Policy

Recruitment, DBS & Fit and Proper Persons Policy

Safer recruitment, pre-employment checks, criminal-record disclosure and the fit and proper persons requirement for an aesthetic clinic

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What's inside

This policy is fully drafted and structured, ready to brand and complete for your service. It covers:

  • 1. Purpose
  • 2. Scope
  • 3. Policy statement and principles
  • 4. Definitions
  • 5. The safer recruitment process
  • 6. Pre-employment checks
  • 7. Verifying registration, scope, qualifications and competence
  • 8. Disclosure and Barring Service (DBS) checks - getting the level right
  • 9. Handling criminal-record and sensitive information fairly
  • 10. The fit and proper persons requirement for directors (Regulation 5)
  • 11. Good character and suitability of all staff (Regulation 19 and Schedule 3)
  • 12. Locum, agency and contracted workers
  • 13. Induction and probation
  • 14. Ongoing and repeat checks
  • 15. The central record
  • 16. Roles and responsibilities
  • 17. Training and awareness
  • 18. Monitoring, audit and compliance
  • 19. Related policies
  • 20. Review and version control

Legislation & standards it maps to

  • Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 - Regulation 19 (Fit and proper persons employed) and Schedule 3 (information required in respect of persons employed)
  • Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 - Regulation 5 (Fit and proper persons: directors)
  • Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 - Regulation 18 (Staffing) and Regulation 17 (Good governance)
  • Safeguarding Vulnerable Groups Act 2006 (as amended by the Protection of Freedoms Act 2012)
  • Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (as amended)
  • Police Act 1997 (Part V) - Disclosure and Barring Service criminal record certificates
  • Equality Act 2010
  • Immigration, Asylum and Nationality Act 2006 and the Immigration (Restrictions on Employment) Order 2007 - right-to-work checks
  • Data Protection Act 2018 and the UK General Data Protection Regulation (UK GDPR)
  • Employment Rights Act 1996

Who it applies to

All directors and partners, the registered manager, prescribers, practitioners (medical, nursing, dental and non-medical injectors), clinical support staff, reception and administrative staff, students, volunteers, contractors, and all locum and agency workers engaged by [Organisation Name]; and everyone involved in recruiting, selecting or appointing them

Glossary

Plain-English explanations of the technical terms and legislation used in this document.

Adverse event
Any unexpected or unwanted occurrence linked to a treatment that harms, or could harm, a client.
Anaphylaxis
A severe, life-threatening allergic reaction needing immediate emergency treatment.
Barred list
A list kept by the Disclosure and Barring Service of people banned from working closely with children and/or adults at risk; it is a criminal offence for a barred person to do that work or for an employer to knowingly give it to them.
Basic DBS check
The lowest level of criminal-record check, showing only unspent convictions and conditional cautions, which anyone or any employer may request for any role.
Botulinum toxin
A prescription-only medicine, used to relax muscles in anti-wrinkle treatments, that may only be supplied on the instruction of an appropriate prescriber.
Care Quality Commission (CQC)
The independent regulator of health and social care services in England.
Central record
The single, secure file of recruitment and pre-employment evidence kept for each worker to prove the required checks were done.
Conditional offer
A job offer that only becomes firm once all the required pre-employment checks have been completed satisfactorily.
Data Protection Act 2018
The UK law, working alongside the UK General Data Protection Regulation, that governs how organisations handle people's personal information.
DBS Update Service
A subscription that lets an enhanced or standard DBS certificate be kept current and re-checked online, with the person's consent, instead of repeating the whole check.
Disclosure and Barring Service (DBS)
The public body that runs criminal-record checks and keeps the barred lists for England and Wales.
Disclosure and Barring Service (DBS) check
A criminal-records check showing whether a person is suitable to work with clients or vulnerable people.
Duty of candour
The legal duty to be open and honest with a person and their family when something goes wrong with their care.
Energy-based device
A piece of aesthetic equipment, such as a laser or radiofrequency machine, that uses energy to treat the skin and carries higher risk if used by an untrained operator.
Enhanced DBS check
A criminal-record check showing convictions and cautions plus any other information the police consider relevant, available only for eligible roles such as those involving regulated activity.
Enhanced DBS check with barred-list check
An enhanced criminal-record check that also confirms whether a person is on the children's and/or adults' barred list, available only for roles that are 'regulated activity' in the safeguarding sense.
Equality Act 2010
The law protecting people from discrimination based on characteristics such as age, disability, sex or race.
Filtering (protected convictions and cautions)
Rules that allow older or minor convictions and cautions to be left off a criminal-record certificate, so an employer must not ask about or rely on them.
Fit and proper person
A person who is of good character and has the health, qualifications, skills and experience needed for a role, with no history of serious misconduct or mismanagement.
Fundamental standards
The minimum standards of safety and quality below which care must never fall.
General Dental Council (GDC)
The body that registers and regulates dentists and other dental professionals in the United Kingdom.
General Medical Council (GMC)
The body that registers and regulates doctors in the United Kingdom.
General Pharmaceutical Council (GPhC)
The body that registers and regulates pharmacists and pharmacy technicians in Great Britain.
Health and Social Care Act 2008 (Regulated Activities) Regulations 2014
The regulations setting out the fundamental standards and registration duties that providers of regulated care must meet, enforced by the Care Quality Commission.
Immigration, Asylum and Nationality Act 2006
The law that makes employers responsible for checking that staff have the legal right to work in the United Kingdom.
Infection prevention and control (IPC)
The measures used to stop infection spreading between clients, staff and visitors.
Information governance
The framework for handling people's personal and health information legally, securely and appropriately.
Informed consent
Agreement to treatment given freely after the risks, benefits and alternatives have been clearly explained.
Joint Council for Cosmetic Practitioners (JCCP)
A voluntary register and standard-setting body for practitioners who provide non-surgical cosmetic treatments in the United Kingdom.
Level 7 qualification (injectables)
An advanced, postgraduate-level qualification widely regarded as the benchmark training for practitioners giving injectable aesthetic treatments.
Locum / agency worker
A practitioner taken on temporarily, either directly or through a staffing agency, to do clinical work for the service.
Nominated Individual
The senior person responsible to the regulator for supervising how a service is provided.
Non-medical injector
A practitioner who gives injectable aesthetic treatments but is not a doctor, nurse, dentist or pharmacist, and so relies on a prescriber to authorise prescription-only medicines.
Nursing and Midwifery Council (NMC)
The body that registers and regulates nurses and midwives in the United Kingdom.
Occupational health
A service that assesses whether a person is medically fit for a role and advises on any reasonable adjustments they may need.
Police Act 1997
The law under which standard and enhanced criminal-record certificates are issued for eligible roles.
Prescription-only medicine (POM)
A medicine that may lawfully be supplied only on the instruction of an appropriate prescriber.
Professional indemnity
Insurance or another arrangement that covers a practitioner's liability for the treatments they provide, and is a legal requirement for regulated professionals.
Protection of Freedoms Act 2012
The law that narrowed the definition of 'regulated activity' and reformed how criminal-record and barring checks operate.
Reasonable adjustments
Changes an employer makes so that a disabled person is not disadvantaged at work, as required by the Equality Act 2010.
Registered Manager
The person registered with the regulator as responsible for the day-to-day running of a service.
Regulated activity (CQC)
A type of care or treatment the law requires a provider to register with the Care Quality Commission to deliver.
Regulated activity (DBS)
A narrower safeguarding term for close work with children or adults at risk that determines eligibility for the highest level of criminal-record and barring check.
Rehabilitation of Offenders Act 1974
The law that allows certain convictions to become 'spent' over time so they need not normally be disclosed, with exceptions for sensitive roles such as healthcare.
Revalidation
The periodic process by which a registered professional proves to their regulator that they remain up to date and fit to practise.
Right to work
A person's legal entitlement to do the work in the United Kingdom, shown by accepted documents or a Home Office online check.
Risk assessment
A structured check identifying what could cause harm and what is being done to prevent it.
Safeguarding
Protecting people's health, wellbeing and rights and keeping them safe from abuse, harm or neglect.
Safeguarding Vulnerable Groups Act 2006
The law that created the barred lists and defines 'regulated activity' for the purpose of barring unsuitable people from working with children or adults at risk.
Schedule 3
The part of the regulated activities regulations listing the specific information a provider must hold about every member of staff.
Schedule 4
The part of the regulated activities regulations setting out the grounds on which a director would be treated as an unfit person.
Scope of practice
The range of treatments and procedures a practitioner is trained, competent and authorised to carry out.
Single assessment framework
The structure the regulator uses to judge a service, built around quality statements and five key questions (safe, effective, caring, responsive, well-led).
Spent conviction
A past conviction that, after a set period of rehabilitation, is treated as if it never happened and need not normally be disclosed.
Standard DBS check
A criminal-record check showing spent and unspent convictions and cautions (subject to filtering), available only for roles listed in law such as certain healthcare posts.
Statutory excuse
The legal protection an employer gains against a penalty for illegal working by correctly carrying out and keeping evidence of a right-to-work check.
Thread lift
A cosmetic procedure that uses dissolvable threads placed under the skin to lift and support tissue, regarded as a higher-risk aesthetic treatment.
UK General Data Protection Regulation (UK GDPR)
The UK's main data-protection law governing how personal information is collected and used.
Undischarged bankrupt
A person who has been declared bankrupt and has not yet been formally released from that status, which can legally prevent them acting as a company director.
Whistleblowing (speaking up)
Raising a concern about wrongdoing, risk or malpractice at work, protected by law.

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