Audit template
Right to Work
Verifies right to work evidence, follow-up dates and document expiry. This template runs monthly in MyCareCompliance and carries 8 mapped checks across 2 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 Right to Work 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 one of the core templates we recommend for every provider.
- Runs monthly — core template
- Part of the Workforce audit category
- Maps to 2 regulations: Regulation 19 — Fit and proper persons employed, 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 employedRight to Work
Are initial Right to Work (RTW) checks completed and documented for all staff prior to their first day of employment?
What we look for: Sample 5-10 recently recruited staff files. Verify that the date on the RTW evidence is prior to or on the exact date employment commenced, not after. A fail occurs if staff have undertaken any work or induction before their RTW was formally established and recorded.
Evidence: Personnel files, onboarding checklists, signed contracts, dated RTW copies, Home Office share code PDFs
- Regulation 19 — Fit and proper persons employedRight to Work
Are the retained RTW documents strictly from the Home Office's list of acceptable documents or verified via a valid Share Code?
What we look for: Review the retained evidence against the current Home Office acceptable document list (List A or List B). Ensure online checks include the PDF showing 'Right to work' with the staff member's photo. A fail is indicated if unapproved documents (e.g., a driving licence) are used as sole proof of RTW.
Evidence: Copies of passports, BRPs, birth certificates, Home Office online check PDFs
- Regulation 19 — Fit and proper persons employedRight to Work
Is there documented evidence that the person checking the RTW verified the applicant's likeness, DOB, and document authenticity?
What we look for: Check that the staff member who reviewed the physical documents or online share code has signed, dated, and declared 'original seen' or 'verified via video link/in person'. Good practice includes a standard verification stamp. It is a fail if copies are simply held on file without proof of an imposter check.
Evidence: Signed and dated document copies, RTW checklist forms, HR onboarding notes
- Regulation 19 — Fit and proper persons employedRight to Work
Have mandatory follow-up RTW checks been completed prior to the expiration of the previous visa or permission?
What we look for: Sample files of staff whose visas expired within the last 6 months. Verify that a follow-up check or an Employer Checking Service (ECS) check was completed before the expiry date. A fail is given if there are gaps in permission where a staff member worked without a valid check on file.
Evidence: Updated Home Office share code checks, renewed visa copies, Employer Checking Service (ECS) positive verification notices
Governance, management and sustainability
Well-led — 4 checks- Regulation 17 — Good governanceRight to Work
Does the service maintain a robust, active tracking system for staff with time-limited right to work (visas/BRPs)?
What we look for: Examine the tracking matrix for all staff on List B (time-limited visas). The system must show upcoming expiry dates and trigger alerts 1-3 months in advance. A fail occurs if the tracking system is missing, outdated, or relies entirely on manual memory rather than a systematic process.
Evidence: HR software reports, Excel tracking matrices, automated alert systems, staff visa tracker
- Regulation 17 — Good governanceRight to Work
For international students, are term dates strictly recorded and weekly working hours monitored to prevent visa breaches?
What we look for: Identify any staff on Tier 4 / Student Visas. Ensure the provider has a physical printout of their specific university term dates and that timesheets prove they never exceed their limit (e.g., 20 hours/week) during term time. A fail occurs if term dates are not on file or timesheets show breaches of working hour limits.
Evidence: University term-date printouts, student declaration forms, weekly timesheets, rota software alerts
- Regulation 17 — Good governanceRight to Work
If the provider holds a Sponsor Licence, are Sponsor Management System (SMS) reporting duties being met?
What we look for: For providers sponsoring migrant workers, review evidence that the SMS is actively managed and updated within 10 days for significant changes (e.g., staff changing address, unauthorised absence). A fail occurs if the SMS is neglected, putting the provider's licence and safe staffing levels at risk.
Evidence: SMS login records, change of address reports, absence reporting records, sponsorship policy
- Regulation 17 — Good governanceRight to Work
Are RTW records stored securely and retained for a minimum of two years after a staff member's employment ends?
What we look for: Sample files of staff who left the organisation within the last two years. Ensure their RTW evidence is still securely accessible and has not been prematurely destroyed. A fail is indicated if RTW records for recent leavers cannot be produced for inspection.
Evidence: Archived personnel files, digital HR system records, data retention policy, leaver files
See it running for your service
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