An Expert Guide to DBS Checks for Employees

Disclosure and Barring Service (DBS) Checks are an essential part of safeguarding workplaces and vulnerable groups.

These checks provide employers with crucial details about an individual’s criminal history, which helps to mitigate risks and ensure the safety of employees, clients, and sensitive information. By revealing an applicant’s background, DBS checks help organisations to make informed hiring decisions and prevent unsuitable people being hired in positions of responsibility

For employers, understanding DBS checks is vital for workplace security and legal compliance. This guide explores the various DBS check types, their why they’re important, and how to conduct each one effectively. We’ll cover best practices, data protection, and the consequences of non-compliance. Whether you’re new to DBS checks or want to refine your existing procedures, this article gives you valuable details aroudn protecting your workplace and vulnerable people.

Contents:

1. Understanding DBS checks for employees
2. What type of DBS check do my employees need?
3. How to DBS check an employee
4. How to review the results of a DBS check
5. Data protection considerations for DBS checks
6. Are DBS checks transferable between employers?
7. What are the penalties for employers who fail to get DBS checks for employees?
8. Best practices for employee DBS checks

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Understanding DBS checks for employees

Employers have a key responsibility to assess whether a potential employee requires a DBS check, and – if so – at what level. This decision should be based on the specific role and its associated risks.

When is a DBS check necessary?

Legal requirements

In some cases, DBS checks are mandated by law, for instance, roles that involve unsupervised contact with children or vulnerable adults.

Regulatory compliance

Certain industries have specific regulations that demand DBS checks. For example, in the finance sector, many roles require Standard DBS checks to comply with regulations and standards set out by the Financial Conduct Authority (FCA).

Risk Assessment

Even if checks are not legally required, an employer may still choose to carry out a DBS check due to the nature of the role, particularly if it involves access to sensitive information or valuable assets.

Umbrella Bodies (like Checks Direct) play a crucial role in the DBS certificate process by helping employers understand their responsibilities and ensure the correct checks are conducted to ensure safety and compliance within their organisation.

What type of DBS check do my employees need?

Determining the appropriate level of DBS check for employees is crucial for maintaining workplace safety and regulatory compliance. The type of check required depends on the nature of the role and the specific duties involved.

Basic DBS check

Suitable for: Roles without access to sensitive information or contact with vulnerable groups.
It reveals: Unspent convictions, conditional cautions.
Eligibility: It can be requested for any position.

Standard DBS check

Suitable for: Positions of trust or responsibility, or roles with access to sensitive information.
It reveals: Spent and unspent convictions and conditional cautions, reprimands, final warnings.
Eligibility: It must meet specific criteria set by the DBS.

Enhanced DBS check

Suitable for: People working with vulnerable groups, either directly or in a supervisory capacity.
It reveals: Spent and unspent convictions and conditional cautions, reprimands, final warnings, and any other information held by local police deemed relevant.
Eligibility: It must meet specific criteria set by the DBS.

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Enhanced DBS Check with Barred Lists

Employees who will be engaged in ‘regulated activities’ require an additional check of the Children’s and Adults’ Barred Lists. These reveal anyone who is not permitted to work with children or vulnerable adults. It is a criminal offence to employ a listed individual to work with the group they are barred from.

The DBS provides an eligibility tool, which can help you decide what level of check is appropriate. An umbrella body such as Checks Direct can also prove an invaluable source of advice, particularly if you have complex inquiries involving multiple roles.

What is ‘regulated activity’?

In short, ‘regulated activity’ refers to work a person listed as barred must not be allowed to do under any circumstances. For example, an individual on the Children’s Barred List must not engage in unsupervised activities (e.g. teaching, caring, transporting) with children, or work in any establishment where there is opportunity for contact with minors. Similar barring applies to individuals wishing to work with vulnerable adults.

How to DBS check an employee

While it may seem complicated at first, with the right guidance, completing a DBS certificate application can be a straightforward process. Here’s a breakdown of the steps involved:

01. Determine eligibility

• Assess the role requirements
• Choose the appropriate level of check

02. Obtain consent

• Clearly explain the purpose and nature of the check
• Ensure the applicant understands what information will be revealed
• Secure verbal consent from the applicant

03. Complete application

• Access your account within the portal to send out the relevant online application form to the applicant

04. Verify identity

• Confirm the applicant’s identity using approved documents and following DBS-approved verification methods. Consider ID checks to prevent fraudulent applications
• For candidates without standard ID documents, consider the DBS Route 2 ID checks

05. Submit application

• Submit the application via the online portal
• Include all necessary identification verification details

06. Await results

• The DBS will process the application
• A certificate will be sent to the applicant
• The employer will receive a notification with the disclosure number, issue date, and result

07. Review certificate

• This step is not required for certificates that come back as clear
• Carefully examine the certificate upon receipt
• Note any relevant information revealed

08. Make an informed HR decision

• Use the information provided to assess the applicant’s suitability
• Consider any disclosed information in the context of the role

09. Consider using the DBS Update Service

• Benefit from updated DBS information for more comprehensive protection

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How to review the results of a DBS check

Only certificates that disclose information, rather than returning as ‘clear’, require review by the employer. To carry out this process, the employer first has to request a hard copy of the certificate from the applicant once they’ve received it from the DBS. When candidates are signed up for  Standard or Enhanced DBS checks, certificates are sent via post to the applicant, not the employer. However, for Basic checks, applicants can choose to have their certificate sent directly to the employer.

When reviewing certificates, it is important to remember that any revealed convictions should not necessarily disqualify a candidate. Employers should consider the nature and seriousness of the offence, the amount of time that has elapsed since conviction, and any evidence of rehabilitation. It is also important to consider this information in the context of the role.

A critical exception must be made for work which involves contact with children or vulnerable adults. Any applicant named on either the Children’s or Adults’ Barred Lists must be automatically barred, and employing them in that capacity is considered a criminal offence.

If enhanced checks reveal additional police information, it is recommended for organisations to take legal advice on how to proceed. This is due to the sensitivity of the information held and the possibility it may contain details about ongoing investigations.

Data protection considerations for DBS checks

The DBS Code of Practice outlines important guidelines for handling criminal record checks during recruitment. These considerations help ensure that the DBS checking process respects individuals’ right to privacy while allowing employers to make informed hiring decisions.

• At the outset of the recruitment process, organisations must inform candidates that a DBS check will be required and explain how any criminal record history might impact the recruitment decision.
• The use of information revealed through the DBS process must be strictly limited to the intended purpose for which the applicant gave their consent.
• The DBS application must be stored in a secure manner, with access restricted only to those who have a legitimate need.
• DBS check data should only be retained as long as reasonably necessary, typically around six months. After this time, all data related to the application should be securely disposed of, unless there are exceptional circumstances that justify longer retention.

Are DBS checks transferable between employers?

In certain circumstances, DBS certificates may be ‘portable’ but strict criteria must be met:

• The applicant must be a subscriber to the DBS Update Service. Registrations with the service can be made within 30 days of receipt of the DBS certificate.
• The job role, workforce type, and information on the certificate must all match the new role. This is to ensure that the certificate provides sufficient information for the new role, and that it doesn’t potentially reveal more information than the new employer is allowed to view.

The decision on whether to accept an existing DBS certificate is entirely at the discretion of the employer. Some organisations have specific policies requiring DBS certificates to be issued in the company’s name. Additionally, certain industry regulations may mandate that fresh DBS checks be conducted as part of every new hiring process, even for candidates with existing certificates

What are the penalties for employers who fail to get DBS checks for employees?

DBS checks are not necessarily required for all employees. However, even where not legally required, some organisations choose to request certificates in order to mitigate risks. Employers may face reputational damage and legal action if they fail to conduct a check on an individual with a relevant conviction who then goes on to harm people or property.

In sectors such as education and care, DBS checks are a legal requirement. For instance, hiring a teacher without first conducting an enhanced DBS check, including a check of the Children’s Barred List, is illegal. Failure to comply can result in severe legal and financial repercussions, potentially including criminal charges.

DBS checks are also an essential part of regulatory compliance in certain industries. In cases of serious negligence, regulatory bodies may impose hefty fines on the organisation or even force its closure.

Best practices for employee DBS checks

Implementing DBS checks effectively requires a structured approach and attention to detail. The following best practices will help employers navigate the DBS check process efficiently, ensure compliance with regulations, and maintain a safe working environment:

Train all relevant staff

Provide comprehensive training to staff involved in the DBS check process. Ensure they understand their responsibilities, the eligibility criteria, appropriate check levels, consent procedures, and how to interact with umbrella bodies.

Obtain employee consent

Secure verbal consent from employees before conducting any DBS check on their behalf. Clearly explain the check’s purpose, nature, and the information it will reveal. This transparent approach ensures compliance and builds trust.

Have a clear DBS policy

Develop and communicate a comprehensive DBS policy. Outline which roles require checks and at what level. Detail the consent process and ensure all staff are familiar with the policy.

Choose the right DBS umbrella body

Select a reputable, government-registered umbrella body such as Checks Direct to process your DBS checks. Look for organisations with a proven track record, and which offer excellent support.

Have a clear process for obtaining the relevant documents

Ensure accurate and complete information gathering to avoid delays or rejected applications. Consult your umbrella body for guidance on what documentation is required.

Understand the requirements of your industry

Be aware of industry-specific requirements. For example, in the finance sector, DBS checks are an important part of FCA compliance.

Conduct relevant checks

Identify which roles require checks and at what level. Your umbrella body can provide advice on appropriate check levels for different positions.

Stay up to date with DBS check regulation changes

Conduct regular checks to ensure ongoing compliance. Remember that DBS checks are only accurate at the point of issue. Regular checks demonstrate your commitment to protection and can reassure stakeholders. Consider using the DBS Update service for more efficient ongoing checks.

Final thoughts – DBS checks and employee safety

By diligently implementing DBS checks, employers not only comply with legal requirements but also demonstrate their commitment to a safe work environment. As regulations evolve, it’s crucial to stay informed and regularly review your procedures. Partnering with a reputable umbrella body and prioritising DBS checks in your hiring process ensures your organisation remains safe, compliant, and trusted.

For employers seeking to conduct background checks, screen potential hires, or protect vulnerable individuals under your care, Checks Direct is your trusted partner. We process thousands of DBS checks annually, offering a seamless experience with free and simple registration, quick turnaround times, and support from our dedicated, expert team.

Our services cover Basic, Standard, Enhanced, and Volunteer DBS checks for organisations throughout the UK. To explore our offerings in more detail, please visit our DBS Checks page.