Procedures for Handling Applications from Students with Previous Criminal Convictions

1. Aims
1.1 The aim of the admissions process is to select students who have the ability and motivation to benefit from the courses they intend to follow, and who will make a contribution to the life of the University.
1.2 The process takes place within the context of the University's Equal Opportunities policy which expresses the University's commitment to a comprehensive policy of equal opportunities in employment and for students in which individuals are selected and treated on the basis of their relevant merits and abilities and are given equal opportunities within the University. The aim of the policy is to ensure that no job applicant or employee, prospective student or student should receive less favourable treatment on any grounds which are not relevant to good employment practice for staff or to academic ability and attainment for students.
1.3 It is important that these aims are achieved without prejudice to the safety and well-being of other members of the university community and, indeed, there may be occasions where this has to be placed ahead of all other considerations.
1.4 These procedures are intended as a mechanism to ensure that decisions regarding the admission of an applicant with criminal convictions are taken only after the implications have been fully explored.
2. Scope of Guidelines
2.1 These guidelines should be followed in relation to applications from any student declaring (or discovered to have) a criminal conviction which has not been spent under the terms of the Rehabilitation of Offenders Act. (Under the terms of this Act, sentences of 30 months imprisonment or more are never spent while those of lesser duration do not have to be declared once spent. In practice, this means that the more serious offences must always be declared). Additionally, some health-related courses have special course-specific procedures which should also be applied.
3. Declaration of Criminal Convictions
3.1 For the 2005 admissions cycle, UCAS has changed its approach to disclosure of criminal convictions. This change was driven by concerns expressed by the Information Commissioner about the broad nature of the questioning and Data Protection principles.
3.2 In previous years, UCAS applicants were required to declare 'Yes' or 'No' to the question 'do you have any criminal convictions?'. They were also required to sign a declaration that: 'I confirm that the information given on this form is true, complete and accurate and that no information requested or other material information has been omitted. I have read the Instructions for Completion of the Application Form, and the appropriate sections in the Handbook, and I undertake to be bound by them. I accept that if I do not comply with these requirements, UCAS reserves the right to cancel my application and I shall have no claim against UCAS or any higher education institution or college in relation thereto.' The "Instructions for Completion of the Application Form" explain the implications of this declaration. In particular, they include the following: "You are required to state whether or not you have any criminal convictions, excluding motoring offences for which a fine and/or three penalty points were imposed. Please tick either the 'yes' or 'no' box at the bottom of section 10 of the application form to indicate your situation ... if any of the information on the application form changes after you have applied (for instance, you are convicted of a criminal offence), you are under a duty to disclose this information to any institution to which you have applied or may be applying during this application cycle. For these purposes, a criminal offence excludes motoring offences for which a fine and/or up to three penalty points were imposed."
3.3 The University's postgraduate application form now contains the following declaration which must be signed by all applicants: "By signing this form, you are declaring that the information you have provided is accurate and that no material information has been omitted. You are also agreeing to abide by the University's rules and regulations if accepted onto a course." At section 13 (other information) applicants are also specifically asked to provide details of "any other relevant information, eg: ... criminal conviction or serious criminal charges awaiting trial."
3.4 There is no firm guidance to applicants regarding where, on the UCAS form, they should declare any convictions, although the most likely choice is the Personal Statement or a separate letter to the instution. (The UCAS Instructions for the Completion of the Application Form include the following advice: "Applicants, or their advisors, who wish to disclose additional material information but do not wish to do so on the UCAS form should, alternatively, do so by writing directly to the Admissions Officer at the institutions listed on that form as soon as they receive an acknowledgement that their application has been processed." Postgraduate applicants are likely to use section 13 (Other Information) on the University's Postgraduate application form. Where an applicant fails to declare a previous conviction, it may still be possible to ascertain this information from the Reference. It is the responsibility of the appropriate Admissions Tutor to check forms and references for any indication of convictions which might necessitate the application of these guidelines.
3.5 For some programmes (usually those which will bring students into contact with minors), there is a requirement to seek a criminal record disclosure in respect of all applicants, regardless of whether or not any criminal conviction has been declared on the application form. The University is registered with the Criminal Records Bureau (CRB) for this purpose, and further details of our responsibilities in respect of disclosure applications are contained in paragraph 7.
4. Action to be taken on Receipt of an Application which includes a Declaration of Criminal Convictions
4.1 Initially, Admissions Tutors should assess applications on academic and motivational merit alone. If there are no academic grounds for making an offer to the applicant, the application can be rejected in the normal way.
4.2 If, from an academic viewpoint, the applicant is felt to merit an offer of a place, the Admissions Tutor should obtain as much information as possible about the nature of the offence concerned. In particular, the Admissions Tutor should ask the applicant to provide references from his/her Probation Officer and/or prison authorities; (applicants who are serving prisoners at the time of application will be required by UCAS to submit their application via the prison authorities who are expected to indicate the suitability of the applicant to undertake a course of study, and whether the applicant would be available to commence a course if an offer was made and accepted). In the case of undergraduate applicants, further information may also be available from the UCAS Verification Unit who should be approached through the Head of Admissions and Student Data. The Head of Admissions and Student Data should, in any case, be informed and all correspondence should be copied to him/her.
4.3 In the case of convictions which have resulted in a sentence of imprisonment (including a suspended sentence), Admissions Tutors should, in discussion with the relevant Head of School, Deputy Dean (Academic) and Dean of Faculty, prepare a case recommending and objectively justifying either acceptance of the applicant or rejection on grounds related to their criminal record. Such cases should include an assessment of the risk to other members of the Faculty (and the wider university community). Where possible, this assessment should be supported by documentary evidence. Consideration should also be given, in the case, to the need to alert other parties (eg the Accommodation Office, Faculty Office, placement providers) to the circumstances, and/or set up appropriate supervision arrangements prior to the applicant's registration as a student. The case should then be sent to the Head of Admissions and Student Data who will convene a panel consisting of a former or serving Dean or Deputy Vice Chancellor and two Admissions Tutors who will jointly take responsibility for deciding whether or not an offer should be made.
4.4 In the case of convictions which have resulted in a sentence not involving imprisonment, Admissions Tutors should normally reach a decision in consultation with the relevant Deputy Dean (Academic). Objective reasons for the decision should be recorded. If an admissions tutor is concerned that the nature of the offence in question warrants more extensive investigation, he or she may choose to follow the more thorough procedures described in paragraph 4.3.
4.5 Written confirmation of all decisions to proceed with an offer or a rejection must be made available to the appropriate school admissions staff together with a copy of the case justifying the decision before an offer is issued. School admissions staff should monitor such cases carefully to ensure that this occurs.
5. Action to be Taken where there is Reason to Suspect that an Applicant has Unspent Criminal Convictions which have not been Declared.
5.1 This is most likely to occur where a Referee refers to criminal convictions within a confidential reference, but the University is also occasionally alerted to undeclared criminal convictions by the UCAS Verification Unit.
5.2 Admissions Tutors should notify the Head of Admissions and Student Data of their suspicions.
5.3 In the case of undergraduate applications, the Head of Admissions and Student Data will seek the advice of the UCAS Verification Unit. The Verification Unit should be able to ascertain whether or not the Admissions Tutor's suspicions are well-founded. In the event of an applicant having failed to disclose a very serious conviction, UCAS may decide to cancel the application. If the application is not cancelled, Admissions Tutors should follow the procedures detailed in paragraph 4. However, they should bear in mind the need to obtain the permission of the Referee before discussing, with an applicant, any information for which the sole source is a confidential reference. Any cases submitted to the panel should include reference to the applicant's failure to declare the convictions concerned.
5.4 In the case of postgraduate applications, the Admissions Tutor will need to obtain as much information as possible about any criminal convictions from the Referee. They may also wish to approach the applicant but should bear in mind the need to obtain the Referee's permission before discussing, with an applicant, any information for which the sole source is the confidential reference. Bearing in mind the constraints which the confidentiality of the reference may impose, they should then follow the procedures detailed in paragraph 4 above. Any cases submitted to the panel should include reference to the applicant's failure to declare the convictions concerned.
5.5 Should information concerning criminal convictions come to light after an offer has been made, the above procedures should still be followed. Both the UCAS regulations and the University's own procedures make provision for an offer to be withdrawn if it is subsequently felt to be inappropriate in the light of information not available when it was first made.
5.6 If information on criminal convictions of a serious nature (ie: involving a custodial sentence) comes to light after registration, the matter should be referred to the Committee of Discipline and dealt with under the disciplinary procedure.
6. Clearing Applicants with Criminal Convictions
6.1 All Clearing Entry forms must be checked by School Admissions staff for evidence of criminal convictions. However, if a selector is notified of a criminal conviction at an earlier stage of the Clearing process, it is essential that this is flagged to the School Admissions staff as quickly as possible.
6.2 The time available during Clearing may not be sufficient for the full procedures described above to be implemented, particularly where consideration by a panel is required. In such cases, it may be necessary to ask the applicant to defer their application for a year to ensure that their criminal conviction can be fully investigated. However, a decision on this should only be taken after discussion with the Head of Admissions and Student Data and the Deputy Vice-Chancellor responsible for admissions.
6.3 If selectors are aware of criminal convictions when a Clearing enquiry is first made, they should avoid making any firm commitment to an applicant until discussion with the Head of Admissions and Student Data and the Deputy Vice-Chancellor has taken place. If a firm commitment has been made to an applicant whose Clearing Entry Form subsequently reveals a criminal conviction, it may be necessary to go back on the verbal commitment made. Again, this should only be done following a discussion with the Head of Admissions and Student Data and the Deputy Vice-Chancellor.
7. Requesting Criminal Records Disclosures from the Criminal Records Bureau
7.1 For some programmes, there is a requirement to obtain criminal records disclosures for all applicants. The University is registered with the Criminal Records Bureau (CRB) for this purpose. Disclosures may only be requested by individuals who are registered with the CRB as counter-signatories. Any school wishing to make use of the service should contact the University's lead signatory (Zoe Heathcote, Head of Admissions and Student Data) to make arrangements for nominated school staff to be registered as counter-signatories.
7.2 Guidelines on using the CRB disclosure service are available for consultation in the Admissions Office, and can also be accessed via the CRB website (www.disclosure.gov.uk).
7.3 The University - and its component Schools - are required to comply fully with the CRB Code of Practice. A copy of this Code of Practice is available for consultation in the Admissions Office and can also be accessed via the CRB website (www.disclosure.gov.uk). In particular, this Code of practice requires us to:
  • Ensure that application forms for positions where disclosures will be requested contain a statement that a Disclosure will be requested in the event of a successful application, so that applicants are aware of the situation.
  • Include in application forms or accompanying material a statement to the effect that a criminal record will not necessarily be a bar to obtaining a place, in order to reassure applicants that Disclosure information will not be used unfairly.
  • Discuss any matters revealed in Disclosure information with the person seeking the position before rejecting an application or withdrawing an offer of a place.
  • Make every subject of a Disclosure aware of the existence of the CRB Code of Practice and make a copy available on request.
  • Have a written security policy covering the correct handling of Disclosure information (see paragraphs 8 and 9 below) and ensure that this is implemented across the University.
8. Storage and Handling of Information relating to Criminal Convictions
8.1 Correspondence relating to the declaration of criminal convictions by an applicant (including any CRB Disclosure information) should not be kept on the applicant's personal file. It should always be kept separately and securely in lockable, non-portable, storage containers with access strictly controlled and limited to those who are entitled to see it as part of their duties.
8.2 The same restrictions should apply in relation to the student file once an applicant registers as a student.

9. Specific Restrictions in Relation to Storage and Handling of CRB Disclosures
9.1 You should note that any CRB Disclosure information may only be kept for a period of up to six months, to allow for consideration and resolution of any disputes or complaints. If, in very exceptional circumstances, it is considered necessary to keep Disclosure information for longer than six months, you should first consult the CRB about this, giving full consideration to the Data Protection and Human Rights of the individual concerned before doing so.

9.2 Once the period of retention has elapsed, CRB Disclosure information must be immediately destroyed by secure means (ie: by shredding, pulping or burning). While awaiting destruction, Disclosure information must not be kept in any insecure receptacle (eg: waste bin or confidential waste sack). Schools should not keep any copy or representation of the contents of a Disclosure. However, you may keep a record of the date of issue of a Disclosure, the name of the subject, the type of Disclosure requested, the position for which the Disclosure was requested, the unique reference number, and details of the recruitment decision taken.
9.3 In accordance with Section 124 of the Police Act 1997, Disclosure information should only be passed to those who are authorised to receive it in the course of their duties. Schools are required to maintain a record of all those to whom Disclosures or Disclosure information has been revealed, and should be aware that it is a criminal offence to pass this information to anyone who is not entitled to receive it.
9.4 Disclosure information may only be used for the specific purpose for which it was requested and for which the applicant's full consent has been given.