Staff File Audit - Care Homes
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- Q1: Is there a complete application form for the staff member, including employment history with no unexplained gaps?
- Q2: Is there a signed and dated interview record demonstrating a structured and values-based interview process?
- Q3: Are two written references on file, including one from the most recent employer, and are they verified for authenticity?
- Q4: Is there evidence of proof of identity (e.g., passport, driving licence, birth certificate) with a clear copy retained?
- Q5: Are right to work checks completed and documented in line with Home Office requirements (e.g., visa, settled status)?
- Q6: Is a current and clear DBS certificate on file, with date of issue and appropriate level of check (standard or enhanced)?
- Q7: Is there a record of the DBS update service subscription or a risk assessment where a check is pending?
- Q8: Is there a signed offer letter or contract of employment, including terms and conditions, role description, and start date?
- Q9: Are pre-employment health checks or declarations completed and reviewed for any adjustments required?
- Q10: Is evidence of relevant qualifications, training certificates, or professional registration (e.g., NMC) on file and valid?
- Q11: Is induction training documented, including completion of mandatory topics and shadowing arrangements?
- Q12: Is the Care Certificate progress (if applicable) recorded and completed within 12 weeks of start date?
- Q13: Are probation reviews completed at the appropriate intervals and documented with outcomes and support needs?
- Q14: Is the staff member’s supervision and appraisal history up to date, signed, and reflects reflective practice and goal setting?
- Q15: Are ongoing training records maintained, including mandatory refreshers and role-specific competencies?
- Q16: Are competency assessments completed and signed off (e.g., medication, moving & handling, infection control)?
- Q17: Is a current photo of the staff member on file for ID and safeguarding purposes?
- Q18: Are emergency contact details recorded and kept up to date?
- Q19: Is there a disciplinary or grievance log if applicable, with outcomes and actions documented in line with policy?
- Q20: Are records of any safeguarding concerns or allegations retained securely and handled in accordance with safeguarding procedures?
- Q21: Is the staff member’s right to work or professional status monitored for expiry or renewal needs (e.g., visa, PIN renewal)?
- Q22: Are declarations of criminal convictions or cautions obtained and reviewed annually?
- Q23: Are staff declarations of conflict of interest or secondary employment completed and reviewed?
- Q24: Is there evidence of GDPR and confidentiality agreement being signed?
- Q25: Is there a record of vaccination status (e.g., COVID-19, flu) if relevant to policy or public health guidance?
- Q26: Are file audits dated and signed, with clear notes of any actions or documents missing?
- Q27: Is there consistency across staff files to meet regulatory and legal expectations?
- Q28: Is the staff file stored securely, in line with data protection and confidentiality requirements?
- Q29: Is there a log or checklist of required documents, with completion status for quick review during inspections?
- Q30: Are leavers’ files archived with exit interview, handover, and relevant closure documentation included?