DBS Guidance for Managers
Advertising
Interviews & conducting the checks
Completing & submitting the DBS paperwork
Recording
Monitoring the progress of submitted check
Once a certificate has been issued
When employment commences before a DBS check is received
Checking the certificate
DBS renewals
1. Advertising
The Recruiting Manger (RM) will assess the proposed job description and indicate on e-recruiter if the position requires a DBS check. The Recruiting Department will endeavour to advertise all posts with a minimum of three months’ notice before the requirement for an individual to commence in post. In the event that less than three months are provided the Recruiting Manager will be required to prepare appropriate safeguarding measures to accommodate a potential delay in the return of the DBS certificate once the recruitment stage has been completed.
The position will then be advertised and HR will ensure that the advert states where a DBS check is required using the wording contained in Appendix A (i). The Human Resources Assistant (HRA) arranges for the position code to be created with the DBS Required Relation as a “Yes” on the ABW system by the HRA responsible for the advertisement.
2.Interviews & conducting the checks
The HRA will invite candidates to interview and candidates will be asked to bring all information that would be required to complete a DBS check that day. The interview invitation (Appendix B) will include details of the information required to complete the check. A list of documents can be found at https://www.gov.uk/disclosure-barringservice-check/documents-the-applicant-must-provide- and are included in the invitation to interview letter.
The HR department will verify all necessary documentation and where necessary will ask the candidate to complete the DBS form remotely. Items are photocopied, signed and dated and kept until the satisfactory certificate is received then shredded and any unsuccessful candidate’s documentation will be shredded once the post has been filled.
Note: For candidates within the UK interviewed by SKYPE, arrangements should be made when the post is verbally offered for the individual to travel to AU to conduct the DBS check 6 weeks before the start date of the post, or within 5 working days where the post commences sooner.
For candidates being interviewed from outside the UK the individual; will be required to undertake an online DBS check. Where an individual has been a non-resident of the UK for 12 months or more an appropriate equivalent check will be conducted according to the country of origin Please refer to Appendix C.
The HRA will complete the position checklist once the DBS application is submitted and will then pass to the contractual team to chase the DBS and generate the offer letter and contract.
The applicant arrives on the day of interview to provide the documentation to the nominated HRA. The HRA will complete the checklist and verify the documentation. If the candidate has not brought their documentation they will need to return with it at a prearranged date.
The HRA will ensure the successful candidate’s information is entered into ABW together with the requirement for the post to be DBS checked. (See section 4 - Recording)
All offers of employment will be made conditional upon the receipt of the appropriate DBS checks being satisfactorily confirmed and this will be made explicit in the offer letter sent to the chosen candidate by the Contractual team, copied to the Recruiting Manager.
The HRA will send a reminder e-mail to the candidate on the 5th working day following the verbal offer if the check has not been completed and will cc the Director of the Recruiting Department and the HR Quality & Compliance Manager. The e-mail will make it explicit that without this information the person cannot start work. Please refer to Appendix D for appropriate wording.
3.Completing & submitting the DBS paperwork
The nominated HRA will supervise the completion of the individuals DBS form in the HR Department and will thoroughly check that the information has been completed correctly before the candidate leaves the HR Department and completed the checklist. A second check will be done of the form by a HR colleague before the prospective employee leaves the building.
Once the form is completed the documents will be submitted to a Staff Counter signatory (Director of Human Resources or Deputy Director of Human Resources or PVC and Chief Operating Officer) the same day.
The Counter-signatories will check and return the form within 24 hours of receipt. It is the HRA’s responsibility to ensure that this happens. If the counter-signatory has not signed and returned the form within 24 hours the HR Quality & Compliance Manager should be advised by the HRA. The HR Quality & Compliance Manager will be responsible for investigating the reason for the delay and within 24 hours of identifying the cause and, where necessary, ask another counter-signatory to complete the check.
The nominated HRA will send the link to the online tracking portal by e-mail to the prospective member of staff to track and will include the application number. The Recruiting Manager will be copied into the e-mail.
4. Recording
The HRA will be responsible for creating the employee on ABW and the relevant line will be parked subject to the receipt of a satisfactory DBS check. All documents should be uploaded for payroll at this point.
The HRA will be responsible for recording the following information on the ABW system when the application has been completed on the “Right to Work” tab:
Please refer to inputting DBS information in the ABW manual.
5.Monitoring the progress of a submitted check
The HR Assistant will be responsible for checking the DBS portal on a weekly basis for the progress of the individual’s application.
After two calendar weeks the ABW system will send daily e-mail reminders to the HR team at hr@aber.ac.uk and to the Director of the recruiting department to highlight that there is an outstanding DBS check. Please refer to Appendix E for the wording of these alerts.
6. Once a certificate has been issued
Once the Online portal indicates that a certificate has been issued, the contractual team will be responsible for contacting the successful candidate to ascertain whether the certificate has been received. The Director of the recruiting department will be copied into all correspondence of this nature. Please see Appendix F for the template wording.
The successful candidate will be responsible for informing HR on hr@aber.ac.uk within 24 hours upon receipt of the DBS certificate. It will be the responsibility of the Contractual team to then contact the individual immediately to arrange for the individual to bring the original certificate to the HR department to enable the certificate to be verified and to take a copy. The Contractual team will be responsible for recording all relevant information on the HR DBS Certificate Verification Sheet in Appendix L and this will be scanned and saved to the individual’s ABW file.
On receipt of the certificate, the contractual team must check that the certificate is genuine (watermarked) and that it belongs to the certificate holder (check photo ID if you did not take the original documents). The “Right to Work Checks” tab on ABW will be completed to include the reference number of the check, date received, outcome (satisfactory or not satisfactory), valid from (date of certificate) and valid to (two years from date of certificate).
The Contractual team will be responsible for un-parking the individual on receipt of the satisfactory certificate OR on receipt of a satisfactory risk assessment on the safeguarding arrangements which has been verified by the Deputy Director of HR.
Where it becomes apparent to the Contractual team from the DBS portal that a certificate has been issued to the individual but the individual has not presented the certificate for the HR department to verify and note, the individual will be advised that failure to bring the certificate to HR within 48 hours will necessitate the imposition of a period of unpaid leave until such time as they comply or the withdrawal of the offer of employment. The Director of the recruiting department will be copied into the e-mail where this becomes necessary. Please refer to Appendix H for the appropriate template.
If the individual fails to respond to the e-mail as directed within the prescribed time period, the Contractual team will escalate the matter to the HR Quality & Compliance Manager for the matter to be addressed formally in writing and in consultation with the Director of the recruiting department.
7.When employment commences before a DBS check is received
The ABW system will alert the HR Assistant where an individual is due to commence employment and where the “DBS pending” tab is still selected 5 days before the proposed commencement of employment.
The Contractual team will be responsible for advising the Director of the recruiting department by e-mail that consideration should be given as to whether the employment start date should be delayed (preferable) or whether safeguarding measures should be put in place to enable the individual to start employment before the certificate is received. Please see Appendix G for the appropriate e-mail template.
The Director of the recruiting department will be required to respond in writing instructing either a change in employment commencement date or else confirming the safeguarding adjustments made to enable the individual to commence employment whilst the check is outstanding. This should be copied to the HR Quality & Compliance Manager for reporting at the weekly HR management team meeting.
Consideration will be given to an individual’s pre-existing DBS certificate with regards to the safeguarding measures which can be put in place however the University will not accept DBS checks conducted by other employers as a suitable alternative to conducting the check by AU.
8. Checking the certificate
If the candidate’s DBS is clear, their employment should begin in line with the request.
If the candidate’s certificate includes cautions or convictions, the Director of the recruiting department should be informed. A meeting will be arranged with the candidate and Director of the recruiting department with HR in attendance if requested, to discuss the nature of the cautions/convictions.
If the cautions/convictions are deemed to be acceptable by the Director of the recruiting manager and one of the authorised counter-signatories, the person can be appointed, marking the DBS as satisfactory as above. A note of the discussion should be taken and uploaded to the individual’s electronic file to show that the meeting took place and employment can commence.
If the cautions/convictions are deemed unacceptable, the conditional offer of employment may be withdrawn by formal letter from the HR Quality & Compliance Manager or nominee. Please refer to Appendix I for the template letter. The employment record should be closed and file moved to leavers. The certificate should be retained no longer than for the recruitment decision and possibility of appeal, and destroyed once complete (no longer than 6 months).
For guidance on acceptability of cautions/convictions, please speak with the HR Quality and Compliance Manager and/or Deputy Director of Human Resources. Employment should only be withdrawn if there is clear evidence of unsuitability. Unrelated or minor offences would not normally prevent employment from commencing/continuing.
9.DBS Renewals
All individuals in posts which require a DBS check will be flagged on monthly ABW reports where the individual is within 8, 6, 4 and 2 weeks of the expiration of their current check. The report will be sent to the HR Employee Services team and it will be the Contractual team’s responsibility to ensure that the relevant individuals are contacted to chase the provision of this information, copying in the Director of the relevant department. Please refer to Appendix J for the template e-mail.
The Individual will receive automated reminders from the ABW system within the aforementioned period and will be required to present themselves to HR to renew their certificate in accordance with the university’s Safeguarding Policy framework. The check will be conducted in accordance with sections 3 and 4 of these guidelines. The Director of the relevant department will be copied into all e-mails sent to the individual regarding this procedure.
In the event that an individual fails to comply with the Contractual team’s request to renew their DBS certificate, they will receive formal notice that a period of unpaid leave will be enforced until they comply with the instruction three weeks before their current certificate expires. Please refer to Appendix K for the template letter. The Director of the relevant department will be consulted beforehand as to when it may be necessary to invoke this step.