Skip to main content

England and Wales Criminal Convictions Policy

Criminal Records Policy

1. Introduction

  1. This document sets out our policy on asking questions about a prospective (or existing) employee's criminal record and carrying out Disclosure and Barring Service (DBS) checks.
  2. This policy sets out our commitment to comply with the DBS Code of Practice and our data protection obligations, to treat prospective employees/consultants fairly and not to discriminate unfairly against any subject of a criminal record check on the basis of a conviction or other information revealed. Its purpose is to set out how we comply with our data protection obligations in respect of criminal records information and seek to protect such information, and to ensure that staff understand and comply with the rules governing the collection, use and deletion of criminal records information to which they may have access in the course of their work.
  3. We are committed to complying with our data protection obligations and the DBS Code of Practice in relation to criminal records information, in particular:
    1. in relation to the circumstances in which we seek criminal records information;
    2. by being concise, clear and transparent about how we obtain and use such information, and how (and when) we delete it once it is no longer required; and
    3. by ensuring the correct handling, use, storage, retention and disposal of DBS certificates and certificate information.

2. Policy statement

  1. Having a criminal record will not necessarily bar you from working with us. We will take into account the circumstances and background of any offences and whether they are relevant to the position in question, balancing the rights and interests of the individual, our employees, customers/clients, suppliers and the public.
  2. We will treat all applicants, employees and volunteers fairly but reserve the right to withdraw an offer of employment if you do not disclose relevant information, or if a DBS check reveals information which we reasonably believe would make you unsuitable for the role.

3. Scope and definitions

  1. This policy applies to criminal records information relating to job applicants and current and former staff and consultants, including employees, temporary and agency workers, interns, volunteers and apprentices.

4. Asking for criminal records information

  1. Before recruiting for any post, we will assess whether it is justified in seeking criminal records information for that particular post (see paragraph 4.3 below) and, if so:
    1. whether it is appropriate to limit the information sought to offences that have a direct bearing on suitability for the job in question; and
    2. whether the information should be obtained from the individual or the DBS.
  2. If an assessment under paragraph 4.1 has been carried out for the same or a similar post within the last 12 months, we may rely on that assessment.
  3. We will be justified in obtaining criminal records information for a particular post if it is necessary:
    1. for the performance of the employment contract for that post;
    2. in order for us to comply with a legal obligation to which it is subject; and
    3. for the purposes of our legitimate interests.
  4. The level of criminal records information and DBS check that we are entitled to request (ie a criminal records certificate (CRC) or enhanced criminal records certificate (ECRC)) will depend on the post for which the prospective employee's suitability is being assessed. Further details are set out in Appendix 1.
  5. We will only ask for criminal records information once the employee has a conditional offer of employment or consultancy. We will not ask applicants for criminal records information during the earlier short-listing, interview or decision-making stages.
  6. We will only ask an individual to provide criminal records information in relation to convictions and cautions that we would be legally entitled to see in a DBS check for the relevant post (see paragraph 4.4 above), i.e.:
    1. If we are justified in seeking criminal records information for the post, and the post is not exempt from the Rehabilitation of Offenders Act 1974, we will ask the individual to complete the criminal records information form which states that individuals are not required to disclose convictions that are spent under the Rehabilitation of Offenders Act 1974; and
    2. if we are justified in seeking criminal records information for the post, and the post is exempt from the Rehabilitation of Offenders Act 1974, we will ask the individual to complete the criminal records information form which asks individuals if they have any convictions, cautions, reprimands or final warnings which are not filtered (or 'protected' as defined by the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (as amended)). For further information on filtering, see Appendix 1.
  7. If the information sought can be limited to offences that have a direct bearing on suitability for the job in question, we will amend the criminal records information form accordingly.
  8. Where a DBS check is identified as necessary, all application forms, job adverts and recruitment briefs will contain a statement that an application for a DBS certificate will be submitted in the event of the individual being offered the position.
  9. Before an individual is asked to complete a criminal records information form, they will be provided with a copy of this policy.
  10. If we are not justified in seeking criminal records information for the post, we will not ask an applicant for criminal records information.
  11. If it is assessed that we should use the DBS to verify criminal records information, we will:
    1. provide the individual concerned with a copy of our DBS data handling policy (set out in Appendix 2) before asking them to complete a DBS application form or asking for their consent to use their information to access the DBS update service;
    2. make every subject of a DBS check aware of the existence of the DBS Code of Practice and make a copy available on request. A copy is available here; and
    3. comply with the DBS Code of Practice.
  12. The Company will not normally rely on a previously issued DBS certificate and reserves the right to request a new DBS check where appropriate.
  13. Once criminal records information has been verified through a DBS check, we will:
    1. if inconsistencies emerge between the information provided by the individual and the information in the DBS certificate, give the applicant the opportunity to provide an explanation in accordance with paragraph 5;
    2. record that a DBS check was completed and whether it yielded a satisfactory or unsatisfactory result; and
    3. delete the DBS certificate and any record of the information contained in it unless, in exceptional circumstances, we assess that it is clearly relevant to the ongoing employment relationship, e.g., to allow for consideration and resolution of any disputes or complaints.
  14. If, in accordance with paragraph 4.14.3, we assess that the information in the DBS certificate is relevant to the ongoing employment or consultancy relationship, it (and any record of the information contained in it) will be kept securely for no longer than is necessary, and no more than six months.
  15. We will not seek criminal records information from any source other than the individual concerned or an authorised DBS service.
  16. The DBS certificate information will be handled and kept in accordance with our policy on handling DBS certificate information set out in Appendix 2.

5. Where an unprotected conviction or caution is disclosed

  1. If we have concerns about the information that has been disclosed by the DBS, or the information is not as expected, we will discuss its concerns with the prospective employee/consultant and carry out a risk assessment.
  2. If a prospective employee/consultant has a criminal record, it is up to us to decide on their suitability for the role. We will not refuse a prospective employee/consultant employment simply on the basis that they have a criminal record. Before making a decision, we will:
    1. give the prospective employee/consultant the opportunity to address its concerns before making any decisions; and
    2. carry out a risk assessment.
  3. In carrying out a risk assessment, we will take account of:
    1. the relevance of the conviction or other matter revealed to the position in question;
    2. the seriousness of the offence or other matter revealed;
    3. the circumstances of the offence;
    4. the age of the offence;
    5. whether there is a pattern of offending; and
    6. whether circumstances have changed since the offending took place.

6. Training

  1. We will ensure that all those within the organisation who are involved in the recruitment process:
    1. have been suitably trained to identify and assess the relevance and circumstances of offences; and
    2. have received appropriate guidance and training in the relevant legislation relating to the employment of ex-offenders, e.g., the Rehabilitation of Offenders Act 1974.

Appendix 1. Level of DBS check and filtering

1. Requesting a DBS certificate

  1. The level of DBS check that we are entitled to request will depend on the position for which the prospective employee's/consultant's suitability is being assessed.
  2. There are three levels of disclosure provided by certificate:
    1. Basic disclosure
    2. Standard disclosure
    3. Enhanced disclosure in the form of either an ordinary Enhanced disclosure or an Enhanced with List Checks disclosure
  3. The type of information and amount of detail provided by each level of disclosure is prescribed by Part V of the Police Act 1997 and the Police Act 1997 (Criminal Records) Regulations 2002 (SI 2002/233) (Police Act Regulations).

2. Protected convictions and cautions

  1. Certain old and minor convictions and cautions are 'protected', which means that:
    1. they are filtered out of a DBS check;
    2. they need not be disclosed by prospective employees to us; and
    3. they will not be taken into account by us in making decisions about employing a prospective employee.
  2. Certain 'listed offences' will never be filtered out. The list includes offences which are particularly serious, relate to sexual or violent offending or are relevant in the context of safeguarding.
  3. A conviction will be a protected conviction (i.e., filtered) if:
    1. the offence was not a listed offence;
    2. it did not result in a custodial sentence; and
    3. where the individual was an adult at the time of conviction, and a non-custodial sentence was imposed, 11 years or more have passed since the date of the conviction; or
    4. the individual was under 18 at the time of conviction and a non-custodial sentence was imposed, five years and six months or more have passed since the date of conviction.
  4. Protected convictions:
    1. A conviction received by a person aged under 18 at the time of the offence resulting in a non-custodial sentence would be removed from a DBS certificate after five and a half years.
    2. A conviction received as an adult resulting in a non-custodial sentence would be removed from a DBS certificate after 11 years.
  5. Protected cautions:
    1. A caution administered to a person aged under 18 at the time of the offence does not have to be disclosed.
    2. A caution administered to an adult would be removed after six years.
    3. However, a caution would not be removed if it related to an offence specified as never being eligible for filtering.

3. Multiple Convictions

  1. The law no longer requires the automatic disclosure of all convictions where an individual had more than one conviction, regardless of the nature of the offence or sentence.

Appendix 2. DBS Data handling

1. Requirements

All registered bodies are required to have a written policy on the secure handling of disclosure information.

2. Written Record

We keep a written record of the names of those (whether inside the organisation or outside) to whom disclosure information has been revealed.

3. Disclosure to others

We ensure that disclosures are available only to those who need to have access to them in the course of their duties relevant to recruitment and vetting. We maintain a record of all those to whom certificates or certificate information has been revealed. It is a criminal offence to pass this information to anyone who is not entitled to receive it.

4. Storage and access

We will ensure that DBS certificate information is kept securely, with access strictly controlled and limited to those entitled to view it as part of their duties.

5. Usage

Certificate information must only be used for the specific purpose for which it was requested and for which the applicant's full consent has been given.

6. Retention

  1. We retain disclosure information only for as long as is necessary and for a maximum of six months following the recruitment decision for which it was obtained unless a dispute is raised or, in exceptional circumstances, where DBS agreement is obtained. We do not keep disclosure information on file simply in case it is useful in the future. The DBS will only permit extended retention when it considers it appropriate after taking into account both human rights and data protection rules.
  2. We will not keep any photocopy or other image of the certificate or any copy or representation of the contents of a certificate.
  3. The disclosure information that we hold after destroying the certificate are details of:
    • the name of the candidate;
    • the date of the search;
    • the type of search;
    • the position;
    • the DBS reference number; and
    • the recruitment decision taken.

7. Disposal

  1. Once the retention period has elapsed, we will ensure that any DBS certificate information is deleted immediately.
Return to the full list of our Privacy Policies and Fair Processing Notices