Safer recruitment, without the folder of printouts.
Ask a registered manager where their recruitment records live and you'll often get a nervous laugh and a nod towards a filing cabinet. The checks get done. Proving it, on the day an inspector asks, is the hard part.
Here's what the rules actually ask for, in England and in Wales, and a simpler way to keep it ready.
England: Regulation 19 and Schedule 3.
CQC's rule is Regulation 19, "fit and proper persons employed". It reaches further than your payroll. Volunteers, contractors, agency and bank staff all count as people you employ.
Schedule 3 is the evidence list. It includes proof of identity with a recent photograph, a DBS check where one applies, satisfactory evidence of conduct in any previous work in health or social care or with children or vulnerable adults, why that work ended, relevant qualifications, and a full employment history with a written explanation of any gaps. It also covers health information relevant to doing the role, after reasonable adjustments.
Three things people miss. The Schedule 3 information has to be confirmed before someone starts, not filled in afterwards. If a person's history raises a concern and you still decide they're suitable, CQC expects you to write down why. And if another organisation carries out the checks, you still have to satisfy yourself they're complete.
Wales: Regulation 35 and Schedule 1.
Regulation 19 doesn't apply in Wales. The Welsh rules are in the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017. Regulation 35 says nobody can work at the service unless they're fit to, and that covers volunteers too. Part of being fit is having the information in Schedule 1 on file and available for CIW to inspect.
Schedule 1 looks a lot like Schedule 3, with a few differences that matter.
Where England and Wales differ.
References. England doesn't set a number. Wales does: two written references, including one from the person's last employer.
DBS. In Wales, if someone is on the DBS update service, you check their certificate status at least once a year. If they aren't, you apply for a new certificate within three years, and every three years after that.
Registration. In Wales, care workers in domiciliary support services must register with Social Care Wales within six months of starting. Schedule 1 also asks for evidence of language ability where it's needed to provide care.
It doesn't have to be paper.
CQC's own guidance says providers don't need to keep these documents on paper. What matters is that the record is complete, current and quick to find. A folder of printouts usually manages the first. It rarely manages the other two.
One file per person, not one cabinet per office.
The simplest system is a single file for each candidate that fills in as you go: ID, DBS, references, right to work, employment history, health declaration, qualifications, each with the date it was checked and who checked it. When something's missing, the file says so. When the inspector asks, you open it.
That's how Altis works. Every candidate gets a compliance file the moment they apply, built for providers regulated by CIW and CQC. Your team still does the checking. Altis keeps track, chases what's outstanding, and has the file ready when someone asks to see it.
This is a plain-English guide, not legal advice. Always check the regulations and your regulator's guidance for your own service.