Managing Personnel Records - International Records Management ...

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Personnel Records and Government Functions Personnel records are part of a government-wide system. The government usually has offices all over the country, each of which will maintain personnel records of some sort. Thus the quality of local communications may be very important in determining what record-keeping strategies are likely to succeed or fail. For example, where communications are slow, there may be a greater need for duplicate files because it takes too long for a file to be sent to the user from a central point. Personnel records support the business needs. Good personnel records are necessary to allow the best use of available staff and promote efficiency in the organisation. The records also help the organisation make good use of scarce resources and help provide an accurate source of data, which can be used in other information systems throughout the organisation. There are strong links between personnel management and other government systems, notably the management of the payroll and control of pensions expenditures. Personnel record-keeping systems can be linked to payroll systems. Personnel records provide the authority for the payment of salaries and benefits to employees. The linkage between personnel records and payroll systems must be fully understood before changes to either are implemented. Changes to one system may have a significant impact upon the functioning of another system. There may be advantages to creating a combined computerised personnel and payroll system, for example. However, records managers need to be aware of the electronic records management issues involved with doing this. It is also important to consult widely with all of the relevant stakeholders before implementing any changes. Personnel Records and Staff Management Personnel records are the primary source of information about an organisation’s staff. The head of every organisation needs to know how many people work for him or her, who they are, where they are, what responsibilities they have and how effective they are. Human resource planners also need to know the qualifications, competencies, dates of promotions and retirements of staff. In some countries, record systems have broken down to such an extent that accurate information on these topics is no longer available. Without this information it is impossible to deploy and manage staff effectively. MANAGING PERSONNEL RECORDS 6
Personnel records provide a basis for decision making in every area of personnel work, including ? human resources forecasting and planning ? recruitment and selection ? employment (including promotion, transfers, disciplinary procedures, termination and redundancy) ? education and training ? pay administration ? health, safety and welfare. The existence of large numbers of false entries on the payroll (known as ‘ghost workers’) can represent a major cost to the civil service budget. Fighting the ghost worker problem is an important tactic for preventing waste and enabling the government to improve the pay of the employees who really do exist. It is impossible to eliminate ghost workers from the payroll unless it is possible to establish an authoritative list of staff. This can only be provided from accurate personnel records. Personnel Records and the Employee Personnel records directly affect the employee. More than many other records in the organisation, personnel records directly affect the employee in question and his or her family. Personnel records document the contractual relationship between employer and employee and the employee’s career history in the organisation. The information held in these records is used to make decisions about suitability for promotion, transfer or, in some cases, disciplinary action. These records will also be used as authority to determine pay and other benefits, including pension entitlements for the employee and dependent family members. It is therefore extremely important that personnel records are accurate and complete. Personnel records also serve the needs of the individuals. They guard people’s rights and entitlements, provide evidence of their progress and employment history and serve as an authoritative source of accurate information about them. When personnel records are not managed properly, it becomes very difficult and time consuming to calculate pension benefits. In some countries delays in paying pensions affect almost every civil servant in retirement, from the most senior to the most junior. Improving the completeness of personnel records can speed up this process and bring material benefit to a large number of people. MANAGING PERSONNEL RECORDS 7
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 and 12: INTRODUCTION TO MANAGING PERSONNEL
Page 13 and 14: 5. to describe the principles of ma
Page 15: MANAGING PERSONNEL RECORDS 5 LESSON
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
Page 63 and 64: c) Give a broad indication of the r
Page 65 and 66: ? 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
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RECOMMENDED RETENTION PERIODS (WHER
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