RECRUITMENT OF STAFF AND STUDENT ADMISSIONS

3.0       Non-Regulated Activity – Disclosure of Criminal Convictions

Staff

3.1 All applicants for posts within the University will be asked to provide details of any unspent (within the meaning of the Rehabilitation of Offenders (Northern Ireland) Order 1979) criminal convictions on their application form.  The suitability of applicants with unspent convictions will be assessed in accordance with the University’s Recruitment of Ex Offenders Policy.

Students

3.2 All applicants for courses within the University will be asked to declare all relevant unspent criminal convictions (as defined by UCAS) on their application form.  An applicant who acquires a conviction after applying and before the date of admission to the University will be advised that they should inform the Head of Admissions in writing without delay.  In cases where an individual has declared convictions, the criminal record will be considered as per the Admission of Applicants with a Criminal Record procedure. 

4.0       Regulated Activity –  Disclosure of Criminal Convictions, Requirement to Register with the
            ISA and Checking Criminal Convictions

4.1 The Safeguarding Vulnerable Groups Act 2006 and the Safeguarding Vulnerable Groups (Northern Ireland) Order 2007 re-defined regulated activity, established the Vetting and Barring Scheme (VBS) and established a single agency (the Independent Safeguarding Authority) which is responsible for vetting and registering all those working with or volunteering with children and vulnerable adults.  The Independent Safeguarding Authority (ISA) is also responsible for deciding whether individuals should be barred from working with children and vulnerable adults and for maintaining the disqualification lists.  Guidance on the Vetting and Barring Scheme is available at the link below:

http://www.isa-gov.org.uk/PDF/VBS_guidance_ed1_2010.pdf

4.2 All staff and students working in regulated activity are required to be criminal history checked and from November 2010 will be required to register with the Independent Safeguarding Authority regardless of whether the work is paid or voluntary.  This applies to anyone coming to work in Northern Ireland from abroad. All those in regulated activity will be referred to the guidance document at the above link when recruited to/or on commencement of regulated activity. 

4.3 Individuals who wish to work in regulated activity and have convictions that have not resulted in them being disqualified from working with children or vulnerable adults, will be considered under the University’s policy on the Recruitment of Ex Offenders (staff) or the Admission of Applicants with a Criminal Record procedure (students), whichever is applicable.

5.0       ANI Lead and Counter Signatories

5.1 AccessNI (ANI) is the organisation responsible for conducting criminal history checks and for processing ISA registration forms. 

5.2 The designated ‘Lead Signatory’ for the University is the Director of Human Resources.  The lead signatory is the primary point of contact within the University for ANI and is responsible for managing the process with the Child Protection Review Group and Senior Personnel from each School/Directorate.  Counter signatories are members of staff who are responsible for handling/requesting registrations and disclosure applications (requests for criminal history checks) on behalf of the University. 

5.3 When a criminal history check is completed ANI will issue an ‘Enhanced Disclosure Certificate’ to the counter signatory which summarises the results of the check.  When an individual has been registered with the ISA, ANI will issue their unique registration number.  

 5.4 In all cases where individuals are being registered with the ISA the counter signatory handling the registration will also request an Enhanced Disclosure Certificate.    

5.5 The ANI ID Validation Form (Appendix 2) must be completed by an individual who is checking the identification of a disclosure subject on behalf of a counter signatory when requests for ISA Registration and criminal history checks are being completed.

5.6 All Enhanced Disclosure Certificates will be managed, handled, stored and (when appropriate) destroyed in line with the University’s Statement of Intent at Appendix 3.  All appropriate enhanced disclosure certificate information will be tracked on the relevant School/Directorate’s tracking spreadsheet.

6.0       Students in Regulated Activity

6.1 Registration of Student’s working in regulated activity during their studies

6.1.1 Students in regulated activity through the course of their studies will, from November 2010, have to register with the Independent Safeguarding Authority and be criminal history checked before commencing in regulated  activity.  The following Schools will have students who meet these requirements:

School of Nursing and Midwifery
School of Medicine, Dentistry and Biomedical Sciences
School of Pharmacy
School of Psychology
School of Education
School of Sociology, Social Work and Social Policy

6.1.2 Senior personnel from within each School will be registered as counter signatories with ANI and they are responsible for requesting criminal history checks (disclosure certificates) and handling ISA registrations for their School.  They will also be responsible for recording the appropriate information on the School’s tracking spreadsheet.  The Admissions and Access Service will have responsibility for handling registrations and criminal history checks for student admissions to Medicine, Dentistry, and Pharmacy. All checks and registration details will be provided by the Admissions and Access Service to the relevant Schools prior to students starting in regulated activity.  Likewise any issues or concerns will be flagged prior to the students starting in regulated activity.  The Schools will also be provided with the relevant details to be included on their spreadsheet tracking document.   

6.1.3 Students working in regulated activity as a result of their studies will be required to fund their ISA registration and/or criminal history check.

6.1.4 Under no circumstances will the University permit students who are disqualified from working with children and vulnerable adults to undertake regulated activity associated with their course. 

6.1.5 As per paragraph 5.4, Enhanced Disclosure Certificates will be requested for all persons when they are being registered with the ISA not just in circumstances where there is a statutory requirement for both or where both are required by a Professional body.

6.1.6 If an Enhanced Disclosure Certificate reveals that an individual has convictions/charges which have not resulted in them being disqualified from working with children or vulnerable adults, these will be considered under the University’s Admission of Applicants with a Criminal Record procedure. 

6.1.7 On an annual basis, students from the Schools detailed above, who will be continuing in regulated activity, will be asked to complete a self declaration form to confirm that there has been no change to their criminal history status. If these students have been undergraduates and are about to commence a post graduate course at Queen’s, there will be no requirement for them to be re-checked and they can continue to self declare on an annual basis.  All self declarations will be managed, handled, stored and when appropriate destroyed in line with the University’s Statement of Intent at Appendix 3.   All appropriate self declaration information will be tracked on the relevant School’s tracking spreadsheet. 

6.1.8 New entrants, who are accepted onto a course for which the first day of the first academic year of the course is before 1 November 2010, will not have to register with the ISA prior to commencing; they will be phased-in to the scheme.  If a student does not attend or enrol until after 1 November 2010 due to e.g. illness they will not have to register with the ISA at this stage and will be phased-in to the scheme.  Criminal history checks will still be requested for these students.  It is unlikely that these students will be phased-in to the new scheme by the University unless their course extends beyond 2015.  Placement providers will be advised not to insist on ISA registration for these students.

6.1.9 Placement providers require confirmation of whether a student’s criminal history check is clear or not.  In some situations the placement provider may require access to the specific detail on the Enhanced Disclosure Certificate before allowing a student to commence their placement.  To avoid any delay with providing this information to the placement provider and subsequently delaying the start of the student’s placement, students will be asked to consent to this information being shared on their application form.  For some Schools, i.e. where students are recruited through UCAS, it may not be possible to add this statement to the recruitment documentation.  In such situations the consent form at Appendix 4 should be issued to the student to sign.             

6.2 Registration of students working in regulated activity for other reasons

6.2.1 Additionally, students from Schools other than those listed at 6.1.1 may be involved in voluntary or optional activities which fall within the definitions of regulated activity.  These activities may include assisting with their School’s Open Days, Careers Days, Tutoring in Schools, or Internet sites which are aimed at children.  The School/Directorate for whom the student is conducting the regulated activity will be required to register such students with the Independent Safeguarding authority and for requesting a criminal history check prior to the individual commencing the regulated activity.  They will also be responsible for recording the appropriate details on their School/Directorate’s tracking spreadsheet.  If an activity is being conducted for/on behalf of a School/Directorate then the School/Directorate in question will pay for the student’s registration.  However, students will fund their own checks if they are involved in activities for their own interest such as the Tutoring in Schools programme.  

6.2.2 With regards to Research, the School in question will be responsible for identifying students whose research involves them working in regulated activity and for requesting criminal history checks and ISA Registration.  The criminal history check and ISA registration should be funded from the research grant where possible; if this is not possible then the student should make the payment. The appropriate details should be recorded on the School’s tracking spreadsheet.

6.2.3 Under no circumstances will the University permit students who are disqualified from working with children and vulnerable adults to work in regulated activity.

6.2.4 After being police checked and prior to commencing regulated activity Students will be advised that they should inform the University should their situation change regarding police investigations, cautions, reprimands, cautions and legal proceedings. 

6.2.5 In some situations the ‘peer exemption’ will apply e.g. Residential Assistants have the potential at times to be engaging in regulated activity, however, should this ever be the case the peer exemption will apply and checks and registration will not be required.

 6.3 Registering an Interest – All Students in Regulated Activity

6.3.1 Once an individual has been successfully registered with the ISA, the counter signatory for the School/Directorate in which the student is studying or volunteering will register an interest in the student with the ISA on line and will record the details on the School/Directorate’s tracking spreadsheet. Counter signatories must obtain consent from the student to use their 16 digit reference number to register an interest with the ISA. 

6.3.2 Through time some students will be ISA registered before enrolling with the University.  In these circumstances the counter signatory for the area should check the individual’s registration status, request a criminal history check and register an interest in the student with the ISA.  The appropriate details should also be recorded on the School’s tracking spreadsheet.  These students will be asked to provide their 16 digit registration number and provision of this number will imply consent for the counter signatory to register an interest in the student with the ISA. 

6.3.3 If a student has been registered with the ISA as part of their studies or in relation to a voluntary/optional activity and they wish to work in regulated activity for a different School/Directorate within the University, then the counter signatory for the additional area will check the student’s registration status, register an interest in the student with the ISA and record the appropriate details on the area’s tracking spreadsheet.

6.3.4 All counter signatories when registering an interest in a student should also register an interest on behalf of the Director of Human Resources and the Director of Academic and Student Affairs.

6.3.5 To register an individual with the ISA or to request a criminal history check the student and counter signatory will complete the relevant sections of form Standard/Enhanced Disclosure and ISA Registration form which is available on ANI’s website. 

6.4 Exemptions for staff working with Students

6.4.1 Those lecturing teaching, training, instructing or supervising 16 & 17 year old University students will not need to register with the ISA but will be committing an offence if they engage in regulated activity from which they are barred.  The University will also commit an offence if it knowingly allows someone to engage in regulated activity when barred. Criminal history checks should be requested if someone is suspected of being barred.  Personal Tutors must be registered and criminal history checked if they are working with students under 18 prior to commencing this activity.               

7.0       Staff Working in Regulated Activity

7.1 Registration of Staff working in regulated activity

7.1.1 Staff members will work in regulated activity through four main routes:

• Staff Recruited directly into Regulated Activity by the Personnel Department  - the main/key duties of their post involves working in activity of a specified nature, and/or working in a specified setting either frequently or intensively e.g. crèche/nursery staff, summer scheme co-ordinators, community youth workers and some clinical posts.  These staff members will be working in regulated activity when they commence in post and the individual will have been recruited directly into that activity through the Personnel Department.  Applicants will be advised of the checking and registration requirements when they have been issued with a conditional offer (Appendix 5).
• Workers/Staff Recruited into Regulated Activity by other Departments – this includes e.g. support providers recruited directly by Disability Services.  These workers/staff members will be working in regulated activity when they commence in post and in most cases the individual will have been recruited to the activity by the area in question.  Applicants will be advised of the checking and registration requirements when they have been issued with a conditional offer (Appendix 5).  This statement includes information which the University must provide to ensure compliance with ANI’s Code of Practice.
• In-House Staff that commence in Regulated Activity Post Recruitment – these staff members carry out duties that are not the key duties of the post but are of a specified nature and/or involve working in a specified setting either frequently or intensively e.g. School’s Disability Advisors, taster days, support workers, and careers days.  These staff members will more than likely not be working in regulated activity when they commence in post but will eventually complete tasks that fall within the definitions of regulated activity. 
• Research – Staff conducting research with children and/or vulnerable adults may be engaging in regulated activity, if this is the case then ISA registration and criminal history checks are required.  Please refer to the Determining Regulated Activity Sheets at Appendix 1.

7.1.2 With regards to staff recruited into regulated activity (7.1.1 (i)), the activity will be identified as regulated by the School/Directorate.  The appropriate counter signatory within the Personnel Department will register these individuals with the ISA, request an enhanced disclosure and register an interest in them on-line when a conditional offer of employment is ready to be made.  If the individual is disqualified from working with children or vulnerable adults then the offer will be withdrawn.  The Personnel Department will pay for registering these individuals and will also check and register those in post pre November 2010 that have been identified by Schools/Departments and Units as needing to be ISA registered.  The Personnel Department will record all appropriate registration and disclosure details on the Department’s tracking sheet and will provide these details to the relevant School/Department Area.   The relevant School/Directorate will register an interest in these individuals.  Consent for registering an interest with the ISA will be asked for when the ANI registration paperwork is completed at the conditional offer stage.  If an individual is already registered provision of their reference number will imply consent. 

7.1.3 With regards to workers/staff recruited into regulated activity outside of the Personnel Department (7.1.1 (ii)), counter signatories within the School/Directorate will be responsible for identifying the activity as regulated, for registering the successful applicants with the ISA, for requesting enhanced disclosure certificates and for registering an interest in the individual on-line when a conditional offer is ready to be made.  If the individual is disqualified from working with children or vulnerable adults then the offer will be withdrawn.  The School/Directorate will pay for registering these individuals and will also check and register those in post pre November 2010 that they identify as needing to be ISA registered.  All appropriate details will be recorded on the School/Directorate’s tracking spreadsheet.  Consent for registering an interest with the ISA will be asked for when the ANI registration paperwork is completed at the conditional offer stage.  If an individual is already registered provision of their reference number will imply consent. 

7.1.4 In relation to point 7.1.1(iii) the School/Directorate will be responsible for identifying when an individual will be working in activity that meets the definitions of regulated activity and for ensuring the individuals are criminal history checked and registered with the ISA prior to commencing in this activity.  The School/Directorate will also be responsible for funding registration of these individuals.  If the individual is disqualified from working with children or vulnerable adults then the individual will not be permitted to work in regulated activity and the case will be referred to the Director of Human Resources.  Those working in regulated activity pre November 2010 will have to be registered with the ISA during the phasing in time period.  Each School/Directorate will be responsible for identifying such staff, requesting ISA registration and criminal history checks and registering an interest in them.  All appropriate details will be recorded on the School/Directorate’s tracking spreadsheet.  The counter signatory from the School/Directorate should ensure they have consent for registering an interest in the individual with the ISA.  If an individual is already registered provision of their reference number will imply consent. 

7.1.5 With regards to 7.1.1.(iv) the School in question will be responsible for identifying staff whose research involves them working in regulated activity and for requesting criminal history checks, ISA Registration and for registering an interest on the individual on-line.  The criminal history check and ISA registration should be funded from the research grant where possible; if this is not possible then the School should make the payment.  All appropriate details should be recorded on the School/Directorate’s tracking spreadsheet.  The counter signatory from the School/Directorate should ensure they have consent for registering an interest in the individual with the ISA.  If an individual is already registered provision of their reference number will imply consent. 

7.1.6 Individuals who wish to work in regulated activity and have convictions that have not resulted in them being disqualified them from working with children or vulnerable adults, will be considered under the University’s policy on the Recruitment of Ex Offenders.

7.1.7 In all cases where individuals are being registered with the ISA the counter signatory handling the registration will also request an Enhanced Disclosure Certificate.

7.1.8 Once an individual has been registered with the ISA then the counter signatory will register an interest in the individual with the ISA on line.  The counter signatory will also register an interest on behalf of the Director of Human Resources and the Director of Academic and Student Affairs.

7.1.9 If a staff member is already registered with the ISA when they commence in post or commence in regulated activity then the relevant counter signatory will register an interest in the individual on line.  The counter signatory will also register an interest on behalf of the Director of Human Resources and the Director of Academic and Student Affairs.  In such circumstances, criminal history checks will always be sought. 

7.1.10 To register an individual with the ISA or to request a criminal history check the applicant/staff member and counter signatory will complete the relevant sections of Standard/Enhanced Disclosure and ISA Registration form which is available on the ANI website. 

7.1.11 All staff members registered with the ISA and working in regulated activity are required to advise the University if there is any change to their status.  Failure to do so may result in Disciplinary Action being taken.

7.1.12 After being criminal history checked, and prior to commencing regulated activity, staff members will be advised that they should inform the University, should their situation change regarding police investigations, cautions, reprimands, cautions and legal proceedings.  The obligation to advise the University of any change will be a contractual term. 

7.1.13 Under no circumstances will the University permit staff members who are disqualified from working with children and vulnerable adults to work in regulated activity.

7.2 Staff Exemptions

7.2.1 The requirement to check and register those mentoring work experience is exempt from the legislation although it is classed as regulated activity.  An individual will be committing and offence if they engage in regulated activity from which they are barred.  The University will also commit an offence if it knowingly allows someone to engage in regulated activity when barred. Staff working with school pupils will not need to be registered but the individual supervising the placement should be issued with the Code of Conduct and will be expected to work within this Code.  The School/Directorate should conduct a risk assessment and ensure appropriate measures are in place to protect the child’s health and safety.  If it is suspected that the individual may be barred from regulated activity then an enhanced disclosure should be requested. 

8.0       Staff and Students from Overseas Working in Regulated Activity

8.1 Staff and students from overseas will be required to register with the ISA before commencing in regulated activity.   The University counter signatory responsible for this will also register an interest in the individual on line on behalf of the Director of Human Resources and the Director of Academic and Student Affairs.  The criminal history check will be requested based on any address the individual may have lived at in the United Kingdom in the previous 5 years.

8.2 All offers will be subject to receipt of Certificates of Good Conduct which will be requested from Embassies or police forces prior to any staff or student commencing in regulated activity.  These Certificates of Good Conduct will still be sought once registration commences.  The Embassy will be advised that any delays may impact on the individuals’ placement or offer of employment. 

8.3 For an applicant/student who has lived in a country where criminal record checks cannot be made, or if the individual is a refugee with leave to remain in the UK, additional references will be sought and followed up by telephone and letter. 

8.4 The Admissions and Access Service will request these certificates for students that they process and all areas that handle their own admissions will request these certificates themselves.

8.5 For students who have not worked in regulated activity as part of their studies and are doing so through research or another activity then the School/Directorate that they are conducting the activity for will request their Certificate of Good Conduct.

8.6 The Personnel Department will request Certificates of Good Conduct for staff recruited by the department.  Schools/Directorates will request Certificates of Good Conduct for staff members who take on additional activities which may be regulated or who take on research that involves regulated activity.  

8.7 All Certificates of Good Conduct will be managed, handled, stored and when appropriate destroyed in line with the University’s Statement of Intent at (Appendix 3).  All appropriate Certificate of Good Conduct information will be tracked on the relevant School/Directorate’s tracking spreadsheet. 

9. 0        Record Keeping

9.1 All School/Directorates will ensure that records are kept in line with ANI’s Code of Practice and the University’s Statement of Intent (Appendix 3).

9.2 All Schools/Directorates will maintain a spreadsheet to record details of criminal history checks, ISA registration details, details of registering an interest and details of self declarations for all those in regulated activity.  Please refer to Appendix 6.  A separate spreadsheet should be maintained for staff and students and access to this spreadsheet will be restricted.

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