CQC Regulation 19 and Schedule 3: staff checks explained

What Regulation 19 requires

Regulation 19 applies to every provider registered with the Care Quality Commission in England. It does not separate care from healthcare: a residential home, a domiciliary care agency, an independent clinic, a GP practice and a dental practice all work to the same rule. CQC's guidance breaks it into five parts.

• Fit and proper staff. People must be of good character, have the qualifications, competence, skills and experience the work needs, and be able to do the tasks intrinsic to the role after reasonable adjustments.
• Effective recruitment. Procedures must make sure people meet those conditions. If a third party carries out checks, the provider must confirm they are complete and satisfactory.
• Schedule 3 information. The provider must hold the information in Schedule 3 for each person employed, plus anything else the law requires.
• Professional registration. Anyone who needs registration with a professional regulator must hold it.
• Ongoing fitness. If someone stops being fit and proper, the provider must act, and tell the relevant regulator where needed.

"Person employed" includes volunteers, contractors, and agency or bank staff. CQC cannot prosecute for a breach of Regulation 19 on its own, but it can take regulatory action, and it must refuse registration to a provider that cannot satisfy it.

The Schedule 3 list

Schedule 3 to the 2014 Regulations sets out the information required for each person employed:

1. Proof of identity including a recent photograph.
2. A criminal record certificate where the role is eligible.
3. An enhanced criminal record certificate, with suitability information relating to children or vulnerable adults (the barred lists) where applicable.
4. Satisfactory evidence of conduct in previous employment concerned with health or social care, or with children or vulnerable adults.
5. Where the person worked with children or vulnerable adults, satisfactory verification, so far as reasonably practicable, of why that employment ended.
6. Documentary evidence of relevant qualifications, so far as reasonably practicable.
7. A full employment history, with a satisfactory written explanation of any gaps.
8. Satisfactory information about any physical or mental health conditions relevant to the person's capability, after reasonable adjustments.

The Schedule defines "satisfactory" as satisfactory in the opinion of the Commission. In practice, that means evidence you can show and explain to an inspector.