Staff File Audit - Care Homes

Evidence to check

• • Completed application form is on file
• • Employment history is recorded clearly with dates
• • Employment gaps or inconsistencies are identified and explained
• • Manager has recorded follow-up actions or rationale where concerns were identified

Evidence to check

• • Interview notes are signed and dated by interviewer or panel
• • Questions assess values, safeguarding, dignity, compassion, communication and suitability for care work
• • Scoring or decision rationale is recorded
• • Interview records show why the person was considered suitable for the role

Evidence to check

• • At least two written references are on file in line with policy
• • Most recent employer reference is included or rationale recorded if unavailable
• • References are checked for authenticity, such as work email, phone verification or organisation details
• • Any vague, missing or concerning reference information is followed up before appointment

Evidence to check

• • Clear copy of identity document is on file, such as passport, driving licence or birth certificate
• • Identity document matches the application and other recruitment records
• • Name changes are supported by appropriate evidence where relevant
• • Identity evidence is stored securely in line with data protection requirements

Evidence to check

• • Right to work evidence or online share-code check is on file
• • Check was completed before employment started
• • Time-limited permission, visa or settled or pre-settled status expiry is tracked
• • Follow-up checks are scheduled before expiry where required

Evidence to check

• • DBS certificate number, issue date and level of check are recorded
• • Enhanced DBS is obtained where the role requires it
• • Adults' Barred List check is completed where the role involves regulated activity
• • Manager has reviewed the DBS outcome before unsupervised work begins

Evidence to check

• • Update Service check record is on file where used
• • Pending DBS risk assessment is completed before any conditional start
• • Supervision or work restrictions are recorded where checks are incomplete
• • DBS delays or disclosures are escalated and reviewed by a senior manager

Evidence to check

• • Signed offer letter or employment contract is on file
• • Start date, job title, hours and employment terms are clear
• • Role description or job description is included or referenced
• • Contractual documents match the role the staff member is actually performing

Evidence to check

• • Health declaration or occupational health clearance is on file where required
• • Any health-related work adjustments are considered and recorded
• • Fitness for role is assessed in relation to moving and handling, infection risk, lone working or night work where relevant
• • Confidential health information is stored securely

Evidence to check

• • Copies of relevant qualifications and certificates are on file
• • Professional registration, such as NMC PIN, is checked directly with the register where applicable
• • Expiry or revalidation dates are monitored
• • Previous training is not accepted without checking date, content and relevance

Evidence to check

• • Induction checklist is completed and signed
• • Mandatory induction topics are recorded
• • Shadowing arrangements and local orientation are documented
• • Manager sign-off confirms the staff member was safe to work independently

Evidence to check

• • Care Certificate workbook, assessment records or progress tracker is on file where required
• • Progress is monitored during induction and probation
• • Completion is recorded within the expected timeframe or delay rationale is documented
• • Assessment includes observed practice, not only e-learning completion

Evidence to check

• • Probation review records are completed and dated
• • Reviews include attendance, attitude, values, competence, training and conduct
• • Support needs or concerns are recorded with actions
• • Probation outcome is clearly recorded as passed, extended or failed

Evidence to check

• • Supervision records are current and signed or electronically confirmed
• • Appraisal record is completed in line with policy
• • Records include reflection on care practice, resident dignity, safeguarding, performance and wellbeing
• • Actions from previous supervision or appraisal are followed up

Evidence to check

• • Training matrix or individual training record is up to date
• • Mandatory training is completed within required timescales
• • Role-specific training is recorded, such as dementia, medication, diabetes, wound care or end-of-life care where relevant
• • Overdue training has a clear action plan

Evidence to check

• • Competency assessments are on file for relevant tasks
• • Medication, moving and handling, infection control, nutrition, documentation or clinical competencies are included where applicable
• • Competence is assessed through observation or practical questioning
• • Restrictions, retraining or supervision are recorded where competence is not yet demonstrated

Evidence to check

• • Current photo or staff ID record is on file
• • Photo matches the staff member and is updated when needed
• • ID arrangements support resident and visitor safety
• • Information is stored securely and used appropriately

Evidence to check

• • Emergency contact details are recorded
• • Details include name, relationship and current phone number
• • Staff are prompted to update emergency contacts periodically
• • Emergency information is stored securely but accessible to authorised managers

Evidence to check

• • Disciplinary or grievance records are present where applicable
• • Records include investigation, outcome, actions and appeal information where relevant
• • Performance or conduct actions are followed up through supervision or review
• • Records are stored confidentially and accessed only by authorised people

Evidence to check

• • Safeguarding or allegation records are present where applicable
• • Referrals, investigation outcomes and actions are documented
• • DBS referral or professional body referral is considered where required
• • Records are stored securely and not mixed inappropriately with general supervision notes

Evidence to check

• • Expiry tracker includes visa, right to work, professional registration and other relevant checks
• • Renewal reminders are set before expiry
• • Expired checks trigger immediate management action
• • Staff are not allowed to work outside legal or professional requirements

Evidence to check

• • Annual suitability or criminal declaration is on file
• • Declarations are reviewed by a manager
• • Any disclosure is risk assessed and acted on
• • Staff understand their duty to report changes in suitability

Evidence to check

• • Conflict of interest declaration is on file
• • Secondary employment or agency work declaration is recorded where applicable
• • Risks such as fatigue, confidentiality, conflicts or safeguarding are considered
• • Declarations are reviewed periodically or when circumstances change

Evidence to check

• • Signed confidentiality or GDPR agreement is on file
• • Data protection training is completed
• • Staff understand secure handling of resident records, photos, messages and digital systems
• • Confidentiality breaches, if any, are recorded and acted on

Evidence to check

• • Vaccination status is recorded only where relevant and lawful
• • Records are handled confidentially
• • Risk assessment is completed where vaccination status affects deployment or outbreak response
• • Public health guidance and organisational policy are followed

Evidence to check

• • Staff file audit record is dated and signed
• • Missing or incomplete documents are listed clearly
• • Actions have owners and timescales
• • Follow-up confirms whether actions were completed

Evidence to check

• • Sampled staff files follow the same required structure
• • Recruitment, induction, training and suitability evidence is consistently available
• • Gaps are not widespread or repeated across files
• • Management reviews file audit themes and takes service-wide action

Evidence to check

• • Paper files are stored in locked or restricted-access areas
• • Digital files have role-based access controls
• • Sensitive information is not visible to unauthorised staff
• • Retention and disposal arrangements are clear

Evidence to check

• • Checklist or index is included in each staff file
• • Checklist shows completion status of all required documents
• • Checklist is kept current when documents are added or renewed
• • Managers can quickly identify missing, expired or incomplete evidence

Evidence to check

• • Leaver file includes resignation, termination or leaving confirmation
• • Exit interview or reason for leaving is recorded where available
• • Final pay, return of property, system access removal and handover are documented
• • Leaver file is archived securely in line with retention policy

Evidence to check

• • Audit reviews quality of references, interview notes, DBS risk assessments and employment gap explanations
• • Audit checks whether documents were obtained before the staff member started unsupervised work
• • Weak or poor-quality evidence is challenged and corrected
• • Findings are reported through governance where repeated gaps are identified

Evidence to check

• • Training, competency and restrictions are reflected in rota or task allocation
• • Managers know which staff are not yet competent for specific duties
• • Staff are not allocated tasks beyond their role, training or registration
• • File information supports safe staffing, supervision and resident protection