Personnel File Checklist (UK)

This article is based on good practice and complies with legislation.  In light of the GDPR coming in April 2018, this is an opportunity for many HR Departments and Organisations to “audit” their personnel files and ensure that they meet requirements and are fit for purpose.

For many years I worked within Health and dealt with the CQC on many occasions, I have therefore tailored this article to ensure that anyone can utilise this layout including the Health Sector.

It is important to note that each section should be broken down clearly and within that section it should read like a book in chronological order.

This list can be used and ideally should be kept at the front of the file, on the front cover of a personnel file there should only be the employee’s name and no other information.

Section 1: PERSONAL DETAILS	On File
First Name and Surname
Date of Birth (verified)
Employee Number
Contact Details: address and telephone numbers [should also be on Electronic Filing System]
Next of Kin or Emergency Contact Details [should also be on Electronic Filing System]

Section 2: CORRESPONDENCE	On File
This section would include any correspondence relating to the individual’s employment.

Section 3: GENERAL INFORMATION	On File
Annual Leave Record
Confidentiality Form
Copy of Driving Licence – [originally this would include the paper counterpart, but this has now been made obsolete and can be removed from the file] Photocopies must be signed and dated by the person who checked them to confirm original has been seen
Copy of Insurance Certificate: stating ‘business use’ cover, signed and dated to say original seen
Supervision or Meeting Notes
Lease Car Documentation - if applicable
Induction Checklist: both corporate and local (departmental)

Section 4: SICKNESS ABSENCE	On File
This section would include self-certification forms, GP Fit notes, return to work interviews, Occupational Health reports, managing attendance at work correspondence and should be in chronological order.

Section 5: TRAINING AND APPRAISAL INFORMATION	On File
This section would include details of any training or development activities, study leave forms etc. Managers may wish to keep paper copies of appraisals on file.
Agreed Objectives
Disciplinary: On expiry of Disciplinary warnings, the letter should be retained on the personal file but will not remain “live”

Section 6: ASSIGNMENT INFORMATION	On File
Statement of Particulars: the employment ‘contract’ signed and dated by both employee and manager
Starter Form: should be signed and dated by the employee and manager
Any other Employee Record Documents (in the NHS these are the ESR Doc’s and P forms) - should be signed and dated by the employee and manager

Section 7: RECRUITMENT - For every post held there should be .......	On File
Advertisement for the post that the individual was recruited from
Job Description and Person Specification: current and signed by both employee and line manager
Application Form
Interview Assessment Sheets: should be signed and dated by interviewer
Conditional Job Offer Letter
Acceptance of post form: signed and dated by individual
Pre-Employment Checklist: signed and dated by Recruitment Team
Proof of Identity: (2 address and 1 photo ID OR 1 address and 2 photo ID) photocopy original documents signed and dated to say originals seen
Right to Work in UK: photocopy original documents, signed and dated to say originals seen
If applicable Professional Registration Details: copy of registration card and updates signed and dated to say original seen
Copies of Qualifications: relevant to the post as detailed in person specification, signed and dated to say originals seen
References: cover a minimum of 3 years employment and at least 2 previous employers
If applicable Performers Lists & Healthcare Professional Alert Notice Web Check
Occupational Health Clearance
Disclosure and Barring Service Check (if applicable)
Unconditional Job Offer Letter

For Directors Posts Only:

	On File
Search of insolvency and bankruptcy register
Additional insolvency and bankruptcy
Search of disqualified directors register
Background check (including Google search)
Declaration of fitness signed and dated