Staff File Requirements for UK Home Care Agencies

An inspection rarely begins with your staff files. It begins with a question about one person: the carer who visited the client whose relative made a complaint, or a name picked from the rota. Then comes the request to see that person's file.

What follows is not an audit of your recruitment policy. It is a check of whether the documents the law requires are actually there for that one person, on the day you are asked. Most agencies have a good policy. The thing that is missing is usually one explanation, one reference, or one date nobody chased.

This is what the file has to contain, in each of the four nations, with the regulation each requirement comes from.

England: the eight items in Schedule 3

The list lives in Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, and Regulation 19 is the duty that requires it. For every person employed for the purposes of a regulated activity, you must hold:

1. Proof of identity including a recent photograph.
2. A copy of the criminal record certificate, where one is required.
3. A copy of the enhanced certificate with barring information, where that is required.
4. Satisfactory evidence of conduct in previous employment concerned with health or social care, or with children or vulnerable adults.
5. Where the person previously worked with children or vulnerable adults, verification, so far as reasonably practicable, of why that employment ended.
6. So far as reasonably practicable, documentary evidence of any qualification relevant to their duties.
7. A full employment history, together with a satisfactory written explanation of any gaps in employment.
8. Satisfactory information about any physical or mental health conditions relevant to their capability, after reasonable adjustments, to perform the work.

The word doing the most work in that list is satisfactory, and the schedule defines it: satisfactory in the opinion of the Commission. That is the sentence worth understanding. A reference sitting in a folder is not automatically satisfactory evidence of conduct. An employment history with "travelling" written against a two year gap may not be a satisfactory written explanation. Holding the document and passing the check are not the same thing.

Two details that are regularly got wrong. Since 15 January 2024, volunteers are exempt from the full employment history item, under Regulation 19(3A), unless they are also a provider, director or manager. And Regulation 5, the fit and proper persons test for directors, applies to any provider that is a body other than a partnership. A two person limited company is caught by it. There is no small provider exemption.

Wales: ten items, and the only statutory DBS clock

Wales has its own list, in Schedule 1 Part 1 of The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017. It covers the same ground as England and then adds four things:

• Two written references, including one from the last employer, if any. This is a requirement, not a good practice note.
• Evidence of satisfactory linguistic ability for providing care to the people this worker will support. Wales asks this of every worker, not only those who qualified abroad.
• Documentary evidence of registration with Social Care Wales, where relevant. Care workers have six months from starting to register.
• Details of registration with or membership of any professional body.

Wales is also the only nation that puts a clock on the criminal record certificate. Under Schedule 1 Part 2, a certificate is valid only if no more than three years have passed since it was issued, or the worker is registered with the DBS Update Service and the status is checked. Agencies that operate on both sides of the border are the ones most likely to be caught out here, because a certificate that is perfectly acceptable in England can be out of time in Wales.

Scotland: no list at all

This surprises people, so it is worth being exact. There is no statutory staff file schedule in Scotland. Regulation 9 of the Social Care and Social Work Improvement Scotland (Requirements for Care Services) Regulations 2011 says a provider must not employ anyone who is not fit to be employed, and defines unfitness. It does not list documents.

Scotland regulates this by outcome and professional judgement instead, and the document list comes from guidance that is inspected against rather than from a schedule. The Care Inspectorate's quality framework publishes what it samples, which includes the recruitment policy and procedure, job descriptions, induction, and personnel or staff recruitment files.

Two Scottish specifics matter more than the absent list. SSSC registration is a condition of the job, with three months to apply and six months to be registered. And PVG membership changed on 1 April 2026: it is now a five year scheme rather than a lifetime one, so there is a renewal date to track where previously there was not.

Northern Ireland: the longest list

Schedule 3 of The Domiciliary Care Agencies Regulations (Northern Ireland) 2007 runs to twelve items and is the most prescriptive of the three schedules. Alongside identity, references, employment history and qualifications, it asks for things no other nation requires:

• Next of kin name, address and telephone number.
• Details of any professional indemnity insurance.
• Details of any current employment other than with the agency.
• A physical and mental health record including immunisation status.
• A statement by the registered provider or manager that the person is physically and mentally fit for the work.

Northern Ireland also treats the checks as a gate rather than a formality. RQIA's minimum standards put the requirement before the offer of employment, not before the first shift. Workers register with NISCC, disclosure comes from AccessNI, and the barred lists are held by the DBS, which catches out agencies who assume the disclosure body and the barring body are the same organisation.

Five differences that catch agencies out

If you operate in more than one nation, the practical consequence is that a single recruitment checklist will be wrong somewhere. The file that satisfies an English inspector is missing two written references and language evidence in Wales, and missing next of kin, indemnity insurance and immunisation status in Northern Ireland.

The gap in employment, which is where files usually fail

England, Wales and Northern Ireland use almost identical words: a full employment history, together with a satisfactory written explanation of any gaps in employment.

Three things make this the item most often missing. The explanation has to be written, so a conversation at interview that nobody recorded does not count. It has to cover the gap that is open right now, meaning the time between someone's last job ending and today, which application forms rarely ask about. And it has to be satisfactory to the regulator, not to the person who filed it.

It is also the item candidates are most likely to leave vague, because the honest answers are personal: illness, caring for a parent, a period out of work. A form that treats a gap as a red flag gets evasive answers. A form that asks plainly, and says why it is asking, gets usable ones.

What an inspector actually asks for

CQC has published its approach. Inspectors consider what the provider puts forward, do not need to look at all the Schedule 3 items at every inspection, and will not routinely ask to see a hard copy DBS certificate, though they may in a particular case. What they are testing is whether the provider holds the information and can produce it.

Two practical points come out of that. The first is that electronic files are fine: CQC states that it is not necessary to keep documents in paper format and that electronic or online evidence can also be used. The second is the consequence of coming up short. In CQC's own words, a failure to evidence safe recruitment practice is likely to result in a breach of regulation, which could affect the rating under Safe, Effective or Well-led. One missing explanation can reach three key questions.

One more thing worth knowing, because it runs the other way to most compliance instincts: you are not supposed to keep the DBS certificate. The published expectation is that it is destroyed after a suitable period, usually no longer than six months, and that you keep a record of the certificate number, the date and the decision you made. Agencies that scan every certificate into a folder are creating a retention problem, not a compliance one.

What to do before the next inspection

Pick one carer at random, the way an inspector would, and try to produce their file in ten minutes. You will learn more from that than from reading your own policy. The things that are usually missing:

• A written explanation for a gap, especially a current one.
• A renewal or expiry date against a criminal record check, so nothing is chasing it.
• The reason a previous care role ended, as opposed to the dates it ran.
• A second reference in Wales or Northern Ireland.
• A follow-up date against time limited permission to work.

None of those take long to fix. They take someone noticing, which is the actual problem: a staff file is a dozen items with different owners, different sources and different expiry dates, and nothing about a filing cabinet or a shared drive makes the holes visible.

How homecareOS handles it

Our recruitment portal collects these items from the candidate, including a written explanation for every gap of more than four weeks, which cannot be skipped. When you hire someone, what they gave carries onto their staff file rather than being re-typed.

Any carer record produces a staff file as a PDF, ordered to Schedule 3, with each item marked as held or missing and the missing ones counted on the first page. It is deliberately unflattering: a pack that quietly leaves out what you do not have is worse than no pack, because you hand it over believing it is complete. It is nation aware, so a Scottish file asks for PVG and SSSC, and a Welsh one for two written references and Social Care Wales.

Expiry dates are chased rather than displayed. A daily check warns the office before a criminal record check, registration, right to work or training certificate lapses, and keeps warning weekly once something has passed its date.

See how recruitment works in homecareOS, or read our guide to choosing home care software if you are comparing systems.

Sources

• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, Schedule 3 and Regulation 19.
• Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, Schedule 1.
• Social Care and Social Work Improvement Scotland (Requirements for Care Services) Regulations 2011, Regulation 9.
• Domiciliary Care Agencies Regulations (Northern Ireland) 2007, Schedule 3.
• CQC guidance on Regulation 19, including its published position on what inspectors consider and on electronic records.
• GOV.UK employer guidance on DBS checks, including certificate retention.

Checked 26 October 2026. Regulations change: check the legislation before you rely on it, and note that CQC's assessment framework is being revised.

Frequently asked questions

What must be in a care worker's staff file?

In England, the eight items in Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014: proof of identity including a recent photograph, the criminal record certificate with barring information where it applies, satisfactory evidence of conduct in previous health or social care employment, verification of why a previous role working with children or vulnerable adults ended, documentary evidence of relevant qualifications, a full employment history with a written explanation of any gaps, and satisfactory information about health conditions relevant to capability. Wales and Northern Ireland have their own lists, which are longer. Scotland has no statutory list at all.

Does a DBS check expire?

Not in England. There is no statutory expiry date and no re-check interval, which is why agencies set their own renewal policy and inspectors look for one. Wales is different: a certificate counts only if it was issued in the last three years, or the worker is on the Update Service and the status is checked. In Scotland, PVG membership became a five-year scheme on 1 April 2026. In Northern Ireland an AccessNI certificate cannot be re-checked at all, because there is no update service.

How many references does a home care agency need?

Two written references, including one from the most recent employer, are a legal requirement in Wales and Northern Ireland. England specifies neither a number nor a format: Schedule 3 asks for satisfactory evidence of conduct in previous care employment, which a reference usually provides but does not have to. Scottish guidance expects two and rejects open ones addressed to whom it may concern.

What does an inspector ask for when they sample a staff file?

CQC's published position is that inspectors consider what the provider puts forward, need not look at all the Schedule 3 items at every inspection, and will not routinely ask to see a hard copy DBS certificate, though they may in a particular case. The Care Inspectorate in Scotland publishes an explicit sampling list that includes recruitment policy and procedure, induction, and personnel or staff recruitment files.

Do we have to explain gaps in someone's employment history?

Yes, in England, Wales and Northern Ireland. All three schedules use almost the same wording: a full employment history together with a satisfactory written explanation of any gaps in employment. A written explanation means something recorded on the file, not a conversation someone remembers having at interview.

Can staff files be electronic?

Yes. CQC states it plainly: it is not necessary for providers to keep documents in paper format, and electronic or online evidence can also be used. That is the premise behind the way homecareOS holds a staff file: one record for each person, printed as a single document when an inspector asks.