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Policy and Recruitment Guidelines on the Employment of Ex-Offenders

1.0 Introduction

1.1 Staffordshire University aims to promote equality of opportunity for all with the right mix of talent,

skills and potential and welcomes applications from diverse candidates. Criminal records will be taken into account for employment purposes only where the conviction is relevant to the post in question. Having an unspent conviction (whether spent or unspent) or a caution, reprimand or warning, will not necessarily bar a candidate from employment. This will depend on the circumstances and background to the offence(s) and the University will not discriminate unfairly against an individual on the basis of a conviction or other information revealed.

1.2 The University also has a duty to protect vulnerable groups from potential harm or abuse and to

that end; the University will undertake specific measures to check the suitability of employees working with these groups.

1.3 The Rehabilitation of Offenders Act 1974 was introduced to ensure that ex-offenders who have

not re-offended for a period of time since the date of their conviction are not discriminated against when applying for jobs. Furthermore it enables ex-offenders to ‘wipe the slate clean’ of their criminal record in the sense that, unless the post they are applying for is exempted under the Act (see paragraph 1.4 below), they are no longer legally required to disclose to organisations convictions that have become ‘spent’.

1.4 In order to protect certain vulnerable groups within society there are a large number of posts and

professions that are exempted from the Rehabilitation of Offenders Act. These include posts involving access to children, young people, the elderly, disabled people (including physical or substantial learning disability), alcohol or drug users, people with mental illness and the chronically sick. In such cases organisations are legally entitled to ask applicants for details of all convictions, irrespective of whether they are ‘spent’ or ‘unspent’ under the Rehabilitation of Offenders Act 1974.

1.5 As the University meets the requirements in respect of exempted questions under the

Rehabilitation of Offenders Act 1974, candidates offered employment in a certain range of posts will be subject to a criminal record check undertaken by the Criminal Records Bureau. Examples of these posts are detailed in Appendix One.

1.6 This policy covers all posts within Staffordshire University including permanent, fixed term,

casual, hourly paid and voluntary workers.

1.7 This Policy was implemented following consultations with the University recognised Trade

Unions, UNISON and UCU.

2.0 Disclosures

2.1 Criminal record checks known as Disclosures are carried out by an executive agency of the Home Office called the Criminal Records Bureau (CRB).

2.2 Part V of the Police Act 1997 includes measures which enable all organisations in England and

Wales to obtain criminal information about prospective employees and volunteers from a centralised source.

2.3 A Disclosure can only be sought for those positions which are exempt from the Rehabilitation of

Offenders Act 1974 and at Staffordshire University these include posts listed in Appendix One (this list is not exhaustive)

2.4 Staffordshire University is a registered body and as such can access the Disclosure Service.

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2.5 Each registered body has a Lead Signatory and several Counter-signatories who are able to obtain Disclosures from the CRB.

2.6 There are two different levels of Disclosure available from the CRB:

• Standard

• Enhanced

2.6.1 The Standard Disclosure

• Contains details of both ‘spent’ and ‘unspent’ convictions as well as cautions, reprimands

and full warnings recorded by the police centrally.

• Applies to posts which are exempted under the Rehabilitation of Offenders Act.

• Relates primarily to posts that involve working with children or vulnerable adults as well as

certain other occupations.

• Will include information from Police records, the Department for Education and Skills and

the Department of Health.

2.6.2 The Enhanced Disclosure

• Relates to posts involving a far greater degree of contact with children or vulnerable adults e.g. jobs involving regularly caring, supervising, training or being in sole charge of children or vulnerable adults.

• Contains the same information as the Standard Disclosure but may also contain any non

conviction information from the local police records that is considered relevant e.g. whether the individual is under surveillance.

2.7 The cost of each Disclosure is regularly reviewed by the CRB (the fee is waived for volunteers)

and where Disclosure is a requirement of the post the University will bear the cost.

2.8 Applications must be made with the express agreement of the individual concerned and signed by both the applicant and the registered body.

2.9 The University does not accept portability of Disclosures from other employers. A new

Disclosure is usually applied for in the case of each new appointment unless a satisfactory Disclosure was received by the University in the previous 12 months at the same level as now required.

2.10 Portability may be accepted between the University and certain other organisations under the

Research Passport Scheme.

2.10 Human Resources and Organisational Development is responsible for handling the administration of the Disclosure process and the procedure is set out in more detail in Section 6 of this policy.

3.0 Recruitment of New Staff – University Obligations

3.1 At the outset the Manager needs to determine whether it is appropriate, in the light of the nature of the vacancy that he/she is about to advertise, and the risk assessment criteria for the job, to request criminal record information and if so what level of Disclosure is required (this is known as the Exempted Question). In order to help determine this, reference should be made to Appendix One of this document which indicates those positions for which a Disclosure may be sought (the list is not exhaustive).

3.2 If a Disclosure is required this should be indicated at the start of the recruitment process on the

Workforce Planning Form.

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3.3 If the Manager decides that Disclosure is relevant, the applicants will be informed at the start of the recruitment process via the job advertisement and the recruitment pack that they are required to declare all convictions and that, if they are successful, a Disclosure will be required in relation to them. This will help the applicant to decide whether to apply for the job. If a manager has any doubt as to whether the post requires a Disclosure he/she should seek advice from Human Resources and Organisational Development.

3.4 The following statement will be included in advertisements and job descriptions, where

appropriate:

“This post is exempted under the Rehabilitation of Offenders Act 1974 and as such, appointment will be conditional upon the receipt of a satisfactory response to a check of criminal records via the Criminal Records Bureau, before the appointment is confirmed. This will include details of cautions, reprimands or final warnings, as well as convictions.”

(A shortened version may be used in some advertisements)

3.5 The recruitment pack sent out by Human Resources and Organisational Development will contain guidance notes for Disclosure Applicants as detailed in Appendix Two.

3.6 The pack will also contain the University’s policy statement on the Recruitment and Employment

of Ex-Offenders (Appendix Three). This contains information to the effect that a criminal record will not necessarily bar applicants from obtaining a position and a Disclosure will only be requested in the event of a successful application.

3.7 When external recruitment agencies are used, Human Resources and Organisational

Development will ensure that such statements are included with the job information sent to applicants if relevant to the post.

4.0 Recruitment of New Staff – Applicants Procedure

4.1 All applicants are required to declare any unspent convictions on the job application form at the time of applying for a position.

4.2 Spent convictions must be declared where the post is exempt under the Rehabilitation of

Offenders Act 1974. Where the nature of the post allows it, the co-operation of applicants in the voluntary provision of information relating to any cautions, reprimands and warnings will assist in there being ‘no surprises’ when full formal Disclosure is requested from the CRB. Failure to reveal information about convictions that is requested in connection with employment, or failure to reveal information that is directly relevant to the position sought, may lead to the withdrawal of a job offer.

4.3 Where an applicant has a conviction which must be declared, he/she is also required to provide

full details relating to the conviction in a sealed envelope along with their application form. This will be retained by Human Resources and Organisational Development and will only be opened should the applicant be under consideration for shortlisting.

4.4 The fact that an applicant has a criminal record is frequently irrelevant to the job they are

applying for and may not necessarily bar the applicant from obtaining a position with the University.

4.5 Applicants will be informed on the advertisement and in the recruitment pack if a Disclosure will

be required in relation to the post. This will help the applicant to decide whether or not to apply for the position.

4.6 The University will only seek criminal record information through the Disclosure process for those

posts which involve access to children and vulnerable adults or are listed as Exceptions under the Rehabilitation of Offenders 1974 (Exceptions) (Amendment ) Order 2001. A list of such posts at Staffordshire University is included as Appendix One (this list is not exhaustive).

4.7 The University does not accept portability of Disclosures from other employers. A new

Disclosure is usually applied for in the case of each new appointment unless a satisfactory Disclosure was received by the University in the previous 12 months at the same level as now required.

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4.8 The process of obtaining Disclosures is covered fully in section 6.

4.9 When an offer of employment is made subject to Disclosure, the person will not commence employment with the University until a satisfactory Disclosure has been received.

4.9.1 In some circumstances, dependant upon the nature of the post, and whether the individual is

able to carry out restricted duties without lone contact with children or vulnerable adults, he/she may commence employment before the Disclosure is received. In such circumstances, the line manager should discuss the matter with the relevant HR&OD Business Partner and confirm which measures have been undertaken to minimise any risk.

5.0 Declaration of Convictions on Application

5.1 Where an applicant declares a relevant conviction on his/her application form, the University will need to carefully consider any potential risks.

5.2 The University does not operate a ban for people with convictions and may employ individuals

with both spent and unspent convictions where appropriate.

5.3 It is important to consider carefully the relevance of the information received. Sometimes the relevance of the offence to the post will be clear and a decision made easily in terms of the suitability of the applicant to the job.

5.4 Determining the relevance of convictions is not an exact science. An assessment of applicants’

skills, experience and the circumstances of the conviction(s) should be weighed against the risk assessment criteria for the position.

5.5 If an applicant has a criminal record this should be assessed in relation to the tasks he/she will

be required to perform and the circumstances in which the work will be carried out. This might involve discussion between the Chair of the Interview Panel, the relevant HR&OD Business Partner, and the applicant in a structured, open and honest discussion.

5.6 Whilst it is accepted that a thorough risk assessment on each individual will not be feasible, the

following issues should be considered as a minimum requirement:

The seriousness of the offence and its relevance to the safety of other employees, customers, clients and property.

The length of time since the offence occurred. Any relevant information offered by the applicant concerning the circumstances which led to

the offence being committed e.g. the influence of domestic or financial difficulties. Whether the offence was a one-off, or part of a history of offending. Whether the applicant’s circumstances have changed since the offence was committed,

making re-offending less likely. The country in which the offence was committed; some activities are offences in Scotland

and not in England and Wales and vice versa. Whether the offence has since been decriminalised by Parliament. The degree of remorse, or otherwise, expressed by the applicant and their motivation to

change.

5.7 The following questions should be considered when determining the relevance of the offence to a particular post exempt under the Rehabilitation of Offenders Act:

• Does the post involve one to one contact with children or other vulnerable groups as

employees, customers or clients?

• What level of supervision is the post subject to?

• Does the post involve direct contact with members of the public?

• Will the nature of the job present any opportunities for the post holder to re-offend in the workplace?

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5.8 If the applicant is under consideration for shortlisting the Chair of the Interview Panel should discuss the matter with the relevant HR&OD Business Partner to decide whether to invite the applicant for interview, having due regard to the risk assessment undertaken. At such time any additional information supplied by the applicant at the time of application will be read to help them reach a decision.

5.9 In some circumstances it might be appropriate to invite the applicant to a meeting in advance of

the formal interviews, to discuss the details of the offence. This discussion will be measured and fair and will consider the relevance of the offence and will include the Chair of the Interview Panel and the relevant HR & OD Business Partner.

5.10 If the decision is to not proceed with interviewing the candidate a letter will be sent by Human Resources and Organisational Development to advise him/her accordingly.

5.11 Where a decision is made not to employ an applicant due to their criminal record, there is no

further right of appeal.

6.0 The Disclosure Process

6.1 At the interview, the Manager should remind candidates that the post is exempted under the Rehabilitation of Offenders Act 1974 and if successful, a Disclosure will be obtained via the CRB.

6.2 Human Resources and Organisational Development will be responsible for the administration of the Disclosure process.

6.3 When an offer of employment is made subject to Disclosure, the following statement will be

included in the offer of appointment letter for individuals requiring a disclosure:

“This post is exempted under the Rehabilitation of Offenders Act 1974 therefore appointment to this post is expressly conditional upon the receipt of a satisfactory response to a check of Police records via the Criminal Records Bureau. You are therefore required to complete a Disclosure application form. If any matters of concern are revealed in the Disclosure you will be contacted by Human Resources and Organisational Development to discuss the matter. You should note that the existence of an unsatisfactory police record which is relevant to the post may result in the withdrawal of the offer of employment.”

6.4 Human Resources and Organisational Development will be responsible for issuing to the successful applicant the following:

• A Disclosure Application Form

• A copy of the Guidelines for Applicants on completing the Disclosure Application Form (Appendix Four of this Policy)

6.5 Human Resources and Organisational Development will also ensure that every person subject to Disclosure is aware of the Criminal Record Bureau’s Code of Practice and make a copy available upon request.

6.6 The Disclosure process requires that original evidence of identity is verified so an applicant will

be required to provide specific documentation outlined on the Identification Certification Form as part of this process (full details are included in the guidance notes issued to applicants in Appendix Four)

6.7 The Disclosure form will be verified in Human Resources and Organisational Development and

signed by the counter signatory prior to despatch to the Criminal Records Bureau.

6.8 In the case of individuals with a substantial record of overseas residence, the CRB cannot currently access overseas criminal records or other relevant information. Generally the individual is required to apply for a certificate of good conduct from the country they were resident in as the employer cannot normally access this information.

6.9 Notwithstanding this fact, where an individual has been resident in the UK for at least two months

a CRB Disclosure should be sought in addition to confirmation of his/her criminal record overseas, although it is recognised that the Disclosure is likely to be of limited value where the

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period of UK residence has been short.

6.10 When an offer of employment is made subject to Disclosure, the person will not commence employment with the University until a satisfactory Disclosure has been received.

6.11 In some circumstances, dependant upon the nature of the post, and whether the individual is able to carry out restricted duties without lone contact with children or vulnerable adults, he/she may commence employment before the Disclosure is received. In such circumstances, the line manager should discuss the matter with the relevant HR&OD Business Partner and confirm which measures have been undertaken to minimise any risk.

7.0 Procedure following receipt of a Disclosure

7.1 Completed Disclosures are returned from the CRB to the Counter signatory in Human Resources and Organisational Development.

7.2 Where a criminal record is revealed following receipt of a Disclosure the relevant HR&OD

Business Partner will discuss the matter with the Chair of the interview panel having due regard to any risks which might be involved in employing a person with a criminal record and what precautions should be taken in order to provide adequate safeguards (refer to sections 5.6 and 5.7).

7.3 If, having considered the information, there are concerns surrounding the nature of the offence,

the candidate should be invited to discuss the information in person. The University will ensure that an open and measured dialogue takes place on the subject of the offence(s) or other matter that might be relevant to the position.

7.4 It is important to keep an open mind in respect of information received as it may be inaccurate

e.g. it relates to someone else of the same name or it may be that the applicant believes that the conviction has become spent. Also the applicant may be unaware that they have a criminal record. In any event, applicants should have the opportunity to explain the situation before a final decision is made.

7.5 If the applicant believes that the information contained in the Disclosure is inaccurate, he/she has

the right to appeal to the Criminal Records Bureau. In this event, and where it is practical to do so, the post should be put on hold until the outcome of the appeal is heard, for if the information is indeed inaccurate then the person is eligible for employment.

7.6 If, following consideration of all the facts, the decision is to recommend withdrawal of the offer of

appointment, this recommendation will be forwarded to the Executive Director of Corporate Services who will determine the University’s final position on the matter. The decision and reasons for the decision will be documented.

7.7 If the decision is made to withdraw the offer of appointment a letter will be sent from Human Resources and Organisational Development confirming the reasons for the decision.

7.8 How to handle ‘additional information’ on Disclosures

7.8.1 Enhanced Disclosures differ from Standard in that they may contain information provided

by a local police force, in addition to that about convictions.

7.8.2 Enhanced Disclosures therefore involve an extra level of checking against local police force records. In these circumstances, the Chief Officer of each relevant force will decide what, if any, additional information is to be provided. The Police Act 1997 sets out when such information should be released. Essentially, a chief police officer may release local information if it is thought to be relevant to the position sought. The question of whether information is or may be relevant is solely a matter for the local police force and not for the CRB.

7.8.3 Information printed on the Enhanced Disclosure is often referred to as Approved

Information. However, the Chief Officer is free, if it is thought necessary in the interests of the prevention or detection of crime, to release information in a letter, separate from the Enhanced Disclosure, to the Countersignatory only. This is often referred to as Additional Information.

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7.8.4 Additional Information is released under section 115 (8) of the Police Act 1997. It is

information that a chief of police has authorised to be released to the Registered Body (the University) only in the interests of the prevention and detection of crime. This is released in the form of a separate letter sent to the University and arrives in a different envelope than the Disclosure. The information is not made available to the applicant and does not appear on the Disclosure. The Disclosure issued to the University contains a box on the top right hand side referring to the letter sent under separate cover. This warns the University signatory that receipt of the letter should be awaited before reaching a recruitment decision. The information released by the police in these circumstances is highly confidential. Although CRB will know when such letters are released, they do not see the contents and are not sent a copy.

7.8.5 This letter containing the additional information is handled, stored, retained and used in

exactly the same way as any other Disclosure information and in accordance with the Code of Practice and other guidance. However, in addition to this, the existence of the letter and the information it contains is not revealed to the applicant and is never shown to the applicant or to any other person disconnected from the recruitment decision.

7.8.6 The University will make recruitment decisions on the basis of all information released by

the CRB, including that contained in any separate letter, in accordance with good recruitment practice. If it is decided to decline the provisional offer of appointment, the applicant will be informed of that decision. In some cases, matters revealed on the Enhanced Disclosure will justify such a decision; or it may be information contained in the separate letter from the police provides evidence that the applicant is unsuitable for the position.

7.8.7 In any event, the University will not reveal the existence of any separate letter or its

contents. Applicants must not be made aware of the existence of Additional Information. It is a criminal offence to disclose information of this type without the permission of the police. Releasing such information is liable to prosecution under the Police Act 1997 and a breach of the CRB Code of Practice. Even if an applicant is being refused an offer of employment on the basis of Additional Information, the University must not declare that Additional Information has been received and must therefore tread carefully when explaining why the applicant has not been made an offer. In these circumstances recruiters may wish to take professional advice from the Executive Director of Corporate Services.

8.0 Confidentiality of Information

8.1 Information provided on any Disclosure is both sensitive and confidential. It is therefore essential that anyone who is party to that information should handle it in an appropriately sensitive and confidential manner. As a Registered Body Staffordshire University adheres to the CRB Code of Practice and also complies fully with its obligations under the Data Protection Act 1998 and other relevant legislation relating to the safe handling, use, storage, retention and disposal of Disclosure information. See also Data Protection (Employment Records) Policy and the Policy Statement on Storage etc of Disclosure information.

8.2 The counter-signatory is responsible for ensuring the safe and confidential storage of the

Disclosure information received.

8.3 Action may be taken against the University should the CRB’s Code of Practice not be adhered to.

9.0 Storage of Disclosures

9.1 Disclosure information is always kept securely in non-portable, lockable filing cabinets, including any material awaiting destruction. Access to the stored information is strictly controlled and limited to those who are entitled to see it as part of their duties i.e. the relevant counter signatory and the officers involved in making the recruitment decision.

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9.2 The counter signatories are responsible for ensuring the safe and confidential storage of all the Disclosure information received.

9.3 Due regard will be paid to the Data Protection Act 1998 when handling Disclosure information.

9.4 In accordance with section 124 of the Police Act 1997, Disclosure information must only be

passed to those who are authorised to receive it in the course of their duties. The University maintains a record of all those to whom Disclosures or Disclosure information has been revealed and we recognise that it is a criminal offence to convey this information to anyone who is not entitled to receive it.

9.5 All information relating to offences will remain confidential on a need to know basis. Applicants

and employees need to feel confident that details about their convictions will not be disclosed to colleagues.

9.6 Disclosure information is only used for the specific purpose for which it was requested and for no

other purpose as this is the only purpose for which the applicant’s full consent has been given.

9.7 Other than in exceptional circumstances, a Disclosure cannot be kept for more than six months. However, notwithstanding this the University may keep a record of the date of issue of a Disclosure, the name of the subject, the type of Disclosure requested, the position for which the Disclosure was requested, the unique reference number of the Disclosure and the details of the recruitment decision taken. There is a tear off section on the Disclosure return with the CRB’s unique reference number on it which can be retained on the employee’s file with the above details added to it but it must be treated as confidential material.

9.8 The actual Disclosure information will be destroyed and no photocopies will be kept. Again it is

the responsibility of the counter signatory to ensure that Disclosure information is disposed of in an appropriate manner.

9.9 A separate policy statement on the Storage etc of Disclosure information is shown as Appendix

Five.

10.0 Existing Employees

10.1 When an employee commits a serious criminal offence, or one which would have a material effect on the individual’s ability to undertake their role, the employee has a duty to notify the Executive Director of Corporate Services in writing outlining the details and circumstances of the offence. It is not necessary for minor convictions to be declared unless they are relevant to the employee’s position. In case of query, advice should be sought from Human Resources and Organisational Development.

10.2 For future employees a statement will be included in contracts of employment stating:

“If during your employment you receive a conviction, caution or bind over you must declare this to the Executive Director of Corporate Services at the earliest possible stage. Such information will be treated sensitively and its relevance, nature and your length of service will be taken into account when deciding what action, if any, needs to be taken. Failure to declare such information could result in disciplinary action being taken against you. Notwithstanding this, periodic CRB rechecks will also be required.”

10.3 On occasions the Police notify the University when an employee commits an offence. In such

cases the matter will be referred to the Executive Director of Corporate Services to determine what action to take.

10.4 Careful consideration will be given before any action is taken with particular reference to the

relevance of the conviction to the post the employee undertakes.

10.5 Where it is considered that there is a significant risk, e.g. some violent offences would be inappropriate for posts involving unsupervised contact with the public, the University may consider appropriate safeguards, moving the employee to a more suitable post or in serious instances disciplinary action which may lead to dismissal.

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10.6 In cases where a person has been employed and it is subsequently discovered that they have failed to disclose an ‘unspent’ conviction they should not necessarily be dismissed. However, a full assessment of the situation is required, including the risks involved, the relevance of the conviction to the post and the probable breach to the contract of employment as a result of dishonesty and the reasons for non-disclosure.

10.7 If an employee has deliberately withheld conviction information in order to gain employment or to

continue in employment, appropriate disciplinary action will be considered.

10.8 Evidence of previous convictions will not be used as an excuse to discipline or dismiss an employee for poor performance. The track record of the individual in their job role should be carefully assessed and if it is satisfactory this should be considered positively at this time.

10.9 There is no general requirement for staff to be re-checked with the CRB unless their post is

governed by a statutory requirement.

10.10 If an individual moves to a new post which requires a Disclosure, or the duties of his/her post change to the extent that the new duties require one, the member of staff will be required to have a Disclosure check.

10.11 If a criminal record is subsequently revealed following the Disclosure, full consideration will be

given to the details disclosed as set out in section 7. In certain circumstances continuation of the individual’s employment may be at risk.

11.0 Operative Date

This policy was approved by the Executive Board held on 17 September 2008 and will take effect from that date.

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Appendix One

Posts subject to disclosure under the Rehabilitation of Offenders Act

(Exemptions) (Amendment) Order 2001

• Nursery Nurses

• All Health and Social Care Professions

• Recreation Stewards

• Student Ambassadors

• Summer School Tutors and Assistants

• Self-employed Support Workers

• Playscheme Workers

• Sports Instructors

• Accountants

• Legal Services Staff

• Security Staff/Doormen

In addition certain posts within Student Support and some Researchers will require a Disclosure.

The above list is not exhaustive and vacancies will be considered in accordance with the guidelines as set out in this document.

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Appendix Two

Guidance for Disclosure Applicants

Please note that, if you are offered this position, the appointment procedure requires you to apply for either a Standard or Enhanced level of Disclosure with the Criminal Records Bureau (CRB) as detailed in the enclosed job description.

Standard Disclosures are primarily for posts that involve working with children or vulnerable adults or is of such a kind where the postholder will have access to these groups in the course of their normal duties.

Enhanced Disclosures are for posts that involve a far greater degree of contact with children or vulnerable adults. In general the type of work will involve regularly caring for, supervising, training or being in sole charge of such people.

A Disclosure is a document containing information held by the police and government departments. It can be used by employers to make safer recruitment decisions and is provided by the Criminal Records Bureau (CRB), an executive agency of the Home Office. Disclosures will provide details of a person’s criminal record including cautions, convictions, reprimands and warnings held on the Police National Computer (PNC). Depending on the level of Disclosure it might also contain information held by government departments and local police forces.

In applying for a Disclosure you will be provided with the relevant form and guidance notes supplied by CRB. You must carefully complete and return the form and send it to Human Resources and Organisational Development together with various original documents confirming your identity (full details will be provided at the time).

Your completed Disclosure application form will be countersigned and forwarded to the CRB by Human Resources and Organisational Development.

The CRB will then undertake the necessary checks with the Police and other relevant authorities.

After all checks have been carried out, the CRB will send a Disclosure to both you and the counter signatory at the University, which will list any details obtained from those checks (except in the case of Additional Information which is released to the University only, by the Chief of Police). In the event of the CRB check highlighting information held on any of the databases accessed, a member of Human Resources and Organisational Development may contact you to arrange a meeting to discuss the details in order to make an informed decision as to whether or not this affects the offer of appointment. The final decision as to whether your appointment can proceed will be made by the Executive Director of Corporate Services.

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Appendix Three

Policy Statement on the Recruitment and Employment of Ex-Offenders

Background

The first priority of Staffordshire University is the safety and welfare of children and vulnerable adults in our care, who use the services of the University or come into contact with members of the University. We intend to achieve this by exercising rigour and vigilance in employment-making; criminal record Disclosures are central to this.

Recipients of criminal record Disclosures must duly comply with the CRB code of practice as well as the University’s policies and procedures. Disclosure information will be treated as sensitive personal data; recipients will follow the University’s data protection and criminal record checking procedure when handling Disclosure information. The University will treat all applicants fairly judging peoples’ criminal records on merit, in accordance with the law and in relation to the responsibilities of the post in question. The University will not subject anyone who discloses a criminal record to unfair treatment on the basis of convictions subject to relevant legislation and reasonable judgement.

Policy Statement

As an organisation using the Criminal Records Bureau (CRB) Disclosure service to assess

applicants’ suitably for positions of trust, Staffordshire University complies fully with the CRB Code of Practice and undertakes to treat all applicants for positions fairly. It undertakes not to discriminate unfairly against any subject of a Disclosure on the basis of a conviction or other information revealed.

Staffordshire University is committed to the fair treatment of its staff, potential staff or users of its services, regardless of gender, race, nationality, religion or belief, disability, age, sexual orientation or trade union activity or offending background.

We have a written policy on the employment of ex-offenders which is available on the University’s website.

We actively promote equality of opportunity for all with the right mix of talent, skills and potential and welcome applications from a wide range of candidates, including those with criminal records. We select all candidates for interview based on their skills, qualifications and experience.

A Disclosure is only requested after a thorough risk assessment has indicated that one is both proportionate and relevant to the position concerned. For those positions where a Disclosure is required, all job advertisements and job descriptions will contain a statement that a disclosure will be requested in the event of the individual being offered the position.

Where a Disclosure is to form part of the recruitment process, we encourage all applicants called for interview to provide details of their criminal record at an early stage in the application process. We request that this information is sent under separate, confidential cover, to Human Resources and Organisational Development at Staffordshire University, and we guarantee that this information will only be seen by those who need to see it as part of the recruitment process.

Unless the nature of the position allows Staffordshire University to ask questions about your entire criminal record, we only ask about ‘unspent’ convictions as defined in the Rehabilitation of Offenders Act 1974.

We ensure that those at Staffordshire University who are involved in the recruitment process have been suitable trained to identify and assess the relevance and circumstances of the offences. We also ensure that they have received appropriate training and guidance in the relevant legislation relating to the employment of ex-offenders, e.g. the Rehabilitation of Offenders Act 1974.

At interview, or in a separate discussion, we ensure that an open and measured discussion takes place on the subject of any offences or other matter that might be relevant to the position. Failure to reveal information that is directly relevant to the position sought could lead to a withdrawal of an offer of employment.

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We make every subject of a CRB Disclosure aware of the existence of the CRB Code of Practice

and make a copy available on request.

We undertake to discuss any matter revealed in a Disclosure with the person seeking the position before withdrawing a conditional offer of employment.

Having a criminal record will not necessarily bar you from working with us. This will depend on the nature of the position and the circumstances and background of your offences.

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Appendix Four Disclosure Completion Guidance Notes

Please carefully complete the enclosed Disclosure form in accordance with the guidance notes issued by the Criminal Records Bureau. The form, together with relevant original documents as detailed below, should be returned to Human Resources and Organisational Development. In certain circumstances where it is more convenient it may be possible for senior member of staff from the appointing Faculty/ Service to validate the documents. Please contact Human Resources and Organisational Development for advice:

Either – One form of identification from Group 1 plus any two others from group 1 or 2

or if this is not possible –

Five forms of identification from Group 2

At least one of the documents should show your current address and at least one should show your date of birth

Group 1

Valid passport (any nationality)

UK issued driving licence (either photocard or paper, but a photocard is only valid if presented with the

counterpart licence)

Original UK Birth Certificate (issued within 12 months of birth – full or short form acceptable)

Valid photo identity card (EU countries only)

HM Forces ID card (UK)

UK Firearms Licence

Group 2

Marriage Certificate/Civil Partnership Certificate

Financial Statement ** eg pension, endowment, ISA

Birth Certificate

Vehicle Registration Document (V5 old style and VC5 new style)

UK P45/P60 statement **

Mail Order Catalogue Statement *’

Bank/Building Society Statement *’

UK Court Claim Form ** (documentation issued by Court Services)

Utility Bill*’

Exam Certificate eg GCSE, NVQ, ‘O’ Level

TV Licence **

Addressed Payslip *

Credit Card Statement*’

UK National Insurance Card

Store Card Statement*’

UK NHS Card

Mortgage Statement **’

Benefit Book Statement (Child Allowance or Pension)

Insurance Certificate **

UK Certificate of British Nationality

UK Council Tax Statement**

UK Work Permit/Visa**

A document from Central/Local Government/Government Agency/Local Authority giving entitlement (UK) * eg DWP, Employment Service, Customs & Revenue, Job Centre, Job Centre Plus and Social Security

UK Connexions Card

CRB Disclosure Certificate **

Letter from a Head Teacher *

Asylum Registration Card

* Documentation to be less than 3 months old ** Issued within past 12 months ‘ If you intend to use more than one document of this type ensure it is from a different organisation. Internet documents are not acceptable.

Page 15 of 15

Appendix Five

Policy Statement: Secure Storage, Handling, Use, Retention and Disposal of Disclosures and Disclosure Information

General Principles

The University must ensure that it complies fully with the requirements of the Criminal Record Bureau’s Code of Practice in relation to the correct handling, use, storage, retention and disposal of Disclosure information. The University also complies fully with its obligations under the Data Protection Act 1998 and other relevant legislation pertaining to the safe handling, use, storage, retention and disposal of Disclosure information and has a separate written policy on these matters – Data Protection (Employment Records) Policy.

Storage and Access

Disclosure information is always kept securely in non-portable, lockable filing cabinets, including any material awaiting destruction. Access to the stored information is strictly controlled and limited to those who are entitled to see it as part of their duties i.e. the relevant counter signatory and the officers involved in making the recruitment decision.

Handling

In accordance with section 124 of the Police Act 1997, Disclosure information must only be passed to those who are authorised to receive it in the course of their duties. The University maintains a record of all those to whom Disclosures or Disclosure information has been revealed and we recognise that it is a criminal offence to convey this information to anyone who is not entitled to receive it.

Usage

Disclosure information is only used for the specific purpose for which it was requested and for no other purpose as this is the only purpose for which the applicant’s full consent has been given.

Retention

Once a recruitment (or other relevant) decision has been made, we do not keep Disclosure information for any longer than is necessary. This is generally for a period of six months, to allow for the consideration and resolution of any disputes or complaints. If, in very exceptional circumstances, it is considered necessary to keep Disclosure information for longer than six months, we will consult the CRB about this and will give full consideration to the data protection and human rights of the individual before doing so. Throughout this time, the usual conditions regarding the safe storage and strictly controlled access will prevail.

Disposal

Once the retention period has elapsed we will ensure that any Disclosure information is immediately destroyed by secure means, i.e. by shredding, pulping or burning. While awaiting destruction, Disclosure information will not be kept in any insecure receptacle (e.g. waste bin or confidential waste sack). We will not keep any photocopy or other image of the Disclosure or any copy or representation of the contents of a Disclosure. However notwithstanding the above, we may keep a record of the date of issue of a Disclosure, the name of the subject, the type of Disclosure requested, the position for which the Disclosure was requested, the unique reference number of the Disclosure and the details of the recruitment decision taken.