The fit and proper person test: directors and references.
What the fit and proper person test asks of directors and board members, where references fit in, and how to collect them with a clear audit trail.
What is the fit and proper person test?
The fit and proper person test is a legal requirement under Regulation 5 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. CQC-registered providers that are bodies must not appoint or keep a director, or someone in an equivalent role, unless they are of good character, competent, able to do the role and not linked to serious misconduct or mismanagement. References from previous employers are key evidence.
Regulation 5, 7 and 19: who each one covers
The phrase fit and proper person appears in three different CQC regulations, which is where most of the confusion comes from.
- Regulation 5 (directors). Applies to providers that are a body other than a partnership, such as a company, charity or NHS trust. It covers directors and anyone performing the functions of a director, including non-executives and people in equivalent roles. This is what people usually mean by FPPR, the fit and proper persons requirement.
- Regulation 7 (registered managers). Sets similar requirements for the registered manager of each service.
- Regulation 19 (staff). Fit and proper persons employed. It covers everyone else you employ in a regulated activity, with Schedule 3 listing the information you must hold, including evidence of conduct in previous care roles. See our Regulation 19 guide.
The rest of this page focuses on Regulation 5 and the NHS framework built on it.
What Regulation 5 requires.
A director, or someone in an equivalent role, must meet all of these conditions before appointment and for as long as they hold the role.
Good character
Assessed against the matters in Part 2 of Schedule 4, such as relevant convictions or being struck off a health or social care professional register.
Qualifications and skills
The qualifications, competence, skills and experience the role needs.
Able to do the role
Able, with reasonable adjustments, to perform the tasks that are intrinsic to the role.
No serious misconduct
Not responsible for, privy to, contributing to or facilitating serious misconduct or mismanagement in a regulated activity, here or abroad.
No grounds of unfitness
Not caught by Part 1 of Schedule 4, which includes being an undischarged bankrupt, a disqualified director or on a barred list.
Evidence on file
Providers should be able to show how each condition was checked. References are a core part of that file.
The NHS fit and proper person test framework
In NHS bodies the test is applied through the NHS England Fit and Proper Person Test Framework for board members, effective from 30 September 2023 and developed after the 2019 Kark review. It applies to NHS trusts, foundation trusts, integrated care boards and NHS England, and initially to the CQC. It covers executive and non-executive board members, interim or permanent.
Board member references under the NHS framework
- A standard board member reference template, held in ESR, is used for board appointments.
- At least one reference is needed for any board appointment. NHS England expects two for people joining from outside the NHS or taking their first NHS board role, ideally from different employers.
- References should cover the previous six years, plus serious misconduct or mismanagement at any time where known.
- A reference is completed and kept when a board member leaves, so the next employer can rely on it.
- Each board member is assessed when appointed and then annually, with a self-attestation and an annual summary to the NHS England regional director.
Always check the current framework on the NHS England website before you rely on any detail here. Our NHS references guide covers employment checks for other staff.
Fit and proper person checks in adult social care
Care companies and charities do not use the NHS framework, but Regulation 5 still applies to their directors. In practice that means a DBS check at the right level, checks of the insolvency and disqualified directors registers, a professional register check where relevant, and written references that ask directly about conduct, misconduct and mismanagement. The CQC looks at how providers apply the test.
Director references, with a paper trail.
RefAssure collects the written reference part of the test. You choose the questions, RefAssure handles consent, chasing and the signed PDF.
- Build a director template with questions on conduct, misconduct and mismanagement
- Already use a set form? Upload the PDF or Word file and RefAssure builds the template in about 20 seconds
- Referees sign on any device, no login needed
- PDF with timestamps for consent, requests, reminders and completion
Senior referees are busy. We chase.
5 emails and up to 2 texts over 12 days, stopping the moment the referee replies.
Fit and proper person questions
More in the full FAQs.
Who does the fit and proper person test apply to?
Under Regulation 5 it applies to directors, and people in equivalent roles, of CQC-registered providers that are bodies rather than individuals or partnerships. In the NHS that means executive and non-executive board members. Registered managers fall under Regulation 7, and other staff under Regulation 19.
Does RefAssure carry out the full fit and proper person test?
No. RefAssure collects references and employment history with consent, chasing and a signed PDF. DBS checks, insolvency and disqualification register searches, and professional register checks are separate. Our DBS checks guide explains that part.
What should a director reference ask?
Confirm dates and role, then ask about conduct, honesty and integrity, any disciplinary action, and whether the person was responsible for, or aware of, serious misconduct or mismanagement. Ask whether the referee knows of anything that would make them unfit for a director role. You can add all of this to a RefAssure template once.
Is FPPR a one-off check?
No. Regulation 5 says a provider must not appoint or keep in post someone who fails the test, so it is ongoing. The NHS framework sets out an annual assessment for board members. Care providers should decide how often to review and record it.
Can we use the NHS board member reference template with RefAssure?
If you have the template as a PDF or Word file, you can upload it and RefAssure turns it into a reference template on your account, which you check before using. RefAssure does not connect to ESR, so you would record outcomes there yourself.
How much do director references cost?
Your first reference is free when you sign up. After that, credits cost from 80p to 99p per reference with no monthly fee and no VAT added. See pricing.
Related guides
Board-level references, properly evidenced.
Your first reference is free. Send it in two minutes and RefAssure does the chasing.