Personnel File Audits


To ensure compliance of employee records and ensure complete training and safety for employees and clients. 

Regulation:  144A.4796
Policy: RC-P3-7, 9


  1. 25% of employee files will be audited, quarterly, by measurement of Personnel File Audit tool in employee files


  1. Each quarter, Team Coordinator (Personnel Administrator) will audit 25% of all employee files
  2. Team Coordinator will utilize the Personnel File Audit Tool to complete each chart audit.
  3. Team Coordinator will randomly select 25% of the total files.
  4. The Personnel File Audit Tool will be completed (either digitally or printed and manually completed) for each selected file and scanned into the employee record when complete.
  5. Any missing items must be added to ClearCare "Caregiver Requirements and Certifications" as incomplete, until the items are updated and in the employee record.
  6. If there are items that are missing, the Team Coordinator will work on obtaining any missing documentation and update manager for escalated support, if needed. 
  7. Leadership will review employee audits completed each quarter and identify trends and risk to implement into QAPI plan