Staffing and safer recruitment procedure checklist

Source anchors

How to use this checklist

Use this checklist to audit whether the service can show that it plans, recruits, deploys and supports staff safely. It can be used quarterly, after a recruitment audit, after a staffing incident, before a governance review, or before an inspection-readiness review.

This checklist is broader than the standalone safer recruitment evidence checklist. It checks the full staffing loop: workforce plan, recruitment files, induction, competence, rota safety, agency cover, ongoing support and governance.

For each row, record:

Met: evidence is current and complete.
Part met: evidence exists but has a gap or needs follow-up.
Not met: evidence is absent or the control is not working.
Not applicable: the service does not carry out this activity.

Every Part met or Not met item should create an action with an owner and due date.

The PDF is designed for printing, or for completing on screen with a PDF viewer's Fill & Sign, Markup or comment tools. Use those tools to tick boxes and type into the lines.

Service details

Field	Local entry
Service name
Location
Date completed
Completed by
Registered Manager
HR or Recruitment Lead
Clinical Lead or role lead
Period reviewed

1. Workforce plan and staffing model

Check	Evidence to review	Status	Action owner	Due date
Workforce plan names the roles and skill mix needed to deliver the regulated activity safely.	Workforce plan, statement of purpose.
Minimum safe staffing level is defined for the service model.	Staffing policy, rota rules, risk assessment.
Professional-registration requirements are mapped to roles.	Role list, registration checks.
Staffing levels are reviewed against changing needs, activity and service changes.	Review record, governance minutes.
Emergency staffing and on-call arrangements are clear.	On-call rota, escalation procedure.
Workforce risks are added to the risk register where needed.	Risk register, staffing review.

2. Safer recruitment file checks

Check	Evidence to review	Status	Action owner	Due date
Role description and person specification are current.	Job description, person specification.
Identity, recent photograph and right-to-work evidence are on file.	Recruitment file.
Full employment history and gap explanations are recorded where required.	Application form, gap note.
References and conduct evidence are checked and reviewed.	Reference record, decision note.
DBS level is based on role eligibility and the decision is recorded.	DBS decision, certificate record.
Qualification, health and professional-registration evidence are checked where relevant.	Certificates, health declaration, live register check.

3. Start, induction and restricted duties

Check	Evidence to review	Status	Action owner	Due date
Recruitment file is signed off before unsupervised work.	Sign-off record, start checklist.
Any pending check has a risk assessment, supervision plan and clear deadline.	Exception approval, restriction note.
Induction covers local safety procedures before unsupervised work.	Induction record.
Role-specific training plan is agreed.	Training matrix, induction plan.
First supervision, probation or review date is booked.	Supervision schedule, probation plan.
Staff know what they may and may not do until competence is signed off.	Restriction note, staff interview.

4. Deployment, rota safety and cover

Check	Evidence to review	Status	Action owner	Due date
Planned rota is compared with actual staffing.	Rota, actual attendance record.
Skill mix and registered professional cover are checked before service delivery.	Rota review, duty-manager notes.
Travel time, visit length, clinic flow or procedure demand are considered where relevant.	Rota rules, appointment template, visit plan.
Staffing gaps lead to safe cover, changed activity or escalation.	Staffing incident, escalation log.
Agency, bank or locum staff receive local induction and role limits.	Agency file, induction note.
Fatigue, sickness and welfare concerns are reviewed where they affect safe work.	Sickness record, welfare note, risk assessment.

5. Ongoing competence and fitness

Check	Evidence to review	Status	Action owner	Due date
Training matrix is current for required role topics.	Training matrix.
Competence assessments are completed for role-specific tasks.	Competence record, observation.
Supervision and appraisal are current against local cadence.	Supervision log, appraisal record.
Professional-registration renewals are tracked and checked.	Register check, assurance calendar.
Conduct, capability or health concerns are acted on promptly.	HR record, restriction note, occupational-health advice.
DBS renewal or update-service checks follow local policy where used.	DBS tracker, renewal evidence.

6. Governance and learning

Check	Evidence to review	Status	Action owner	Due date
Recruitment-file audits run at a stated cadence.	Audit schedule, completed audit.
Staffing themes from incidents, complaints and safeguarding concerns are reviewed.	Governance minutes, incident themes.
Agency, vacancy, turnover and sickness patterns are visible to governance.	Workforce report.
Overdue training, supervision and appraisal actions are tracked.	Action log, dashboard.
Workforce actions have owners, due dates and completion evidence.	Improvement actions.
Registered Manager reviews staffing risks and overdue actions.	Governance minutes, risk register.

7. Summary judgement

Question	Answer
Which current staffing risk could affect safe care or treatment?
Which recruitment file has the weakest evidence trail?
Which role or skill mix is hardest to cover safely?
Which training, supervision or registration item is overdue?
What would a CQC inspector see if they asked for staffing evidence today?

8. Action log

Action	Source check	Owner	Due date	Completion evidence

9. Completion

Sign-off	Name	Date
Completed by
Reviewed by Registered Manager

This checklist is a working tool. It does not replace live regulator guidance, employment law advice, safeguarding advice, DBS guidance, professional-regulator requirements, occupational-health advice or local HR procedures.