Managing Personnel Records - International Records Management ...

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Requiring a unique identifying number for each civil servant also helps to control payroll, pensions and other personnel-related functions. As it is unlikely to be to be practical for records managers to introduce and maintain a new government-wide personnel numbering system, it is wise whenever possible to make use of existing numbering systems. The source of this number will vary according to the circumstances, but it might be the payroll number, income tax number or national identity number. There are advantages and disadvantages to using any of these numbers. Following are the key factors to take into account. ? Is there a long-term commitment to maintain the numbering system? ? Is there any possibility that new numbers will be issued to the same individual? ? Does the system affect every employee? If a unique numbering system can be identified, then the number associated with any individual can be quoted as a reference in all dealings with the individual. This will make it possible to retrieve information about the person anywhere in the system, whether the information is held on paper on electronically. These issues need to be discussed with the relevant authorities to identify unforeseen problems with any particular numbering system. For example, staff paid on a daily basis may not be on the payroll, or citizens may be issued with new national identity card numbers if they lose their cards. Either of these situations could make the system unworkable. If a unique numbering system can be identified, then the number associated with any individual can serve as a reference in all dealings with that person. The personal files held in central government agencies or in ministries and departments can be reorganised and indexed in reference number order. It will be essential to indicate the name of the creating agency clearly on the file cover to avoid confusion about the provenance of the file. Where it is not possible to identify a numbering system that meets all the criteria outlined above, it may be possible to achieve a compromise. For example, if the payroll number is selected as the unique identifier, but daily paid workers do not have payroll numbers, it may be possible to organise their files in alphabetical order, while keeping the main series of personnel files in payroll number order. Activity 12 How are personnel files in your organisation numbered? Write a brief description of the numbering system used. If no numbering system is used, describe how records are arranged and indicate whether you think a numbering system can and should be used. MANAGING PERSONNEL RECORDS 92
INTERNAL ARRANGEMENT OF THE FILE Methods of arranging papers within the file cover are discussed in Organising and Controlling Current <strong>Records</strong>. Some further points need to be considered in connection with employee personal files. If held on the personnel file, the personnel record sheet or card needs to be placed where it is immediately accessible. It must not become ‘buried’ in the middle of the file. If the ‘back-to-front’ filing method is adopted, it will be necessary to consider ways in which the personnel record sheet can be kept separate from the other papers on the file. If it is placed at the front of the file, it must be lifted out when new papers are added and must then be replaced on top of them. This process is not to be recommended, as the sheet would soon be damaged through repeated handling. The personnel record sheet or card needs to be filed so that it is immediately accessible. In a split file system, where treasury tags are used to attach papers to the right or the left of the inside of the file, the personnel record sheet can be placed on one side of the file and the remaining papers on the other. Another alternative is to print the personnel record sheet form on the inside or back of the file cover. This will automatically keep the personnel record details in a prominent position, but it does not allow for continuation sheets to be used. For more information on filing methods, see Organising and Controlling Current <strong>Records</strong>. Activity 13 How are the records in personnel files in your organisation arranged? Write a brief description of the processes used. Are there guidelines or procedures in place? If not, indicate whether you think a process should be established and procedures developed. DESIGNING THE FILE COVER The design of the file cover for the personal file will differ in some respects from designs used for policy files in civil service agencies. The name of the department should be printed or stamped on the cover. Some organisations also print the word ‘open’ or ‘confidential’. MANAGING PERSONNEL RECORDS 93
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MANAGING PUBLIC SECTOR RECORDS Mana
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MANAGING PUBLIC SECTOR RECORDS A ST
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MPSR Project Personnel Project Dire
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Donors The International Records Ma
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CONTENTS Introduction 1 Lesson 1: T
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INTRODUCTION TO MANAGING PERSONNEL
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5. to describe the principles of ma
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MANAGING PERSONNEL RECORDS 5 LESSON
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Personnel records provide a basis f
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Life Span of Personnel Records Pers
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industrial relations. Personnel man
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The overriding purpose of the legal
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The primary stakeholder for personn
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salaries and wages may rest with th
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PROVIDING INFORMATION TO MULTIPLE S
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TRENDS IN PERSONNEL MANAGEMENT Incr
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SUMMARY Lesson 1 has discussed the
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? the pensions office ? the audit o
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Office of Head of Civil Service Cen
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MANAGING PERSONNEL RECORDS 29 LESSO
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Records Issues When a human resourc
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PERSONNEL POLICY All organisations
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Special Contracts Some staff appoin
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extended probationary period or dis
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Records Issues There will probably
Page 51 and 52: last employing department. In eithe
Page 53 and 54: different scenarios will have diffe
Page 55 and 56: narrowly defined, whereas in a smal
Page 57 and 58: Job title Personnel Officer: Execut
Page 59 and 60: 7. Employment or occupation up to t
Page 61 and 62: Division (HQ staff only Location Da
Page 63 and 64: c) Give a broad indication of the r
Page 65 and 66: ? Give an overall assessment of the
Page 67 and 68: 1.4 Performance Appraisal Interview
Page 69 and 70: ? If a posting is suggested, commen
Page 71 and 72: 2.1 Personal Qualities and Abilitie
Page 73 and 74: GENERAL SKILLS - WRITTEN - ORAL - N
Page 75 and 76: (SEE GUIDANCE NOTE ON DISCLOSURE) T
Page 77 and 78: System Documents Custody Promotion
Page 79 and 80: Examples of Main Records Series Sup
Page 81 and 82: STUDY QUESTIONS 1. Explain the purp
Page 83 and 84: ACTIVITIES: COMMENTS Activity 7 Thi
Page 85 and 86: An official personal file for an in
Page 87 and 88: WORKING PERSONAL FILES Working pers
Page 89 and 90: The card will also record informati
Page 91 and 92: PROMOTIONS Post Effective Date Sala
Page 93 and 94: SUMMARY This lesson has examined th
Page 95 and 96: ACTIVITIES: COMMENTS Activities 8-9
Page 97 and 98: TYPICAL PROBLEMS WITH MANAGING PERS
Page 99 and 100: If an employee is found to have two
Page 101: In some cases, confidential files a
Page 105 and 106: Activity 14 How are large personnel
Page 107 and 108: a separate box marked for the purpo
Page 109 and 110: ? C: staff no longer in the service
Page 111 and 112: Sort undifferentiated personal file
Page 113 and 114: STUDY QUESTIONS 1. Explain at least
Page 115 and 116: MANAGING PERSONNEL RECORDS 105 LESS
Page 117 and 118: ADVANTAGES OF COMPUTERISATION Many
Page 119 and 120: RECORDS MANAGEMENT IMPLICATIONS OF
Page 121 and 122: Personnel managers, as the users, n
Page 123 and 124: Stages in Developing and Implementi
Page 125 and 126: ? The timetables and the budget for
Page 127 and 128: Databases The advantage of using ot
Page 129 and 130: Full Name Sex No. Date of birth Dat
Page 131 and 132: Controlling Data Exchange Often the
Page 133 and 134: Having entered the information on t
Page 135 and 136: STUDY QUESTIONS 1. Name four issues
Page 137 and 138: MANAGEMENT ISSUES MANAGING PERSONNE
Page 139 and 140: PERSONNEL INFORMATION SYSTEMS AND P
Page 141 and 142: THE IMPORTANCE OF SOURCE DATA Inves
Page 143 and 144: A document management system allows
Page 145 and 146: Activity 21 Consider the various st
Page 147 and 148: STUDY QUESTIONS 1. What are four co
Page 149 and 150: WHAT TO DO NEXT? MANAGING PERSONNEL
Page 151 and 152: See Restructuring Current Records S
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Commonwealth Association for Public
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Activity 24 Check your institution
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STUDY QUESTIONS ? In your own words
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MANAGING PERSONNEL RECORDS 151 APPE
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RECOMMENDED RETENTION PERIODS (WHER
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