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Registration Number: {{org_field_registration_no}}

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Fit and Proper Persons Employed Staff Policy

1. Purpose

The purpose of this policy is to ensure that all individuals employed within our domiciliary care organisation meet the Fit and Proper Person Requirement (FPPR) as outlined by the Care Quality Commission (CQC) Regulations 2014 (Regulation 19). This policy establishes a robust and consistent approach to vetting, assessing, and monitoring employees to ensure they are suitable for their roles and uphold the highest standards of care, integrity, and professionalism.

By implementing stringent recruitment and ongoing monitoring procedures, {{org_field_name}} ensures the safety and well-being of service users while maintaining compliance with legal and regulatory requirements.

 

2. Scope

This policy applies to:

• All staff employed in any capacity within our domiciliary care service.
• All staff employed for the purposes of carrying on a regulated activity, including care workers, coordinators, office staff with access to people who use services and/or their records, and any other employees whose work supports the regulated activity.
  Note: Requirements for directors (or equivalent office holders) are addressed under Regulation 5 (Fit and Proper Persons: Directors) and are managed under the separate ‘Fit and Proper Persons – Directors’ governance arrangements/policy.
• Temporary and agency staff providing care services.
• Volunteers and external contractors with access to service users or sensitive information.

It covers:

• Recruitment and selection processes.
• Background checks and disclosure requirements.
• Ongoing monitoring and professional development.
• Compliance with regulatory and safeguarding standards.
• Staff training and reporting responsibilities.

3. Legal and Regulatory Framework

This policy is guided by the following regulations:

• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 19 (Fit and Proper Persons Employed).
• Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – sets out the information that must be obtained and retained for each person employed.
• Rehabilitation of Offenders Act 1974 (Exceptions) Order – supports lawful consideration of spent convictions for eligible roles (for example, roles eligible for enhanced DBS checks in regulated activity).
• Immigration, Asylum and Nationality Act 2006 – underpins the requirement to prevent illegal working through Right to Work checks.
• CQC Fundamental Standards – Ensures service providers recruit and employ suitable individuals.
• The Safeguarding Vulnerable Groups Act 2006 – Governs eligibility and barring of individuals.
• The Disclosure and Barring Service (DBS) Regulations – Ensures all employees undergo appropriate background checks.
• Equality Act 2010 – Ensures a non-discriminatory recruitment process.
• UK GDPR and the Data Protection Act 2018 – govern lawful processing, retention, security and confidentiality of recruitment and employment records.

4. Recruitment and Selection Process

To ensure that only suitable individuals are employed, our recruitment process includes:

• Robust Job Descriptions: Clearly defining responsibilities, essential qualifications, and key competencies.
• Application Screening: All candidates undergo a thorough assessment of experience and credentials.
• Verification checks are completed and recorded, including identity verification, qualification checks, registration checks (where applicable), and validation of employment history and gaps.
• Values-based interviews (in person or remote) are conducted by trained interviewers to assess values, behaviours, competencies and understanding of safeguarding, dignity, consent and person-centred care.
• Right to Work Checks: Verifying eligibility to work in the UK.
• Reference Verification: Minimum of two professional references, including one from the most recent employer.
• DBS Checks: Enhanced Disclosure and Barring Service (DBS) checks conducted for all care staff.
• Occupational Health Screening: Ensuring physical and mental fitness for the role.
• Probation Period: New employees are subject to a structured probationary review for the first three to six months.

5. Background Checks and Disclosure Requirements

• All employees must undergo:
  • Enhanced DBS checks prior to employment.
  • DBS checks are completed at the appropriate level for the role (including barred list check(s) where the role is eligible and the check is required).
  • Ongoing suitability is monitored through supervision, appraisal, incident/concern reporting and a risk-based approach to repeat checks. Where staff subscribe to the DBS Update Service, the organisation may use it as part of ongoing monitoring in addition to (not instead of) retaining the required recruitment evidence.
  • Verification of professional registrations, such as the Nursing and Midwifery Council (NMC) or Health and Care Professions Council (HCPC).
  • A signed declaration stating they are not disqualified from working in regulated activities.
• Any criminal record disclosures are assessed case-by-case, considering:
  • The nature and severity of the offence.
  • Time elapsed since the conviction.
  • The relevance to the role in question.
  • Evidence of rehabilitation and conduct.

5.1 Schedule 3 recruitment evidence (must be available for inspection)

For every person employed for the purposes of carrying on a regulated activity, {{org_field_name}} keeps and can provide the information required by Regulation 19(3)(a) and Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. This information is retained in the staff file (electronic or paper) and is made available to the CQC on request.

The staff file must include, as applicable:

a) Proof of identity (including a recent photograph).
b) Evidence of the person’s right to work in the UK.
c) A full employment history, including explanations for gaps.
d) At least two references, including where possible the most recent employer, and verification of reference authenticity.
e) Evidence of relevant qualifications, training and professional registration (where required).
f) A satisfactory DBS check at the appropriate level for the role (and barred list information where eligible/required).
g) A declaration of good character, including consideration of any disclosed convictions/cautions/reprimands/warnings in line with role eligibility.
h) Evidence of the person’s physical and mental fitness to carry out the role (for example, occupational health clearance or equivalent).
i) For agency staff/contractors: written assurance and evidence that equivalent checks have been completed and are available.

6. Ongoing Monitoring and Professional Development

To maintain compliance and support continuous improvement, {{org_field_name}} implements:

• Annual Performance Reviews: Evaluating employee competency, professionalism, and adherence to policies.
• DBS re-checking is risk-based. A repeat DBS check may be undertaken where indicated, for example: following safeguarding concerns or allegations; where there is a break in service; where role duties change (and a higher level DBS check and/or barred list check becomes eligible/required); where required by a commissioning or contractual requirement; or where audit identifies missing or insufficient evidence.
• Where a role requires professional registration (for example, NMC or HCPC), the employee must maintain registration and immediately notify {{org_field_name}} of any restrictions, investigations, cautions, conditions, suspensions or removals. The organisation completes routine status checks using the regulator’s verification systems and records the outcome.
• Training requirements are role-specific and aligned to statutory/mandatory expectations, service user needs and commissioning requirements.
• Mandatory Training Compliance: Employees must complete:
  • Safeguarding Adults and Children training.
  • Infection Prevention and Control training.
  • Mental Capacity Act (MCA) and Deprivation of Liberty Safeguards (DoLS) training.
  • Health and Safety and Fire Safety training.
• Code of Conduct Compliance: Employees must adhere to the CQC Code of Conduct and {{org_field_name}} Policies.
• Whistleblowing and Reporting Procedures: Encouraging staff to report concerns about colleagues’ fitness to practice.

7. Addressing Fitness to Practice Concerns

If concerns arise about an employee’s suitability, the following steps are taken:

• Internal Investigation: Led by senior management, with HR involvement.
• Immediate Safeguarding Actions: If required, temporary suspension or restricted duties may be implemented.
• Where an allegation indicates a risk of abuse or harm, {{org_field_name}} will follow local authority safeguarding procedures and, where relevant, make referrals in line with local multi-agency arrangements. This includes referral to the Local Authority Designated Officer (LADO) where concerns relate to a person working with children. We will also consider contractual reporting requirements to commissioners.
• Professional Body Notifications: If the staff member is regulated (e.g., NMC or HCPC), concerns are reported to the appropriate body.
• Disciplinary Actions: Depending on the findings, this may result in additional training, reassignment, or dismissal.
• DBS referral: Where the legal criteria for referral are met (for example, the person has harmed or posed a risk of harm to a vulnerable adult/child and has been removed from regulated activity, or would have been removed if they had not left), {{org_field_name}} will make a referral to the DBS without undue delay and keep an auditable record of the decision.

8. Compliance and Confidentiality

To ensure compliance and data security:

• All employee records related to vetting, training, and monitoring are stored securely and managed in line with GDPR regulations.
• Recruitment and vetting records are retained in line with the organisation’s retention schedule and legal requirements, and are readily retrievable for inspection. Access is role-restricted, and disclosures are limited to lawful and necessary purposes (including regulatory inspection).
• Confidentiality is maintained, with only authorised personnel having access to sensitive information.
• Regular audits are conducted to ensure continued compliance with CQC and employment law.

 

9. Monitoring, Evaluation, and Continuous Improvement

To uphold high standards, {{org_field_name}}:

• Conducts quarterly audits of recruitment and vetting processes.
• Reviews staff fitness-to-practice concerns to identify recurring trends.
• Collects employee and service user feedback on staff performance and suitability.
• Ensures annual policy reviews reflect regulatory updates and best practices.

10. Policy Review and Updates

This policy is reviewed annually or in response to:

Significant incidents involving staff fitness to practice.

Changes in legislation or regulatory requirements.

CQC inspection feedback and audit findings.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
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