Employee Records Audit

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Is the Application Form in place?
Is the Application Form fully completed?
Is the Application Form signed and dated?
Is the full employment history from leaving education provided?
Are there any gaps in employment? If so have these been fully documented?
Are reasons for leaving previous employment given?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Are interview records in place?
Do interview records record the questions asked at interview and the employee’s responses?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Have at least two written references been received?
Are references from appropriate people – e.g. not family members, friends?
Has a reference from the last employer been obtained?
Are references signed, dated and on letter headed paper/business emails?
Have references been verified?
Are references satisfactory?
If a reference is unsatisfactory has this been discussed with the staff member?
If a reference is unsatisfactory is the decision to employ fully documented and risk assessed?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Has the employee been employed in previous employment with adults or children?
If so, has evidence of satisfactory conduct in all previous regulated activity been obtained?(e.g. references, appraisals, statements from employer)
If evidence of satisfactory conduct has not been obtained have the reasons for this been documented and is a Risk Assessment in place?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Have right to work checks been completed and recorded?
Have original documents been verified, signed, dated and a copy kept?
Are follow up checks required? If so when are these due?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Have suitable identification documents been obtained?
Have original documents been verified, signed, dated and a copy kept?
Is proof of address in place?
Has a photograph been obtained and in the file?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Has the appropriate level of DBS Check been obtained?
Has the original DBS certificate been viewed?
Is the DBS certificate clear?
If information is recorded has a Risk Assessment been completed?
Has the number and date of the DBS certificate been recorded?
Is the DBS scheduled for review in line with the company policy?
Has an Annual DBS Declaration been completed?
Does the individual subscribe to the Update Service? If so, is evidence of an Update Service Check in place?
Has an overseas Criminal Record Check been completed if the employee has lived/worked outside of the UK?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Have qualifications been checked and certificates copied?
Has membership of professional bodies been checked? (if applicable)
For nursing roles has the NMC PIN number been checked?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Were all pre-employment checks completed before employment started?
If not, have the reasons for starting sooner been recorded and risk assessed?

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
Is an offer of employment letter in place?
Is a completed health declaration in place?
If the employee has health conditions have these been risk assessed?
Is a signed Contract of Employment in place?
Is a signed Job Description in place?
Is a successful probation completion letter in place?
(Include other company policy signed documents e.g. confidentiality agreements)

Rows	Met	Not Met	Action Required	Responsibility	Target Date	Completed Date
If the employee has been subject to attendance management processes is this clearly documented?
If the employee has been subject to performance management is this clearly documented?
If the employee has been subject to any investigations is this clearly documented?
If the employee has been subject to disciplinary action is this clearly documented?