Staff Record Audit Checklist


Providers have a duty to ensure that fit and proper persons are employed. When assessing whether an applicant is of good character, providers must have robust processes and make every effort to gather all available information to confirm that the person is of good character, and have regard to the matters outlined in Schedule 4, Part 2 of the regulations. The safe domain also seeks evidence from providers about safe recruitment practice and effective training (S1.4 and S1.5).

Where a qualification is required for a role, either by law or by a provider, providers should have the means to enable them to check that employees hold the appropriate qualification(s). Providers must have appropriate processes for assessing and checking that people have the competence, skills and experience required to undertake the role. These processes must be followed in all cases and relevant records kept.

We have created a staff record checklist to use for all new starters, and we recommend this can also be used to carry out an audit to check compliance to meet this regulation.

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