Login

DCW02-Fit and Proper Persons: Employed Staff Policy

{{org_field_logo}}

{{org_field_name}}

Registration Number: {{org_field_registration_no}}

Fit and Proper Persons: Employed Staff Policy

1. Purpose

The purpose of this policy is to ensure that all staff employed by {{org_field_name}} are fit and proper persons to deliver safe, compassionate, and high-quality domiciliary care services. This policy is designed to protect service users from harm, abuse, or neglect by ensuring that only individuals of high integrity, competence, and professionalism are recruited and retained.

This policy is aligned with The Regulation and Inspection of Social Care (Wales) Act 2016, The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, and CIW guidance on recruitment and workforce suitability​.

By implementing this policy, {{org_field_name}} ensures that all employed staff uphold the values of respect, dignity, and person-centred care, as well as maintain compliance with all relevant legislation and regulatory requirements.

2. Scope

This policy applies to all individuals employed or contracted by {{org_field_name}}, including:

It is the Registered Manager’s responsibility to ensure all employed staff meet and continue to meet the fit and proper person criteria throughout their employment. This policy also applies to CIW inspectors and commissioning bodies, who must be assured that recruitment and employment practices are rigorous and compliant.

3. Fit and Proper Persons Criteria for Employed Staff

To be considered a fit and proper person, all employed staff must meet the following mandatory requirements:

  1. Be of Good Character
    • Staff must demonstrate honesty, integrity, reliability, and professionalism in all aspects of their role.
    • Any history of dishonesty, abuse, financial misconduct, or violent offences will be considered in the recruitment decision.
    • An Enhanced Disclosure and Barring Service (DBS) check will be conducted for all care staff before employment begins.
  2. Have the Necessary Qualifications, Skills, and Experience
    • Care workers must have, or be willing to obtain, appropriate qualifications in health and social care, such as:
      • Level 2 or Level 3 Diploma in Health and Social Care (Adults) Wales.
      • Specialist training in medication administration, safeguarding, and manual handling.
    • Staff must demonstrate competency in their roles through supervised practice and ongoing performance evaluations.
  3. Be appropriately registered with Social Care Wales (where required)
    • Where a role requires registration with Social Care Wales (including domiciliary care workers and managers where applicable), the individual must provide evidence of registration (or approved application status) and must maintain registration as a condition of continued employment. {{org_field_name}} will monitor registration status and renewal dates through supervision, appraisal and workforce audits and will take prompt action where registration lapses or conditions are imposed.
  4. Not Be Barred from Working in Regulated Services
    • No staff member should appear on the DBS barred list, which prevents individuals from working with vulnerable adults.
    • Staff must disclose any safeguarding concerns or previous disciplinary actions from previous employment.
  5. Be Physically and Mentally Fit for Their Role
    • Employees must be in good physical and mental health to perform their duties safely and effectively.
    • Pre-employment health checks and occupational health assessments may be required for certain roles.
  6. Demonstrate Compliance with Regulatory and Organisational Policies
    • Staff must adhere to all legal and regulatory requirements, including:
      • The Social Services and Well-being (Wales) Act 2014.
      • The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017​.
      • The Safeguarding Vulnerable Groups Act 2006.
    • Ongoing training in safeguarding, infection control, and confidentiality is mandatory.
  7. Promote a Culture of Respect and Person-Centred Care
    • Staff must respect service users’ dignity, rights, and choices at all times.
    • Abusive, discriminatory, or neglectful behaviour will result in immediate disciplinary action, including dismissal and referral to regulatory bodies.

4. Recruitment and Employment Screening

Before employing a new staff member, {{org_field_name}} follows a rigorous screening process to ensure compliance with CIW regulations. This includes:

  1. Enhanced DBS Checks
    • All roles that involve regular contact with individuals receiving care and support (including care workers, managers, volunteers, and any other workers in scope) must have an appropriate Enhanced DBS certificate and barred list check where the role is eligible/required, before they undertake regulated activity or have unsupervised contact.
    • Where an individual is registered with the DBS Update Service, {{org_field_name}} will verify the DBS certificate status at least annually (and more frequently where risk indicates).
    • Where an individual is not registered with the DBS Update Service, {{org_field_name}} will obtain a new Enhanced DBS certificate within 3 years of the issue date of the previous certificate and at least every 3 years thereafter, or sooner where concerns, role changes, or safeguarding information indicate this is necessary.
  2. Verification of Identity and Right to Work
    • Staff must provide valid photo identification (passport, driving licence) and proof of address.
    • Right-to-work checks must be completed for non-UK citizens.
  3. Reference Checks
    • At least two professional references must be obtained, including one from a previous employer in the care sector (if applicable).
    • Any unexplained gaps in employment history must be fully investigated.
  4. Competency Assessments
    • New staff must undergo practical assessments to demonstrate skills in medication management, moving and handling, personal care, and emergency procedures.
  5. Induction and Probationary Period
    • All new employees must complete a 12-week induction aligned with the All Wales Induction Framework for Health and Social Care.
    • A six-month probation period will assess performance, behaviour, and adherence to policies.
  6. Schedule 1 workforce file
    • For every person employed, engaged, seconded, or permitted to work at the service (including volunteers and agency/bank staff), {{org_field_name}} will create and maintain a workforce file containing full and satisfactory information in line with Part 1 of Schedule 1 of the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 (as amended).
    • This information will be retained securely and will be available at the service for inspection by CIW. Where checks are completed by an agency or third party, {{org_field_name}} will hold documented evidence (e.g., checklists/assurances and, where appropriate, verified copies) demonstrating that the Schedule 1 requirements have been met.

Agency/bank staff and volunteers will not be deployed unless {{org_field_name}} has obtained evidence that they have been subject to the same fit person and Schedule 1 checks as directly employed staff (including appropriate DBS arrangements). {{org_field_name}} will also maintain a record of the agency assurance received and will periodically review agency reliability/robustness in completing these checks.

5. Ongoing Monitoring and Compliance

To maintain high standards, all staff will undergo continuous monitoring and reassessment of their fitness to work, including:

  1. DBS status checks and re-checking
    • DBS Update Service: where the worker is subscribed, a DBS status check will be completed at least annually and recorded.
    • Not on DBS Update Service: a new Enhanced DBS certificate will be obtained within 3 years of the issue date of the previous certificate and at least every 3 years thereafter, or sooner where risk indicates.
    • Any information returned, disclosed, or otherwise identified that raises concern will be risk assessed and acted upon promptly, including referral to DBS and/or relevant professional bodies where required.
  2. Mandatory Training Updates
    • Staff must renew training in safeguarding, moving and handling, first aid, fire safety, infection control, and medication administration.
  3. Supervision and Appraisals
    • Staff will have quarterly supervisions and annual performance appraisals to review their conduct, skills, and service user feedback.
  4. Incident and Complaint Reviews
    • Any safeguarding concerns, complaints, or disciplinary issues will trigger a review of the individual’s fitness to practice.
    • If necessary, the staff member may be retrained, reassigned, suspended, or dismissed.

6. Dealing with Concerns About an Employee’s Fitness

If concerns arise about a staff member’s fitness to work, the following actions will be taken:

  1. Internal Investigation
    • The Registered Manager will conduct an investigation and, if necessary, suspend the staff member pending the outcome.
  2. Regulatory Reporting
    • CIW, DBS, and Social Care Wales will be informed if an employee is found unsuitable to work in care.
  3. Potential Dismissal and Legal Action
    • If the employee is found unfit to work, they will be removed from their role and reported to the relevant authorities.

7. Related Policies

This policy should be read alongside:

8. Policy Review

This policy will be reviewed annually or sooner if there are changes in legislation or regulatory guidance.

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}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.

Leave a Reply

Your email address will not be published. Required fields are marked *