CNA logoA Self-assessment Checklist

An effective theft prevention program requires sound hiring and employment policies, as well as security awareness on the part of clients. A “no” response to any of the following questions could indicate the need to review procedures and take corrective action to minimize liability exposures. (For more information on a related topic, see Home Care Briefing® — Issue 12, April 2013, “Elder Financial Abuse.”)

Answer “yes” or “no” to each of the questions below:


  • Do all prospective employees complete, sign and date a detailed application, which is maintained in a personnel file?
  • Does the application query applicants regarding their job history, including an explanation of employment gaps and the reason why they left or are considering leaving their most recent position?
  • Are behavior-based questions and reliable personality profile assessment tools used in hiring interviews to determine whether candidates possess the requisite integrity, decision-making ability and communication skills, as well as a caring and respectful manner?
  • Is candidate information verified by contacting at least two personal references, and are results documented?
  • Are all recent employers contacted, and are responses documented?
  • Are criminal background checks conducted, and are results documented?
  • Is drug and alcohol testing conducted in compliance with state and federal guidelines once a contingent offer of employment has been made?

Employment Policies and Procedures

  • Does company policy prohibit caregivers from accepting money or tips from clients, as well as valuable gifts?
  • Are caregivers prohibited from assisting clients during their personal time, outside of company-assigned work hours?
  • Do supervisors make periodic unannounced telephone calls to clients and family members, and conduct occasional unscheduled in-person interviews?
  • Are policies and procedures in place to investigate allegations of theft or financial abuse, and are these policies consistently implemented?
  • Are allegations of theft or abuse immediately reported to law enforcement, relevant state and/or local agencies, and insurers?
  • Are suspected employees suspended from their duties pending the outcome of the investigation?

Client Safeguards

  • Are clients encouraged to place valuables in safekeeping and to keep only modest amounts of cash in their home?
  • Is an inventory made of unsecured valuables at the client’s home, and is the list signed by the client or a responsible family member?
  • Is a process in place to report missing items or money, and is this process known to clients, family, caregivers and supervisors?
  • Are clients encouraged to set up direct billing or automatic debit payment systems, in order to minimize handling of clients’ cash or credit cards by caregivers?
  • Does company policy require that caregivers provide receipts for all expenditures made on behalf of the client?
  • Are caregivers prohibited from accessing sensitive client information, including bank account numbers, passwords and personal identification numbers?

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