New Starter Checklist
Everything You Need Before a Care Worker Goes Lone Working
The complete safer recruitment and induction checklist for domiciliary care agencies.
Section 1 - Before You Offer the Job
Safer recruitment is not just about ticking boxes. It is the first and most important safeguard you have for the vulnerable people in your care. CQC inspectors will examine your recruitment process in detail, and they will look for evidence that you recruit people based on values, not just availability. Every step in this section must be completed and documented before you make a conditional offer of employment.
Job Advert Requirements
Your job advert is the first filter. It should be honest about the demands of the role and clear about the values you expect. A well-written advert attracts the right candidates and deters those who are not suited to care work.
The advert clearly states this is a domiciliary care role involving lone working in people's homes.
The advert specifies that an enhanced DBS check is required and employment is conditional on satisfactory checks.
The advert describes the values and behaviours expected, not just tasks and duties.
The advert includes the requirement for flexibility, including evenings, weekends, and bank holidays where applicable.
The advert is free from discriminatory language and complies with the Equality Act 2010.
The advert states that two satisfactory references will be required, including from the most recent employer.
Application Form Essentials
Never accept a CV alone. A structured application form ensures you collect the same information from every candidate and makes it easier to identify gaps in employment history.
The application form collects full employment history with dates, including reasons for leaving each role.
The form asks the applicant to account for any gaps in employment and provide explanations for each.
The form includes a declaration that information provided is true and that providing false information may result in dismissal.
The form collects details of two referees, one of whom must be the most recent employer.
The form asks whether the applicant has any criminal convictions, cautions, or pending charges that are not protected under the Rehabilitation of Offenders Act 1974 (Exceptions) Order.
Interview Questions CQC Expects
CQC expects you to conduct structured, values-based interviews. They will look at your interview notes and assess whether you are recruiting people who genuinely care about the wellbeing of others. The following questions should form the core of every care worker interview.
Safeguarding scenario: "Tell me about a time you were concerned about someone's safety. What did you do?" Look for evidence of taking action, reporting concerns, and putting the person first.
Dignity and respect: "How would you support someone with personal care while maintaining their dignity?" Look for practical examples, sensitivity, and an understanding of person-centred care.
Values question: "Why do you want to work in care?" Look for genuine motivation beyond needing a job. Listen for empathy, compassion, and a desire to make a difference.
Resilience question: "Care work can be emotionally and physically demanding. How do you look after yourself?" Look for self-awareness and healthy coping strategies.
Lone working question: "How do you feel about working alone in someone's home? What would you do if something went wrong?" Look for confidence, common sense, and awareness of procedures.
Values-Based Interview Questions
Go beyond standard competency questions. These values-based questions help you assess whether the candidate has the character and temperament for care work.
"Describe a time you went out of your way to help someone. What motivated you?" Assess intrinsic motivation and empathy.
"Tell me about a time you had a disagreement with a colleague. How did you resolve it?" Assess conflict resolution and teamwork.
"What does 'treating someone with dignity' mean to you in practical terms?" Assess depth of understanding beyond surface-level answers.
"If you noticed a colleague cutting corners with a service user's care, what would you do?" Assess integrity and willingness to challenge poor practice.
Gaps in Employment History
Every gap must be explored and documented. This is a regulatory requirement under Schedule 3, not optional good practice. Unexplained gaps are a red flag for inspectors.
All gaps in the application form have been identified and marked for discussion at interview.
The candidate has provided a satisfactory explanation for each gap during the interview.
Explanations have been recorded in the interview notes with sufficient detail.
Where gaps are explained by travel, education, or caring responsibilities, these have been verified where possible.
Red Flags to Watch For
Warning - Do not proceed with the appointment if any of the following are present: Unexplained or inconsistent gaps in employment history. Reluctance to provide details of previous employers. References that cannot be verified. Discrepancies between the application form and what the candidate says at interview. Dismissive attitude towards safeguarding questions. Overly familiar language about vulnerable people. Inability to give examples of values in practice. Previous dismissals from care roles that the candidate cannot adequately explain.
Pre-Employment Checks
All of the following checks must be completed and documented before you make a conditional offer. Do not allow anyone to start work until every check is satisfactorily completed.
Enhanced DBS check applied for through the Disclosure and Barring Service, including a check of the Adults' Barred List.
Right to work documents verified and copied. Original documents have been seen and the copies are annotated with the date of verification and the name of the person who verified them.
Two references requested, one of which must be from the most recent employer. References must be sought in writing and verified by phone or email to confirm they are genuine.
Professional registration checked if applicable. For nursing staff, NMC registration must be verified online. For social workers, Social Work England registration must be confirmed.
Health assessment completed. The candidate has completed a health declaration form or has been referred for occupational health assessment where required.
Interview notes retained on file. Notes are detailed, legible, and include the questions asked, responses given, scoring rationale, and the decision made.
Legal requirement: Under Regulation 19 and Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, all of the above information must be available in respect of each person employed. Failure to complete these checks before employment begins is a breach of your conditions of registration.
Section 2 - Before First Day
Everything in this section must be in place before the new care worker walks through the door on their first day. Preparation here prevents chaos later and demonstrates to the worker that you run a professional, well-organised service. It also ensures you are compliant from day one.
DBS certificate received and checked: The original DBS certificate has been seen and verified. Record the certificate number, issue date, and the name of the person who checked it. If the worker is on the DBS Update Service, conduct an online status check and record the date and result. Do not allow the worker to have unsupervised access to service users until this check is satisfactorily completed.
Both references received and satisfactory: Two written references have been received, one from the most recent employer. Both have been verified as genuine by contacting the referee directly. Any concerns raised in the references have been discussed with the candidate and a decision documented. File the original references with the verification notes.
Right to work verified (originals seen): Original right to work documents have been seen and verified against the Home Office acceptable documents list. Copies have been made and annotated with the date of verification, a statement that the copy is a true copy of the original, and the name and signature of the person who checked them.
Signed contract on file: A written contract of employment or statement of terms and conditions has been signed by both parties. The contract clearly states the role, hours, pay, notice period, probationary period, and that employment is subject to satisfactory completion of pre-employment checks.
Bank details and payroll set up: The worker has completed a new starter form with their bank details, tax code information, and National Insurance number. They have been added to the payroll system and the first pay date has been confirmed to them in writing.
Uniform and PPE ready: The correct sizes of uniform, including tunics, trousers, and name badge, have been ordered and are ready for collection on day one. A starter pack of PPE including gloves, aprons, hand sanitiser, and face masks has been prepared.
Staff handbook issued and signed: A copy of the staff handbook has been provided to the worker in advance of their start date, either physically or electronically. The worker has signed a receipt confirming they have received it and will read it before their first day.
IT access set up: Login credentials for the care management system, email, and any mobile applications have been created and tested. The worker's profile has been set up with the correct permissions and access levels for their role.
Added to rota system: The worker has been added to the rostering system with their availability, contracted hours, and any restrictions noted. Their first week schedule has been prepared and shared with them in advance.
Buddy or mentor assigned: An experienced care worker has been identified and briefed as the new starter's buddy or mentor. The buddy has been given protected time during the first week to support the induction and answer questions.
First week induction schedule prepared: A detailed, hour-by-hour induction schedule for the first week has been prepared. It covers all mandatory training, shadowing visits, office-based learning, and introductions. A copy has been sent to the new starter so they know what to expect.
Best practice tip: Send a welcome pack to the new starter before their first day. Include a personal welcome letter from the registered manager, a copy of the induction schedule, the staff handbook, information about the company culture and values, and practical details such as where to park and what to wear. This small gesture significantly improves first-day experience and early retention.
Section 3 - Day One Checklist
First impressions matter enormously. A well-structured first day tells the new worker that you take their role seriously and that you are invested in their success. Every item on this list should be completed and signed off on the first day. Do not rush through these items. Take the time to explain each one properly and check for understanding.
Welcome and team introduction: The registered manager or a senior member of staff personally welcomes the new worker. Introduce them to every member of the office team, explain each person's role, and make sure they know who to contact for what. A warm welcome sets the tone for everything that follows.
Tour of office and facilities: Walk the new worker through the entire office. Show them the kitchen, toilets, staff room, first aid kit, fire exits, their workstation or locker area, and where supplies and PPE are stored. Point out notice boards with important information.
Health and safety briefing: Deliver a site-specific health and safety induction covering the office environment, manual handling of supplies, workstation ergonomics, accident reporting procedures, and the location of first aid equipment and trained first aiders.
Fire evacuation procedure: Walk the new worker through the fire evacuation procedure. Show them the assembly point, where the fire alarm call points are, how to use a fire extinguisher, and where the fire evacuation plan is displayed. Record that this induction has been completed.
Safeguarding briefing: Explain who the designated safeguarding lead is and how to contact them. Provide the local authority safeguarding adults team contact details. Explain the procedure for raising a safeguarding concern, including what to do if the concern involves a colleague or a manager. Emphasise that safeguarding is everyone's responsibility.
Lone working procedure explained: Explain the lone working policy in full. Cover the check-in and check-out system, what happens if a worker fails to check in, the escalation procedure, personal safety guidance, and what to do in an emergency. Make sure the worker understands that they must never put themselves at risk.
Check-in and check-out system demonstrated: Demonstrate the check-in system practically. Have the new worker complete a mock check-in and check-out. Confirm they know the phone number or app to use, the time windows, and what happens if they miss a check-in. Test the system to confirm it works with their device.
Medication policy overview: Provide an overview of the medication management policy. Explain that no new worker will handle medication until they have completed medication training and passed a competency assessment. Cover the basics of the MAR chart, the six rights of medication administration, and the procedure for medication errors.
Uniform and presentation standards: Explain the uniform policy and issue the uniform. Cover expectations for personal hygiene, jewellery, nails, hair, and footwear. Explain why presentation standards matter for infection control, professionalism, and service user confidence.
Code of conduct signed: Go through the code of conduct with the new worker. Explain each expectation and give examples. Do not just hand it over for signature. Discuss boundaries with service users, professional behaviour, use of mobile phones during visits, and the consequences of breaching the code.
Social media policy signed: Explain the social media policy thoroughly. Cover the absolute prohibition on sharing any information about service users on social media, including photos, names, locations, or any identifying details. Explain that breaches of this policy may result in disciplinary action and could be a safeguarding matter.
Confidentiality agreement signed: Explain the duty of confidentiality. Cover what information is confidential, who it can be shared with, the circumstances in which confidentiality can be breached, and the consequences of unauthorised disclosure. Have the worker sign the confidentiality agreement.
Emergency contacts collected: Collect the worker's emergency contact details, including next of kin name, relationship, and phone number. Confirm any medical conditions or allergies that the employer should be aware of in an emergency. Store this information securely.
Locker or storage assigned: Provide the worker with a secure place to store personal belongings during office-based time. Issue a locker key or code if applicable. Explain the policy on personal belongings during care visits.
Photo ID badge issued: Issue a photo identification badge that clearly displays the worker's name, photograph, job title, and the company name and logo. Explain that this badge must be worn visibly during every visit and that they must show it to service users when arriving at their homes.
Best practice tip: End the first day with a brief one-to-one with the manager. Ask the new worker how they found the day, whether anything was unclear, and whether they have any concerns. This builds trust from the outset and gives you an early indication of the worker's engagement and attitude.
Section 4 - Week One Checklist
The first week is about building competence and confidence under supervision. No new worker should be sent out alone during this period. Every item on this list must be completed and signed off before the worker progresses to the lone working authorisation gate in Section 5.
Shadowing schedule completed (minimum 3 supervised visits before lone working): The new worker has accompanied an experienced care worker on a minimum of three supervised visits. Each visit has been documented with the date, service user visited, the name of the supervising worker, and feedback on the new worker's performance. The supervising worker has signed off each visit.
Introduction to care management system: The worker has received hands-on training in the care management system. They can log in, navigate to a service user's profile, read a care plan, record a visit, and complete basic documentation. They have practised entering notes and understand the importance of accurate, contemporaneous record-keeping.
How to read and follow a care plan: The worker has been shown how to read a care plan and translate it into practical care delivery. They understand the structure of a care plan, the importance of following it exactly, and the procedure for reporting when a care plan does not reflect the person's current needs. They have read the care plans for the service users they will be supporting.
Medication training completed before handling any medication: The worker has completed a medication management training course covering the six rights of medication administration, safe storage, recording on MAR charts, PRN medication protocols, and error reporting. They have passed a written and practical competency assessment. No worker may administer medication without this training being completed and documented.
Moving and handling training completed before any physical care: The worker has completed moving and handling training that covers the principles of safe moving and handling, the use of equipment including hoists, slide sheets, and transfer boards, and the importance of following individual risk assessments. They have demonstrated practical competence. No worker may provide physical care without this training.
Infection prevention and control training completed: The worker has completed IPC training covering hand hygiene technique, correct use and disposal of PPE, cleaning and decontamination procedures, waste management, and outbreak reporting. They have demonstrated correct hand washing and PPE donning and doffing technique.
Safeguarding level 1 training completed: The worker has completed safeguarding adults level 1 training covering the types and indicators of abuse and neglect, the duty to report, the local authority reporting process, the role of the designated safeguarding lead, and the principles of Making Safeguarding Personal. They can describe what they would do if they had a safeguarding concern.
Lone working training completed: The worker has completed lone working training covering personal safety, dynamic risk assessment, the check-in system, emergency procedures, dealing with aggressive or challenging behaviour, and what to do if they feel unsafe. They understand that they should never remain in a situation where they feel at risk.
First supervision scheduled within 4 weeks: A formal supervision session has been booked in the diary for no later than four weeks from the start date. The worker has been told the date and time, and understands the purpose of supervision as a supportive, two-way conversation about their performance, wellbeing, and development.
Competency assessment scheduled: A formal competency assessment has been arranged to take place before the worker is authorised to work alone. This assessment will cover medication administration, moving and handling, personal care delivery, record-keeping, safeguarding awareness, and lone working procedures.
Legal requirement: Under Regulation 18 of the Health and Social Care Act 2008, providers must ensure that persons employed receive such appropriate training, professional development, supervision, and appraisal as is necessary to enable them to carry out the duties they are employed to perform. Sending an untrained worker into a service user's home is a regulatory breach and a safeguarding risk.
Section 5 - Before They Go Lone Working
This is the most critical section of this entire checklist. No care worker should ever be sent to work alone in a service user's home until every single item below has been completed, checked, and signed off. This is your authorisation gate. It exists to protect your service users, your worker, and your registration. There are no shortcuts and no exceptions.
Lone Working Authorisation Gate
All of the following requirements must be met before this worker is authorised to commence lone working. Every item must be ticked, verified, and documented. Do not authorise lone working if any item is incomplete.
DBS certificate received and verified. Not just applied for. The actual certificate or a satisfactory Update Service check must be on file. Record the certificate number and date checked.
All mandatory training completed and recorded. This includes safeguarding, medication management, moving and handling, infection prevention and control, lone working, fire safety, and any other training required for the specific care tasks this worker will perform.
Minimum three supervised visits completed and signed off. Each visit has been documented with the date, service user name, supervising worker name, and written feedback. The supervising worker has confirmed in writing that the new worker is competent to deliver care independently.
Competency assessment passed and documented. A formal competency assessment has been conducted covering all key areas of care delivery. The assessor has confirmed in writing that the worker has demonstrated the required level of competence. Any areas for development have been noted with an action plan.
Lone working procedure understood and signed. The worker has confirmed in writing that they have read, understood, and will comply with the lone working policy. They can describe the check-in procedure, the escalation process, and what to do in an emergency without referring to documentation.
Check-in system demonstrated and tested. The worker has demonstrated that they can use the check-in system correctly. A test check-in and check-out has been completed successfully. The office has confirmed that the test was received and that the escalation system is functioning.
Emergency contacts for the worker are on file. The worker's next of kin details, emergency contact numbers, and any relevant medical information are securely stored and accessible to the on-call manager in an emergency.
Worker has the manager's direct contact number saved in their phone. The worker can contact their line manager or the registered manager directly during working hours. This number has been tested with a live call to confirm it works.
Worker has the out-of-hours emergency number saved in their phone. The worker knows the out-of-hours contact number and understands when and how to use it. This number has been tested to confirm the worker can reach the on-call service.
Worker has the local safeguarding adults team telephone number. The worker has the direct contact number for the local authority safeguarding adults team and knows that they can and should contact them directly if they have an urgent safeguarding concern and cannot reach their manager.
Worker has read and signed the care plans for all allocated service users. The worker has read every care plan for every service user they will be visiting. They have signed each care plan to confirm they have read and understood it. Any questions or concerns have been discussed and resolved before lone working begins.
Risk assessments for all allocated addresses have been reviewed. The worker has read the environmental risk assessment for every address they will visit. They are aware of any identified risks including access issues, pets, challenging behaviour, manual handling requirements, and infection control precautions specific to each property.
I confirm that all requirements listed above have been met and verified. This worker is authorised to commence lone working with the service users and at the addresses specified above.
Registered Manager Name (Print)
Registered Manager Signature
Critical warning: If a care worker is sent to work alone without completing this authorisation gate and something goes wrong, the registered manager will be personally accountable. CQC will ask for evidence that the worker was properly inducted, trained, assessed, and authorised. "We were short-staffed" is not an acceptable justification. The safety of service users must always come first.
Section 6 - First Month Checklist
The first month is a critical period for retention and performance. New workers who feel supported and monitored are far more likely to stay and far less likely to develop poor practice. Every item on this checklist should be completed within the first four weeks of employment and documented in the worker's personnel file.
Week 2 check-in call with manager: The registered manager or line manager has conducted a scheduled check-in call or meeting with the new worker during their second week. This conversation covers how they are settling in, whether they have any concerns about the service users they are supporting, whether the induction has been adequate, and whether they need any additional support or training. Notes from this conversation are recorded on file.
Week 4 first formal supervision documented: A full formal supervision session has been conducted no later than four weeks from the start date. The supervision covers workload, performance against expectations, training progress, any concerns from the worker or the manager, wellbeing, and agreed actions. Both parties have signed the supervision record. A copy has been given to the worker and the original filed in their personnel record.
Care Certificate commenced (all 15 standards tracked): The worker has been enrolled on the Care Certificate programme and has begun working through all fifteen standards. A tracking document is in place showing progress against each standard: understanding your role, your personal development, duty of care, equality and diversity, working in a person-centred way, communication, privacy and dignity, fluids and nutrition, awareness of mental health, dementia and learning disabilities, safeguarding adults, safeguarding children, basic life support, health and safety, handling information, and infection prevention and control.
Probation review scheduled at 3 months: A formal probation review meeting has been booked in the diary for the twelve-week mark. The worker has been informed of the date and understands that this is a formal review of their performance during the probationary period, and that the outcome will be one of three decisions: confirmation of employment, extension of probation, or termination of employment.
Any concerns documented and addressed: Any performance concerns, complaints from service users, incidents, or behavioural issues have been formally documented and discussed with the worker at the earliest opportunity. If concerns were identified, an action plan has been put in place with clear expectations, support offered, and a review date. Do not wait for the probation review to address concerns.
Spot check observation completed and documented: An unannounced spot check observation has been conducted during the first month. A senior member of staff has observed the new worker delivering care in a service user's home. The observation covers punctuality, uniform and ID, communication with the service user, adherence to the care plan, medication administration if applicable, moving and handling technique, record-keeping, and infection control practice. The observation form has been completed, discussed with the worker, and filed.
Feedback from service users collected: Feedback has been actively sought from the service users and their families about the new worker. This can be through telephone calls, home visits, or feedback forms. The feedback has been recorded, shared with the worker as appropriate, and any concerns have been addressed. Positive feedback should also be shared to encourage and motivate the worker.
Best practice tip: The first month is when most care workers decide whether they will stay long-term. The single biggest factor in early retention is the quality of the relationship with their manager. Make time for your new starters. Check in regularly. Show them you care about their development. The investment you make now will pay dividends in reduced turnover, better care quality, and a more stable team.
Section 7 - Three Month Probation Review
The probation review is a formal meeting that should be treated with the same rigour as a disciplinary hearing. It is the point at which you decide whether this person is right for your service. The review must be thorough, fair, evidence-based, and fully documented. Do not confirm employment if you have unresolved concerns. It is far easier to extend probation or end employment now than to manage poor performance later.
What the Review Must Cover
Performance against job description: Review the worker's performance against every element of their job description. Use specific examples from observations, supervision notes, and service user feedback. Identify areas where performance meets expectations and areas where improvement is needed. Be honest and specific. Vague praise is as unhelpful as vague criticism.
Completion of mandatory training: Review the training matrix and confirm that all mandatory training has been completed within the required timeframes. This includes safeguarding, medication management, moving and handling, infection prevention and control, fire safety, food hygiene, first aid awareness, mental capacity and consent, and lone working. Any outstanding training must be completed immediately with a documented plan.
Care Certificate progress: Review progress against all fifteen standards of the Care Certificate. Identify which standards have been completed and signed off, which are in progress, and which have not yet been started. Set a target completion date if the Care Certificate is not yet finished. The expectation is completion within twelve weeks of starting employment.
Attendance and punctuality record: Review the worker's attendance and punctuality record for the entire probationary period. Document the number of absences, the number of late arrivals, and any patterns. Discuss any issues directly and set clear expectations going forward. Persistent lateness or unreliability is a serious concern in domiciliary care where service users depend on their carer arriving on time.
Incidents or concerns during probation: Review any incidents, accidents, complaints, or concerns that have arisen during the probationary period. Discuss each one with the worker and assess how they were handled, what was learned, and whether any patterns are emerging. Document the discussion and the worker's response.
Feedback from service users and colleagues: Present the feedback that has been gathered from service users, their families, and colleagues. Share both positive and constructive feedback. Discuss any recurring themes and explore how the worker can build on their strengths and address any areas for improvement.
Decision: confirm employment, extend probation, or terminate: Based on the evidence gathered throughout the probationary period, make one of three decisions. If the worker has met all expectations and all checks and training are complete, confirm their employment in writing. If there are concerns that may be resolvable with additional time and support, extend the probation period with clear objectives and a review date. If the worker has not met expectations and there is no reasonable prospect of improvement, terminate employment in accordance with the contract and your disciplinary procedure.
All outcomes documented and signed by both parties: The probation review form must be completed in full, signed by both the manager and the worker, and filed in the personnel record. The worker must receive a copy. If employment is confirmed, issue a confirmation letter. If probation is extended, issue a letter setting out the reasons, the objectives, the support that will be provided, and the new review date. If employment is terminated, follow your dismissal procedure and issue the appropriate letter.
Legal requirement: The probation review is a contractual process. Ensure your contract of employment clearly sets out the probationary period and the review process. Decisions to extend or terminate must be made fairly and consistently. If in doubt, seek advice from your HR provider or legal advisor before the meeting.
Section 8 - The Personnel File Checklist
A complete, well-organised personnel file is your evidence of compliance with Regulation 19 and Schedule 3. CQC inspectors will select staff files at random and examine them thoroughly. Missing documents are not just an administrative oversight. They are a compliance breach that will be recorded in your inspection report. Use this checklist for every member of staff and audit files regularly.
| Document | Details | Done |
|---|
| Application form | Completed in full with no unexplained gaps. Signed and dated by the applicant. Retained as the original record of information provided at the point of application. | |
| Interview notes | Detailed notes from the interview including questions asked, responses given, scoring rationale, and the panel's decision. Signed and dated by the interviewer. Must demonstrate that a values-based approach to recruitment was used. | |
| DBS certificate | Enhanced DBS certificate with Adults' Barred List check. Original seen, certificate number recorded, issue date recorded, and the name of the person who verified it. If on the Update Service, record the date of the most recent online status check. | |
| Right to work evidence | Copy of the original right to work document, annotated with the document type, document reference number, expiry date if applicable, date of verification, and the name and signature of the person who checked the original. Must comply with Home Office right to work checking guidance. | |
| Two satisfactory references | Two written references on file, one from the most recent employer. Each reference has been verified as genuine by contacting the referee. Verification notes recorded. Any concerns raised in references have been discussed with the candidate and the outcome documented. | |
| Health assessment | Completed health declaration form or occupational health clearance letter. Must confirm fitness to undertake the duties of the role. Any reasonable adjustments identified and documented. | |
| Signed contract | Contract of employment or written statement of terms signed by both parties. Issued within two months of the start date as required by the Employment Rights Act 1996. | |
| Signed staff handbook receipt | Written confirmation that the worker has received, read, and understood the staff handbook. Signed and dated by the worker. | |
| Signed code of conduct | Written confirmation that the worker has read, understood, and agrees to comply with the code of conduct. Signed and dated by the worker. | |
| Signed confidentiality agreement | Written confirmation that the worker understands their duty of confidentiality and the consequences of unauthorised disclosure. Signed and dated by the worker. | |
| Induction records | Complete induction record showing all sections of the induction programme, the dates they were completed, and signatures of both the worker and the person delivering each section. Must cover all mandatory induction topics. | |
| Training matrix | A complete record of all training undertaken, including course title, date completed, provider, method of delivery, expiry or renewal date, and evidence of completion such as certificates or assessment records. Must cover all mandatory training. | |
| Supervision records | Records of all formal supervision sessions, each signed and dated by both the supervisor and the worker. Must demonstrate regular supervision at a frequency of no less than every six to eight weeks. Each record must include discussion points, agreed actions, and follow-up. | |
| Annual appraisal records | Completed annual appraisal within the last twelve months. Must include a review of performance, identification of development needs, agreed objectives, and the worker's own feedback. Signed by both parties. | |
| Disciplinary or grievance records | Any formal disciplinary warnings, investigation records, hearing outcomes, or grievance records. Filed in chronological order with all supporting documents. Include records of any informal discussions that were documented. | |
| Commendations or compliments | Records of positive feedback, compliments from service users or families, awards, or recognition. This is often overlooked but provides valuable evidence of good practice and a positive staff culture. | |
Best practice tip: Conduct a full audit of every personnel file at least twice a year. Use this checklist as your audit tool. Record the audit date, the auditor's name, and any gaps identified. Set a deadline for each gap to be closed and follow up to confirm completion. A regular audit programme means you will never be caught out by an inspector finding a missing document.
Legal requirement: Schedule 3 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 sets out the specific information that must be available in respect of each person employed. This is not guidance. It is law. Non-compliance is a breach of your conditions of registration and can result in enforcement action by CQC.
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