DBS Basic Check Processing Standards For Disclosure And Barring

dbs basic check processing standards for disclosure and barring service responsible organisations contents introduction 3

DBS Basic Check Processing Standards for Disclosure and Barring
Service Responsible Organisations
Contents
Introduction 3
Who do the standards apply to 3
Disclosure Offences: Section 123 of the Police Act 1997 3
What happens if the standards are breached 4
The Obligations 4
Registration Details 4
Application Process 4
Identity Verification 5
Data Handling 5
Suitability Policy 5
Payment of Fees 7
Eligibility 7
Compliance Requests 7
Glossary 8
Introduction
============
The Disclosure and Barring Service (DBS) was established in December
2012 under Part V of the Protection of Freedoms Act (POFA) to
undertake disclosure and barring functions. There are specific legal
requirements around these checks. Disclosure functions are set out in
Part V of the Police Act 1997.
Who do the standards apply to?
------------------------------
The standards apply to all Responsible Organisations with the
Disclosure and Barring Service (DBS) and recipients of Update Service
information under section 116A of the Police Act 1997. The standards
refer to any information exchanged between DBS and the Responsible
Organisation.
The standards do not apply to other third parties. The DBS will seek
to ensure compliance with the standards through the full range of DBS
assurance management processes.
All applicants for a DBS basic check should be made aware of these
standards and be provided with a copy on request.
Disclosure Offences: Section 123 of the Police Act 1997
The offences listed in this section apply to a responsible person
within a Responsible Organisation. An individual commits an offence
if, with intent to deceive, he or she:
1.
Makes a false certificate which was issued under Part V of the
Police Act
2.
Alters a certificate issued under part V of the Police Act
3.
Knowingly makes a false statement for the purpose of obtaining, or
enabling another person to obtain, a Certificate
Responsible persons who are guilty of an offence under this section of
the Police Act will be liable to prosecution and suspension or
de-registration from the use of the DBS basic check service.
What happens if the standards are breached?
Responsible Organisations will receive personal information related to
applications and, where Responsible Organisations are also employers,
voluntary sector organisations or licensing authorities, will receive
information when certificates are provided to them by their employees
or applicants for posts, including volunteers.
Failure to comply with the obligations set out in the DBS Terms &
Conditions including the Basic Check Processing Standards and the
Basic Web Service Interchange Agreement documents will result in DBS
considering suspension or cancellation of your registration to use the
DBS basic check service.
The Obligations
Registration Details
A Responsible Organisation must adhere to the obligations as set out
within this document, the Basic Check Terms and Conditions, the Basic
Web Service and Interchange Agreement in order to retain its
registration.
Responsible Organisations must:
1.
Provide up-to-date information to the DBS in respect of their
registration information.
2.
Ensure any electronic system used complies with the DBS Web
Service Specification document set.
Application Process
Responsible Organisations must:
1.
Submit applications for a DBS basic check in the format determined
by DBS.
2.
Ensure that informed consent has been recorded from the applicant
for the RO to submit a basic check.
3.
Ensure that applications for a DBS basic check are completed
accurately and that all data fields determined by DBS as mandatory
are completed in full.
4.
Ensure that any application submitted complies with DBS
specifications as stipulated in line with current requirements.
5.
Ensure that, where evidence checkers complete any part of the
administration of the application process, sufficient training has
been provided in order to comply with guidance set out by DBS.
Identity Verification
Responsible Organisations must:
1.
Verify the identity of the applicant prior to the submission of an
application for a DBS basic check by following the current
guidelines issued by DBS.
2.
Ensure that any person undertaking identity verification checks on
their behalf follows the current guidelines issued by DBS.
Data Handling
Failure to comply with data handling requirements set out in the Data
Protection Act (DPA) may result in enforcement action from the
Information Commissioner’s Office (ICO).
In line with the Data Protection Act 1998 Responsible Organisations
and those in receipt of Update Service information must:
1.
Have a written policy on the secure handling of information
provided by DBS, electronically or otherwise, and make it
available to individuals at the point of requesting them to
complete a DBS application form or asking consent to use their
information to access any service DBS provides.
2.
Handle all information provided to them by DBS, as a consequence
of applying for a basic check, in line with the obligations under
the Data Protection Act 1998. Must comply with security
requirements under principle 7 of the Data Protection Act 1998.
3.
Handle all DBS related information provided to them by their
employee or potential employee in line with the obligations under
Data Protection Act 1998.
4.
Ensure that a result received as part of an application submitted
electronically is not reproduced in such a way that it infers that
it is a certificate issued by DBS.
5.
Ensure any third parties are aware of the Data Protection
Principles and provide them with guidance on secure handling and
storage of information. For Data Protection purposes, information
passed to a Responsible Organisation by DBS remains the
responsibility of the Responsible Organisation even if passed to a
third party.
6.
Ensure business continuity and disaster recovery measures are in
place and comply with Data Protection requirements.
Suitability Policy
Responsible Organisations and those in receipt of Update Service
information must:
1.
Have a written policy on the suitability of ex-offenders for
employment in relevant positions. This should be available upon
request to potential applicants and, in the case of those carrying
out an umbrella function, should be made available to their
clients. Clients of Responsible Organisations should make this
policy available to their potential or existing employees.
2.
Ensure that all applicants for employment are notified in advance
of the requirement for a basic check.
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 basic check with the applicant before
withdrawing any offer of employment.
Payment of Fees
Responsible Organisations must:
1.
Pay all fees relating to a basic check in line the trading terms
of the DBS payment on account facility.
2.
Pay all fees related to a basic check submitted after any decision
by the DBS to suspend registration or deregister the organisation.
3.
Publish all fees, in relevant documentation, associated with the
processing of criminal records check applications when you do so
on behalf of others.
Eligibility
A DBS basic check can be requested by an individual aged 16 or over
for any purpose. The applicant’s certificate will contain unspent
convictions and conditional cautions that are held on the Police
National Computer.
The Rehabilitation of Offenders Act (RoA) 1974 sets out rehabilitation
periods after which convictions may become spent. There are
differences between rehabilitation periods applying in England & Wales
and Scotland.
The DBS will only apply the England & Wales rehabilitation periods
therefore Responsible Organisations must submit applications to the
DBS if the applicant is living or working in England or Wales in order
for the appropriate RoA to be applied. In parallel Disclosure Scotland
will only apply Scottish rehabilitation periods therefore Responsible
Organisations must submit applications to Disclosure Scotland if the
applicant is living or working in Scotland.
DBS and Disclosure Scotland will monitor applications to identify
potential inappropriate jurisdictional application submissions.
Applicants could legally challenge Responsible Organisations who
submit applications incorrectly to the DBS or Disclosure Scotland.
Failure to comply with Data Protection Act requirements could result
in enforcement action from the ICO.
Further information on basic check eligibility can be found at
https://www.gov.uk/disclosure-barring-service-check
Compliance Requests
Responsible Organisations must co-operate in full when DBS enquiries
are made in relation to:
1.
Ongoing compliance of Responsible Organisations with the DBS Terms
& Conditions including the Basic Check Processing Standards and
the Basic Web Service Interchange Agreement documents.
2.
Implementing the suspension or de-registration of a Responsible
Organisation where non-compliance is established in line with
current procedures.
Glossary
Responsible Organisation – an organisation registered with DBS to
submit basic disclosures on behalf of individuals or other companies.
Registration – the enablement of a Responsible Organisation by DBS to
submit basic check applications and retrieve results.
Umbrella function – Responsible Organisations processing and
submitting applications for employers not eligible to register with
the DBS.
Unspent – Under the Rehabilitation of Offenders Act 1974, some
criminal convictions can be treated as 'spent' after a certain length
of time. They are not relevant to be disclosed on a basic disclosure.
Following a specified period of time which varies according to the
disposal administered or sentence passed, all cautions and convictions
(except those resulting in prison sentences of over 30 months) are
regarded as ‘spent’. As a result the offender is regarded as
rehabilitated.
DBS Basic Disclosure Processing Standards for Disclosure and Barring
Service Responsible Organisations v1.0
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