The Independent School Standards (Wales) Regulations 2024

PART 4 Suitability of proprietors, staff and supply staff

19.  The standards about the suitability of proprietors, staff and supply staff are those contained in this Part.

20.—(1) The standard in this paragraph relates to the suitability of persons appointed as members of staff at the independent school, other than the proprietor and supply staff.

(2) The standard in this paragraph is met if—

(a) no such person is barred from regulated activity relating to children in accordance with section 3(2) of the 2006 Act where that person is or will be engaging in activity which is regulated activity within the meaning of Part 1 of Schedule 4 to that Act,

(b) no such person carries out work at the independent school in contravention of a prohibition order, an interim prohibition order, a suspension order or an interim suspension order,

(c) no such person carries out work at the independent school in contravention of any direction made under section 142 or 167A of the 2002 Act, section 128 of the 2008 Act or any disqualification, prohibition or restriction which takes effect as if contained in any such direction,

(d) the proprietor carries out appropriate checks to confirm in respect of each such person—

(i) the person’s identity,

(ii) the person’s medical fitness,

(iii) the person’s right to work in the United Kingdom, and

(iv) where appropriate, the person’s qualifications,

(e) where relevant to any such person—

(i) a DBS certificate has been obtained in respect of that person, or

(ii) where that person is registered with the DBS up-date service, a check is made of the person’s DBS certificate status,

(f) in the case of any person for whom, by reason of that person living or having lived outside the United Kingdom, obtaining such a certificate is not sufficient to establish the person’s suitability to work in an independent school, such further checks are made as the proprietor considers appropriate, having regard to any relevant guidance issued by the Welsh Ministers, and

(g) in the case of staff who care for, train, supervise or are in charge of boarders, in addition to the matters specified in paragraphs (a) to (f), the proprietor checks that the Standards in the National Minimum Standards for Boarding Schools or, where applicable, the National Minimum Standards for Residential Special Schools, relating to vetting of staff are complied with,

and the proprietor, having considered the information from the checks referred to in paragraphs (c) to (g), considers that the person is suitable for the position to which the person is appointed.

(3) The checks referred to in sub-paragraph (2) (except where sub-paragraph (4) applies) must be completed before a person’s appointment.

(4) The checks specified in sub-paragraph (2)(d), (e), (f) and (g) do not need to be carried out where the new member of staff (“M”) has worked in—

(a) an independent school or a maintained school in Wales in a position which brought M regularly into contact with children or young persons,

(b) a maintained school in Wales in a position to which M was appointed on or after 1 April 2006 and which did not bring M regularly into contact with children or young persons, or

(c) an institution within the further education sector in Wales in a position which involved the provision of education or which brought M regularly into contact with children or young persons,

during a period which ended not more than 90 days before M’s appointment.

21.—(1) This paragraph relates to the suitability of supply staff at the independent school.

(2) The standard in this paragraph is met if—

(a) a person offered for supply by an employment business to the independent school only begins to work at the independent school if the proprietor has received—

(i) written notification from the employment business in relation to that person—

(aa) that the checks referred to in paragraph 24(3)(b)(i) to (iv) and (vii) have been made to the extent relevant to that person,

(bb) that, where relevant to that person, a DBS certificate has been obtained (or where the person is registered with the DBS up-date service a check made of the person’s DBS certificate status) by that employment business or another employment business,

(cc) if the employment business has obtained such a certificate or made a check of DBS certificate status before the person is due to begin work at the independent school, whether the certificate disclosed any matter or information, and

(dd) that, where that person is one for whom, by reason of that person living or having lived outside the United Kingdom, obtaining such a certificate is not sufficient to establish the person’s suitability to work in an independent school, that employment business or another employment business has obtained such further checks as appropriate, having regard to any relevant guidance issued by the Welsh Ministers, and

(ii) a copy of any DBS certificate obtained by an employment business before the person is due to begin work at the independent school,

(b) a person offered for supply by an employment business only begins work at the independent school if the proprietor considers that the person is suitable for the work for which the person is supplied,

(c) before a person offered for supply by an employment business begins work at the independent school the person’s identity is checked by the proprietor of the independent school (irrespective of any such check carried out by the employment business before the person was offered for supply),

(d) the proprietor, in the contract or other arrangements which the proprietor makes with any employment business, requires the employment business to provide—

(i) the notification referred to in paragraph (a)(i), and

(ii) a copy of any DBS certificate which the employment business obtains,

in respect of any person whom the employment business supplies to the independent school, and

(e) except for those persons to whom sub-paragraph (4) applies, in the case of supply staff who care for, train, supervise or are in charge of boarders, the proprietor checks that the relevant parts of the National Minimum Standards for Boarding Schools or where applicable, the National Minimum Standards for Residential Special Schools relating to vetting of staff are complied with.

(3) Except in the case of a person to whom sub-paragraph (4) applies, the certificate referred to in sub-paragraph (2)(a)(i)(bb) must have been obtained or the certificate status check referred to in sub-paragraph (2)(a)(i)(bb) must have been made not more than 90 days before the date the person is due to start work at the independent school.

(4) This sub-paragraph applies to a person (“P”) who has worked in—

(a) an independent school or a maintained school in Wales in a position which brought P regularly into contact with children or young persons,

(b) a maintained school in Wales in a position to which P was appointed on or after 1 April 2006 and which did not bring P regularly into contact with children or young persons, or

(c) an institution within the further education sector in Wales in a position which involved the provision of education or which brought P regularly into contact with children or young persons,

during a period which ended not more than 90 days before P is due to begin work at the independent school.

22.—(1) The standard in this paragraph relates to the suitability of the proprietor of the independent school.

(2) Sub-paragraph (3) relates to the suitability of the proprietor where the proprietor is an individual.

(3) The standard in this paragraph is met if—

(a) the individual—

(i) is not barred from regulated activity relating to children in accordance with section 3(2) of the 2006 Act where that individual is or will be engaging in activity which is regulated activity within the meaning of Part 1 of Schedule 4 to that Act,

(ii) does not carry out work at the independent school in contravention of a prohibition order, an interim prohibition order, a suspension order, or an interim suspension order, and

(iii) does not carry out work at the independent school in contravention of any direction made under section 142 or 167A of the 2002 Act, section 128 of the 2008 Act or any disqualification, prohibition or restriction which takes effect as if contained in any such direction;

(b) before the independent school is entered in the register or, in the case of a registered independent school, before the individual takes over as proprietor, where relevant to the individual—

(i) a DBS certificate is obtained and the certificate is provided to the Welsh Ministers, or

(ii) where that individual is registered with the DBS up-date service, a check is made of the individual’s DBS certificate status and reported to the Welsh Ministers,

and the Welsh Ministers, having considered the information from the DBS certificate, have confirmed that they consider that the individual is suitable to be the proprietor of the independent school;

(c) before the independent school is entered in the register or, in the case of a registered independent school, before the individual takes over as proprietor in the case of an individual for whom, by reason of that individual living or having lived outside the United Kingdom, obtaining a DBS certificate is not sufficient to establish the individual’s suitability to work in an independent school, the Welsh Ministers make such further checks as the Welsh Ministers consider appropriate and having considered the information from these checks the Welsh Ministers consider that the individual is suitable to be the proprietor of the independent school;

(d) before the independent school is entered in the register or, in the case of a registered independent school, before the individual takes over as proprietor—

(i) the Welsh Ministers make checks confirming the individual’s identity, or

(ii) the Welsh Ministers request that checks are made for the purposes of confirming the individual’s identity and following that request—

(aa) evidence is provided to the satisfaction of the Welsh Ministers that the individual is the person with the particular identity that the individual claims to have, and

(bb) the Welsh Ministers notify the individual that the Welsh Ministers are satisfied that the individual’s identity has been confirmed;

(e) before the independent school is entered in the register or, in the case of a registered independent school, before the individual takes over as proprietor—

(i) the Welsh Ministers make checks confirming that the individual has the right to work in the United Kingdom, or

(ii) the Welsh Ministers request that checks are made for the purposes of confirming that the individual has the right to work in the United Kingdom and following that request—

(aa) evidence is provided to the satisfaction of the Welsh Ministers that the individual has that right, and

(bb) the Welsh Ministers notify the individual that the Welsh Ministers are satisfied that the individual has that right.

(4) Sub-paragraphs (5) to (7) relate to the suitability of the proprietor where the proprietor is a body of persons corporate or unincorporate.

(5) The standard in this paragraph is met in relation to an individual who is the chair of the independent school if—

(a) the individual—

(i) is not barred from regulated activity relating to children in accordance with section 3(2) of the 2006 Act where that individual is or will be engaging in activity which is regulated activity within the meaning of Part 1 of Schedule 4 to that Act,

(ii) does not carry out work at the independent school in contravention of a prohibition order, an interim prohibition order, a suspension order or an interim suspension order, and

(iii) does not carry out work at the independent school in contravention of any direction made under section 142 or 167A of the 2002 Act, section 128 of the 2008 Act or any disqualification, prohibition or restriction which takes effect as if contained in any such direction;

(b) subject to sub-paragraph (7), where relevant to the individual—

(i) a DBS certificate is obtained and the certificate is provided to the Welsh Ministers, or

(ii) where that individual is registered with the DBS up-date service, a check is made of the individual’s DBS certificate status and reported to the Welsh Ministers,

and having considered the information from the DBS certificate the Welsh Ministers have confirmed that they consider that the individual is suitable to be the chair of the independent school;

(c) subject to sub-paragraph (7), in the case of an individual for whom, by reason of that individual living or having lived outside the United Kingdom, obtaining a DBS certificate is not sufficient to establish the individual’s suitability to work in an independent school, the Welsh Ministers make such further checks as the Welsh Ministers consider appropriate and the Welsh Ministers, having considered the information from these checks, have confirmed that they consider that the individual is suitable to be the chair of the independent school;

(d) subject to sub-paragraph (7)—

(i) the Welsh Ministers make checks confirming the individual’s identity, or

(ii) the Welsh Ministers request that checks are made for the purposes of confirming the individual’s identity and following that request—

(aa) evidence is provided to the satisfaction of the Welsh Ministers that the individual is the person with the particular identity that the individual claims to have, and

(bb) the Welsh Ministers notify the proprietor of the independent school that the Welsh Ministers are satisfied that the individual’s identity has been confirmed;

(e) subject to sub-paragraph (7)—

(i) the Welsh Ministers make checks confirming that the individual has the right to work in the United Kingdom, or

(ii) the Welsh Ministers request that checks are made for the purposes of confirming that the individual has the right to work in the United Kingdom and following that request—

(aa) evidence is provided to the satisfaction of the Welsh Ministers that the individual has that right, and

(bb) the Welsh Ministers notify the proprietor of the independent school that the Welsh Ministers are satisfied that the individual has that right.

(6) The standard in this paragraph is met in relation to an individual (“MB”), not being the chair of the independent school, who is a member of a body of persons corporate or unincorporate named as the proprietor of the independent school in the register or in an application to enter the independent school in the register, if—

(a) MB—

(i) is not barred from regulated activity relating to children in accordance with section 3(2) of the 2006 Act where that individual is or will be engaging in activity which is regulated activity within the meaning of Part 1 of Schedule 4 to that Act,

(ii) does not carry out work at the independent school in contravention of a prohibition order, an interim prohibition order, a suspension order or an interim suspension order, and

(iii) does not carry out work at the independent school in contravention of any direction made under section 142 or 167A of the 2002 Act, section 128 of the 2008 Act or any disqualification, prohibition or restriction which takes effect as if contained in either such direction;

(b) subject to sub-paragraph (7), the chair of the independent school in relation to MB—

(i) where relevant, obtains a DBS certificate (or where MB is registered with the DBS up-date service makes a check of MB’s DBS certificate status),

(ii) obtains checks confirming MB’s identity and MB’s right to work in the United Kingdom, and

(iii) where, by reason of MB’s living or having lived outside the United Kingdom, obtaining a DBS certificate is not sufficient to establish MB’s suitability to work in an independent school, makes such further checks as the chair of the independent school considers appropriate, having regard to any relevant guidance issued by the Welsh Ministers,

and the chair, having considered the information from these checks, considers that MB is suitable to be a member of a body of persons corporate or unincorporate named as the proprietor of the independent school.

(7) In the case of a registered independent school—

(a) sub-paragraphs (5)(b) and (c) are met where the checks referred to in those sub-paragraphs are completed before the chair of the independent school starts acting as such,

(b) sub-paragraph (5)(d) is met where the checks referred to in paragraph (d) are completed, or notification is given by the Welsh Ministers to the proprietor of the independent school as referred to in paragraph (d)(ii)(bb), before the chair of the independent school starts acting as such,

(c) sub-paragraph (5)(e) is met where the checks referred to in paragraph (e)(i) are completed, or notification is given by the Welsh Ministers to the proprietor of the independent school as referred to in paragraph (e)(ii)(bb), before the chair of the independent school starts acting as such, and

(d) sub-paragraph (6)(b) is met where the checks referred to in paragraph (b)(i) and (iii) are completed before MB starts acting as a member of the body of persons corporate or unincorporate named in the register as the proprietor of the independent school.

23.  The standard in this paragraph is met where relevant to an individual—

(a) in relation to members of staff at the independent school—

(i) where an individual is registered with the DBS up-date service if the proprietor checks the individual’s certificate status at least every three years;

(ii) where an individual is not registered with the DBS up-date service if the proprietor applies for a DBS certificate in respect of that individual at least every three years,

and the proprietor, having considered the information from the check or application, considers that the individual remains suitable for the position to which the individual is appointed;

(b) in relation to the proprietor where the proprietor is an individual—

(i) where an individual is registered with the DBS up-date service if a check of the individual’s certificate status is made and reported to the Welsh Ministers at least every three years;

(ii) where an individual is not registered with the DBS up-date service if a DBS certificate in respect of the individual is applied for and the certificate is provided to the Welsh Ministers at least every three years,

and the Welsh Ministers, having considered the information from the check or application, consider that the individual remains suitable to be the proprietor of the independent school;

(c) in relation to an individual who is the chair of the independent school—

(i) where an individual is registered with the DBS up-date service if a check of the individual’s certificate status is made and reported to the Welsh Ministers at least every three years;

(ii) where an individual is not registered with the DBS up-date service if a DBS certificate in respect of the individual is applied for and the certificate is provided to the Welsh Ministers at least every three years,

and the Welsh Ministers, having considered the information from the check or application, consider that the individual remains suitable to be the chair of the independent school;

(d) in relation to an individual, not being the chair of the independent school, who is a member of a body of persons corporate or unincorporate named as the proprietor of the independent school—

(i) where an individual is registered with the DBS up-date service if the chair makes a check of the individual’s certificate status at least every three years;

(ii) where an individual is not registered with the DBS up-date service if the chair applies for a DBS certificate in respect of the individual at least every three years;

and the chair, having considered the information from the check or application, considers that the individual remains suitable to be a member of the body of persons corporate or unincorporate named as the proprietor of the independent school;

(e) for the purposes of sub-paragraphs (a) to (d), where a DBS up-date service check has not been made or a DBS certificate has not been applied for in respect of any individual within a period of 3 years ending with the date on which these Regulations come into force, the first such check or application must be made within a period of 180 days beginning with the date that these Regulations come into force.

24.—(1) The standard in this paragraph is met if the proprietor keeps a register in accordance with the independent school’s policy on data retention which shows such of the information referred to in sub-paragraphs (3) to (5) as is applicable to the independent school in question.

(2) The register referred to in sub-paragraph (1) may be kept in electronic form, provided that the information recorded is capable of being reproduced in legible form.

(3) The information referred to in this sub-paragraph is—

(a) in relation to each member of staff, the date they were appointed;

(b) in relation to each member of staff (“S”), whether—

(i) S’s identity was checked,

(ii) a check was made to establish whether S is barred from regulated activity relating to children in accordance with section 3(2) of the 2006 Act,

(iii) a check was made to establish whether S is subject to a prohibition order, an interim prohibition order, a suspension order or an interim suspension order,

(iv) a check was made to establish whether S is subject to any direction made under section 142 or 167A of the 2002 Act, section 128 of the 2008 Act or any disqualification, prohibition or restriction which takes effect as if contained in such a direction,

(v) checks were made to ensure, where appropriate, that S had the relevant qualifications,

(vi) a DBS certificate was obtained in respect of S (or where S is registered with the DBS up-date service a check made of S’s certificate status),

(vii) a check of S’s right to work in the United Kingdom was made, and

(viii) checks were made pursuant to paragraph 20(2)(f),

including the date on which each such check was completed or the certificate obtained.

(4) The information referred to in this sub-paragraph is, in relation to supply staff—

(a) whether written notification has been received from the employment business that—

(i) checks corresponding to those referred to in sub-paragraph (3)(b)(i) to (iv), (vii) and (viii) have been made to the extent relevant to any such person, and

(ii) that employment business or another employment business has obtained a DBS certificate (or where the person is registered with the DBS up-date service a check made of the person’s certificate status),

together with the date the written notification that each such check was made, or certificate obtained was received,

(b) where written notification has been received from the employment business in accordance with a contract or other arrangements referred to in paragraph 21(2)(d) that it has obtained a DBS certificate, whether or not the employment business supplied a copy of the certificate to the independent school, and

(c) whether a check has been made in accordance with paragraph 21(2)(e) together with the date the check was completed.

(5) The information referred to in this sub-paragraph is, in relation to each member of a body of persons named as the proprietor—

(a) the date they were appointed;

(b) whether the checks referred to in paragraph 22(6)(b) were made, the date they were made and the date on which the resulting certificate was obtained.

(6) It is immaterial for the purposes of sub-paragraphs (3), (4) and (5) whether the check was made or certificate obtained pursuant to a legal obligation.