CRIMINAL RECORDS BUREAU AND CRIMINAL RECORDS CHECKS

The University has a Policy Statement on the Employment of Ex-offenders

Section 1: The Criminal Records Bureau
Section 2: Checks Carried out by the Criminal Records Bureau
Section 3: Criteria for a Disclosure
Section 4: Procedure for Requesting a Disclosure
Section 5: Responsibilities of Recruiting Manager/Admissions Tutor
Section 6: Making a Decision Based on the Disclosure
Section 7: Cost of CRB Checks
Section 8: Storage of Information

The Criminal Records Bureau (CRB) was set up as a result of the Police Act (1997) which looks at the employment of ex-offenders. The CRB holds data from the National Police Computer on people’s criminal convictions and also has access to local police records. It is designed to be a ‘one stop shop’ to enable employers to check future employees’ criminal history.

1. Although the main focus of the CRB is to provide information to employers, there are many other organisations that will require information on criminal records. For example, Universities need to check students applying for certain courses (e.g. teacher training, social work etc).
   
   
2. Under the Rehabilitation of Offenders Act (1974), certain convictions become ‘spent’ after a period of time. This means that the person no longer has to declare them when asked. However, under the Exceptions Order of this Act, certain organisations are able to ask people applying to work/study in that area to declare all convictions whether spent or unspent.
   
   
3. The main areas that are covered by the Exceptions Order are as follows:
   
   
   • Appointment to any post providing accommodation, care, leisure and recreational facilities, schooling, social services, supervision, or training to people aged under 18. Such posts include teachers, school caretakers, youth and social workers, childminders.
   • Employment providing social services to elderly people, mentally or physically disabled people, alcohol or drug misusers or the chronically sick.
   • Appointment to any office or employment involving the administration of justice including police officer, probation officers and traffic wardens.
   • Admission to certain professions which have legal protection (including lawyers, doctors, dentists, nurses, chemists and accountants).
   • Appointment to jobs where national security may be at risk (for example certain posts in the civil service and defence contractors).
     (source: www.lawontheweb.co.uk)
     
     
4. Although the above paragraph talks mainly about employment and jobs, it is logical that students may also be affected and those applying to be a teacher for example can be checked by the CRB, not only to ensure that they are fit to be a teacher on completion of the course, but also to ensure that they are suitable to carry out any work experience while studying.
5. For more information on the Criminal Records Bureau, visit, www.direct.gov.uk/crb
   

The CRB conducts three types of checks:

1. Basic: this check provides details of a person’s unspent convictions. Only the applicant can request this check from the CRB.  Not currently available.
   
   
2. Standard: this type of check covers people who may have access to children or vulnerable adults. An example may be a note taker employed by the University to support students with a disability. Standard disclosures may also be used for people entering certain occupations that involve positions of trust such as members of the legal and accountancy profession. The Standard disclosure will contain details of all convictions held on the Police National Computer, including current and spent convictions as well as details of any cautions, reprimands and final warnings.
   
   
3. Enhanced: this type of disclosure covers professions/employment that involve a greater degree of contact with children or vulnerable adults. In general this might include regularly caring for, supervising, training or being in sole charge of such people. Examples include a researcher who is required to interview children on a one to one basis or a student applying for a teacher-training course.
   
   The Enhanced check involves an additional level of check to those carried out for the Standard disclosure. An Enhanced disclosure will therefore include a check on local police records. This information will normally be included on the disclosure, but in some circumstances this information may be sent under separate cover to the countersignatory and should not be revealed to the applicant.
   
   
4. Both the Standard and the Enhanced disclosure will include a check on the relevant Government list, which record all people who have been deemed to be unsuitable to work with vulnerable groups as a result of their actions in the past if the nature of the work/study requires this. The lists are the Protection of Children Act List and the Protection of Vulnerable Adults list.
   
   
5. Disclosures from other organisations cannot be accepted.   A fresh disclosure must be carried out by the University.  The University will also not disclose details of Disclosures to third parties.

It is imperative that the University complies with the Rehabilitation of Offenders Act 1974, Exceptions Order when applying for a disclosure. A disclosure can only be requested for the following circumstances:

A position whose normal duties include work in one of the following establishments:

i. an institution which is exclusively or mainly for the detention of children
ii. a hospital which is exclusively or mainly for the reception and treatment of children
iii. a care home, residential care home, nursing home or private hospital which is exclusively or mainly for children
iv. an educational institution exclusively or mainly for children (under 18’s)
v. a children's home or voluntary home
a home provided under 82(5) of the Children Act 1989

A position whose normal duties include work on a day care premises

A position whose normal duties include caring for, training, supervising or being in sole charge of children.

A position whose normal duties involve unsupervised contact with children under arrangements made by a responsible person.

A position whose normal duties include caring for children under the age of 16 in the course of the child’s employment.

A position whose substantial part of normal duties includes supervising or training children under the age of 16 in the course of the child's employment.

One of the following positions:

• member of the governing body of an educational institution
• member of a relevant local government body
• director of social services of a local authority
• chief education officer of a local education authority
• charity trustee of a children's charity
• member of the Youth Justice Board for England and Wales
• Children's Commissioner for Wales or deputy Children's Commissioner for Wales
• member or chief executive of the Children and Family Court Advisory and Support Service (CAFCASS)

For these purposes, a person is a member of a relevant local government body if:

• he/she is a member of a local authority, or a member of an executive of a local authority, and is involved in discharging any education functions or social service functions of a local authority
• he/she is a member of an executive of a local authority which discharges any such functions
• he/she is a member of:
• a committee of an executive of a local authority, or
• an area committee or any other committee of a local authority which discharges any such function

A position whose normal duties include supervising or managing an individual in his work in a regulated position.

Work in a further education institution where the normal duties of that work involve regular contact with persons aged under 18.

For the purpose of the ROA 1974 (Exceptions) Order 1975, a person who regularly cares for, trains, supervises or is in sole charge of vulnerable adults of the following description is entitled to an ENHANCED DISCLOSURE. A vulnerable adult for the purposes of an Enhanced Disclosure is a person aged 18 or over who receives services of a type listed in paragraph 1) below and in consequence of a condition of a type listed in paragraph 2) below, has a disability of a type listed at 3) below:

1. The services are:

a) accommodation and nursing or personal care in a care home,
b) personal care or support to live independently in his or her own home,
c) any services provided by an independent hospital, independent clinic, independent medical agency or National Health Service body,
d) social care services, or
e) any services provided in an establishment catering for a person with learning difficulties.

2. The conditions are:

a) a learning or physical disability,
b) a physical or mental illness, chronic or otherwise including an addiction to alcohol or drugs, or
c) a reduction in physical or mental capacity.

3. The disabilities are:

a) a dependency upon others in the performance of, or a requirement for assistance in the performance of, basic physical functions,
b) severe impairment in the ability to communicate with others, or
c) impairment in a person's ability to protect him or herself from assault, abuse or neglect.

Or

Any office or employment which is concerned with the representation of, or advocacy services for, vulnerable adults by a service that has been approved by the Secretary of  State or created under any enactment; and which is of such a kind as to enable a person, in the course of his normal duties, to have access to vulnerable adults in receipt of such services

The following type of position attracts a STANDARD DISCLOSURE:

Work which is concerned with the provision of care services (1) to vulnerable adults (2) and which is of such a kind to enable the holder of that employment or the person engaged in that work to have access to vulnerable adults in receipt of such services in the course of his normal duties.

(1) "Care services" means i) accommodation and nursing or personal care in a care home (where "care home" has the same meaning as in the Care Standards Act 2000); ii) personal care or nursing or support for a person to live independently in his own home; iii) social care services; or iv) any services provided in an establishment catering for a person with learning difficulties.

 (2) "Vulnerable adult", means a person aged 18 or over who has a condition of the following type: i) a learning or physical disability; ii) a physical or mental illness, chronic or otherwise, including an addiction to alcohol or drugs; or iii) a reduction in physical or mental capacity.

Any employment or other work which is concerned with the provision of health services and which is of such a kind as to enable the holder to have access to persons in receipt of such services in the course of his normal duties.

Any employment or other work concerned with the supervision of electronic communications with or between children for the purpose of child protection.

Source: CRB website (items deemed to be most relevant to Loughborough University). For a full list see: http://www.crb.gov.uk/Default.aspx?page=1855

A countersignatory will need to satisfy themselves that one of the above categories applies before they will send the completed form to the CRB.

1. The process for carrying out disclosures is the same for students and for staff. This procedure must be used for everyone that will be working or studying in an area that requires a disclosure, even if they will only be required to do so for a very short term.
   
   
2. If a student or member of staff has a break in employment or their studies of three months or more, they must complete another disclosure before they can re-commence.
   
   
3. If, as part of their studies, it becomes apparent that a student is required to complete a disclosure (i.e. they are commencing a new research project that involves access to vulnerable groups), the Head of Department will take the role of recruiting manager or admissions tutor.
   
   
4. If the existing student refuses to complete a disclosure, they should be advised that they will not be able to continue with or commence the research that requires the disclosure. Alternative arrangements will need to be made.
   
   
5. It should be made clear before a person applies to the University either to work or to study that the University will be required to obtain a satisfactory disclosure on their behalf. For employment purposes it should be indicated on the advert and job description. Any media used for student recruitment purposes should clearly state this requirement, e.g. student prospectus.
   
   
6. The CRB application form has a section on it which asks the recruiting manager or the admissions tutor to sign to confirm that they have checked the applicant’s proof of identification. Although this does not need to be completed until the offer has been made, it is wise to ask all candidates coming for an interview to bring along the necessary forms of identification. For further details see section 5, called ‘Responsibilities for Recruiting Manager or Admissions Tutor’.
   
   
7. It is imperative that the recruiting manager or admissions tutor follow the guidelines on confirming identification correctly. Failure to do so not only leaves the vulnerable people the applicant will be exposed to at risk, but also the University may be exposed for failing to take the necessary precautions.
8. If the candidate is successful, they should be informed that the offer is subject to a satisfactory disclosure from the CRB.
   
   
9. For employment purposes, the contract of employment should include the following statement:
   'Offer is Subject to a Satisfactory CRB Disclosure check.'
   
   
10. For student purposes, the offer letter should clearly state that the offer of a place will not be confirmed until the University has received a satisfactory disclosure from the CRB, in addition to any other requirements expressed by the University.
    
    
11. For employment purposes, Human Resources will send out the CRB application form along with the offer of appointment. The Academic Registry will send out the application form to prospective students. Before the form is sent out, it should be clearly marked to whom the completed form should be returned. This should be the recruiting manager or the admissions tutor. Human Resources or the Academic Registry will confirm that the application form has been sent out, to enable the recruiting manager or admissions tutor to chase the returned form if it is not received within a reasonable amount of time. (For PGCE students, the Department will send out the form along with the offer letter.)
    
    
12. Once the applicant has returned the form, the recruiting manager or admissions tutor needs to complete their section, (section X). For further details on the responsibility of the recruiting manager or admissions tutor, please see section 5, called ‘Responsibilities of Recruiting Manager/Admissions Tutor’
    
    
13. Once the recruiting manager/admissions tutor has completed their section of the CRB application form, they should send it to Human Resources for a job applicant and to the Academic Registry for students for countersigning, along with the relevant charge code.
    
    
14. The Signatories authorised by the CRB are:
    
    • Chief Operating Officer: Mr Will Spinks, Lead Signatory
    • Human Resources: Sandra Jasper, HR Adviser (Countersignatory), Jo Arno, HR Adviser (Countersignatory), Anne Lamb, HR Adviser (Countersignatory)
    • Academic Registry: Jennifer Nutkins, Academic Registrar (Countersignatory), Chris Dunbobbin Assistant Registrar (Countersignatory)
    
    
15. The countersignatory should consult the document called ‘Responsibilities for countersignatories’ before completing their section on the application form. Once the application form has been completed, a photocopy should be taken or a specially designed form be completed and stored securely in Human Resources or the Academic Registry only until the completed disclosure has been returned.
    
    
16. The result of the disclosure process will be returned to the applicant and a copy will be sent to the countersignatory.
    
    
17. The timescales set out by the CRB for completion of disclosures is as follows
    
    Enhanced Disclosure: within four weeks
    
    Standard Disclosure: 93% within two weeks

    If the applicant refuses to comply with any stage of this process, they must be advised that their offer of employment or study will not be confirmed without a satisfactory disclosure received from the CRB.

1. It is imperative that the recruiting manager or admissions tutor follow the guidelines on confirming identification correctly. Failure to do so not only leaves the vulnerable people the applicant will be exposed to at risk, but also the University for failing to take the necessary precautions.
   
   
2. In order to satisfy the CRB’s identification requirements, the successful candidate will need to provide a combination of the following:
   
   

   Group 1
   Passport	EU National Identity Card
   Driving Licence (UK) (Full or provisional) -England/ Wales/ Scotland/ Northern Ireland/ Isle of Man ; either photocard or paper ( a photo card is only valid if the individual presents it with the counterpart licence)	Birth Certificate (UK) - issued within 12 months of date of birth – full or short form acceptable including those issued by UK authorities overseas, such as Embassies, High Commissions and HM Forces
   HM Forces ID Card (UK)	Firearms Licence (UK)
   Adoption Certificate (UK)

   
   

   Group 2
   Marriage/Civil Partnership Certificate	Financial Statement **  - e.g. pension, endowment, ISA
   Birth Certificate	Vehicle Registration Document (Document V5 old style and V5C new style only)
   P45/P60 Statement (UK) **	Mail Order Catalogue Statement *
   Bank/Building Society Statement *	Court Claim Form (UK) **  - Documentation issued by Court Services
   Utility Bill* - electricity, gas, water, telephone – including mobile phone contract/bill	ExamCertificate e.g. GCSE, NVQ, O Levels, Degree
   TV Licence **	Addressed Payslip *
   Credit Card Statement *	National Insurance Card (UK)
   Store Card Statement *	NHS Card (UK)
   Mortgage Statement **	Benefit Statement* - e.g. Child Allowance, Pension
   Insurance Certificate **	Certificate of British Nationality  (UK)
   Council Tax Statement  (UK) **	Work Permit/Visa  (UK) **
   A document from Central/ Local Government/ Government Agency/ Local Authority giving entitlement (UK)*: e.g. from the Department for Work and Pensions, the Employment Service , Customs & Revenue, Job Centre, Job Centre Plus, Social Security	One of the following documents from the Borders and Immigration Agency (BIA) (formerly the Immigration and Nationality Directorate – IND) (UK): Do not use more than one of the following documents Convention Travel Document (CTD) Stateless Person’s Document (SPD) Certificate of Identity (CID) Application Registration Card (ARC)
   CRB Disclosure Certificate **	Letter from a Head Teacher *
   Connexions Card (UK)

   *documentation should be less than three months old
   **issued within past 12 months

3. The combination of documents to be seen are as follows:
   
   If an applicant is able to produce a document from list 1,  they should do so, along with two further documents from either list.  If they are unable to produce a document form list 1,  they must provide 5 documents from list 2.  

4. All documents seen must be originals.

5. These forms of identification must be provided by the applicant in person.

6. It is therefore wise to ask all candidates coming for an interview for a post/place where a disclosure will be required to bring along these forms of identification. The recruiting manager or admissions tutor should then see the person with their identification and record the details of the identification (e.g. passport number and so on).

7. If this is not possible, the successful applicant should be asked to send the original documents to the recruiting manager or admissions tutor for verification.

8. It is not acceptable for the applicant to complete section X of the form on behalf of the recruiting manager or admissions tutor.

9. The recruiting manager or admissions tutor must check the name, address and date of birth entered by the applicant on the application form, and ensure that those details correspond with the proof of identification provided.

10. The recruiting manager or admissions tutor must also check for signs of tampering when checking identity documents. Any signs of damage must be queried. The CRB has published the following guidance on authenticating documents:

    Passport
    Check the general quality and condition of the passport.  Treat it with suspicion if it is excessively damaged; accidental damage is often used to conceal tampering.  Photographs should be examined closely for signs of damage to the laminate or for excessive glue or slitting of the laminate; these signs would indicate photo substitution.  If the photograph appears excessively large, this might indicate an attempt to hide another photograph underneath.  There should also be an embossed strip embedded into the laminate, which will catch a portion of the photograph.  Check there is no damage to this area. If the passport is from a foreign national, you can still follow the same general procedures as above.

    Photo driving licence
    Examine the licence for evidence of photo tampering or any amendment of the printed details.

    Old style driving licence (no photograph) 
    Remove the document from the plastic wallet and check that it is printed on both sides.  It should have a watermark visible by holding the licence up to the light and there should be no punctuation marks in the name or address.  The ‘Valid To’ date should be the day before the bearer’s 70th birthday (unless the bearer is already over 70).  The ‘Valid To’ date can therefore be cross-referenced with the applicant’s date of birth detailed in Section A.

    Birth certificate
    Birth certificates are not wholly reliable for confirming identity, since copies are easily obtained.  However, certificates issued at the time of birth are more reliable than recently issued duplicates.
    Check the quality of paper used; genuine certificates use a high grade.  There should be a watermark visible when the document is held up to the light.  Any signs of smoothness on the surface would indicate that original text might have been washed or rubbed away.  There should be no signs of tampering, changes using liquid paper, overwriting or spelling mistakes.

    EU Photo Identity Card 
    Examine the card for evidence of photo tampering or any amendment of the printed details.

    HM Forces ID Card
    Examine the card for evidence of photo tampering or any amendment of the printed details.

    Firearms licence
    Check the licence is printed on blue security paper with a Royal crest watermark and a feint pattern stating the words ‘Home Office’. Examine the licence for evidence of photo tampering or any amendment of the printed details, which should include home address and date of birth. The licence should be signed by the holder and bear the authorising signature of the chief of police for the area in which they live, or normally a person to whom his authority has been delegated.

    Other forms of identification
    Ensure all letters and statements are recent, i.e. within a 3 month period. Do not accept documentation printed from the internet. Check letter headed paper is used, bank headers are correct and all documentation looks genuine. The address should be cross-referenced with that quoted in Section A.

11. The recruiting manager or admissions tutor should then complete section X and send the form onto the relevant countersignatory, (Human Resources for staff, the Academic Registry for students).  The form should also be checked to ensure the applicant has signed to confirm the information given is accurate and to consent to the CRB checking the details given.
12. The recruiting manager or admissions tutor is responsible for providing the relevant countersignatory with a charge code. The CRB application form will not be sent to the CRB until a charge code has been received.

1. If the disclosure confirms that the applicant has no convictions, the countersignatory will inform the recruiting manager or admissions tutor that the check is satisfactory. The recruitment procedure can be progressed as necessary. A record that the check has been carried out should be kept on the personal file.
   
   
2. If the disclosure comes back with any convictions/cautions or warnings on, the countersignatory will contact another countersignatory to discuss the Disclosure.
   
   
3. In order to gain further information, especially if the convictions appear serious enough to preclude the applicant from studying/employment, and also to confirm that the CRB have provided the correct information, the countersignatory should contact the applicant and where possible, arrange a meeting to discuss the convictions in more detail. At the meeting, two countersignatories should be present.
   
   
4. During the conversation the applicant should be asked for the details surrounding the conviction and what their feelings are about the conviction to assess their attitude towards it.
   
   
5. The recruiting manager or admissions tutor will provide advice on the nature of the job/course to the countersignatories who will then make a decision on the applicant’s suitability. This decision should be based on the following information:
   
   
   • the date of the conviction(s): convictions from many years ago may have less relevance than more recent convictions. However, conviction for violent conduct or sexual offences regardless of their age should always be viewed with caution when considering someone’s suitability to work with children for example.
   • the nature of the conviction(s): generally sexual, violent and serious drugs offences will preclude someone from working with vulnerable people for example. It is important to weigh the prospect of rehabilitation against the safety of vulnerable people, but sometimes, former drug addicts are the best people to help drug users for example.
   • the number of conviction(s): a series of offences over a period of time is likely to be more cause for concern than an isolated minor conviction.
   • the relevance to the job/course applied for: a conviction for theft may have no direct relevant to someone applying for work with children.
     
     
6. In some circumstances some information may be sent under separate cover to the countersignatory and should not be revealed to the applicant. This will be clearly identified by the CRB.
   
   
7. A record of the decision and why that particular decision was reached should be written and retained with the disclosure papers for future reference. This will enable the University to provide clear reasons for its actions in the event that the decision is challenged, but will be destroyed after six months along with all other paperwork.
   
   
8. A form confirming the outcome of the disclosure should be retained on the person’s personal file. This will not disclose any details of the convictions.
   
   
9. Once the decision has been made, the countersignatory should advise the recruiting manager and admissions tutor. If they have withdrawn the offer on the basis of the disclosure, the countersignatory will contact the applicant.
   
   
10. Countersignatories are required to keep anonymised records of the disclosures that they have completed on a regular basis, along with the reasons for any decisions made. This is to ensure that consistency is maintained between the countersignatories. It will not be possible to identify individual people from these records.

1. Standard disclosure cost  £31 and Enhanced disclosure £36.   The University has ‘Payment on Account’ status with the CRB which means that on a monthly basis the CRB will claim the cost of all the disclosures the CRB has carried out on behalf of the University by direct debit and will send the University a statement accordingly.
   
   
2. The University does not expect successful job applicants to pay for a disclosure requested by the University as a condition of employment. The recruiting Department will be required to cover the cost of the disclosure.
   
   
3. Similarly, the University recognises that prospective students may be required to undergo disclosures for several Universities who have offered them a place. In order to remain competitive, the University expects the recruiting Department to cover the cost of the disclosure.
   
   
4. When sending a CRB application form to the countersignatory, the recruiting manager or admissions tutor should provide a charge code. The countersignatory will not send the application form to the CRB if the charge code has not been received.
   
   
5. Countersignatories will record the details of the disclosures they have requested from the CRB and submit a list to Finance on a monthly basis to enable Finance to ensure that the invoice from the CRB is accurate. The countersignatories will also provide Finance with the charge code to enable Finance to charge the Departments for the checks they have requested.

1. The CRB have issued very strict guidance on the storage and retention of disclosure paperwork. It is vital to ensure that this guidance is followed, not only to ensure that the CRB Code of Practice is followed, but also to ensure that the Data Protection Act is adhered to.
   
   
2. All paperwork issued by the CRB (including a copy of the completed application form) must be kept in a locked non-portable container, (e.g. a filing cabinet and not a briefcase).
   
   
3. All relevant paperwork and any records retained on computers must be secured and only accessible by those people who need access to it (e.g. the relevant countersignatory and the recruiting manager or admissions tutor).
   
   
4. A copy of the CRB application form and the disclosure paperwork must not at any time be placed on the student or staff personal file or retained in the Department.
   
   
5. Whilst the disclosure is being processed, a note can be made in the personal file that a check has been requested and record the details of who is dealing with the matter.
   
   
6. Once the disclosure has been received and a decision made on the applicant, a record of the following should be retained on the person’s personal file:
   
   • the date and type of disclosure
   • the CRB identification number
   • the decision made and the details of the person who made the decision (the reason for the decision   should not be placed on the personal file).
   
   
7. The details held in the disclosure should only be used for the purpose requested and must not be divulged for reasons other than assessing an individuals suitability to work or study in a particular situation.
   
   
8. All copies of application forms and disclosure documents must be destroyed once they are no longer needed. Records must be destroyed after six months, as this will have given applicants suitable time to challenge the decision made.
   
   
9. Disclosure papers should be destroyed by suitably secure means, i.e. shredding, pulping or burning. They should not be kept in any insecure receptacle (e.g. waste bin or confidential waste sack) whilst awaiting destruction.
   
   
10. The CRB reserves the right to audit compliance with these requirements.

Author: Human Resources (AEPL)