Staff File / Safer Recruitment

Does the staff file contain robust evidence of verified identity, a recent photograph, and a valid Right to Work in the UK check prior to the start date?

What we look for: Sample files of the most recently hired staff. Check that ID documents were seen in their original form, copied, dated, and signed by the interviewer. A fail would be a missing RTW check or an expired visa without follow-up.

Evidence: Passport copy, biometric residence permit, share code check printout, recent photograph, signed checklist

Is there a fully completed application form with a continuous employment history, and are all gaps in employment explored and documented?

What we look for: Review the application form to ensure month and year are recorded for all previous jobs. Check interview notes to confirm any gaps (e.g., career breaks, unemployment) were discussed and a plausible explanation recorded. A fail is an unexplained gap.

Evidence: Application form, interview notes, gap analysis form, CV

Is there evidence of a satisfactory Enhanced DBS check and Barred List check in place before unsupervised work commenced?

What we look for: Verify the DBS issue date is prior to the first shadowing or solo shift. If the DBS contains convictions/cautions, ensure a detailed, signed risk assessment is on file determining fitness to practice. Fail if staff worked unsupervised prior to clearance.

Evidence: DBS certificate number record, Barred List check (Adults), DBS risk assessment if blemishes exist

Are there at least two verified written references on file, including one from the most recent employer, detailing suitability for the role?

What we look for: Check that references are from professional sources (not friends/family), ideally using company email addresses. If standard emails/letters were used, check for notes confirming telephone verification to prevent fraud. Fail if only one reference or character-only references are used for experienced carers.

Evidence: Reference request forms, returned references, phone verification notes, email trail from company addresses

Does the file contain a completed health declaration confirming the staff member's physical and mental fitness to perform the role?

What we look for: Check for a signed health declaration completed before employment started. If health issues were disclosed, review the file for a risk assessment or reasonable adjustment plan. Fail if no health check was completed.

Evidence: Health questionnaire, occupational health referral (if applicable), manager risk assessment for reasonable adjustments

Are there up-to-date, signed competency assessments for critical high-risk tasks such as medication administration and moving & handling?

What we look for: Check that theoretical training was followed by practical, observed competency sign-offs before the carer undertook these tasks alone. Competencies must be updated at least annually. Fail if a carer administers meds without an initial competency sign-off.

Evidence: Medication competency assessment, moving & handling observation form, spot check records

Is there evidence of a structured, comprehensive induction aligned with the Care Certificate, completed within the required timeframe?

What we look for: Review the induction record to ensure it covers all expected areas (e.g., policies, safeguarding, health & safety). Check that shadowing shifts are signed off by both the new starter and an experienced senior. Fail if staff are deployed solo without induction sign-off.

Evidence: Induction checklist, Care Certificate workbook, shadowing sign-off sheets, manager sign-off

Does the file demonstrate a consistent history of ongoing support through regular supervisions, spot checks, and annual appraisals?

What we look for: Sample the last 12 months of records. Check that supervisions occur at the provider's stated frequency (e.g., quarterly) and that field spot checks assess actual practice. Fail if the file has not had any documented supervision in over 6 months.

Evidence: Supervision matrix, 1:1 supervision notes, field spot check records, annual appraisal document