Guidance for Safe Recruitment, Selection and Retention for Staff and Volunteers

It is important to be clear about the mix of qualities, qualifications and experience a successful candidate will need to demonstrate, and whether there are any particular matters that need to be stated in the advertisement for the post, in order to prevent unwanted applications. The recruitment process needs to be planned, including who will be involved, responsibilities and timescales.

The advertisement should include a statement about the employer's commitment to safeguarding and promoting the welfare of children, young people and Adults at Risk and reference to the need for the successful applicant to undertake an enhanced criminal record check and a barred list check where appropriate.

Once a post becomes vacant or a new post is created the job description and person specification need to be reviewed/agreed to ensure compliance with safe recruitment guidance.

This should clearly state:

• The main duties of the post;
• The extent of contact/responsibility for children and young people;
• The individual's responsibility for promoting and safeguarding the welfare of the children/ young people/Adults at Risk they are responsible for, or comes into contact with;*
• Job advertisements should include reference to the need for the successful applicant to undertake an Enhanced Disclosure via the Disclosure and Barring Service, where appropriate, as well as the usual details of the post, salary, qualifications required etc, including a barred list check where appropriate;
• The level of information to be sent to potential applicants in the candidates' information pack will depend on the level of the post. A copy of the organisation's Child Protection Statement should always be included in the information pack, as well as the application form, job description and person specification. The information should also set out clearly the extent of the relationships and contact with children and the degree of responsibility for children that the person will have in the position to be filled. The information will stress that the identity of the candidate, if successful, will need to be checked thoroughly and will refer to the need for a Disclosure and Barring Service (DBS) check.

*This includes where the post holder will work mainly or exclusively with adults. Some of these adults will be parents, grandparents or carers and will have contact with children and young people.

This should include:

• The essential and desirable qualifications and experience;
• Other requirements needed to perform the role in relation to working with children and young people;
• The competencies and qualities that the successful candidate should be able to demonstrate.

All information given to interested applicants should highlight the importance of the rigorous selection processes and the duty to safeguard and promote the welfare of children and young people. It should be clear that proof of identity will be required, as well as a Disclosure and Barring Service check where appropriate.

The pack should include a copy of:

• The application form, and explanatory notes about completing the form;
• The job description and person specification;
• Relevant information about the organisation and the recruitment process;
• The agency's Child Protection Policy Statement;
• A statement of the terms and conditions relating to the post.

Employers should use an application form to obtain a common set of core data. It is not good practice to accept curriculum vitae in place of an application form because this will only contain the information the applicant wishes to present and may omit relevant details. Note that Keeping Children Safe in Education provides that schools and colleges should only accept copies of a curriculum vitae alongside an application form. A curriculum vitae on its own will not provide adequate information. The applicant form/information pack should refer to the organisation's commitment to safeguarding children. It should obtain:

• Identifying details of the applicant including current and former names, current address and National Insurance Number;
• N.B. To comply with the Equality Act 2010, recruiting bodies may wish to adopt a practice that the date of birth should not be included on the main application form, but added to a diversity monitoring form, which can be retained by HR/Personnel and not made available to those involved in the short-listing process;
• A statement of any academic and/ or vocational qualifications with details of awarding body and date of award;
• A full history in chronological order since leaving secondary education, including periods of any post-secondary education/training and part-time and voluntary work as well as full time employment, with start dates, explanations for periods not in employment or education/training and reasons for leaving employment;
• Details of referees. One referee should be the applicant's current or most recent employer/line manager, not a colleague. Normally two referees should be sufficient;
  • Where an applicant is not currently working with children, but has done so in the past, it is important that a reference is also obtained from the employer by whom the person was most recently employed in work with children in addition to the current or most recent employer;
  • References should not be accepted from relatives or friends.
• A statement of the skills and abilities, and competencies/experience that the applicant believes are relevant to his/her suitability for the post and how s/he meets the person specification;
• There should be an explanation that the post is exempt from the Rehabilitation of Offenders Act 1974;
• Information should be requested about any previous - including spent - convictions, cautions, reprimands, warnings or bind-overs;
• Where appropriate, the successful candidate will be required to provide a DBS Disclosure at the appropriate level for the post;
• The prospective employer will seek references on short-listed candidates and may approach previous employers prior to interview to verify particular experience or qualifications, before interview. Email references must come via company accounts (not personal);
• Providing false information is an offence and could result in the application being rejected, or summary dismissal if the applicant has been selected, and possible referral to the Police.

The same selection panel should both short list and interview the candidate. At least one member of the panel should have undertaken safe recruitment and selection training.

• All application forms should be scrutinised to ensure:
  • They are fully and properly completed;
  • The information is consistent and does not contain any discrepancies;
  • Gaps in employment/training or a history of repeated changes of employment are identified;
• Incomplete applications should not be accepted;
• Any anomalies, discrepancies or gaps in employment and the reasons for this should be noted, so that they can be taken up as part of the consideration of whether to short list the applicant, as well as a history of repeated changes of employment without any clear career or salary progression or a mid career move from a permanent to temporary post;
• All candidates should be assessed equally against the criteria contained in the person specification;
• A declaration of any family or close relationship to any existing employees or employers.

Note that Keeping Children Safe in Education states:

‘In addition, as part of the shortlisting process schools and colleges should consider carrying out an online search as part of their due diligence on the shortlisted candidates. This may help identify any incidents or issues that have happened, and are publicly available online, which the school or college might want to explore with the applicant at interview’.

HR/legal advice should be sought as appropriate in relation to use of online searches as part of recruitment processes.

• The purpose of seeking references is to obtain objective and factual information to support appointment decisions;
• One reference should be from the current or most recent employer/line manager or HR (not from a colleague within the organisation);
• They should always be sought and obtained directly from the referee;
• A copy of the job description and person specification should be included with all requests;
• References or testimonials provided by the candidate, or open references, i.e. To Whom It May Concern should not be accepted. Open references/testimonials may be forged or the result of a 'compromise agreement';
• References should be sought on all short listed candidates, including internal ones. If possible these should be obtained prior to interview so that any issues of concern they raise can be explored further with the referee and taken up with the candidate at interview. (This may be particularly helpful for posts where a safeguarding interview is planned). Note that the Equality Act 2010 places strict limitations on the making of enquiries about a person's health before an offer of employment is made. For further information see 'The Equality Act 2010: What do I need to know? A Quick Start Guide to the Ban on Questions about Health and Disability during Recruitment';
• Where a reference has not been obtained on the preferred candidate before the interview, once received it should be scrutinised and any concerns resolved satisfactorily before the person's appointment is confirmed;
• References should seek objective verifiable information and not subjective opinion. The use of reference proforma can help achieve this.

If an applicant is not currently employed in working with children, but has previously done so, then it is advisable to check with the last relevant employer to confirm details of their employment and reason(s) for leaving.

Requests for references should ask:

• The referee's relationship with the candidate, e.g. did they have a working relationship and how long has the referee known the candidate;
• How they have demonstrated that they meet the person specification;
• Whether the referee is satisfied that the person has the ability and is suitable to undertake the job;
• Whether the applicant has been the subject of any disciplinary sanctions and whether the application has had any allegations made against them or concerns raised, which relate either to the safety and welfare of, or the applicants behaviour towards, children and young people. Details about the outcome of any such concern should be sought;
• Whether the referee is satisfied that the candidate is suitable to work with children/young people/Adults at Risk. If not, for details of the referee's concerns and the reason why the person might be unsuitable.

Requests should remind the referee that they have a responsibility to ensure that the reference is accurate and that relevant factual content of the reference may be discussed with the applicant.

• Requests addressed to a candidate's current employer or a previous employer should also seek:
• Confirmation of details of the applicant's current post, salary and sickness record;
• Specific verifiable comments about the applicant's performance history and conduct;
• Details of any disciplinary procedures the applicant has been subject to which relate to the safety and welfare of children or to the applicant's behaviour towards children, young people or Adults at Risk and the outcome;
• Details of any allegations or concerns about the applicant that relate to the safety and welfare of children or behaviour towards children, young people or Adults at Risk and the outcome of these concerns.

Keeping Children Safe in Education is clear that schools and colleges should only provide substantiated safeguarding concerns/allegations that meet the harm threshold in references. Low-level concerns should not be included in references unless they relate to issues which would normally be included in a reference, for example, misconduct or poor performance. It follows that a low-level concern which relates exclusively to safeguarding (and not to misconduct or poor performance) should not be referred to in a reference. However, where a low-level concern (or group of concerns) meets the harm threshold for referral to the LADO and found to be substantiated, it should be referred to in a reference.

On receipt of references:

• They should be checked to ensure all questions have been answered satisfactorily;
• Prior to the confirmation of an appointment, referees should be telephoned to confirm their views on the candidate and to ensure information provided by the candidate is accurate;
• Any information about past disciplinary action or allegations should be considered in the circumstances of the individual case. Cases in which an issue was satisfactorily resolved some time ago or an allegation determined to be unfounded or did not require formal disciplinary sanctions, and in which no further issues have been raised, are less likely to cause concern than more serious or recent concerns, or issues that were not resolved satisfactorily. A history of repeated concerns or allegations over time should give cause for concern.

• The interview should assess the merits of each candidate against the job description and person specification, and explore their suitability to work with children/young people/Adults at Risk;
• The interview should stress that the identity of the successful candidate will be checked thoroughly and, that where a Disclosure and Barring Service check is appropriate, prior to appointment there will be a requirement to complete an application for a Disclosure and Barring Service disclosure;
• All candidates should bring with them documentary evidence of their right to work in the UK and their identity. Evidence should be as prescribed by UK Visas and Immigration and the Disclosure and Barring Service, and can include a current driving licence or passport including a photograph, or a full birth certificate, and a document such as a utility bill or financial statement that shows the candidate's current name and address (please note that these latter two are time-limited and must be no more than 3 months old), and where appropriate change of name documentation. Some form of photographic ID must be seen;
• Candidates should bring documents confirming any educational and professional qualification(s). If this is not possible, written confirmation must be obtained from the awarding body. Also documentation of registration with appropriate professional body;
• A copy of the documents used to verify the successful candidate's identity and qualifications must be kept for the personnel file.

A panel of at least two people is recommended, allowing one member to observe and assess the candidate and make notes, while the candidate is talking to the other. One member of the panel should be trained in safe recruitment practice.

The members of the panel should:

• Have the necessary authority to make decisions about the appointment;
• Meet before the interview to agree their assessment criteria in accordance with the person specification and to prepare a list of questions they will ask all candidates relating to the requirements of the post;
• Identity any issues they wish to explore with each candidate based on the information provided in their application form and in the references;
• Notes of the applicant's interview answers should be collated by chair of the panel and stored (by HR).

Governing bodies of maintained schools are required to ensure that at least one of the persons who conducts an interview has completed safer recruitment training.

In addition to assessing and evaluating the applicant's suitability for the post, the panel should explore:

• The candidate's attitude towards children/young people/Adults at Risk;
• Their ability to support the organisation's agenda for safeguarding and promoting welfare;
• Any gaps in the candidate's employment history;
• Concerns or discrepancies arising from the information provided by the candidate and/or referee;
• Whether the candidate wishes to declare anything relating to the requirement for a Disclosure and Barring Service check.

The interview should also explore issues relating to safeguarding, including:

• Motivation to work with children/ young people/Adults at Risk;
• Ability to form and maintain appropriate relationships and personal boundaries;
• Emotional resilience in working with challenging behaviours;
• Attitudes to use of authority.

Children and young people can make a valuable contribution to the recruitment process and their participation should be considered for key strategic and managerial posts as well as posts where staff will have a high level of responsibility for children's day to day care e.g. residential staff.

The following considerations should be taken into account in planning children's involvement:

• Clarification of the role children will take in the process, how their views will be taken into account in selection and what weighting these will be given;
• Preparation and/or training;
• Process for debriefing/feedback.

For posts requiring the post holder to work with highly vulnerable children, e.g. cared for children, children with disabilities, or posts where staff will have sole care of responsibility for a child/group of children, e.g. staff taking children on residential trips, consideration should be given to the need for an additional safeguarding (Warner) interview. Such interviews were a recommendation of The Report of the Committee of Inquiry into Selection, Development and Management of Staff in Children's Homes (Warner, 1992). The aim is to address areas that are more difficult to assess in the formal interview setting.

As set out in regulations 31-33 of Chapter 4 of the Children's homes regulations and Quality Standards, the registered person must ensure that recruitment of staff safeguards children and minimises potential risk to them. The Bichard Report recommended the assessment of personal qualities during the selection process.

Areas of assessment include:

• Motivation;
• Integrity and values;
• Authority;
• Accountability;
• Ethical standards;
• Emotional resilience;
• Team work.

Elements include:

• Identification of support for candidate if necessary;
• Careful recording to evidence findings;
• Feedback to candidate.

Training is essential for staff prior to undertaking these interviews.

Pre-Appointment Checks and References

An offer of appointment to the successful candidate should be conditional upon:

• Receipt of at least two satisfactory written references, where possible confirmed by telephone;
• Verification of the candidate's identity; (if this has not been verified straight after the interview);
• A satisfactory Disclosure and Barring Service Disclosure at the appropriate level (unless the Disclosure and Barring Service Update Service applies); (see Section 4.14, Disclosure and Barring Service Checks);
• Evidence of permission to work for those who are not nationals of a European Economic Area country;
• Verification of the candidate's medical fitness;
• Verification of qualifications;
• Verification of professional status/registration where required, i.e. Health and Care Professions Council for social workers, National College for Teaching and Leadership for teachers. Nursing and Midwifery Council;
• Verification of successful completion of statutory induction / probationary period where appropriate.

All checks should be:

• Confirmed in writing;
• Documented and retained on the personnel file - subject to restrictions on the retention of information imposed by Disclosure and Barring Service regulations;
• Followed up where they are unsatisfactory or where there are discrepancies in the information provided.

Where:

• The candidate is found to be on the Barred Lists, or the Disclosure and Barring Service Disclosure shows they have been disqualified from working with children by a Court;
• The applicant has provided false information in, or in support of, their application;
• There are serious concerns about an applicant's suitability to work with children.

These facts should be reported to the police and/or Disclosure and Barring Service (if they are not already aware). Anyone who is barred from work with children is committing an offence if they apply for, offer to do, accept or do any work which constitutes Regulated Activity (see DBS Guidance Regulated Activity with Children). It is also an offence for an employer knowingly to offer work in a regulated position, or to procure work in a regulated position for an individual who is disqualified from working with children, or fail to remove such an individual from such work.

See also Section 4.15, Disclosure and Barring Service Update Service

In considering asking a person to apply for a standard or enhanced DBS check, an employer is legally responsible for making sure the job role is eligible. This should be done before countersigning each DBS application form.

To determine which level of check a role is eligible for, refer to the DBS Eligibility Guidance.

Statutory Guidance Keeping Children Safe in Education sets out detailed provisions on checks and levels of supervision for staff, volunteers, contractors and visitors in educational establishments.

A record should be kept of the date when the disclosure was obtained, by whom, level of disclosure and unique reference number. Disclosure and Barring Service checks should be:

• Treated as confidential;
• Kept secure;
• Destroyed as soon as no longer required (not normally longer than 6 months after decision to appoint; however, note that it may be necessary to retain them for longer for inspection regimes).

CRIMINAL RECORD

Employers must make a judgement about suitability, taking into account only those offences which may be relevant to the post in question. In deciding the relevance the following should be considered:

• The nature of the appointment;
• The nature of the offence;
• The age at which the offence took place;
• The frequency of the offence.

Anyone who is barred from work with children is committing an offence if they apply for, offer to do, accept or do any work constituting Regulated Activity. It is also an offence for an employer knowingly to offer work in a regulated position, or to procure work in a regulated position for an individual who is disqualified from working with children, or fail to remove such an individual from such work.

An optional online Update Service is operated by the Disclosure and Barring Service (DBS), designed to reduce the number of DBS checks requested.

Instead of a new criminal records/Barred Lists check being necessary whenever an individual applies for a new paid or voluntary role working with children/Adults at Risk, individuals can opt to subscribe to the online Update Service. This will allow them to keep their criminal record certificate up to date, so that they can take it with them from role to role, within the same workforce.

Employers do not need to register, but can carry out free, instant, online status checks of a registered individual's status. A new DBS check will only be necessary if the status check indicates a change in the individual's status (because new information has been added).

Evaluation and Management of Disclosure Information

Any concerns raised as a result of DBS checks must be followed up. Where information is disclosed, employers must carry out an initial evaluation and make a judgment about the person's suitability to work with children taking into account only those offences that may be relevant to the post in question. Where further information is required, the applicant's consent must be sought and the information should be obtained by a person with an understanding of child protection matters.

In deciding the relevance of disclosure information, the following should be considered:

• The nature of the appointment;
• The nature and circumstances of the offence;
• The age at which the offence took place;
• The frequency of the offence.

 Challenges to Information on DBS Certificates

An applicant for a DBS check who believes that information disclosed on their certificate is inaccurate can apply to the DBS for a decision about whether it is accurate. The Protection of Freedoms Act allows people other than the applicant to do that too.

(See Report a problem about a criminal record check or barring decision (GOV.UK)).

For staff who work in childcare provision or who are directly concerned with the management of such provision, appropriate checks must be carried out to ensure that individuals are not disqualified under the Childcare (Disqualification) and Childcare (Early Years Provision Free of Charge) (Extended Entitlement) (Amendment) Regulations 2018. Further information on the staff to whom these Regulations apply, the checks that should be carried out, and the recording of those checks can be found in Statutory Guidance: Disqualification under the Childcare Act 2006.

These 2018 Regulations remove 'disqualification by association' (living in the same household where another person who is disqualified lives or is employed) for individuals working in childcare in non-domestic settings (e.g. schools and nurseries). Disqualification by association continues to apply for individuals providing and working in childcare in domestic settings (e.g. where childcare is provided in a childminder's home).

The arrangements continue to disqualify individuals working in domestic and non-domestic settings if they themselves have been found to have committed a relevant offence.

As part of the DfE revised version of KCSIE 2020 updated in January 2021 to take into account the departure of the UK from the EU, the TRA (Teaching Regulation Agency) Teacher Services system will no longer maintain a list of those teachers who have been sanctioned in EEA member states. This came into effect on 1st January 2021 and therefore with immediate effect candidates from overseas must undergo the same checks as all other staff in schools, including obtaining an enhanced DBS certificate with barred list information. This still applies even if the candidate has never been to the UK.

• When recruiting, you must:
  • Follow Part 3 of KCSIE which sets out the safer recruitment checks schools must conduct;
  • Make any further checks you think appropriate so that relevant events that occurred outside of the UK can be considered - the Home Office provides guidance on criminal records checks for overseas applicants, see GOV.UK, Criminal records checks for overseas applicants.

The application process for criminal records checks or 'Certificates of Good Character' for someone from overseas varies from country to country. For further information, see GOV.UK - Criminal records checks for overseas applicants.

Applicants from non EEA countries must have a Sponsorship Licence under the UK Visas and Immigration points-based system, and the employer must be registered UK Visas and Immigration to be able to issue such a Licence. For further information, see the UK Visas and Immigration website.

Police Information Held Locally – More Rigorous Relevancy Test and New Right of Review

Prior to the Protection of Freedom Act 2012, the police provided information held locally on enhanced DBS disclosures when they considered it to be relevant to the purpose for which the certificate was requested. Since 2012, the more rigorous test applies that they 'reasonably believe [it] to be relevant' and consider that it ought to be disclosed.

If any of that information is included on an enhanced DBS certificate and the applicant does not think that it should be, they will be able to ask the Independent Monitor to review it, and the Independent Monitor can ask the DBS to issue a new certificate, either without that information or with amendments to it. Applicants should be encouraged to inform you when they request such a review and to update you about what happens with their certificate.

(See Applicant's introduction to the decision-making process for enhanced criminal record checks (GOV.UK)).

In relation to each member of staff appointed a record should be kept to show:

• Written references obtained and confirmed by telephone;
• Gaps in employment history checked;
• A satisfactory Disclosure and Barring Service /Enhanced Disclosure and Barring Service certificate obtained, with unique reference number and date;
• Reasons/decision to appoint despite criminal convictions (i.e. a Risk Assessment);
• Evidence of proof of identity (this will have been provided for the Disclosure and Barring Service check);
• Evidence of qualifications;
• Details of registration with appropriate professional body;
• Confirmation of right to work in UK;
• Record of interview questions and answers.

Records should be signed and dated by appointing manager/chair of the interview panel.

Where information gained by the employer from either references or other checks calls into question the candidate's suitability to work with children, or where the candidate has provided false information in support of the application, the facts must be reported to the Police and the designated officer.

Monitoring of both the recruitment process and induction arrangements will allow for future recruitment practices to be better informed. It should cover:

• Staff turnover and reasons for leaving;
• Exit interviews;
• Attendance of new personnel at safeguarding training.

Annual staff reviews are important elements in ensuring safe practice. They should:

• Ensure staff are up to date with current safe practices;
• Identify areas for development;
• Openly address any concerns about behaviour and attitudes;
• Put in place action plan and arrangements for review.

See also Section 4.15, Disclosure and Barring Service Update Service

Further Disclosure and Barring Service checks on staff should always be considered when:

• There has been a break from employment of 3 months or more;
• There are grounds for concern about the person's suitability to work with children (note that the employee can decline).

And in addition when:

• A staff member, who has not previously had a Disclosure and Barring Service check, applies for and is successful in obtaining a post which requires a Disclosure and Barring Service check within the same organisation;
• A member of staff transfers to a multi-agency team, e.g. Youth Offending Service (YOS), e.g. secondments of employees from different employers such as Police, Probation or Health. If the seconded employee is undertaking Regulated Activity under the Vetting and Barring Scheme or is in an exempt post and is not a direct employee of YOS, then a Disclosure and Barring Service check should be undertaken before the person commences work.