Care home compliance: getting staff references right
Recruitment files are one of the first things an inspector asks for. References are where most of the gaps turn up.
What do care home compliance checks on staff references involve?
For care home compliance, CQC Regulation 19 and Schedule 3 require satisfactory evidence of conduct in previous care work, verification of why earlier work with vulnerable adults or children ended, and a full employment history with gaps explained. Inspectors check this in staff files. RefAssure collects residential care references online, chases referees and keeps a signed, timestamped PDF for each worker.
What inspectors look for in care home staff files
Care home compliance covers a wide range of regulations, from safe care and treatment to good governance. For recruitment, the key one is Regulation 19, fit and proper persons employed, with the information listed in Schedule 3. Inspectors usually pick a sample of staff files and check them against that list.
The reference part of Schedule 3
- Evidence of conduct in previous employment in health or social care, or with children or vulnerable adults.
- Reason for leaving earlier work with children or vulnerable adults, verified so far as reasonably practicable.
- Full employment history with a satisfactory written explanation of any gaps.
The rest of Schedule 3 covers identity, DBS certificates, qualifications and health. RefAssure handles the references and employment history. See care worker pre-employment checks for the full list.
Common findings
- A reference from a friend or colleague instead of the last care employer, with no note explaining why.
- Gaps in employment history with no written explanation.
- References dated after the worker's first shift.
- A reference with no way to show who actually wrote it.
How to avoid them
Most of these come from pressure, not carelessness. A home is short on nights, a good candidate is ready to start, and the last care employer has not replied. The fix is a process that starts references the day an offer is made, chases them without anyone remembering to, and makes the gaps visible before the start date rather than at inspection.
Ask candidates for a named manager at their most recent care employer, not a general HR inbox. Check every employment history for gaps at interview and write down the explanation there and then. Do not let a worker onto the rota until someone has reviewed the references and signed them off. If anything is missing, record why and what you did about it. An inspector will usually accept a well-documented exception far more readily than a file with no explanation at all.
Questions for residential care references.
Residents depend on staff around the clock. Add these to your care home template once.
Dignity and personal care
How did the candidate treat residents during personal care? Any concerns about respect or dignity?
Nights and weekends
How did they conduct themselves on nights or shifts with less senior cover?
Safeguarding
Any safeguarding concerns, investigations or disciplinary action while employed?
Reason for leaving
Why did their employment end? This is a Schedule 3 point for previous care work.
Team working
How did they work with colleagues, families and visiting professionals?
Would you re-employ?
Yes or no, with room for the referee to explain.
References back before the rota needs them.
Across 229 completed RefAssure references, the median was about 23 hours. 4 in 10 came back after an automatic reminder.
- Candidate signs consent online before referees are contacted
- 5 emails and up to 2 texts over 12 days, stopping on reply
- Referees sign through a unique secure link, no login
- Timestamped PDF for each worker, ready to show an inspector
Managers, nurses and agency staff
Registered managers. Regulation 7 sets requirements for registered managers, and directors and equivalents fall under the fit and proper persons requirement in Regulation 5. Both call for careful checks on character and past conduct. See fit and proper persons reference checks.
Nursing homes. Registered nurses also need a check of the NMC register, which you do directly with the NMC. RefAssure handles their references. See NMC reference checking.
Agency and bank staff. Agency workers should come with confirmation of the checks the agency has done, and bank staff need the same evidence as permanent staff. See bank staff references in care.
Care home reference questions
More in the full FAQs.
How many references do care home staff need?
Schedule 3 does not set a number. Most care homes ask for two, including the most recent care employer, so they can show evidence of conduct and the reason for leaving.
Can a carer start before references are back?
The Schedule 3 information should be in place before someone starts. If anything is outstanding, record a risk assessment and the supervision in place. See safe recruitment in care.
What if a previous care employer will not reply?
Keep a record of every attempt, add another referee and note why. RefAssure chases for 12 days and then tells you so you can add someone else.
Is RefAssure approved by CQC?
CQC does not certify software. RefAssure gives you the reference evidence that supports Regulation 19, ready to show an inspector. See CQC compliance software.
Do you provide a CQC reference template?
There are no built-in sector templates. Add the questions your sector expects to your template once, or upload your current form as a PDF or Word file.
What does it cost?
Your first reference is free. Then from 99p down to 80p each, with no monthly fee and no VAT added. See pricing.
Related guides
Staff files that pass the sample.
Your first reference is free. Two minutes to send, and RefAssure chases the rest.