Staff File Audit - Care Homes

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