CQC Quality Statements

Theme 3 – How the local authority ensures safety in the system: Safe systems, pathways and transitions

We statement

We work with people and our partners to establish and maintain safe systems of care, in which safety is managed, monitored and assured. We ensure continuity of care, including when people move between services.

What people expect

When I move between services, settings or areas, there is a plan for what happens next and who will do what, and all the practical arrangements are in place.

I feel safe and supported to understand and manage any risks.

1. Introduction

Employers need to make sure, to the best of their ability, that the people who they employ – as paid staff, volunteers or contractors – are committed to providing good quality care and support and are not a risk to adults who receive care and support services from them, their carers or other family members including children.

Undertaking robust criminal records checks is part of a number of safer recruitment measures, which employers should use to try to prevent unsuitable people being employed to work with vulnerable groups.

As well as thorough recruitment processes, training, staff supervision and appraisal programmes are all important to ensuring good working practices.

2. Disclosure and Barring Service

The Disclosure and Barring Service (DBS) helps employers make safer recruitment decisions. It is responsible for:

  • processing requests from organisations for criminal records checks (know as DBS checks) on individuals;
  • deciding whether it is right that a person should be put on, or removed from, a barred list;
  • placing or removing people from the DBS children’s barred list and adults’ barred list for England, Wales and Northern Ireland.

As well as processing requests and making decisions, the DBS maintains the adults’ and children’s Barred Lists (see Section 3 below) which bars someone from working in a job that involves regulated activity.

3. Barred Lists and Duty to Refer

There are two barred lists maintained by the DBS in relation to those who are:

  • barred from working with children;
  • barred with working with adults.

A person who is barred from working with children or adults will be committing a criminal offence if they work, volunteer or try to work or volunteer with the group from which they have been barred.

An organisation which knows they are employing someone who is barred to work with that particular group, will also be committing a criminal offence.

Legally an organisation has to inform the DBS if a member of its staff or a volunteer is dismissed (or if they would have been dismissed if they had not resigned or otherwise left) because they pose a risk of harm or have caused harm to an adult or child.

See the DBS referral flowchart.

4. DBS Checks

See also: Find out which DBS Check is Right for your Employee

Through undertaking checks the DBS helps organisations identify people who may be unsuitable for the job.

4.1 Types of Disclosures

  • a basic check, which shows unspent convictions and conditional cautions;
  • a standard check, which shows spent and unspent convictions, cautions, reprimands and final warnings;
  • an enhanced check, which shows the same as a standard check plus any information held by local police that’s considered relevant to the role;
  • an enhanced check with a check of the barred lists, which shows the same as an enhanced check plus whether the applicant is on the adults’ barred list, children’s barred list or both

4.2 Adult first check

See Types of DBS checks and how to apply (DBS) 

DBS adult first is a service available to organisations who can request a check of the DBS adults’ barred list. Depending on the result, a person can be permitted to start work, under supervision, with adults before a DBS certificate has been obtained.

There are strict criteria:

  • the role must require a criminal record check by law;
  • it must be eligible for access to the DBS adults’ barred list;
  • the organisation must have requested a check of the DBS adults’ barred list on the DBS application form.

The DBS’ reply to an adult first check request will state either:

  • option 1: ‘Registered Body must wait for the DBS certificate’; or
  • option 2: ‘no match exists for this person on the current adults’ barred list’

It will also state that it is only the first part of the criminal record check application process and that further information will follow.

If the adult first check indicates that the Registered Body must wait for the DBS certificate, it may indicate there is a match on the DBS adults’ barred list. However, further investigation is required to confirm this and the organisation should wait to receive the certificate.

4.3 Update service

The DBS also provides an online Update Service, to which staff and volunteers can subscribe and renew annually for a small fee (free for volunteers). This helps them to keep their DBS certificate up to date, so it can be taken with them from job one job to another, as long as they remain within the same workforce (working with adults for example) unless:

  • an employer asks them to get a new certificate;
  • they need a certificate for a different type of ‘workforce’ (for example, they have an ‘adult workforce’ certificate and need a ‘child workforce’ certificate);
  • they need a different level certificate (for example, they have a standard DBS certificate and need an enhanced one).

.Employers can carry out an immediate online checks of a person’s status, as long as the person has registered with the Update Service. The Update Service is for standard and enhanced DBS checks only (see Section 4.1 Types of Disclosures).

4.4 Cautions and convictions

Before an organisation asks a person to apply for a standard or enhanced check through the Disclosure and Barring Service, it is legally responsible for making sure that the job role is eligible (see Eligibility, DBS).
Please note certain old and minor cautions and convictions are no longer subject to disclosure; see Disclosure and Barring Service Filtering Guide.

4. Regulated Activity with Adults

See Regulated Activity (Adults) – Department of Health and Social Care

Regulated activity is work which involves close and unsupervised contact with adults, and which cannot be undertaken by a person who is on the DBS’s Barred List for adults.

There are six categories of people who will fall within the definition of regulated activity (including anyone who provides day to day management or supervision of those people):

  1. Providing health care;
  2. Providing personal care (for example providing / training / instructing / or offering advice or guidance on physical assistance with eating or drinking, going to the toilet, washing or bathing, dressing, oral care or care of the skin, hair or nails because of an adult’s age, illness or disability; or prompting and supervising an adult to undertake such activities where necessary because of their age, illness or disability);
  3. Providing social work;
  4. Providing assistance with cash, bills and / or shopping;
  5. Providing assistance in the conduct of a person’s own affairs, for example by virtue of an enduring power of attorney;
  6. Conveying/transporting an adult (because of their age, illness or disability) either to or from their place of residence and a place where they have received, or will be receiving, health care, personal care or social care; or between places where they have received or will be receiving health care, personal care or social care. This will not include family and friends or taxi drivers.

There is a duty on a ‘regulated activity provider’ to find out whether a person is barred before permitting that person to carry out regulated activity tasks in their work.

It is a criminal offence for a person on one of the barred lists to carry out regulated activity tasks, or for an employer / voluntary organisation knowingly to employ a barred person in a regulated activity role.

5. Further Reading

5.1 Relevant information

Disclosure and Barring Service (gov.uk)

Check someone’s criminal record as an employer (gov.uk)

DBS Checks for Adult Social Care Roles (Disclosure and Barring Service)

Criminal Record Support Service (Nacro) 

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