Audit template
Onboarding New Staff
Checks pre-employment checks, contracts and day-one requirements before staff work alone. This template runs monthly in MyCareCompliance and carries 8 mapped checks across 5 CQC quality statements.
Last reviewed: September 2026. This guidance reflects CQC information available at the date above — always refer to cqc.org.uk for current regulatory requirements.
What the audit covers
Every question in the Onboarding New Staff is mapped to a CQC quality statement and the underlying regulation, so a failed check tells you exactly which part of the single assessment framework is at risk. This is an optional template you can switch on when it applies to your service.
- Runs monthly — optional template
- Part of the Workforce audit category
- Maps to 4 regulations: Regulation 19 — Fit and proper persons employed, Regulation 18 — Staffing, Regulation 13 — Safeguarding service users from abuse and improper treatment, Regulation 17 — Good governance
- Failed checks become tracked improvement actions with an owner, due date and evidence
The 8 checks
Safe and effective staffing
Safe — 4 checks- Regulation 19 — Fit and proper persons employedOnboarding New Staff
Are all essential pre-employment checks, including enhanced DBS, full work history, and at least two satisfactory references, completed and recorded before the staff member's start date?
What we look for: Sample 3-5 recent new starter files. Ensure there are no unexplained gaps in employment history and references are verified. A fail would be staff commencing lone care delivery before a DBS is returned or risk-assessed properly.
Evidence: Staff files, DBS certificates/numbers, reference requests and replies, interview notes, application forms
- Regulation 19 — Fit and proper persons employedOnboarding New Staff
Is there documented evidence that the provider has verified the new employee's right to work in the UK and obtained a satisfactory health declaration prior to them delivering care?
What we look for: Check that right-to-work checks were completed prior to employment and that any health conditions disclosed were risk-assessed. Good practice involves reasonable adjustments being documented; a fail is missing share codes or expired visas.
Evidence: Right to work share codes, passport copies, health questionnaires, occupational health referrals
- Regulation 18 — StaffingOnboarding New Staff
Do new care staff complete a structured induction programme aligned with the Care Certificate, alongside all provider-mandated training, before working unsupervised?
What we look for: Review the induction timeline for recent hires. Good looks like a robust, tracked process covering all 15 standards of the Care Certificate. Missing evidence of basic safety training (e.g., manual handling, basic life support) before working alone is a fail.
Evidence: Induction workbooks, training matrix, e-learning certificates, Care Certificate portfolios
- Regulation 18 — StaffingOnboarding New Staff
Are new staff provided with adequate, documented shadowing shifts with experienced workers, followed by formal practical competency assessments?
What we look for: Look for signed observation forms where a senior staff member has deemed the new starter competent in key practical tasks. A fail is allowing staff to administer medication or use hoists without documented practical sign-off.
Evidence: Shadowing logs, competency sign-off sheets (medication, moving & handling), senior carer feedback
Safeguarding
Safe — 1 check- Regulation 13 — Safeguarding service users from abuse and improper treatmentOnboarding New Staff
Can new staff demonstrate a clear understanding of local safeguarding procedures and the whistleblowing policy, including how to report concerns externally?
What we look for: Speak to new starters to test their knowledge on recognizing abuse and knowing the escalation pathway (including the local authority and CQC). A fail is staff stating they would 'only tell the manager' and not knowing what to do if the manager was involved.
Evidence: Staff interview notes, spot check records, signed policy declarations, safeguarding training certificates
How staff, teams and services work together
Effective — 1 check- Regulation 18 — StaffingOnboarding New Staff
Is there a clear schedule and record of initial 1:1 supervisions and probationary review meetings held with new staff during their first 12 weeks of employment?
What we look for: Review the staff file for early supervision records. Good practice involves addressing early training needs or performance issues promptly. A fail is a lack of any formal check-in recorded during the probationary period.
Evidence: Supervision notes, probationary review forms, 4/8/12 week check-in logs, manager diaries
Workforce wellbeing and enablement
Caring — 1 check- Regulation 17 — Good governanceOnboarding New Staff
Does the provider actively seek feedback from new starters about their onboarding experience and monitor their wellbeing during the transition into their new role?
What we look for: Look for evidence that the agency cares about the new starter's experience, checking on their stress levels and travel routing. Good looks like adjusting rotas if a new starter feels overwhelmed; a fail is ignoring staff wellbeing leading to high early turnover.
Evidence: New starter surveys, induction feedback forms, wellbeing check-in notes, staff meeting minutes
Governance, management and sustainability
Well-led — 1 check- Regulation 17 — Good governanceOnboarding New Staff
Have new staff been trained on the electronic care planning system and issued secure, individual logins, alongside clear guidance on data protection?
What we look for: Check that staff are using their own logins for care apps and have signed data protection agreements. Sharing passwords or generic 'new starter' logins being used to document care is a clear fail.
Evidence: IT acceptable use policies, signed confidentiality agreements, system audit trails, training logs
See it running for your service
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