Managing Personnel Records - International Records Management ...

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Although this module is directed primarily at those involved in personnel records management in the public sector, the principles and practices it advocates are also relevant in the private sector. ORGANISATION OF THE MODULE Managing Personnel Records consists of seven lessons: Lesson 1: The Context of Personnel Records Management Lesson 2: Personnel Management Business Processes and Records Lesson 3: The Nature of Personal Files Lesson 4: Managing Personnel Records in a Manual Form Lesson 5: Managing Personnel Records in a Mixed Paper/Electronic Environment Lesson 6: Management Issues Lesson 7: What to Do Next? The appendix to this module contains a sample excerpt from a retention schedule for personnel records. AIMS AND OUTCOMES Aims The specific aims of this module are 1. to explain the objectives of personnel management and the legal and regulatory context in which it operates 2. to describe the roles of creators and users (stakeholders) of personnel records, the main record series and their uses and to consider issues such as security, access and retention periods 3. to introduce the basic business processes involved and to describe the documents that result 4. to discuss the nature and contents of personnel files MANAGING PERSONNEL RECORDS 2
5. to describe the principles of managing paper-based personnel records systems 6. to offer guidance on repairing or replacing existing systems that are not functioning effectively 7. to introduce the concept of automated integrated personnel management and payroll systems, to examine the policy issues involved including linking personnel management systems to the payroll and to examine the advantages and disadvantages involved. Outcomes When you have completed this module, you will be able to 1. explain the objectives of personnel management in its legislative context, identify the basic business processes involved and understand the resulting documents 2. understand the roles of the key stakeholders involved and the use they make of the main record series 3. appreciate issues relating to security, access and retention of personnel records 4. understand the records management role in the planning and implementation of projected integrated automated personnel and payroll systems 5. determine whether a personnel management records system is working effectively or needs to be upgraded. METHODS OF STUDY AND ASSESSMENT This module of seven lessons should occupy about 65 hours of your time. You should plan to spend about 8 hours on lesson 1 10 hours on lesson 2 10 hours on lesson 3 12 hours on lesson 4 12 hours on lesson 5 8 hours on lesson 6 5 hours on lesson 7. MANAGING PERSONNEL RECORDS 3
Page 1 and 2: MANAGING PUBLIC SECTOR RECORDS Mana
Page 3 and 4: MANAGING PUBLIC SECTOR RECORDS A ST
Page 5 and 6: MPSR Project Personnel Project Dire
Page 7 and 8: Donors The International Records Ma
Page 9 and 10: CONTENTS Introduction 1 Lesson 1: T
Page 11: INTRODUCTION TO MANAGING PERSONNEL
Page 15 and 16: MANAGING PERSONNEL RECORDS 5 LESSON
Page 17 and 18: Personnel records provide a basis f
Page 19 and 20: Life Span of Personnel Records Pers
Page 21 and 22: industrial relations. Personnel man
Page 23 and 24: The overriding purpose of the legal
Page 25 and 26: The primary stakeholder for personn
Page 27 and 28: salaries and wages may rest with th
Page 29 and 30: PROVIDING INFORMATION TO MULTIPLE S
Page 31 and 32: TRENDS IN PERSONNEL MANAGEMENT Incr
Page 33 and 34: SUMMARY Lesson 1 has discussed the
Page 35 and 36: ? the pensions office ? the audit o
Page 37 and 38: Office of Head of Civil Service Cen
Page 39 and 40: MANAGING PERSONNEL RECORDS 29 LESSO
Page 41 and 42: Records Issues When a human resourc
Page 43 and 44: PERSONNEL POLICY All organisations
Page 45 and 46: Special Contracts Some staff appoin
Page 47 and 48: extended probationary period or dis
Page 49 and 50: 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
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c) Give a broad indication of the r
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? Give an overall assessment of the
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1.4 Performance Appraisal Interview
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? If a posting is suggested, commen
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2.1 Personal Qualities and Abilitie
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GENERAL SKILLS - WRITTEN - ORAL - N
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(SEE GUIDANCE NOTE ON DISCLOSURE) T
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System Documents Custody Promotion
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Examples of Main Records Series Sup
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STUDY QUESTIONS 1. Explain the purp
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ACTIVITIES: COMMENTS Activity 7 Thi
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An official personal file for an in
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WORKING PERSONAL FILES Working pers
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The card will also record informati
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PROMOTIONS Post Effective Date Sala
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SUMMARY This lesson has examined th
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ACTIVITIES: COMMENTS Activities 8-9
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TYPICAL PROBLEMS WITH MANAGING PERS
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If an employee is found to have two
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In some cases, confidential files a
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INTERNAL ARRANGEMENT OF THE FILE Me
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Activity 14 How are large personnel
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a separate box marked for the purpo
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? C: staff no longer in the service
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Sort undifferentiated personal file
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STUDY QUESTIONS 1. Explain at least
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MANAGING PERSONNEL RECORDS 105 LESS
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ADVANTAGES OF COMPUTERISATION Many
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RECORDS MANAGEMENT IMPLICATIONS OF
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Personnel managers, as the users, n
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Stages in Developing and Implementi
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? The timetables and the budget for
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Databases The advantage of using ot
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Full Name Sex No. Date of birth Dat
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Controlling Data Exchange Often the
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Having entered the information on t
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STUDY QUESTIONS 1. Name four issues
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MANAGEMENT ISSUES MANAGING PERSONNE
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PERSONNEL INFORMATION SYSTEMS AND P
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THE IMPORTANCE OF SOURCE DATA Inves
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A document management system allows
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Activity 21 Consider the various st
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STUDY QUESTIONS 1. What are four co
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WHAT TO DO NEXT? MANAGING PERSONNEL
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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
Page 161:
RECOMMENDED RETENTION PERIODS (WHER
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