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Free Regulation 19 staff-file audit checklist

Pull five staff files, check them against all eight Schedule 3 requirements, and know in about 10 minutes whether your recruitment records would stand up to a CQC inspection.

What's inside

  • A Schedule 3 checklist for every staff file, with what good evidence looks like
  • The wider checks inspectors also ask for: right to work, overseas checks, interview records, induction
  • A Green/Amber/Red scoring grid for a five-file sample
  • The most common failings and how to fix them
  • An action plan template

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The eight Schedule 3 requirements

  1. 1Proof of identity with a recent photo
  2. 2DBS certificate where eligible
  3. 3Enhanced DBS with barred list information where eligible
  4. 4Evidence of conduct in previous care work
  5. 5Verified reason previous care work ended
  6. 6Relevant qualifications
  7. 7Full employment history with gaps explained in writing
  8. 8Health information relevant to the role

Source: Schedule 3, Health and Social Care Act 2008 (Regulated Activities) Regulations 2014

Who it's for

Registered managers, nominated individuals and HR leads at domiciliary care, residential care and supported living services in England.

General guidance only, not legal advice.