly for the detention of
                   children
               (b) a hospital which is exclusively or mainly for the reception and
                   treatment of children
               (c) a care home, residential care home, nursing home or private
                   hospital which is exclusively or mainly for children
               (d) an educational institution
               (e) a children’s home or voluntary home
               (f) a home provided under section 82 (5) of the Children Act 1989.

Sub section (6):
The positions mentioned in subsection (1) (g) are-
             (a) member of the governing body of an educational institution,
             (b) member of a relevant local government body,
             (c) director of social services of a local authority,
             (d) chief education officer of a local education authority,
             (e) charity trustee of a children's charity,
             (f) member of the Youth Justice Board for England and Wales,
             (g)Children's Commissioner for Wales or deputy Children’s
             Commissioner for Wales,
             (h) member, or chief executive, of the Children and Family Court
             Advisory and Support Service.




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                                                                              ANNEXE C

Guidance Notes for Completion of Disclosure Application Forms
Recruitment Process

      The employing department should identify at advert stage those posts that
       require a Disclosure for protection of children/vulnerable adults.
      Further particulars and job description will state that a Disclosure is a
       requirement for the post.

Appointment Process

      The employing department should clearly identify on the appointment
       approval form that a Disclosure check is required.
      The contract of employment will clearly state that a Disclosure check is
       required and that the employee should have no access to children/vulnerable
       adults until Human Resources receives clearance from the CRB, unless they
       are accompanied by an individual who has themselves been cleared. The
       CRB Disclosure form is sent to the individual with the contract of
       employment.
      The appointee will complete the relevant CRB application form wherever
       possible before commencement of employment or at the latest on their first
       day of employment when completing the payroll enrolment process. Original
       documents from the following list will be accepted as proof of identity:

               - Birth Certificate                   - Passport
               - Driving Licence                     - Marriage Certificate
               - P45/P60 or proof of National Insurance number
               - Utility bill (to substantiate home address)

      The counter-signatory will check the documents closely and sign off the
       application form.
      The application form will then be sent to CRB (NB Enhanced Disclosures will
       normally take 3 weeks to be processed).

Where a Disclosure has not been received before the commencement date

      If a new employee commences work and a Disclosure has not been received
       they must not undertake any unsupervised duties involving the contact with
       children and/or vulnerable adults.
      It is the manager’s responsibility, working with the employee, to ensure
       appropriate arrangements are in place that any work with children and/or
       vulnerable adults is carried out only when the new employee is accompanied
       by a colleague who has had a CRB check.




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Receipt of Disclosure

      Upon receipt of the Disclosure where no issues have been identified, Human
       Resources will inform the manager of the outcome.
      Where a Disclosure has identified an issue/criminal record, then the
       application will be referred to the relevant lead signatory for decision. (NB
       There should be a minimum of 2 advisors involved in the decision making
       process).
      Disclosure forms will not be held on personal files but held in a secure place
       within Human Resources.
      Existing staff that have already been cleared for the protection of children will
       be re-checked every three years.




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CRB Disclosure Flowchart
Staff Disclosures - Authentication & Verification

                   Once a successful candidate has been
                   identified Managers should complete
                   and forward an Appointment Approval
                   Form to HR noting that a CRB check is
                   required.




          CRB check noted on HR system and contract letter
          generated with detailed paragraph on process which
          advises employees to complete form prior to date of
          commencement in order to speed up the process. CRB form
          and booklet sent to employee.




          Employee is required to bring completed form into HR,
          checked against details individual has provided, e.g. passport,
          driving licence etc. Details are input onto excel spreadsheet
          and form is signed by countersignatory and sent off to CRB




          Completed Disclosure received from CRB by HR. If cleared,
          note on HR system the date received and also update excel
          spreadsheet. HR is to confirm to Manager. If a problem is
          identified, then refer to Lead Signatory (Head of HR
          Operations).



           CRB disclosure form should only be kept (in secure location
           within Personnel) for 6 months and then shredded, AND
           NOT PLACED ON PERSONAL FILE.




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                                  Human Resources


                                                                             ANNEXE D

Policy Statement on the Recruitment of Ex-Offenders
Background

It is a requirement for the University of Plymouth to have in place a policy on the
recruitment of ex-offenders, and the University of Plymouth has chosen to adopt the
Criminal Records Bureau’s recommended policy in this respect.

Policy Statement

1.1      As an organisation using the CRB Disclosure service to assess applicants’
         suitability for positions of trust, the University of Plymouth complies fully
         with the CRB Code of Practice and undertakes to treat all applicants for
         positions fairly. It undertakes not to discriminate unfairly against any
         subject of a Disclosure on the basis of conviction or other information
         revealed.

1.2      The University of Plymouth is committed to the fair treatment of its staff,
         potential staff or users of its services, regardless of race, gender, religion,
         sexual orientation, responsibilities for dependents, age, disability or
         offending background.

1.3      The policy on the recruitment of ex-offenders is made available to all
         Disclosure applicants at the outset of the recruitment process.

1.4      We actively promote equality of opportunity for all with the right mix of
         talent, skills and potential and welcome applications from a wide range of
         candidates including those with criminal records. We select all candidates
         for interview based on their skills, qualifications and experience.

1.5      A Disclosure is only requested after an assessment has indicated that one
         is relevant to the position concerned. For those positions where a
         Disclosure is required, recruitment briefs will contain a statement that a
         Disclosure will be requested in the event of the individual being offered the
         position.

         We encourage all applicants to provide details of their criminal record at an
         early stage in the application process.

1.6      Unless the nature of the position allows the University of Plymouth to ask
         questions about your entire criminal record we only ask about ‘unspent’
         convictions as defined in the Rehabilitation of Offenders Act 1974.

1.7      The University will ensure that recruitment training includes the Disclosure
         Policy. We also ensure that those involved in the recruitment processes
         have received appropriate guidance and training in the relevant legislation


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         relating to the employment of ex-offenders, e.g. the Rehabilitation of
         Offenders Act 1974.

1.8      In a separate discussion, we ensure that an open and measured discussion
         takes place on the subject of any offences or other matter that is relevant to
         the position. Failure to reveal information that is directly relevant to the
         position sought could lead to withdrawal of an offer of employment.

1.9      We make every subject of a CRB Disclosure aware of the existence of the
         CRB Code of Practice and make a copy available on request.

1.10     We undertake to discuss any matter revealed in a Disclosure with the
         person seeking the position before withdrawing a conditional offer of
         employment.

1.11     Having a criminal record will not necessarily bar you from working with us.
         This will depend on the nature of the position and the circumstances and
         background of your offences. The Head of HR Operations decision will be
         final in this matter.




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                                                                            ANNEXE E

Policy Statement on the Secure Storage, Handling, Use, Retention
and Disposal of Disclosures and Disclosures Information
BACKGROUND

It is a requirement for the University of Plymouth to have in place a policy on the
secure storage, handling, use, retention and disposal of Disclosures and Disclosure
information, and the University of Plymouth has chosen to adopt the Criminal
Records Bureau’s recommended policy in this respect.

POLICY STATEMENT

1.1    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 University of
Plymouth complies fully with the CRB Code of Practice regarding the correct
handling, use, storage, retention and disposal of Disclosures and Disclosures
information. It also complies fully with its obligations under the Data Protection Act
and other relevant legislation pertaining to the safe handling, use, storage, retention
and disposal of Disclosure information and has a written policy on these matters,
which is available to those who wish to see it on request.

1.2    Storage and 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 controlled and limited to those who are entitled to see it as part of
their duties.

1.3    Handling

In accordance with section 124 of the Policy Act 1997, Disclosure information is
only seen by authorised counter-signatories. We maintain a record of all those to
whom Disclosures or Disclosures information has been revealed and we recognise
that it is a criminal offence to pass this information to anyone who is not entitled to
receive it.

1.4    Usage

Disclosure information is only used for the specific purpose for which it was
requested and for which the applicant’s full consent has been given.

1.5    Retention

Once a recruitment (or other relevant) decision has been made, we do not keep
Disclosure information for any longer than is absolutely necessary. This is generally
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                                Human Resources


for a period of up to six months, to allow for the consideration and resolution of any
disputes or complaints. If, in very exceptional circumstances, it is considered
necessary to keep Disclosure information for longer than six months, we will consult
the CRB about this and will give full consideration to the Data Protection and
Human Rights individual subject before doing so. Throughout this time, the usual
conditions regarding safe storage and strictly controlled access will prevail.

1.6    Disposal

Once the retention period has elapsed, we will ensure that any Disclosure
information is immediately suitably destroyed by secure means, ie by shredding.
While awaiting destruction, Disclosure information will not be kept in any insecure
receptacle (eg waste bin or confidential waste sack). We will not keep any
photocopy or other image of the Disclosure or any copy or representation of the
contents of a Disclosure. However, notwithstanding the above, we may keep a
record of the date of issue of a Disclosure, the name of the subject, the type of
Disclosure requested, the position for which the Disclosure was requested, the
unique reference number of the Disclosure and the details of the recruitment
decision taken.




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