Free checklist
Staff file compliance checklist
Staff files are one of the quickest things for an assessor to check and one of the most common sources of findings. This checklist covers what each file should hold and which dates need ongoing monitoring.
How to use this checklist
- Audit a sample of files every month rather than all of them once a year
- Record any missing document as an action with a date
- Track expiring items centrally so nothing lapses quietly
Print it, share it with your team, or download it as a branded PDF.
Recruitment documents
- Completed application form with full employment historyEvidence: Gaps explained in writing
- Proof of identityEvidence: Verified copies
- Right to work evidenceEvidence: With expiry where time-limited
- Two references, including the most recent employerEvidence: Written and verified
- Enhanced DBS check with the correct barred listEvidence: Certificate number and date
- Interview record and selection notesEvidence: Dated
- Health declaration where relevant to the roleEvidence: With reasonable adjustments noted
- Professional registration where applicableEvidence: NMC or equivalent, checked
- Signed contract, job description and termsEvidence: Dated copies
Ongoing compliance
- Induction completed and recordedEvidence: Induction record
- Care Certificate progress for staff new to careEvidence: Workbook or completion record
- Mandatory training completed and in dateEvidence: Training matrix
- Role-specific and competency assessmentsEvidence: Medication, moving and handling, etc.
- Supervision records at the stated frequencyEvidence: Signed notes
- Annual appraisal completedEvidence: Appraisal record
- Spot checks or observations of practiceEvidence: Observation records
Dates to monitor
- DBS renewal or update service checkEvidence: Annual status check
- Right to work and visa expiryEvidence: Diary date before expiry
- Professional registration renewalEvidence: Renewal date
- Training refresh datesEvidence: By course type
- Driving licence and business insurance where staff driveEvidence: Annual check
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