Managing Personnel Records - International Records Management ...

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INDUCTION AND INITIAL TRAINING A new member of staff requires induction to his or her job and to the organisation as a whole. The level will vary according to the job. It may require only a few hours or a period lasting several weeks or months. Initial training is concerned with learning the specific skills of the job rather than with familiarisation with the organisation. Records Issues Responsibility for keeping the records of induction and initial training should be jointly carried out by the immediate line manager and the personnel department. These records serve various purposes. At their simplest, they can be used to confirm that all new staff have completed their induction and training and how well they have done. They can also be used to assess the effectiveness of the induction process and to introduce improvements where appropriate. The induction record should be placed on the personnel file along with the application form and the letter of appointment. CONFIRMATION IN POST Most if not all new staff will be subject to a probationary period. At the end of this period, they should be formally confirmed in post, unless their performance has been unsatisfactory. This should not come as a surprise; line management in conjunction with personnel staff should have already provided feedback and support. Where performance has been unsatisfactory, the necessary warnings should have been given before the end of the probationary period. During the probationary period, which may range from a few weeks to a year or more, the personnel department should ensure that personnel staff and line management keep records of the progress of probationary staff in order to be in a position to confirm them in post where appropriate. Records Issues A brief summary of the probationary period should be placed on the personnel file along with a Confirmation in Post certificate. A copy should go to the central department responsible for posting the employee to the job. If the probationer is not confirmed in post, the reasons for the decision should be given. A further probationary period, or dismissal, may follow. A notification of an MANAGING PERSONNEL RECORDS 36
extended probationary period or dismissal should be placed on personnel file. If dismissal takes place, the relevant central authorities must be informed and the staff list amended. Any other procedures in the organisation’s personnel manual should be followed, including the process of appeal or the right to a verbal interview to clarify the decision. Performance Appraisal Records of performance appraisal are important to the ongoing operational effectiveness and continuing development of the organisation, as well as to the well-being of the individual members of its staff. These records provide evidence for the future deployment and promotion of staff as well as information about their current performance. Performance appraisal should be seen in the context of the aims and objectives set out in the organisation’s strategic plan. Individual forward job plans (FJP) should reflect these aims and objectives and provide the information on which performance appraisal is based. An Individual Forward Job Plan is a formal document outlining key performance targets for the coming year and any training requirements agreed between the staff member and his or her line manager. It is good practice to carry out a formal annual appraisal of staff performance. This appraisal should be conducted by the line manager with the support of the personnel department, and it should result in a formal record. Appraisal should be followed up by the production of an FJP, agreed between the line manager and the member of staff, setting out six or so key performance targets for the coming year and any related training requirements. The FJP should be kept under review throughout the year. It may be amended from time to time by mutual agreement and will provide the evidence on which the next performance appraisal is based. An example of an appraisal report is shown in Figure 5. The FJP form should be similar to the appraisal form, except that the key performance targets should be set out in full. The performance markings should be replaced by training needs and support from the line manager. Records Issues Appraisal Reports are probably best kept as a separate series. The summary on the personnel file should simply record the overall performance mark, the mark on suitability for promotion and the long-term potential mark. Appraisal reports should be retained by the personnel department for 3 to 5 years at most. Forward job plans should also be destroyed as soon as their immediate value is passed. MANAGING PERSONNEL RECORDS 37
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 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: Special Contracts Some staff appoin
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
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
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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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