Care Staff Recruitment File Checklist: What CQC Regulation 19 and Schedule 3 Require
The information the law says you must hold on every person you employ, how to check it before they start, and how to keep the file inspection-ready.
Under Regulation 19 and Schedule 3, a care provider must hold proof of identity with a recent photograph, the right level of DBS check where required, satisfactory evidence of conduct in previous health or social care employment, verification of why previous work with children or vulnerable adults ended, evidence of relevant qualifications where practicable, a full employment history with any gaps explained, and satisfactory health information. The information must be confirmed before the person is employed.
A recruitment file is one of the first things an inspector samples, because it shows whether you protect people from unsuitable staff. This checklist follows Regulation 19 and the wording of Schedule 3 to the 2014 Regulations, adds practical evidence to keep and covers the ongoing checks that apply after someone starts. It applies to employees, and CQC says it also covers volunteers, contractors, agency and bank staff.
Key takeaways
- Schedule 3 information must be confirmed before a person is employed.
- If you employ someone despite concerning information, record your reasons for future reference.
- The regulation covers ongoing fitness too: providers must regularly review the fitness of employees.
- If someone else does your recruitment checks, you must assure yourself that they are complete and satisfactory.
- Regulation 19 does not prescribe a file layout. Use whatever lets you show each item quickly.
In this guide
What the Law Requires You to Hold
Regulation 19 says persons employed must be of good character, have the qualifications, competence, skills and experience necessary for the work, and be able, after reasonable adjustments, to properly perform the tasks intrinsic to the role. Recruitment procedures must be “established and operated effectively”, and the information in Schedule 3 must be available for each person (CQC: Regulation 19). Schedule 3 lists what that information is (legislation.gov.uk: Schedule 3).
The Checklist
| Item | What the law says (Schedule 3) | What to keep on file |
|---|---|---|
| 1. Identity | Proof of identity including a recent photograph | Copy of photo ID checked in person or by a compliant process, with date and name of checker |
| 2. Criminal record check | Where required, a criminal record certificate; for roles with an exempted question, an enhanced certificate with barring information where applicable | DBS certificate number, date, level and what was checked. See DBS checks for care staff |
| 3. Conduct in previous employment | Satisfactory evidence of conduct in previous work in health, social care or with children or vulnerable adults | References obtained and read, with any follow-up if vague or concerning |
| 4. Reason for leaving | Where previously employed in a position involving children or vulnerable adults, satisfactory verification, so far as reasonably practicable, of why it ended | Written confirmation from the previous employer, or record of attempts |
| 5. Qualifications | So far as reasonably practicable to obtain, documentary evidence of any qualification relevant to the duties | Certificates seen and copied, or verified with the awarding body |
| 6. Employment history | A full employment history, with a satisfactory written explanation of any gaps | Application form or CV, and a written explanation for each gap |
| 7. Health | Satisfactory information about physical or mental health conditions relevant to their capability, after reasonable adjustments | Health questionnaire or occupational health note, handled under the Equality Act |
| 8. Professional registration | Where registration with a professional body is required, the person must be registered | Registration number and date checked on the register |
| 9. Right to work | Required by other legislation and part of “other information required under any enactment” | Right-to-work check record and date |
Item 9 comes from immigration law rather than Schedule 3, and you should check your obligations. CQC also notes that the Schedule 3 requirement for a full employment history does not apply to volunteers except service providers, directors and registered managers.
Good Character and Recording Your Judgement
CQC’s guidance says that when assessing good character, providers must make “every effort to gather all available information” and have regard to Schedule 4, Part 2. It expects processes to consider honesty, trust, reliability and respect. If you decide someone is suitable despite information within Schedule 3 that raises a question, “the provider’s reasons should be recorded for future reference”. Interview and selection processes should also test the accuracy of applications, while meeting the Equality Act 2010 in relation to pre-employment health checks.
After They Start: Ongoing Checks
- Regularly review fitness. CQC says providers must regularly review the fitness of employees and follow robust systems to respond to concerns after appointment.
- Check professional registration is current for registered staff.
- Assess competence before staff work unsupervised, and supervise them until they are competent. See competency assessments.
- Induction and mandatory training completed and recorded. See mandatory training.
- Supervision and appraisal in line with your policy. See supervision frequency.
- Act on concerns fairly and without delay, with interim measures if people may be at risk, and inform regulators or safeguarding bodies where appropriate.
Agency Staff, Volunteers and Outsourced Checks
CQC says “person employed” includes volunteers, contractors and agency or bank staff, based on the broad meaning of employment in Regulation 2. Where recruitment or checks are carried out by someone other than the provider, such as an agency, you must “assure yourselves that all checks are complete and satisfactory”. Ask agencies for their evidence and keep a copy or a record of what you saw.
Audit Your Files
Sample a few files every quarter against the checklist above and record the result. Common gaps are unexplained employment gaps, references that are on file but never followed up, DBS at the wrong level for the role and no record of why a concern was accepted. Use our audit method and add a recruitment audit to your audit schedule.
CQCLogic’s evidence template library includes a recruitment checklist you can adapt, and staff supervision and training records can be kept in the same app as your governance actions.
Keep staff evidence inspection-ready
See a sample improvement plan, view pricing or get started free.
Frequently Asked Questions
What must be in a care worker recruitment file?
Proof of identity with a recent photograph, the right DBS check where required, satisfactory evidence of conduct in previous health or social care employment, verification of why relevant previous employment ended, qualifications evidence, a full employment history with gaps explained, and satisfactory health information.
What is Schedule 3 of the Health and Social Care Act regulations?
It lists the information that must be available for each person employed in a regulated activity, such as identity, criminal record checks, conduct in previous employment, employment history and health information.
Do I need references for care workers?
Schedule 3 requires satisfactory evidence of conduct in previous employment concerned with health or social care or with children or vulnerable adults. References are the usual way to obtain it, and you should read and follow up any that are unclear.
What if a candidate has a gap in their employment history?
Schedule 3 requires a full employment history with a satisfactory written explanation of any gaps. Record the explanation on file.
Do volunteers and agency staff need the same checks?
CQC says “person employed” includes volunteers, contractors and agency or bank staff. For volunteers the full employment history requirement does not apply except to service providers, directors and registered managers. For agency staff, you must assure yourself that checks are complete.
Can I employ someone with something on their record?
It depends on the information and the role. If you decide someone is suitable despite information relating to Schedule 3, CQC says you should record your reasons for future reference.
Does CQC require a single central record?
The regulation requires the information to be available for each person. The guidance does not prescribe a format, so use a system, such as a staff matrix, that lets you show every item quickly.
Sources: CQC: Regulation 19, Fit and proper persons employed · legislation.gov.uk: Schedule 3, Regulated Activities Regulations 2014