Staff Files and Recruitment Compliance Audit – Care Homes
Answered 0 / 32(0% complete)
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Audit workspace
Score
0%
N/A counts as Yes (full credit). Unanswered reduces the score until completed.
Breakdown
0 Yes •0 No •0 N/A •32 Unanswered
Answers Overview
Questions
0/32 answeredQ1 | Unanswered
Governance: Is there a current recruitment and staff-file policy with clear responsibilities, required checks, appointment authorisation and ongoing review arrangements?
Evidence to check
- • Current recruitment and staff-file policy and named responsibilities
- • Required-check procedures, authorisation arrangements and review schedules
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ2 | Unanswered
File coverage: Are accurate files or retrievable assurance records maintained for permanent, temporary, agency and volunteer personnel as applicable, matching those actually working at the home?
Evidence to check
- • Staff list, actual rosters and relevant agency or volunteer records
- • File index and checks confirming records are available for people deployed
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ3 | Unanswered
Required information: Does each applicable file contain full and satisfactory information required by Regulation 35 and Part 1 of Schedule 1, available for inspection by CIW?
Evidence to check
- • Individual checklists mapped to applicable Regulation 35 and Schedule 1 requirements
- • Sampled supporting records and action on missing or unsatisfactory information
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ4 | Unanswered
Role requirements: Are job descriptions and selection criteria current and specific to the role, with required qualifications, skills, experience and registration identified?
Evidence to check
- • Current job descriptions, person specifications and selection criteria
- • Role-specific qualification, competence and registration requirements
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ5 | Unanswered
Identity: Is identity verified through appropriate evidence, with names, photographs and relevant changes or discrepancies checked and recorded?
Evidence to check
- • Recorded identity checks and applicable supporting evidence
- • Verification of name changes, photographs and resolution of discrepancies
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ6 | Unanswered
Employment history: Is a full employment history obtained, with gaps, inconsistencies and relevant changes explained and assessed?
Evidence to check
- • Full employment histories and written explanations of gaps
- • Follow-up records addressing inconsistencies or unexplained changes
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ7 | Unanswered
References: Are required references obtained and their authenticity checked, with suitability information and any concerns followed up rather than relying only on unverified documents?
Evidence to check
- • Required references and recorded checks of source authenticity
- • Follow-up questions and decisions addressing suitability concerns
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ8 | Unanswered
Previous care work: Where relevant, are reasons for leaving previous work involving vulnerable people verified so far as reasonably practicable, with unresolved concerns assessed?
Evidence to check
- • Relevant previous care-employment details and reasons for leaving
- • Verification attempts, responses and assessment of unresolved information
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ9 | Unanswered
Selection decision: Do interview and selection records demonstrate assessment of suitability, values and role competence, with reasons for appointment or rejection recorded?
Evidence to check
- • Interview notes, assessment results and selection decision records
- • Evidence decisions considered suitability, values and role competence
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ10 | Unanswered
Qualifications: Are claimed qualifications and professional experience verified where required, with authenticity or equivalence concerns resolved before relevant duties are assigned?
Evidence to check
- • Qualification and relevant experience verification records
- • Checks of authenticity or equivalence and resolution of discrepancies
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ11 | Unanswered
DBS eligibility: Is the appropriate DBS check and any legally eligible barred-list check determined for the actual role, with required checks completed before relevant work begins?
Evidence to check
- • Role-based DBS eligibility and barred-list check decisions
- • Check completion dates compared with commencement of relevant work
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ12 | Unanswered
DBS verification: Are certificate identity, issue details, check level and relevant workforce verified, with any Update Service use supported by the person's consent and an appropriate certificate?
Evidence to check
- • Permitted records of verified DBS certificate identity, level, workforce and issue details
- • Where used, Update Service consent, certificate suitability and status-check results
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ13 | Unanswered
DBS findings: Are disclosed convictions or other relevant information assessed fairly and confidentially by an authorised person, with reasons and safeguards recorded and barred persons excluded from prohibited work?
Evidence to check
- • Confidential authorised suitability assessments of relevant disclosed information
- • Recorded decisions and safeguards confirming no prohibited deployment
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ14 | Unanswered
DBS renewal: Are Update Service status checks completed at least annually where used, and new DBS applications made within three years and at least every three years thereafter where the service is not used, as required by Regulation 35?
Evidence to check
- • DBS tracking register with certificate and application dates or Update Service checks
- • Annual status-check records or three-yearly application evidence and overdue-check actions
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ15 | Unanswered
Overseas history: Where a person has lived or worked overseas, are appropriate additional suitability checks considered and recorded, with limitations or unavailable information addressed?
Evidence to check
- • Relevant overseas residence or work history and additional check decisions
- • Check results or recorded limitations and follow-up suitability assessment
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ16 | Unanswered
Right to work: For employees, are lawful right-to-work checks completed before employment using the appropriate current method, with restrictions and required follow-up checks monitored?
Evidence to check
- • Dated right-to-work evidence using the applicable lawful checking method
- • Restriction and follow-up tracking with action before applicable deadlines
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ17 | Unanswered
Social Care Wales registration: Where required, is the person's correct registration status checked directly, with applicable registration deadlines, renewals and any restrictions monitored?
Evidence to check
- • Direct Social Care Wales registration checks and relevant deadline records
- • Renewal tracking and action on restrictions, incorrect registration or overdue requirements
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ18 | Unanswered
Professional registration: Where nursing or other professional registration is required, is current status verified with the relevant regulator, including any conditions affecting deployment?
Evidence to check
- • Direct checks with relevant professional registers, including NMC where applicable
- • Recorded conditions or restrictions and corresponding deployment decisions
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ19 | Unanswered
Health and adjustments: Is fitness for the role considered lawfully and confidentially, with reasonable adjustments and relevant occupational health advice supporting safe performance of essential tasks?
Evidence to check
- • Confidential role-fitness assessments and relevant occupational health advice
- • Reasonable-adjustment decisions and reviews of safe task performance
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ20 | Unanswered
Appointment clearance: Is there a dated, authorised decision confirming required checks and unresolved concerns have been addressed before the person undertakes the relevant work?
Evidence to check
- • Dated recruitment clearance and authorised appointment decision
- • Evidence required checks and concerns were resolved before relevant duties commenced
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ21 | Unanswered
Agency assurance: Before deployment, does the home obtain and verify suitable agency assurance of equivalent required checks, identity, competence and registration, with access to supporting information where needed?
Evidence to check
- • Agency assurance checklists and verified identity, competence and registration information
- • Agency reliability checks and follow-up on missing or inconsistent assurance
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ22 | Unanswered
Volunteers and other personnel: Are suitability checks, role boundaries and supervision arrangements proportionate and compliant for volunteers and other people with relevant contact at the service?
Evidence to check
- • Applicable volunteer or other personnel suitability records and role descriptions
- • Supervision, contact boundaries and checks against actual activity at the home
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ23 | Unanswered
Terms and duties: Do files contain current employment or engagement terms as applicable, role details, start dates and agreed duties consistent with actual deployment?
Evidence to check
- • Current employment or engagement terms and recorded start dates
- • Role and duty information matched to deployment and authorised changes
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ24 | Unanswered
Induction: Is role-specific induction recorded, including safeguarding, conduct, confidentiality, emergency arrangements and the home's residents' needs, with supervision until competence is demonstrated?
Evidence to check
- • Completed induction records and home-specific briefings
- • Supervision and sign-off showing readiness for assigned duties
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ25 | Unanswered
Training and competence: Do files record relevant training and practical competency assessments, with gaps or expired requirements addressed before unsupported duties are allocated?
Evidence to check
- • Training matrix, individual training records and practical competency assessments
- • Gap actions and controls on duties pending required competence
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ26 | Unanswered
Probation and supervision: Are probation reviews, supervision and appraisals recorded as appropriate, with concerns, development needs and agreed actions followed through?
Evidence to check
- • Relevant probation, supervision and appraisal records
- • Development or performance actions and evidence of follow-up
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ27 | Unanswered
Ongoing suitability: Are changes affecting conduct, registration, right to work or fitness reviewed promptly, with proportionate deployment decisions and required referrals or notifications?
Evidence to check
- • Ongoing suitability reviews and records of relevant changes or concerns
- • Deployment decisions, professional referrals and required notifications where applicable
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ28 | Unanswered
Leavers and role changes: Are leaving dates, role changes and relevant restrictions recorded, with access removed and any safeguarding or regulatory referral duties considered even if the person resigns?
Evidence to check
- • Leaver or role-change records and access-removal checks
- • Safeguarding or regulatory referral decisions, including where a person resigned
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ29 | Unanswered
Confidentiality: Are staff records accurate, securely stored and accessible only to authorised people, with sensitive health and criminal-record information protected appropriately?
Evidence to check
- • Staff-file storage and role-based access checks
- • Accuracy reviews and protections for sensitive health or criminal-record information
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ30 | Unanswered
Retention: Are staff-file records retained and disposed of under a documented lawful schedule, with DBS certificate information handled according to DBS guidance and necessary check details preserved?
Evidence to check
- • Lawful retention schedule and secure disposal records
- • DBS information-handling arrangements and permitted retained check details
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ31 | Unanswered
File audits: Are staff files sampled against actual deployment and required checks, with missing evidence, overdue checks and discrepancies prioritised and completion verified?
Evidence to check
- • File-audit samples matched to actual staffing and required checks
- • Prioritised action tracker and verified completion of missing or overdue evidence
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCameraQ32 | Unanswered
Leadership assurance: Do managers and the Responsible Individual review recruitment compliance and recurring file gaps, allocate resources and track improvements through the quality of care review?
Evidence to check
- • Management and Responsible Individual recruitment reviews and quality-of-care findings
- • Resource decisions and tracked actions addressing recurring compliance gaps
Supporting NotesNo notes yet.Notes are stamped with your name, date and time.Photographic Evidence
Attach photos for any answer, including positive evidence.
Image filesCamera
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