What staff records does CQC expect under fit and proper persons?

Regulation 19 requires fit and proper staff, effective recruitment procedures and ongoing checks, and Schedule 3 of the 2014 Regulations lists the information you must hold for each person, with directors covered separately by Regulation 5. Keep one file per person with the Schedule 3 information, their current professional registration and the date it was last checked.

The two regulations

Regulation 19 says people employed must be of good character, have the qualifications, competence, skills and experience for the work, and be able, after reasonable adjustments, to do it. Recruitment procedures must be established and operated effectively, and CQC reads “employed” to include volunteers, contractors, agency and bank staff.¹

Regulation 5 applies the same test to directors, and people performing equivalent functions, where the provider is a body other than a partnership.²

What Schedule 3 requires for each person

1. Proof of identity, including a recent photograph
2. A criminal record certificate where required, and an enhanced certificate with barring information where required
3. Satisfactory evidence of conduct in previous employment in health or social care, or with children or vulnerable adults
4. Where the person worked with children or vulnerable adults, verification of why that employment ended, so far as reasonably practicable
5. Documentary evidence of relevant qualifications, so far as reasonably practicable
6. A full employment history, with a written explanation of any gaps
7. Information about any physical or mental health conditions relevant to the role, after reasonable adjustments

These are paraphrased from Schedule 3 of the 2014 Regulations, which holds the exact wording.³ CQC's guidance adds that Schedule 3 information must be confirmed before someone is employed, and that the full employment history does not apply to volunteers, except where they are service providers, directors or registered managers.¹

Ongoing checks after someone is employed

Providers must check staff hold current registration with the relevant professional body, regularly review fitness, and act without delay on concerns, informing the professional regulator where someone no longer meets the requirements.¹ Record each re-check with its date, because a check recorded only at onboarding shows the position on that day.

1. Open one file per person. Employees, bank, agency, contractors and volunteers alike, with the Schedule 3 items checked off and dated.
2. Confirm before day one. Schedule 3 information is confirmed before employment starts. Record who confirmed it and when.
3. Record professional registration. The register, the number and the date you last checked it, for every registered professional.
4. Set a re-check cycle. Professional registration monthly or by alert, DBS by your policy, training by its expiry.
5. Match access to role. Every person's system access should match their role today, and end the day they leave.
6. Record decisions on concerns. If you employ someone despite information under Schedule 3, record your reasons, as CQC's guidance asks.

1. Name ______ Role ______ Start date ______
2. Identity with photograph, checked on ______
3. DBS level ______ Certificate date ______
4. Conduct in previous care employment, verified on ______
5. Qualifications seen on ______
6. Employment history complete, gaps explained ______
7. Health information relevant to the role ______
8. Professional register and number ______ Last checked ______
9. System access matches role, checked on ______

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Questions

Does Regulation 19 apply to agency and bank staff?

Yes. CQC reads “person employed” broadly, to include volunteers, contractors, agency and bank staff.

Do volunteers need a full employment history?

Not usually. CQC's guidance says it does not apply to volunteers, except where they are service providers, directors or registered managers.

What is the difference between Regulation 5 and Regulation 19?

Regulation 5 covers directors and people in equivalent roles. Regulation 19 covers everyone else employed to carry on the regulated activity.

Sources

1. 1CQC, 2025Regulation 19, Fit and proper persons employedRead source
2. 2CQC, 2025Regulation 5, Fit and proper persons, directorsRead source
3. 3legislation.gov.uk, 2014The Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, Schedule 3Read source

Written by the wai team from Care Quality Commission guidance, checked on 15 October 2026. This is guidance, not legal advice. CQC does not endorse wai or any software.