Workforce Compliance
In preparation

Staff File Audit Template

Audit every staff record against CQC and Regulation 19 requirements

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A staff file audit template is a structured checklist used to audit every care worker record against CQC Regulation 19, confirming that DBS, right to work, references, employment history, qualifications, training certificates and supervision records are present, current and verifiable for each member of staff.

A structured audit template covering every document required in a care worker file: DBS, Right to Work, references, qualifications, supervision records, and training certificates. Built for both internal QA and pre-inspection sweeps.

Planned format: Excel audit template + PDF guidance notes
Aligned to
CQC Regulation 19: Fit and proper persons employed
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What this will contain

The scope we are building to. Built for care providers, not generic HR teams, and anchored on the regulations rather than on assessment process wording.

Complete document checklist per staff member
DBS validity and expiry tracking column
Right to Work evidence type matrix (List A / List B)
Reference verification status fields
Audit findings summary template

Who this is for

  • HR and recruitment leads in care homes and domiciliary services
  • Registered managers running a pre-assessment staff file sweep
  • Compliance leads auditing files across a care group

How it is designed to be used

  1. 1List every current member of staff, including bank and agency workers where you hold the file.
  2. 2Audit each file against the document checklist and record present, missing, or expired for every item.
  3. 3Record DBS issue dates and mandatory training expiry dates so the next lapse is visible in advance.
  4. 4Summarise findings by document type to show where the process, rather than the individual file, is failing.
Why this matters

Regulation 19 breaches are one of the most common inspection findings. A consistent audit template makes recruitment compliance defensible and repeatable.

Common questions

Schedule 3 of the 2014 Regulations sets out the information required for persons employed, which includes proof of identity, a satisfactory DBS check where required, satisfactory conduct references from previous employers in health or social care, a full employment history with a written explanation of any gaps, evidence of relevant qualifications, and evidence that the person is physically and mentally fit for the role. Services also commonly hold right to work evidence, training records and supervision notes in the same file.
A full audit at least annually, with a lighter monthly or quarterly check on the items that expire, is a common pattern. DBS and mandatory training are the fields most likely to lapse quietly between full audits, so tracking their dates continuously matters more than the audit frequency itself.
Regulation 19 findings usually come from process rather than intent: a reference that was chased but never returned, a gap in employment history that was discussed but not recorded, or a DBS that was checked at recruitment and never re-examined. Because each file is handled separately, the same small omission repeats across many files without anyone seeing the pattern.

Related resources

Workforce ComplianceIn preparation

Safer Recruitment Checklist

Evidence the full recruitment lifecycle from application to start date

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Inspection ReadinessIn preparation

CQC Inspection Checklist

Everything inspectors look for, structured by the five key questions

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