CQC inspection checklist: what inspectors check in staff files

The recruitment part of a CQC inspection, item by item, with a mock audit you can run this week.

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What is on a CQC inspection checklist for staff files?

Quick answer

For each sampled staff member, inspectors look for the Schedule 3 information confirmed before the start date: photo ID, an enhanced DBS check with barred list where eligible, evidence of conduct in previous care roles, why earlier care jobs ended, a full employment history with gaps explained in writing, qualifications and health information. They also look at right to work, registration, induction and supervision.

The staff file checklist.

Use this list for each person in your sample. The test is simple: is it there, is it satisfactory, and was it confirmed before they started?

Identity and right to work

Photo ID with a recent photograph, plus a right to work check done the way the Home Office describes. Dated and signed.

DBS and barred list

Enhanced DBS certificate details, the barred list checked where eligible, and a written risk assessment for any disclosure you accepted.

References and conduct

Evidence of conduct in previous care roles and verification of why they ended. Signed, dated, and received before the start date.

Employment history

A full history with every gap explained in writing, and a note of what was discussed at interview.

Qualifications and registration

Copies of relevant qualifications, and a dated register check for nurses and other registered professionals.

Health, induction, supervision

Health information relevant to the role, induction records, and evidence that new staff were supervised until assessed as competent.

How to run a mock CQC inspection of staff files

A mock CQC inspection is the simplest CQC audit you can do, and it costs you an afternoon. Do it as an inspector would: pick files you did not prepare, and read them cold.

  1. Pick a sample. Include your newest starters, a long-serving member of staff, someone from bank or agency, and anyone who started in a hurry. CQC guidance counts agency, bank staff and volunteers as people employed.
  2. Check dates first. For each item, compare the date it arrived with the start date. A reference that came back two weeks after someone started is a finding.
  3. Read the references. Do they say anything about conduct in a care role? Do they confirm why the job ended? A reference that confirms dates and nothing more is weak evidence for Schedule 3.
  4. Test the gaps. Find every gap in the employment history and look for the written explanation.
  5. Look for decisions. Where something was not clean, such as a DBS disclosure or a late reference, is there a recorded decision and risk assessment?
  6. Write an action plan. Fix the files, then fix the process that let the gap happen.

What does CQC compliance mean for recruitment?

Recruitment sits under the Safe key question, and Regulation 19 sets the legal standard: employ fit and proper persons and hold the Schedule 3 information. CQC can take regulatory action for a breach. CQC's assessment approach has been changing, so check the current guidance on the CQC website before an inspection. Our page on CQC Regulation 19 covers the rules in full.

Senior carer bringing tea to an elderly resident in a care home lounge

Reference evidence: by hand vs RefAssure.

By handWith RefAssure
Candidate consentOften missing or a tick on a formCollected online with a signature, before referees are contacted
Request sentAn email in someone's sent folderLogged with a timestamp
ChasingWhen someone remembers5 emails and up to 2 texts over 12 days
Referee replies by emailLost in an inboxCaptured and forwarded to you
SignatureRarelyEvery referee signs the reference
Proof for the inspectorRebuilt from memoryPDF with consent, requests, reminders and completion times

Show the process, not just the result.

Inspectors ask how you got a reference as well as what it says. The chase status page shows every request and reminder for each referee.

  • Each referee has a timeline: request, reminders and final notice
  • Email and text markers show exactly what went out and when
  • After day 12 you are told, so you can add another referee
Chase status page with referee timelines and email and text markers

CQC inspection questions

More in the full FAQs.

Do CQC inspectors always look at staff files?
Recruitment evidence is a common part of inspection under the Safe key question, and inspectors may sample staff files. Keep every file ready rather than preparing a few.
What is a mock CQC inspection?
It is an internal review that copies how an inspector works. For recruitment, pick a sample of staff files and test each against the Schedule 3 list, paying close attention to dates.
Is there a downloadable CQC checklist?
CQC publishes its regulations and guidance on its website. You can use the checklist on this page as the recruitment section of your own audit, and our free reference template gives you a starting set of questions.
Will a phone reference pass a CQC inspection?
The regulations do not ban phone references, but you must be able to show satisfactory evidence. A signed written reference with a timestamped trail is far easier to show an inspector than a call note.
What happens if references arrive after the start date?
CQC guidance says Schedule 3 information must be confirmed before someone is employed, so a late reference is likely to be a finding. See how long care worker references take and how to speed them up.
Will RefAssure take care of CQC compliance for us?
No software can do that on its own. RefAssure gives you the evidence for the references part: signed consent, signed references and a full audit trail, ready to show an inspector. Read about our care compliance audit trail.

Related guides

Reference checking for care providers CQC Regulation 19 and Schedule 3 Care compliance audit trail Care worker pre-employment checks Free reference template

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