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Disclosure of Criminal Convictions Policy

Policy on the use of DBS checks, recruitment of those with criminal convictions and disclosure of convictions during employment.

Contents


Introduction

1. This document explains UCL’s policy on the disclosure of a caution and/or criminal conviction for prospective members of staff and existing members of staff including the use of Disclosure and Barring Service (DBS) checks.

2.  For student requirements, please see the Student Disclosure and Barring Policy.

3. UCL will treat prospective members of staff and existing members of staff who disclose a caution and/or criminal conviction in a fair and proportionate manner. Having a criminal record will not necessarily bar an individual from working for UCL; the nature of a disclosed conviction and its relevance to the post in question will be considered carefully. 

4. Failure to disclose a caution and/or criminal conviction, as set out in this policy, may lead to the withdrawal of an offer of employment or appointment with UCL or to disciplinary action which may lead to the termination of employment or appointment. 

Scope

5. This policy applies to all prospective members of staff and all existing members of staff. The term “staff” includes, but is not limited to, employees, workers, voluntary staff and honorary appointees.

6. Where an employment agency is contracted to provide temporary staff to UCL, it is the responsibility of the agency to undertake all necessary pre-employment checks, including a DBS check where relevant. The agency will have its own procedures for requiring its workers to declare criminal convictions and will be expected to disclose any convictions to UCL which are relevant to the role as outlined in Appendix B. 

Prospective members of staff

7. Once an offer of employment or appointment is made, UCL requires prospective members of staff to disclose unspent criminal convictions and/or cautions as part of their application, where these are relevant to the role. A list of the roles and the relevant disclosable criminal convictions and/or cautions is available at Appendix BIf a DBS check is required for a role, this will usually be stated in the job description and/or advertisement. Under the Rehabilitation of Offenders Act 1974 (amended), prospective members of staff are not required to disclose spent criminal convictions and/or cautions, unless the role is one to which an exception applies.

8. Prospective members of staff can find out if a conviction or caution is spent by using the online tool. Further guidance on spent and unspent cautions and convictions is also available. 

Prospective members of staff who require a DBS check as part of their role

9. Prospective members of staff whose role is listed in Schedule 1 of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, (amended), will be required to undergo a standard or enhanced DBS check before they commence work, as set out at Appendix A. 

Existing members of staff

10. An existing member of staff’s ongoing disclosure obligations will depend on their role, as set out at Appendix B.

11. The member of staff must make their disclosure by emailing the HR Division’s Employee Relations team at ercases@ucl.ac.uk with details and dates of the caution and/or criminal conviction. 

12. Members of staff who require a DBS check as part of their role will be required, at a future date to be confirmed, to undergo a further DBS check at least every 4 years, should they remain in a role that requires a DBS check.  For some roles this may be more often and where a member of staff has been notified that a DBS check must be renewed more frequently, this will override the 4-year requirement. If the employee changes roles, they may require a new DBS check depending on the nature of the new role.

The formal introduction of a 4-year DBS renewal system has not been launched yet.  Details will follow when the system is ready. 

13. Where the employee is applying for an NHS Research Passport which entails regulated activity within the NHS, UCL must conduct a DBS check.

Handling Disclosures

14. Information will be assessed fairly and proportionately when handling disclosures, and the response will consider the role that the member of staff holds or is applying for.

15. When considering the relevance of a disclosure, the Employee Relations Team in the HR Division will consider a number of factors (as detailed in the government's guidance) such as:

  • the person's age at the time of the offence;
  • how long ago the offence took place;
  • whether it was an isolated offence or part of a pattern of offending;
  • the nature of the offence;
  • Its relevance to the post or position in question; and
  • what else is known about the person's conduct before and since the offence.

16. Convictions and/or cautions relating to sexual offences, those involving violence, or where a person is barred from working with children or adults at risk, may be incompatible with working for UCL. Notwithstanding this, each case will be considered on its own merits, considering any potential risk to UCL’s staff, students, reputation and the need to comply with the law. For example, it is a criminal offence to knowingly employ a person to undertake regulated activities where they have been barred from undertaking those activities.

17. Where an existing member of staff discloses a caution or criminal conviction, the Head of Employee Relations may provide advice to the department on any further action that may be required under UCL’s policies, and whether any referrals to a professional body or disclosures to a research funder need to be made. Any action will be fair and proportionate taking into consideration the role and the nature of the caution or criminal conviction.

18. Any cautions and/or convictions relating to a child or an adult at risk, will be referred to the Designated Staff Safeguarding Lead who will consider whether a barring referral needs to be made to the DBS and/or if the Local Authority Designated Officer needs to be informed. UCL’s Safeguarding Policy should be followed when dealing with any safeguarding concerns that may arise.

19. Existing members of staff who disclose a caution or criminal conviction will be provided with details of the confidential support available through the Employee Assistance Programme: Staff Support Service. This service is available 24/7 and may include emotional support, legal advice and financial advice. 

Appendix A - DBS checks

1. Standard DBS certificates for prospective and current staff who will undertake certain roles will contain a prospective member of staff’s:

  • Convictions, both spent and unspent
  • Cautions, both spent and unspent; and 
  • Police reprimands and warnings.

Roles that require a standard DBS certificate are listed here but within the context of working at UCL, can be summarised as roles that are in a position of trust such as in finance or law; or roles that come into contact with vulnerable adults or patients (but do not provide care).

2. Enhanced DBS certificates for prospective and current staff who will undertake ‘regulated activity’ (for example, working unsupervised with children and working unsupervised with adults who require support or care) will contain a prospective member of staff's:

  • Convictions, both spent and unspent;
  • Cautions, both spent and unspent;
  • Police reprimands and warnings;
  • Relevant police information; and 
  • Whether the applicant is barred from engaging in 'regulated activity' with children or adults.

3. The job advert and job description must specify if the role is subject to a DBS check, as well as the type of DBS check required. To understand which type of DBS check is required, recruiting managers should refer to the DBS eligibility guidance. HR Services can also be contacted for further advice.

4. The check must be satisfactorily completed prior to starting the role.

5. For information on how to apply for a DBS check at UCL see How to obtain a DBS check.

6. UCL will accept DBS checks, which prospective members of staff may have from previous employers, as proof of satisfactory clearance when:

  • the disclosure is at the correct level i.e., standard or enhanced;
  • the disclosure is free from any criminal offence data that would prevent them being employed by UCL; and 
  • the prospective member of staff has subscribed to the update service which states that there is no change to the certificate.  

7. Prospective and current members of staff who are members of the transgender community may contact the DBS for a sensitive check which does not reveal their gender identity history.

8. Prospective and current members of staff who would be subject to a DBS disclosure should familiarise themselves with the government’s DBS Code of Practice and other information on DBS checks generally on the government website.

9. Prospective members of staff who successfully secure an offer of employment or appointment at UCL will be required to undergo a further DBS check at least every 4 years, should they remain in a role that requires a DBS check. For some roles this may be required more frequently and where a prospective member of staff has been notified that a DBS check must be renewed, this will override the 4-year requirement. 

The formal introduction of a 4-year DBS renewal system has not been launched yet. Details will follow when the system is ready. 

Appendix B- Disclosure Obligations 

Who (to be specified on a job application, following a risk assessment)

What criminal offence data must be disclosed

When

DBS check

Applicant / staff member roles listed in Schedule 1 of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, as amended.

All convictions and cautions.

Applicant

At the point of application

Staff member

During employment, as soon as the conviction or caution is obtained.
Yes.
Standard or enhanced dependent on the role in question.
Applicants/Staff members with fiduciary / fiduciary-like duties. This applies to someone who has undertaken to act for, or on behalf of, UCL in circumstances which gives rise to an obligation of trust and confidence (which may include but is not limited to Directors and their equivalents, Trustees, Governors or Council members.) The distinguishing obligation of these individuals is the duty of loyalty they owe to UCL.

All convictions and cautions.

This will be subject to the Rehabilitation of Offenders Act 1974 (i.e., not including convictions and cautious that are ‘protected’ by the Act).

Applicant

At the point of application

Staff member

During employment, as soon as the conviction or caution is obtained.
No

Applicant / staff member roles which may come into unsupervised contact with students.

Convictions and cautions which relate to:

Any kind of violence against the person including (but not limited to) threatening behaviour, offences concerning the intention to harm or offences which resulted in actual bodily harm.

This will be subject to the Rehabilitation of Offenders Act 1974 (i.e., including only unspent convictions and cautions). 

  • Offences listed in the Sex Offences Act 2003.
  • The unlawful supply of controlled drugs or substances where the conviction concerns commercial drug dealing or trafficking.
  • Offences involving firearms.
  • Offences involving arson.
  • Offences listed in the Terrorism Act 2006.
  • Offences involving use of a computer to gain unauthorised information / data.
  • If a conviction involves an offence similar to those set out in the above bullet points but was made by a court outside of the UK and that conviction would not be considered spent under the Rehabilitation of Offenders Act 1974, this conviction must be declared.

Applicant

Once an offer has been made

Staff member

During employment, as soon as the conviction or caution is obtained.
No
Applicants / staff members in finance or legal roles

Convictions and cautions which relate to Dishonesty offences (e.g., fraud, theft, bribery etc).

This will be subject to the Rehabilitation of Offenders Act 1974 (i.e., including only unspent convictions and conditional cautions).

Applicant

Once an offer has been made

Staff member

During employment, as soon as the conviction or caution is obtained.
No
Applicants / staff who have access to controlled substances but who do not hold a role listed in Schedule 1 of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, as amended

Convictions and cautions which relate to Drug offences (e.g., possession of a controlled drug, supply/possession with intent to supply/offering to supply and import offences etc).

This will be subject to the Rehabilitation of Offenders Act 1974 (i.e. including only unspent convictions and cautions)

Applicant

Once an offer has been made

Staff member

During employment, as soon as the conviction or caution is obtained.
No
Applicants / staff members who are required to drive in their role

Convictions and cautions which relate to Driving offences. e.g., dangerous driving, careless driving or driving under the influence of drink and drugs. See the Guidelines on UCL Drivers.

This will be subject to the Rehabilitation of Offenders Act 1974 (i.e. including only unspent convictions and cautions)

Applicant

Once an offer has been made

Staff member

During employment, as soon as the conviction or caution is obtained.
No

 

HR Employment Policy 
August 2024