Staff File Internal Audit 2024

• Staff Name

• Conducted on

  Date

• Audit undertaken by

• Staff member place of work
  Address

Onboarding

• This is a checklist for documentation required by Care choice north west to comply with Care commission regulations
  
  This checklist shall be completed for all staff employed by care choice. This checklist once completed should be uploaded to HR toolkit

• Is there a completed application form?

  Yes

  No

  N/A

• Are the interview notes available and signed by TWO people conduction the interview?

  Yes

  No

  N/A

Pre employment due diligence

• Has the staff member provided a full employment history since school leaving age?

  Yes

  No

  N/A

• Are there gaps in employment? if so have these been explained to a satisfactory standard?

  Yes

  No

  N/A

• Have Two references been acquired and validation completed?

  Yes

  No

  N/A

• Evidence for right to work in the UK

  Yes

  No

  N/A

• Is there an up to date timetable filed in relation to those whom have limited working hours in term time? (as per direct gov guidance)

  Yes

  No

  N/A

• Is there a medical questionnaire with risk assessments where required

  Yes

  No

  N/A

Payroll

• Are P45 documents available?

  Yes

  No

  N/A

• If P45 not available is P60 completed?

  Yes

  No

  N/A

• Bank details (sort code and account number)

  Yes

  No

  N/A

• Is CRB clearance available

  Yes

  No

  N/A

DBS

• Has a consent form been signed in agreement for disclosure to be obtained?

  Yes

  No

  N/A

• Has the employee provided documentation and identification that allows for a DBS disclosure? is this on file?

  Yes

  No

  N/A

• Has the employee disclosed information prior to DBS

  Yes

  No

  N/A

• Are there any disclosures identified by the individual or on DBS that required a risk assessment if so have these been completed?

  Yes

  No

  N/A

• Is the DBS transferable? if so have the necessary checks been completed prior to employment. Is this evidence?

  Yes

  No

  N/A

Contractual obligations

• Is there a signed staff contract that is both valid for their individual job role, with in date information?

  Yes

  No

  N/A

• Is there a signed job description?

  Yes

  No

  N/A

• Is there an offer of employment letter on file?

  Yes

  No

  N/A

• Is there an acceptance letter on file?

  Yes

  No

  N/A

• Is there a working time directive in place?

  Yes

  No

  N/A

• Is there a signed confidentiality agreement in place?

  Yes

  No

  N/A

Induction and probation

• Is there evidence of a comprehensive induction signed by both the employee and the person delivering the induction?

  Yes

  No

  N/A

• Is there a staff Handbook signed by the employee on file?

  Yes

  No

  N/A

• Has the employee been given eLearning access and is the mandatory training completed during the probationary period?

  Yes

  No

  N/A

• Is there evidence of a probationary invite letter to first probation meeting

  Yes

  No

  N/A

• Is there a secondary letter on file to invite to secondary probationary meeting?

  Yes

  No

  N/A

• Is there a letter with the outcome of the probationary period?

  Yes

  No

  N/A

Miscellaneous/additional documentations

• Is there evidence of on going supervision processes?

  Yes

  No

  N/A

• Is there evidence of the appraisal process?

  Yes

  No

  N/A

• Has the employee received and signed and supervision process policy?

  Yes

  No

  N/A

• Are additional risk assessments (example - pregnancy, LD, Bames,) assessed with mitigation plans?)

  Yes

  No

  N/A

• If there are disciplinaries on file is there documentation following CCNW disciplinary procedures, i.e. letters, outcomes, etc

  Yes

  No

  N/A