HR Staff Files Audit

Use the HR Staff Files Checklist to review the accuracy of employee files, focusing on contracts, documentation, training records, and performance management. This audit can be conducted quarterly. References: Right to Work Documentation: Immigration, Asylum and Nationality Act 2006, Employment Contract: Employment Rights Act 1996, Job Description: Employment Rights Act 1996, Proof of Qualifications: Equality Act 2010, References: Employment Practices Data Protection Code, DBS Check (if applicable): Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, Training Records: Health and Safety at Work etc. Act 1974, Medical Information: Data Protection Act 2018; Health and Safety at Work etc. Act 1974, Annual Leave Records: Working Time Regulations 1998, Performance Appraisals: Employment Rights Act 1996, Disciplinary Records: Employment Rights Act 1996; ACAS Code of Practice on Disciplinary and Grievance Procedures, Exit Interviews (if applicable): Employment Rights Act 1996.

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HR Staff Files Audit

Application Form

Interview

Identification

Right To Work Documentation

Employment Contract

Working Time Directive

Job Description

Proof Of Qualifications

References

DBS Check (if Applicable)

Emergency Contact Information

Medical Information

Training Records

Annual Leave Records

Performance Meetings

Disciplinary Records

Equality Monitoring

Exit Interviews (if Applicable)

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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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HR Staff Files Audit

1. Is there completed a signed application form?

2. Are any gaps in employment clearly explained and documented?

3. Verification of Reason for Leaving Previous Positions Involving Vulnerable Groups

1. Are there interview notes in file?

1. Are there copies of Identification in line with DBS requirements? i.e. Drivers Licence, Birth certificate, proof of address?

2. Is there a photograph of the candidate?

1. Does the file contain a valid right to work document (passport, visa, etc.)?

2. Has an online Right to work check been carried out if required?

1. Is a signed copy of employment contract present in the file?

1. Is there a working tie directive signed if working over 48 hours a week?

1. Is the job description signed and dated by the employee?

2. Is there a signed confidentiality agreement signed?

3. Is there a photography/media consent form signed?

1. Are copies of relevant qualifications/certifications in the file?

1. Are there at least two references on file? One must be from last employer. More if required.

1. Is there a current DBS check for roles that require it?

2. If they are on the update service has this check been done?

1. Is there a copy of emergency contacts in the file in case of any accidents or emergencies? Has it been updated withing 12 months?

1. Is there a medical form completed and are people aware of ay conditions i.e allergies

1. Are records of completed mandatory training up to date?

1. Are annual leave records accurately maintained?

1. Are any performance meetings i.e. supervision in the file and carried out regularly?

2. Are completed performance appraisals for the past year on file?

1. Disciplinary Records - Documentation of any disciplinary actions taken.

2. Grievance Records - Record of any grievances raised and outcomes.

3. Attendance Records Absence and sickness records, including return-to-work interviews.

1. Evidence of equality and diversity monitoring in line with the Equality Act 2010.Reasonable Adjustments Documentation of any reasonable adjustments made for employees with disabilities.

1. Is there an exit interview record for former employees?