Safe Recruitment, DBS and Ex-offenders Policy

Draft v1 — published temporarily while this policy is pending Board adoption.

How Upsurge Youth Network recruits and checks trustees, staff, mentors and volunteers fairly and safely, decides which DBS check each role needs, and treats applicants with a criminal record.

Document Control

Status	Draft v1 — pending Board adoption (target: 30 November 2026)
Adopted / Adapted / UYN’s own	UYN’s own. Expands section 6 of the Safeguarding Policy.
Review period	Annually, or when DBS rules or the Safeguarding Policy change
Responsible lead	Safeguarding Lead (a named trustee); Programme Manager (day-to-day recruitment); Board of Trustees (owner)
Statutory	Statutory and regulatory expectation (Safeguarding Vulnerable Groups Act 2006; Protection of Freedoms Act 2012; DBS Code of Practice; Charity Commission guidance)
Required on website	Yes (the statement on ex-offenders in Appendix C)
Ratified by Board on	[date — to be completed on adoption]
Review due	[date — to be completed on adoption]
Chair of Trustees’ signature	[signature — to be added on adoption]

Change History

Version	Date	Amendment or no change
1	October 2026	First draft. New policy created to complete UYN’s governance and compliance suite.

Website History

Version	Date on website	Notes
—	[not yet published]	[to be completed when the policy and the Appendix C statement are published on upsurgeyouth.org]

Contents

1. Purpose and scope 2. Principles 3. Legal framework 4. Roles and responsibilities 5. The recruitment process 6. DBS checks: deciding the level 7. Handling disclosure information 8. Recruiting people with a criminal record 9. Ongoing suitability and concerns

10. Trustees and advisory board members 11. Paid staff 12. Data protection and retention 13. Monitoring and review Appendix A. Role-based DBS risk assessment (proposed) Appendix B. Risk assessment for a disclosure Appendix C. Public statement on recruiting people with a criminal record Appendix D. Safeguarding questions for interviews (examples)

1. Purpose and scope

This policy sets out how UYN recruits trustees, advisory board members, any paid staff, mentors and volunteers so that the young people we serve (including members aged 16–17) are protected, and so that every applicant is treated fairly. It supports section 6 of the Safeguarding Policy, and the Privacy Notice for Applicants explains how personal data is used in recruitment.

It applies to everyone involved in recruiting or appointing people to roles at UYN, and to all roles, paid or unpaid. UYN does not currently have employees; the employment-specific steps apply from the first paid appointment.

2. Principles

• Safeguarding comes first. No one starts a role with contact with members until the checks for that role are complete.
• Fairness. We recruit on the basis of skills, experience and suitability, and we do not discriminate (see the Equality, Diversity and Inclusion Policy).
• Proportion. The checks match the risk of the role, not the job title. We do not over-check, because that excludes good people, and we do not under-check, because that puts young people at risk.
• Consistency. The same process is used for everyone doing the same role, and the decision and the reasons are recorded.
• Confidentiality. Information about an applicant’s criminal record is shared only with people who need it to make the decision.

3. Legal framework

• Safeguarding Vulnerable Groups Act 2006 and Protection of Freedoms Act 2012 — regulated activity, the barred lists, and the duty to refer.
• DBS Code of Practice — the use and handling of disclosure information, and the requirement for a written policy on recruiting ex-offenders where UYN asks for checks.
• Rehabilitation of Offenders Act 1974 and the Exceptions Order — which convictions must be disclosed. Spent convictions need not be disclosed except for roles that are exempt from the Act, and “protected” spent convictions are filtered from standard and enhanced certificates.
• Equality Act 2010 — non-discrimination in recruitment, including reasonable adjustments in the process.
• UK GDPR and the Data Protection Act 2018 — criminal offence data may be processed only with a lawful basis and a Schedule 1 condition; the Appropriate Policy Document is in Appendix 3 of the Data Protection Policy.
• Immigration, Asylum and Nationality Act 2006 — right-to-work checks for paid staff (not required for volunteers).
• Companies Act 2006 and, if UYN registers as a charity, the Charities Act 2011 — trustee and director disqualification.

4. Roles and responsibilities

Role	Responsibility
Board of Trustees	Approves this policy; appoints trustees and the Chair; approves any paid post; receives an annual report on recruitment and checks from the Safeguarding & People Panel.
Safeguarding Lead	Owns the role-based DBS risk assessment (Appendix A); decides on any disclosure that is not clear-cut; keeps the central record of checks; makes any referral to the DBS.
Programme Manager	Runs recruitment for mentors and volunteers: role descriptions, applications, interviews, references, identity and DBS processing, induction and supervision.
Recruiters and panel members	Follow this policy; complete safeguarding induction; keep information confidential; declare any conflict of interest in a candidate.

5. The recruitment process

Step	What happens	Notes
1	Role description and person specification	States the purpose, the level of contact with young people, the DBS check required and any appointment conditions. Written before the role is advertised.
2	Advertising	Includes UYN’s commitment to safeguarding, says that a DBS check or equivalent will be needed where the role requires it, and welcomes applicants from all backgrounds.
3	Application	Application or registration form (Mentor, Volunteer, Trustee), covering contact details, experience, availability, references and a gaps explanation. CVs alone are not accepted for roles with contact with members.
4	Shortlisting	Against the person specification only; recorded by at least two people where possible. Gaps and inconsistencies are noted for the interview.
5	Interview or conversation	Includes safeguarding questions (Appendix D), motivation for working with young people, and an explanation of any gaps. Mentors also receive a briefing on the code of conduct.
6	References	Two references, at least one from a recent employer, organisation or other responsible person; not family members. Taken up and read before an offer or a mentor match. References are discussed with the referee if there is a concern.
7	Identity and eligibility	Photo identity is seen in person or by video and matched to the applicant. Right to work is checked for paid staff. Trustees confirm they are not disqualified (Trustee Information Declaration form).
8	DBS or equivalent check	At the level set in Appendix A. Applicants may start only once a satisfactory result is received, or under written, risk-assessed supervision if the Safeguarding Lead has agreed it in a specific case (see section 7).
9	Induction and probation	Safeguarding induction before any contact with members; code of conduct signed; health and safety briefing; a probation or trial period of at least 3 months with supervision and a review meeting.
10	Record keeping	A central record shows, for each person: identity checked, references, DBS outcome and date, training completed and start date. Certificates are not copied or retained.

6. DBS checks: deciding the level

UYN checks each role against the DBS eligibility guidance and records the decision in Appendix A. A check is requested only where the role is eligible, and always where it is. The DBS levels are:

• Basic — shows unspent convictions. Available for any role.
• Standard — spent and unspent convictions, cautions, reprimands and final warnings (subject to filtering).
• Enhanced — as standard, plus relevant police information, for roles eligible for it, including regular work with children.
• Enhanced with the children’s barred list — for roles that are “regulated activity” with children. Mentoring children counts as regulated activity if it takes place frequently, meaning more than three days in any 30-day period (or once overnight), or if the person manages or supervises someone doing it.

Members aged 16–17 are children in law, so mentors and the people who manage them are likely to be in regulated activity. Members aged 18–35 are adults; mentoring them is not regulated activity with adults, but UYN treats adults at risk with the same care and checks all mentors at the same level.

• The Safeguarding Lead uses the DBS eligibility tool to confirm the level for each role, and UYN uses a registered DBS umbrella body [to be selected].
• A mentor or volunteer must not be placed in a role that requires a barred list check without one. It is a criminal offence to knowingly allow a barred person to do regulated activity.
• Applicants already on the DBS Update Service are asked to join it (or UYN renews checks every 3 years — Board to confirm).
• Where a UK DBS check cannot be obtained, for example for an international mentor who has not lived in the UK, the applicant provides a signed self-declaration and two references, as set out in the Registration Forms Pack, and, where it is available, an overseas criminal record certificate from the country or countries where they have lived. Such mentors are supervised and have no unsupervised contact with members aged 16–17.

7. Handling disclosure information

• Applicants are asked to disclose relevant convictions only after they are shortlisted or offered the role, and only as the law allows for the level of check.
• The Safeguarding Lead (or a trustee nominated by the Chair) sees the DBS certificate or the update service result. A recruiter may see it only if the Safeguarding Lead says so. The certificate is returned to the applicant and not photocopied.
• UYN records only the certificate reference number, the date, the level and the outcome (whether the person is cleared or the matter is referred for a decision). This is held in the central record and the Data Protection Policy retention schedule applies.
• Information is shared only with those who must see it to decide on suitability, is held securely and is not used for any other purpose.
• If a certificate or a self-declaration discloses something, the Safeguarding Lead meets the applicant, uses the risk assessment in Appendix B, and records the decision and the reasons.
• If a person needs to start before a check is complete, the Safeguarding Lead may agree in writing that they work only in supervised settings, with no unsupervised contact with members, until a satisfactory result is received. This is exceptional and never for regulated activity.

8. Recruiting people with a criminal record

UYN welcomes applications from people with criminal records and recognises that employment and volunteering are important for rehabilitation. Having a record does not automatically bar anyone from a role. We consider each case individually, and we do not ask about spent convictions unless the law allows it for the role. We will consider:

• whether the conviction or caution is relevant to the role, in particular to work with young people or to financial or fraud-related responsibilities;
• the seriousness and the nature of the offence, and the circumstances;
• how long ago it happened, and the age of the person at the time;
• whether there has been a pattern of behaviour, and what has changed since;
• any information given by the applicant, including support or rehabilitation.

Some matters will rule a person out: anyone on a barred list cannot do regulated activity, and some offences (for example against children or involving serious violence or exploitation) are very likely to be incompatible with mentoring young people. The public statement is in Appendix C. A person who is refused on the strength of a disclosure is told why and can respond to the information. They can challenge the accuracy of a certificate with the DBS.

9. Ongoing suitability and concerns

• Mentors and volunteers sign the code of conduct, are supervised, and are encouraged to raise concerns, including about themselves.
• Anyone who is charged with or convicted of an offence, receives a caution, or becomes subject to a safeguarding investigation must tell the Safeguarding Lead without delay. Failing to do so may lead to removal from the role.
• Concerns about a person’s conduct are handled under the Safeguarding Policy.
• The law requires UYN to refer a person to the DBS when it has removed them from regulated activity (or would have, if they had not left) because of harm or risk of harm to a child. The Safeguarding Lead makes the referral.

10. Trustees and advisory board members

• Trustees are directors of UYN. They must be at least 18 years old and must not be disqualified as a company director or from acting as a charity trustee. Each completes the Trustee Information Declaration form and the conflicts declaration before appointment.
• Where eligible, trustees are asked for an enhanced DBS check (without the barred list) and a basic check where they are not. The Safeguarding Lead confirms eligibility with the umbrella body, because UYN is not currently a registered charity.
• Advisory board members have no governance authority and no unsupervised contact with members. Checks are proportionate: references, a declaration, and a basic DBS check where there is a possibility of contact.
• The Board records every appointment in its minutes. Trustee and advisor positions that are not yet filled are described as “being confirmed”.

11. Paid staff

When UYN first employs anyone, the Board will review this policy, add right-to-work checks, a written statement of employment particulars on or before the first day, and probation arrangements, and take advice on the employment status of any existing role. Pay, hours and status for the Programme Manager role are set out in the Programme Manager job description and are still to be confirmed.

12. Data protection and retention

Recruitment information is handled under the Privacy Notice for Applicants and the Data Protection Policy. Unsuccessful applicants’ information is kept for 6 months and then deleted, unless they ask for it to be kept for future roles. DBS information is limited to the reference number, date, level and outcome. Records of concerns and checks for people who work with children are kept as the retention schedule says [safeguarding retention period to be confirmed by the Board and a solicitor].

13. Monitoring and review

The Safeguarding Lead reviews the central record each quarter to check that every active mentor, volunteer, trustee and staff member has a valid check, and reports to the Safeguarding & People Panel and the Board at least annually. This policy is reviewed annually and whenever DBS rules change.

Appendix A. Role-based DBS risk assessment (proposed)

Role	Contact with members	Proposed check (confirm with the DBS eligibility tool)
Mentor (UK-based)	Regular one-to-one and group mentoring, including members aged 16–17	Enhanced DBS with children’s barred list, subject to the eligibility tool and the frequency test
Mentor (international)	As above, online; UK DBS not available	Signed self-declaration, two references, overseas certificate if available; supervised; no unsupervised contact with 16–17s
Programme Manager	Day-to-day contact; manages and supervises mentors	Enhanced DBS with children’s barred list (management of regulated activity)
CEO / Community Manager	Occasional contact; oversight of programme	Enhanced DBS; barred list where the eligibility tool allows
Trustees (including Safeguarding Lead)	Occasional, supervised contact at events	Enhanced DBS (without barred list) where eligible, otherwise basic DBS
Advisory board members	No unsupervised contact	Basic DBS or self-declaration; references
Event and admin volunteers	Supervised contact only; no one-to-one	References and basic DBS; supervised at all times; not left alone with members
Contractors, speakers, venue staff	Brief, supervised	Organisation’s own checks confirmed in writing; never left alone with members

Appendix B. Risk assessment for a disclosure

Question	Answer / decision
Applicant, role and check level
What does the disclosure show (nature, date, outcome)?
Is it relevant to the role and to working with young people?
How long ago, and how old was the person?
Has there been a pattern, and what has changed?
What did the applicant say when asked? Is it consistent with the certificate?
Could safeguards (supervision, role change) manage the risk? Which?
Decision, reasons, and who decided (Safeguarding Lead plus one trustee)
Applicant informed and given the opportunity to respond? Date

Appendix C. Public statement on recruiting people with a criminal record

For publication on upsurgeyouth.org • Upsurge Youth Network (UYN) is committed to the fair treatment of everyone who applies to work or volunteer with us, whatever their background. We welcome applications from people with criminal records and we do not discriminate on the basis of a criminal record unless it is relevant to the role. • Because UYN works with young people, some roles require a DBS check. We ask about convictions only as the law allows for the role, we consider each case on its facts, and we will always give you the chance to explain. • Information about a criminal record is kept confidential and shared only with the people who need it to make the decision. Having a record will not necessarily stop you from being appointed. A copy of this statement is available on request.

Appendix D. Safeguarding questions for interviews (examples)

• What attracted you to working with young people, and what do you think makes a good mentor?
• How would you respond if a young person told you something that worried you?
• How do you maintain professional boundaries with someone you are mentoring?
• Is there anything in your history, including gaps in your CV, that you would like to tell us about?
• Tell us about a time you handled a difficult situation involving someone’s wellbeing or conduct.
• Do you understand that all concerns must be passed to the Safeguarding Lead and not kept confidential?

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