CF30/SMCR/DBS Help

[DavidBrent]

Ok, I’ve got myself into a right pickle and need a bit of help.

Lets get this out of the way first. 17 years ago I got into some fisticuffs outside a pub, I pleaded not guilty on the advice of my solicitor but was convicted for assault, array and assaulting a police officer. I served 80 hours of community service.

My employer at the time stood by me, I then went on to work for several financial services companies including my last for a number of years before moving company earlier on this year.

My contract of employment for my current employer didn’t ask me to declare if I had any convictions, spent or otherwise, it just said that if my role required me to have standard or enhanced DBS check carried out then I would be made aware of this but it didn’t and today the best if my knowledge nothing was checked.

fast forward to a few weeks ago, I’ve never been CF30 or needed to be, but I was made aware of the SMCR changes coming in on 9th Dec and was asked did I want to be certified under these new changes, effectively the new equivalent of CF30. I said yes, and upon researching the new changes under SMCR I discovered that employers do not need to carry out a DBS check for employee who will carry out a certification function, and if they do they are prohibited from requesting anything other than a basic DBS check, great, or so I thought.

Then all of a sudden I’m being asked to compete the application on the FCA website to be a cf30 in front of colleague of significant standing within the business. I get to the section about spent/unspent convictions and panic, I say no to everything because saying yes would of effectively revealed spent convictions to my colleague there and then. I was led to believe I was going to be certified under the new regime but they effectively applied for me to be certified a regime that will not exist in that form in three weeks time.

They’ve now requested a standard DBS check, it’s been emailed to me to complete which I haven’t yet done.

This will bring back all my spent convictions, which for the sake of three weeks would not be needed or legally allowed to be disclosed to my employer.

I really do not know what to do. Can they dismiss me on the basis of what the DBS check come back with even though they are spent convictions and they never asked me to declare them in the first place?

Shall I just try to withdraw my CF30 status and say I’ve changed my mind?

One option is to come clean to the HR manager who has submitted me for the DBS check, however I have concerns about this due to a significant relationship they hold.

This has been making me feel ill, I’ve been unwittingly caught in this trap for the sake of three weeks, If I’d just said no when I was asked if I wanted to be included under the new SMCR process then everything would be rosey, now I potentially face losing my job because of it.

[ULA]

Hi, this may be too simplistic an answer and states what you have already suggested but if given the introduction of SM&CR the role you carry out does not need to be certified then could you not just say you did not understand and have changed your mind since you can still continue to work in the same job without it.

My word of caution though and I do not understand this new regime but know very well about the FCA, double and triple check that your role is not required to be certificated.

[DavidBrent]

Thank you for your response, this is actually what I’m now toying with as the best course of action. Just say I’ve changed my mind and that I don’t want to be certified and ask them to revoke my CF30 status with the FCA. There are some downsides, it would raise suspicion and demonstrate a lack of ambition, as being CF30 would give me scope to do more things within my current role.

The massive plus to this though is if they take it at face value it stops everything coming out and I can relax and go back to normal.

After doing some digging there is another option, I’ve discovered once a check is submitted you can challenge its eligibility directly with the DBS, this info took some finding but it’s very interesting. Under the regime change that kicks in 9th December it’s prohibited for firms to carry out Standard DBS checks for Staff who they wish to carry out a certification function which would essentially be me. The FCA do not require checks to be carried out at all, and if an employer wants to do one it can only be at basic level. They can only request standard checks for Senior managers and this is not me.

I could challenge the check with the DBS on the basis that my firm want me to be certified under the new regime from 9th Dec but have requested a check that they are prohibited from. It’s being done though a third part screening company so they would be challenged by the DBS and potentially denied from supplying a standard check to my employer. Obviously if this doesn’t work then I’m screwed and should’ve gone for the first option.

[ULA]

I cannot provide any further guidance on this issue sorry a bit outside my area of expertise.

The decision as to which option to take is down to you but whichever you choose I hope it goes well for you.