As Head of Regulatory Affairs at Zinc, I’m often asked a simple question with a surprisingly nuanced answer: What, exactly, does the CQC require us to check before we employ someone?
The answer? It depends.
Your starting point should always be the legislation itself. In this case, Regulation 19 sets out the legal duties for “fit and proper persons employed”. Everything else — sector playbooks, inspector and audit expectations, and “what good looks like” — builds on that foundation.
There’s no one-size-fits-all answer, so let’s walk through the different regulations and how they could apply to your situation.
Why Regulation 19 matters
If you’re CQC-registered, your baseline duty for safe recruitment comes from the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014.
Regulation 19 (“Fit and proper persons employed”) requires providers to appoint people:
- Of good character
- With the qualifications, competence, and experience for the role
- With the health (with reasonable adjustments) required to perform it.
What does this mean for your recruitment process? Well, the CQC states that you have to run effective recruitment procedures, verify professional registration where required, and act if someone becomes unfit.
Where does Schedule 3 fit in?
Regulation 19(3) says you must have the information set out in Schedule 3 for each person employed for a regulated activity.
Schedule 3 is the statutory list of what you have to have on file for each person, including:
- Identity (with photo)
- Criminal record certificate (where eligible)
- Evidence of conduct in relevant prior roles
- Reasons for leaving such roles (where reasonably practicable)
- Evidence of any relevant qualifications
- Full employment history with explanations for gaps
- Information about any relevant physical or mental health conditions
Think of Regulation 19 as the duty (what you have to do) and Schedule 3 as the evidence list (what you must have) that inspectors can audit. (Legislation.gov.uk)
Helpfully, the CQC has issued Regulation 19 FAQs. This is a practical guide to what inspectors look for and shows how you can demonstrate compliance.
It explains that inspections are proportionate and risk-based, typically using a sample of staff files. The Regulation 19 FAQ specifies that inspectors want to see your decision-making where evidence is limited.
For example, if previous employers will only confirm dates, the FAQ advises:
- Recording attempts to obtain fuller evidence of conduct
- Completing a risk assessment
- Putting appropriate supervision in place until the employee demonstrates competence
What varies by setting (and what’s non-negotiable)
There are a lot of things that change based on what type of CQC-regulated setting you’re hiring in. But thankfully, there are some constants.
The non-negotiables
Regulation 19 and Schedule 3 apply to anyone you “employ” for the regulated activity. This can be broadly interpreted to include agency staff, bank staff, volunteers, and contractors.
What’s operationally different by setting
NHS providers specifically implement the NHS Employment Check Standards (identity, right to work, employment history & three years of references, professional registration/qualifications, work health assessment, criminal record checks).
These standards are designed to clearly address the legal duties and make it easier for NHS employers to interpret the regulations.
Other health and social care services should design appropriate processes that meet Regulation 19 and Schedule 3 (using the CQC Reg 19 FAQs to interpret expectations).
You can choose to complement the legal requirements with additional sector guidance (e.g., Skills for Care, Better Hiring Institute Toolkits) but treat these as optional practice frameworks rather than your regulatory duty.
If a role is regulated activity with children, ensure the eligible DBS level and barred-list checks apply. As always, the eligibility needs to be based on what the role actually does, alongside the setting and the frequency of the role. The NHS standard on Criminal Record Checks includes clear signposting on determining eligibility.
For dental practices, the CQC’s dental mythbuster shows how eligibility actually depends on the role: clinical staff will usually require an Enhanced DBS check, but non-clinical staff may not, depending on the duties (e.g., chaperoning vs. admin only).
What do I need to keep on file?
No one wants key documents to be missing in the middle of a CQC inspection. But knowing what to keep and what to shred can be tricky.
What the law (Schedule 3) says
Where a DBS is required, keep a copy of the criminal record certificate (standard/enhanced) and, where applicable, barred-list information.
How the CQC applies it
Inspectors don’t need to see the hard-copy certificate. But they do need clear records of the result, including whether barred-list data was obtained.
They will also require evidence of your risk assessment if there’s disclosure content. Electronic evidence of the result is acceptable.
NHS nuance (Section 6.1.2)
The NHS Employment Check Standard specifies that if you use a third-party or umbrella body and the disclosure is clear, you may accept written confirmation from that agency without seeing the original certificate. However, if there’s criminal record information disclosed, you need to see the original or obtain a scanned copy to assess suitability.
This does not contradict Regulation 19. The regulation sets the evidence requirement, and the NHS standard sets out how NHS employers can capture it in practice. Either way, you must ensure that your file contains the result details (level, barred-list status, certificate number/date, role) and a record of your decision.
Employment history, references and “evidence of conduct”
Once you’ve made a list of what to check and what you need to keep on file, there are still more things you need to do to comply with requirements.
Full employment history (and gaps)
Schedule 3 expects a full employment history with explanations for gaps.
The CQC’s FAQ allows you to pull employment history from a CV and expects you to explore any gaps in interviews, with reasons recorded. Since January 2024, this requirement for a full history doesn’t apply to volunteers (except in specific roles like service provider, director, or registered manager). (Legislation.gov.uk)
References are only one route for verification. Regulation 19 focuses on finding evidence of conduct in relevant prior roles. If references aren’t available or are date-only, use other credible evidence (e.g., appraisals) and document your risk mitigations (e.g., supervision, staged duties) until the employee has demonstrated competence.
What “good” looks like: Practical actions
The big question — what’s going to get you an “Outstanding” on your next CQC inspection? Here are some good guidelines to follow.
1. Anchor your practice to the law
Make Regulation 19 and Schedule 3 your master checklists. Use CQC’s Regulation 19 FAQ to interpret what “good” evidence looks like.
2. Pick the right operational standard:
In NHS settings, you should implement — and annually review — against the NHS Employment Check Standards (including 6.1.2 for umbrella-body DBS results).
In other settings, interpret and apply Regulation 19, Schedule 3, and the CQC’s Reg 19 FAQ. You may also decide to consult and adopt elements from Skills for Care or Better Hiring Institute guidance, but always keep the legal and regulatory requirements front-and-centre.
3. Collect full employment history early
For compliance, you need a full record (e.g. a CV or application form) that covers all periods going back to the end of the candidate’s full-time education. In your interview stage, be sure to probe gaps and record reasons for leaving relevant roles (i.e. where work involved children/vulnerable adults).
For clarity add interview notes to the employee’s file alongside the completed screening report as part of the evidence required.
4. Handle DBS results proportionately
If a third-party result is clear, retain their written confirmation and your verification log. If criminal record information is disclosed, view the original/scanned certificate and risk-assess before recording your decision-making process.
Remember, Enhanced DBS checks are not automatically required in health and care settings. Eligibility depends on role and activities (see Criminal Record Checks Standard and the CQC Dental mythbuster example for non-clinical staff).
5. Document your judgement calls
When information is limited or delayed (e.g., date-only references), record your risk assessment, mitigations and follow-up. This evidence is specifically what inspectors look for.
How Zinc helps CQC-regulated organisations
If we’ve proved anything above, it’s that none of this is simple. Zinc was built to help you take complex regulatory requirements and meet the highest standard of compliance through comprehensive background checks.
With Zinc you can configure screening packages that map to Regulation 19 and Schedule 3 requirements for your health or social care setting. Our platform centralises identity, employment history (with gap prompts), DBS (including DBS Update Service), and professional registration and qualifications.
You’ll get audit-ready records, plus a tidy space in our reports to track risk assessment outcomes so you can demonstrate proportionate, inspector-ready decisions.
Book a demo and our team will be happy to help build a screening package tailored to your roles , care setting, and other requirements.
Sources and additional reading
- Regulation 19 (CQC guidance page): Intention and duties. (Care Quality Commission)
- Regulation 19(3) + Schedule 3 (legislation): The statutory “file list”. (Legislation.gov.uk)
- CQC Regulation 19 FAQ (PDF): Sampling, electronic evidence, conduct alternatives, gaps at interview.(CQC FAQ)
- NHS Employers: Criminal record checks standard (incl. §6.1.2): third-party clear results; when to see original/scanned certificate. (NHS Employers)
- Dental mythbuster 19: Role-based DBS eligibility; non-clinical staff not automatically eligible; performers-list reliance with risk assessment. (Care Quality Commission)
Amendment removing full employment history for volunteers (Jan 2024): Volunteers exception (with specific role exceptions). (Legislation.gov.uk)
