3.8.1 Pre-appointment Checks
Requirements
3.8.1.1 All appointments to employed roles that fall within the scope of this code must be subject to the completion of satisfactory pre-appointment checks and procedures, as outlined in the following requirements.
3.8.1.2 All pre-appointment checks must be:
Confirmed in writing/email.
Scrutinised to ensure authenticity.
Documented and recorded.
Followed up if they are unsatisfactory or if there are any discrepancies in the information received.
3.8.1.3 All applicants must be able to provide proof of identity.
3.8.1.4 References:
A minimum of two written references must be obtained. Referees must be over 18 and not be family members or relatives. At least one of the references must be from the applicant’s current/most recent employer and/or volunteer position.
A minimum referencing period of two years must be applied. This means that it may be necessary to request more than two references depending on the applicant's history.
'Self-supplied’, or generic and verbal references must not be accepted.
3.8.1.5 DBS (see also 3.8.2):
If a DBS check is required for the role, an application at the appropriate level for the role must be made.
If an applicant refuses to allow their DBS certificate to be viewed, then the onboarding process must be terminated.
3.8.1.6 Overseas Criminal Record Checks:
If an Enhanced DBS (with/without Barred List/s) check is required for the role and the applicant has lived, worked or volunteered outside the United Kingdom, in the same country, for a continuous period of six months or more at any point within the previous 10 years, an overseas criminal records check must also be carried out.
If the appropriate documentation cannot be obtained, the applicant must provide evidence of their attempt to obtain a certificate, or if it is not safe to try and obtain such a check, additional references must be sought wherever possible.
Guidance
Why?
Carrying out pre-appointment checks is important for safeguarding children, young people and vulnerable adults as it helps a church body to establish a more rounded picture of the applicant’s suitability to work with these groups.
If at any point during this process a discrepancy is highlighted in the information provided by the applicant, e.g. dates of employment or reasons for leaving provided on an application form differing to those received on a reference, they should be given the opportunity to explain the discrepancy. It is a good idea to keep a written record of such clarifications on the individual’s application file.
Whilst reference checking plays an important part in the pre-appointment checks process, references don’t always provide much information and therefore it is important to consider what else can be done to build up as true and rounded picture of the applicant as possible.
How?
3.8.1.3 Proof of ID
If an Enhanced DBS (with/without Barred List/s) check is being undertaken, then an ID check is automatically completed as part of that process. Where an Enhanced DBS (with/without Barred List/s) check cannot be sought then identity checks should be undertaken to establish, as far as possible, that the individual is who they claim to be. Ideally this should be through formal photographic identity, such as a passport or driving license and confirmation of current address. It is a good idea to ask to see an original birth certificate (issued within a year of the birth), any name change documentation and current documentation (e.g. passports and drivers’ licences) so that all names are ‘checked’.
3.8.1.4 References
Employment/Volunteering/Education References
This type of reference should be sought directly from the relevant organisation, including overseas where applicable, not from an applicant’s colleague and, ideally, be provided on headed paper/from a business email to verify the legitimacy of the organisation providing it.
Details requested should include:
Where the individual has been employed/volunteered/studied
The dates of employment/volunteering, or duration of study;
The position held, or study undertaken;
Individual’s suitability to work with children, young people and/or vulnerable adults;
Any concerns about the individual working with children, young people and/or vulnerable adults;
Any substantiated allegations, disciplinary warnings, including time-expired warnings, in relation to working with children, young people and/or vulnerable adults;
The reasons for leaving employment, voluntary work, training or study (if known).
Church bodies should consider reserving the right to contact any one of the applicant's current/previous employment, volunteering or education contacts in case of any anomalies or discrepancies.
Personal References
Personal references should only be sought as a last resort due to their limitations in terms of evidential effectiveness. Personal references might be sought from group/club leaders, mentors, neighbours, or family friends. The referee should know the person well and have up-to-date knowledge of them.
Details requested should include:
How they know the applicant.
How long they have known the applicant.
An honest overview of the applicant’s character.
Applicant’s suitability to work with children, young people and/or vulnerable adults.
Any concerns about the applicant working with children, young people and/or vulnerable adults.
Any knowledge of the applicant being investigated over safeguarding issues.
Verbal confirmation/verification
It is recommended that wherever possible all written references are followed up with a telephone call, to verify the identity of the referee. Talking to referees when you have read the reference will give the opportunity to clarify any anomalies or discrepancies between the information that the referee has provided and the information that the applicant has given. It is good practice to keep a note of the call - when it took place, who was involved, what was said – to be stored alongside the written reference received.
Reference checking challenges
References can sometimes prove difficult to obtain. If, despite best efforts, all required references have not been obtained or the minimum referencing period not covered, then it is recommended that church bodies document all efforts made to seek references to demonstrate how they addressed such challenges for each individual case if asked to do so.
It is not unusual for written references to provide limited information e.g. confirmation of employment dates. As detailed above, it is recommended that wherever possible, but particularly if such references are received, that a telephone conversation takes place as a follow up.
There are a few situations where applicants might struggle to provide a referee, e.g. if just leaving school, returning to work after a break. In these situations, the only possible references might come from friends and family, in which case they should always be followed up verbally and attempts to contact a previous teacher, employer or other contact made wherever possible.
Timing of reference requests
There may be occasions when taking up references after short listing and before interview might be advantageous. If a church body decides to do this, then they must ensure all appropriate consents from the applicant are in place for the referee to be approached and this must be stated in the relevant privacy notice.
3.8.1.6 Overseas Criminal Records Checks
The DBS cannot access criminal records held overseas, therefore a DBS check may not provide a complete picture of an individual’s criminal record, whether they are a British Citizen or not.
A Certificate of Good Character - also sometimes referred to as ‘Certificate or Letter of Good Conduct’ - can be requested by an applicant, usually from the home embassy of the country(ies) that they have lived or worked in. The application process for the certificate varies from country to country and up-to-date guidance can be found on the government website:
Where the information cannot be obtained or is not available, the applicant should be asked to provide evidence of their attempt to obtain a certificate, and the responsible person should take extra care when taking up references or checking any previous employment record. In such cases, it would be advisable to seek additional references, as well as speak to referees on the telephone.
There are companies who carry out overseas checks for many different countries, which may offer a more robust solution to the ‘Letter of Good Conduct’.
There may be occasions when it is deemed not safe to try and obtain such a check (e.g. an applicant may have fled a country and sought asylum). In such cases, the person responsible for the recruitment of the individual would need to ensure they are satisfied with that decision and that the decision-making process and reasons for reaching that decision are well documented so that it can be evidenced later if required.
3.8.1.9 Health information
The purpose of requesting such information is to identify whether an applicant has a disability or health issue for which they might need support or reasonable adjustments to be able to fulfil their role safely.
Health data is special category personal data under current data protection legislation, which means church bodies must ensure that it is protected and only accessed by those who need to see it.
Care needs to be taken when asking someone about their health. Only questions that are necessary and relate to the applicant’s ability to perform the core duties of the role should be asked. This means asking whether the applicant has any health problems that might prevent them from performing a particular function in question, rather than sending them a general medical questionnaire.
It should be made clear that answers to such questions will not necessarily prevent the applicant from taking up the role, but that it is important for the church body to be aware of any relevant health information so that they can provide appropriate support and reasonable adjustments.
3.8.2 Disclosure and Barring Service (DBS)
Requirements
3.8.2.1 All employed roles that fall within the scope of this code must be subject to a DBS check at the appropriate level.
3.8.2.2 All employed roles that fall within the scope of this code must have a written job description (see Section 3.2: Job Descriptions and Person Specifications) which must define the nature of the activities involved and whether they make the role eligible for a DBS check and if so, at what level.
3.8.2.3 If an Enhanced DBS (with/without Barred List/s) check is requested, church bodies must ensure that the role meets the DBS eligibility criteria for this and allows a DBS application to be submitted.
3.8.2.4 An Enhanced DBS (with/without a Barred List/s) check is required for roles that manage people undertaking regulated activity.
3.8.2.5 DBS certificates obtained for positions outside of the church body being applied to must not be used unless the applicant is registered with the DBS Update Service and the workforce and level of check detailed on their most recent DBS certificate meets the requirements of the role for which they are being considered.
3.8.2.6 The DBS update service must not be used for home-based positions12 if there is anyone aged 16 years and over living or working at the applicant’s home address.
3.8.2.7 For all roles requiring an Enhanced DBS (with/without Barred List/s) check, a re-check must be carried out every 3 years. If a Basic DBS check is carried out on any roles, it must also be repeated every 3 years.
3.8.2.8 Registered Bodies and/or those in receipt of DBS Update Service information must fulfil the DBS Code of Practice requirement to have a written policy on the recruitment of ex-offenders in place and make that available to individuals at the point of requesting the DBS check.
3.8.2.9 Registered Bodies and/or those in receipt of DBS Update Service information must fulfil the DBS Code of Practice requirement to have a written policy on the secure handling of information provided by DBS, be that electronically or otherwise, and make that available to individuals at the point of requesting the DBS check.
Guidance
Why?
The Disclosure and Barring Service (DBS) is the government agency that provides information about an individual’s criminal record history, in the form of a DBS certificate, helping organisations to make informed recruitment decisions and prevent unsuitable people from working with children, young people and vulnerable adults.
There are 4 levels of DBS Check: Basic13, Standard14, Enhanced and Enhanced with Barred List(s). Depending on the level of check applied for, a DBS certificate will identify if an individual has any criminal convictions; if they are barred from working with children or vulnerable adults and if the police hold any other relevant information about that person.
To be eligible for an “Enhanced” check the role must be in the ROA Exceptions Order 1975 but also MUST be either “work with children” and/or “work with adults” as defined in the Police Act 1997 (Criminal Records) Regulations 2002 (as amended). To be eligible for an “Enhanced check plus barring information” the role must, in addition to the above, be included in the Police Act 1997 (Criminal Records) (No 2) Regulations 2009 (as amended).
Obtaining a DBS certificate must NOT be seen as a substitute for carrying out other safer recruitment checks and processes, or as the end point of the process. The use of DBS checks forms just one part of a comprehensive selection and ongoing management process, as outlined within this code.
How?
3.8.2.1 – 3.8.2.4 Eligibility
It is essential to ensure that the law allows for a DBS check application to be submitted at the appropriate level. A church body asking an individual to apply for an Enhanced DBS (with/without Barred List/s) check has a legal responsibility to ensure that the role is eligible and can explain what parts of legislation support the application. It is a criminal offence to carry out Enhanced DBS (with/without Barred List/s) checks on roles that are not eligible. Church bodies that carry out illegal checks may not only be committing an offence under Part V of the Police Act 1997, but are also likely to be in breach of data protection legislation.
Basic DBS Check
There are no eligibility requirements attached to Basic DBS checks and their use is left to local determination. Local policy should set out when such checks will be requested, as well as the lawful basis for requesting them from a data protection point of view, and ensure individuals are made aware of this at the start of any application process. The Church of England CDF form must not be used for roles where Basic DBS checks are being carried out, as only questions in relation to the information provided on a Basic DBS check (i.e. unspent convictions) can be asked. A different CDF would need to be used in this situation, for which legal advice should be sought, as well as guidance from the data protection lead.
3.8.2.4 Regulated Activity
It is a criminal offence to appoint someone who is known to be barred from working with children, young people and/or vulnerable adults in ‘Regulated Activity’15. It is also an offence for a barred person to seek work in regulated activity with the group from which they have been barred from working. Church bodies therefore have a responsibility to request criminal record checks on everybody that it is appointed to a role in regulated activity. See Appendix A for more information on regulated activity in a church context.
External resources:
DBS website:
Further guidance on DBS Eligibility can be found on the DBS website here: https://www.gov.uk/government/collections/dbs-eligibility-guidance
Use of Third-Party DBS providers
If a church body chooses to use a third-party DBS provider, they must assure themselves that the supplier meets all legislative requirements and appropriate standards of a Registered Body (Enhanced DBS checks) and/or a Responsible Organisation (Basic DBS checks). An organisation can be both a Registered Body and a Responsible Organisation.
GOV.UK provides an up-to-date list of Registered Bodies and Responsible Organisations who are registered to submit applications for DBS checks, via an online service, on behalf of other organisations. These suppliers guarantee an accurate and honest service, providing information that is in line with the DBS Code of Practice.
Church bodies should not use other non-registered organisations offering the same DBS checking service – such organisations are not permitted to apply for DBS checks on behalf of others.
3.8.2.5 Update Service
Disclosure certificates obtained from previous or other employers, are not portable unless the individual is registered with the DBS Update Service. If an individual is subscribed to the DBS Update Service, their most recent DBS Certificate can be viewed to establish if the workforce (i.e. Child, Adult, Child & Adult, Other) and level of check meets the requirements of the new role, and if it is, then the DBS Update Service can be accessed for confirmation as to whether anything has changed since the certificate was issued.
If a candidate is not registered with the DBS Update Service or is registered but their existing DBS Certificate is not for the correct workforce, or is for a higher/lower level of check than is required, a new DBS application form must be submitted. As part of the DBS application form process, individuals may be encouraged to subscribe to the annual DBS Update Service in order that this can be accessed for any future DBS rechecks, rather than a full application having to be repeated again (although see below in relation to home-based roles).
3.8.2.6 Home based roles
If a role is a home based role or has a home based element (i.e. a person will be working with children, young people or vulnerable adults in the place where he/she lives), there must be no one over 16 years of age living or working at the person’s home address if the Update Service is to be used. This is because the Update Service will only check for new information which relates to the Update Service subscriber (the individual for whom the original application was made), not the home address where the work is being undertaken or any other individuals employed or living at that address.
Further details on this can be found here: