Guide
CQC staff file audit and compliance guide
Regulation 19 and Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 set out staff recruitment requirements. This guide helps you check the records needed to evidence safe recruitment and ongoing oversight.
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Recruitment records
The file should evidence a safe recruitment decision, not just an appointment.
- Application form with full employment history and explained gaps
- At least two references, including the most recent employer in a care role
- Interview record and selection rationale
- Proof of identity and right to work, with sponsorship documents where relevant
- Enhanced DBS check with the appropriate barred list check
Fitness and conduct
Evidence of fitness for the role: a health declaration or occupational health clearance, professional registration where applicable, and any conduct or disciplinary records with outcomes.
Induction and training
Induction records, Care Certificate progress for new-to-care staff, mandatory training with completion dates and refresh intervals, and role-specific competency assessments such as medication.
Ongoing supervision
Supervision at the frequency your policy states, annual appraisal, spot checks or observed practice, and records of any performance support. A policy promising six-weekly supervision with quarterly records in the file is a finding.
Dates to monitor
Track DBS review and renewal intervals against your policy, right to work and visa expiry, mandatory training refresh dates, driving licence, insurance and MOT where staff drive, and supervision and appraisal due dates. A DBS certificate has no official expiry date; your renewal policy determines the review interval.
Data protection
Staff files contain special category data. Restrict access by role, keep retention periods defined, and be able to respond to a staff subject access request within one month.
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