How to set up a CQC Compliant DBS Checking Process
We’ve put this guide together to help you understand; what DBS checks are, why they’re important and what your responsibilities are as an employer.
Whether you’re an existing care provider, or you’re just starting out, this guide is full of helpful info to ensure you’re up to scratch!
When and why would I need DBS Checks?
Normally, there are two reasons why someone would need a DBS check, either:
Upon registering with the CQC
When working in a health or social care setting where the main functions of the role are classed as ‘regulated activity’.
Throughout this guide when we refer to ‘regulated activity’ it refers to the activities defined by the Safeguarding Vulnerable Groups Act (SVGA). Individuals involved in ‘regulated activity’ need DBS Checks in place. This is so organisations can be sure that those they employ are suitable and compliant.
The term ‘regulated activity’ often causes confusion between the care sector and those in background screening services. Much of the work carried out in the care industry is what the Disclosure and Barring Service (DBS) would term ‘regulated activity’. It’s a term widely used in both sectors, but both have distinct meanings in context.
Housekeeping taken care of, scroll on to continue reading or click on the links in the contents to go directly to a specific page.
Contents
Who are the Disclosure and Barring Service?
Registration with the CQC
Getting your staff DBS checked
Agency Staff and Students
The DBS Update Service
Resources and Further Reading
Who are the Disclosure and Barring Service (DBS)?
So, we’ve already mentioned the DBS, but who are they?
In December 2012, the Criminal Records Bureau (CRB) merged with the Independent Safeguarding Authority (ISA) to create the DBS. They are responsible for carrying out Disclosure Checks (DBS Checks), maintaining the Child & Adult Barred Lists as well as sharing responsibility for the proper enforcement of barring decisions.
The DBS provide an essential service that we all rely on whether we realise it or not.
What is a DBS Check?
DBS Check is a general term used to UK criminal record checks. These checks are available to employers, so you can have all the available information to make safe recruitment decisions.
As a registered care provider, the CQC expect you to apply for one of three types of DBS check, depending on your candidate's job role:
Standard DBS Check: This level of check shows convictions held on the police national computer (PNC), including ‘spent’ convictions, together with cautions, reprimands and warnings. This check is generally suitable for medical support staff such as, but not limited to, receptionists, medical secretaries and cleaners.
Enhanced DBS Check: These checks contain all the information in a Standard DBS Check plus any local police information about the applicant that the police deem relevant.
An Enhanced DBS Check does not automatically disclose barred list information. These checks are normally reserved for people managing healthcare professionals but who aren’t involved in care themselves.
Enhanced DBS Check incl. Barred Lists search: This type of check is the highest level an employer can obtain. This will contain all the information outlined above, as well as a search of the relevant barred lists. These are the checks you need for the majority of your frontline healthcare workers, nurses, doctors, support workers, etc.
Whether the Adults or Child’s Barred lists are checked is dependent on which Workforce your candidate will be working with. You can find out more here.
Please note, that following a landmark Court of Appeals case, the filtering rules (what convictions show up on a DBS Certificate) have recently changed. This means certain information that isn’t considered relevant will not be disclosed, regardless of the level of check. For the most up-to-date information, click here.
Eligibility
Certain job roles require certain types of DBS Check in place. But before you can apply for any of the DBS Checks described above, you need to be sure your staff are eligible.
This is one aspect of the DBS process that can trip organisations up. Many companies are under the impression that all their staff require the Enhanced DBS check because they work in the care sector. Whilst we understand the logic, it isn’t quite the case.
Standard and Enhanced DBS Checks can only be undertaken if the role, or specific activities within a role, are included in the Rehabilitation of Offenders Act (ROA) 1974 (Exceptions) Order 1975 (access to standard DBS certificates) and are also covered by the Police Act 1997 or Police Act 1997 (Criminal Records) regulations (access to enhanced DBS certificates).
As a rule, any person carrying out a role that requires them to provide direct care, treatment or support to a vulnerable individual would be eligible for the Enhanced DBS check with the Barred Lists included.
However, you must familiarize yourself with the eligibility for each role in your business. This can vary significantly depending on the specific requirements of your organisation.
For example, a GP Receptionist would be eligible for a Standard DBS Check. However, if they were also responsible for chaperoning patients in appointments, this could make them eligible for the Enhanced DBS Check.
The eligibility guidance is there to assist you with making this decision. You can find out more on the .gov website here.
Registration with CQC
Who needs a DBS Check for CQC Registration?
CQC registered persons are those that will have ‘statutory responsibility’ for their clients and the service the organisation provides. They are responsible for managing the delivery of care, as well as administering care as and when required.
Anyone who is applying to be a registered person (individuals, all partners and registered managers) must have a CQC countersigned Enhanced DBS check (incl. Barred List search) before applying to register. This is because nearly all the aspects of this role come under the classification of regulated activity.
Applying for a CQC countersigned DBS Check
In some situations, you will need to process a DBS Check that has been countersigned by the CQC. This is the case when applying to become a registered partner, registered manager or individual provider.
There are two ways someone can apply for a CQC countersigned DBS check, either via the CQC website, or, via the Post Office website. We suggest familiarizing yourself with the process on the CQC’s website first, before starting any applications.
Convictions on your record
Having an offence or conviction on your record doesn’t necessarily stop you from becoming a registered person. The CQC will consider any offences that they consider relevant and decide accordingly.
If they feel that the offence in question will not affect the discharge of your duties and no safeguarding concerns have been identified, in theory, there should be no problems with your application. However, all applications are considered on their own merits by the CQC themselves.
Getting Your Staff DBS Checked
All CQC registered health or social care providers are required to check the suitability of their staff. DBS Checks are an essential tool for employers to be able to make safe and effective recruitment decisions.
DBS Checks are just one key component of the suitability decision-making process. You should also ensure you gain suitable employment references and reviewing their relevant occupational history before any offer of employment.
How do I apply for a DBS Check?
If you’ve never done DBS Checks, it can be hard to know where to start. The first thing you need to do is find a DBS Umbrella Body that can process DBS applications for you, like us! Bodies like Personnel Checks are registered with the DBS to countersign applications for other employers.
Once you’ve signed up, you can begin processing application forms for recruits, or existing staff straightaway. Using our electronic application system means that completing and submitting the application can be done in as little as 10-minutes.
In our experience, employers in the care sector already have a lot of complicated legislation to worry about. You don’t want to then be worrying about learning a mountain of background screening legislation as well!
The advantage of using a DBS Umbrella Body is that you reduce your admin time and gain access to expert advice on the DBS process.
How do I apply for Barred List checks?
Barred List checks are carried out either during, or alongside a DBS Check. They are requested at the same time as the Enhanced DBS Check. The Barred Lists considered relevant depends on the candidate's role and the type of regulated activity involved.
If the activity relates to adults, then the Adult Barred List will be checked, if it relates to children, then the Children’s Barred List will be checked. For roles involving regulated activity with both demographics, the DBS Check could include a search of both lists.
The activity must be defined as regulated, according to the SVGA. It’s important to be clear on this so you don’t apply for the wrong checks. It’s common for candidates who work with both demographics to only be eligible for a check of one of the Barred Lists.
At present, employers cannot apply for Barred List checks independently of an Enhanced DBS application, but this is set to change (you can find out more on the DBS section of the .gov website).
Adult First Checks
Previously known as ISA or POVA checks, an Adult First check is a search against the Adult Barred List. This type of check is reserved for the care sector and can only be carried out on staff who are eligible for an Adult Barred List check on their DBS.
Adult First checks can only be used in certain circumstances. Namely, when the safety of the people using your service is compromised due to a candidate being unable to start work due to an outstanding DBS Check.
Adult First checks begin at the point that the candidates Enhanced DBS application is submitted, to begin. A result is returned within 72 hours confirming that either, ‘No matching records were found’, or ‘Please wait to view applicant's certificate’.
If nothing is found on an Adult First, this doesn’t mean that the DBS will be clear. It just means that the individual isn’t barred from working with adults. In these circumstances, you can allow the candidate to begin work provisionally if the following safeguards are in place:
An appropriately qualified and experienced member of staff is appointed to supervise them.
Wherever it is possible, this supervisor is on duty at the same time as the new worker or is available to be consulted.
New workers do not escort people away from the premises unless accompanied by a member of staff for whom a full and satisfactory DBS certificate has been received.
A full recruitment decision should always be reserved until the candidates DBS Certificate has been viewed. Additional information may be disclosed on the certificate that will not be available on the Adult First check.
Unfortunately, there is no equivalent of this service for the Children’s Barred lists. Where a member of staff is being recruited to care for children, employers must wait until they have received a satisfactory Enhanced DBS Check inclusive of the relevant barred lists.
Existing Staff and Renewals
Retrospective DBS Checks for Existing Staff
If you are a provider new to CQC registration but already have staff working for you, you don’t necessarily need to carry out retrospective DBS Checks. There is no legal requirement to do so but it is at your discretion whether you deem them necessary.
All staff should have gone through a rigorous selection process to determine their suitability before being employed. DBS Checks are a vital part of this process whether you are CQC registered or not. The important thing is to be sure that you can demonstrate that you are doing everything within your power to safeguard those who are using your service.
Staff Renewals
Although people often talk about renewing DBS Checks, it’s not something that you can actually do.
Every time a DBS Check is carried out, it is a completely new check, but it is generally considered best practice to carry out a new DBS check on your employees every three years.
There is no statutory requirement to repeat checks on your staff at set intervals. It is entirely up to you as an employer whether you think they are needed. However, the CQC do expect you to have robust safeguarding procedures in place to ensure the safety of those under your care. Regular checks of someone’s criminal record history are an essential part of this.
Whether you choose to carry out regular DBS Checks, or you encourage your staff to sign up to the DBS Update Service, it doesn’t matter. What matters is that you are making as much information as possible available to you, so that you can make appropriate suitability decisions.
Who receives the DBS Certificate?
Historically, DBS certificates were sent directly to the employer or registered body. As of 17 June 2013, certificates are sent directly to the applicant's current address, as stated on the DBS application form.
Record Keeping
Once the DBS Check is complete and you’ve viewed the certificate, you need to make sure you’re recording the information correctly. You could be inadvertently breaking the law if you don’t!
Organisations registered with the CQC do not need to retain original DBS certificates, they are not required or expected as part of a CQC inspection. However, records of the DBS being carried out are essential. Providers are required to keep the following information:
The date of issue of the check.
The full name and date of birth of the subject.
The type of check requested.
Whether the children's and/or adults barred list was checked and the outcome.
The position for which the check was requested.
The unique reference number of the check.
The details of the employment decision taken.
Any additional information that may require periodic checks to be made.
The Disclosure and Barring Service (DBS) advise that “Certificate information should be kept 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”. This definition can be applied to both physical and digital containers.
Employers are also expected to have a policy statement on how they handle DBS certificate information. The DBS provide a sample policy on the .gov website.
Agency Staff and Students
NHS Professionals
NHS care providers utilising the services of NHS Professionals (the NHS in-house staff agency) don’t generally need to carry out new DBS checks.
The DBS have a special arrangement with the NHS. If an existing employee registers with NHS Professionals, or their organisation's bank staff scheme, the employer does not need to carry out another check.
If a person leaves the NHS and then applies to either NHS Professionals or an NHS trusts bank staff scheme, a new DBS check must be applied for, at the correct level.
Private Agency Workers
Care providers are required to obtain and record written confirmation from agencies confirming that the staff they are supplying have had the appropriate checks carried out. Only agency staff that have had the correct level of check carried out should be considered for specific roles.
It is the responsibility of the registered persons to ensure that safety of their service users. You must work with any agencies to ensure a robust and effective staffing arrangement is in place.
Student Doctors
There are special rules surrounding the employment of student doctors on training rotations. Namely, where there is evidence that an NHS organisation has carried out a satisfactory DBS Check on the candidate in the previous three years, and the post is for an equivalent level of DBS check (in terms of eligibility), another check is not required.
Full details can be found on the NHS Employers website.
The DBS Update Service
What is the DBS Update Service?
The DBS Update Service (DBSUS) is a subscription run by the DBS. Signing up to this means that applicants gain a level of portability over their DBS check(s).
This service is charged at £13p.a. and by subscribing to this service, applicants can:
Add/Remove DBS Certificates
View employers who have checked the status of a certificate
Amend their contact details.
The key aim of the update service is to improve the speed and ease of the recruitment process for those within regulated industries.
If applicants are working within the same workforce, it allows movement between roles without needing another DBS check to be completed. Rather than carrying out another check, employers can:
Access a free online status check for an individual’s DBS check.
Be notified of any new information relating to that check.
Employing staff with DBS Certificates on the DBSUS
Ultimately, it is at your discretion as an employer whether you will accept an existing DBS Check, that has been registered on the DBSUS. There are however a few things that you must bear in mind:
Applicants need to retain the original certificate for the DBSUS to be valid. You need to view the actual certificate before employing them. If they cannot present this certificate, then their subscription to the DBSUS is invalid.
You can only accept a DBS Certificate of the same type as you require for the role. For example, you could not employ a ‘Childcare Practitioner’ as an adult ‘Care Assistant’ even though they would already have an Enhanced DBS check in place.
This is because the DBS Check will have been carried out against the Child Workforce and Barred Lists, rather than the Adult.
If someone’s subscription runs out, they will need to complete a new DBS check and re-subscribe.
Resources and Further Reading
The links included below have been used to inform this guidance. Understanding each of these and how they relate to your service is essential. If you are registered, or in the process of registering, with the CQC we recommend familiarizing yourself with the below, if you aren’t already:
Legislation
The Safeguarding Vulnerable Groups Act 2006 (Miscellaneous Provisions) Regulations 2012
Rehabilitation of Offenders Act 1974
DBS Guidance
Eligibility guidance for enhanced DBS checks
Check someone’s criminal record as an employer
Handling DBS certificate information
Operating for nearly 2 decades, Personnel Checks are one of the UK’s top-rated background screening providers. For more information about anything in this guide, or how our screening solutions can help you, get in touch!
You can give us a call on 01254 355688 or drop us an email at letstalk@personnelchecks.co.uk.