Managing Personnel Records - International Records Management ...

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EDUCATION, TRAINING AND DEVELOPMENT As appropriate, staff should be provided with opportunities for further education, training in new skills and professional development. Where possible, education and training should be carried out in conjunction with the staff member’s particular Forward Job Plan. The personnel department should monitor the results. Comments should be noted on the personnel file and entered in a skills register. The register should be organised by skills, followed by the names of staff who have acquired them and the level obtained. Attendance at overseas education and training courses usually requires approval from the central agency and the employing department. Bonding may be required, whereby the person agrees that in exchange for training, he or she will undertake to work for the employer for a specific period of time upon return from studying. It is wise to monitor the training process closely to ensure staff complete the course and return to their post within the allotted time. This monitoring process may generate considerable correspondence between the employing department, the civil service department and perhaps the high commission or embassy in the host country, as well as with the individual concerned. The institution in the host country may also become involved. Records Issues A skills register should be established if there is not one in use. Abstracts of education, training and development courses attended and their results should be placed on the personnel file. A separate series of correspondence files on overseas education and training should be kept in the civil service department and in the employing departments. PROMOTIONS Promotions should be based primarily on merit, though seniority may also be a consideration. Traditionally, candidates for promotion have been required to attend a promotion board, but increasingly managers have been allowed to advertise for applications when a vacancy occurs and to carry out the selection themselves, possible with the involvement of personnel staff. Promotion boards may be restricted to internal candidates only, but may also include outside candidates. Appeal procedures should be in place to consider cases where individuals were not selected for promotion or were not promoted. MANAGING PERSONNEL RECORDS 38
Records Issues There will probably be a separate case file for each promotion board. The board’s comments on each candidate should be copied to the individual’s personal file. Relevant central authorities should be informed. The staff list will need to be amended. TRANSFERS AND SECONDMENTS Civil servants and other public sector staff, usually those above a certain grade, can generally be transferred or seconded elsewhere at short notice. The personnel department should have available the regulations on the relevant terms and conditions under which this can be carried out. In some cases, staff may actively seek a transfer or secondment, in which case the terms may be different. Transfers and secondments may be at the same grade, or they may result from a promotion or demotion. Records Issues A transfer or secondment certificate should be placed on the personnel file. The personnel file should be transferred to the new agency’s personnel department. In some countries the personal file does not move with the individual. The relevant central authorities should be notified. DISCIPLINARY PROCEEDINGS Disciplinary procedures should conform with employment legislation, but they may also be governed by less formal codes of practice where these exist. For example, there may be a conciliation or arbitration service that promulgates such codes. Such procedures may vary from country to country. The procedures will define the action to be taken by whom; they will also allow individuals to be informed of the complaints against them, giving them an opportunity to state their cases. The punishment should fit the crime. The procedures should also ensure that, except for gross misconduct, employees are not dismissed for a first breach of discipline, that disciplinary action is not taken until the case has been carefully investigated and MANAGING PERSONNEL RECORDS 39
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 and 46: Special Contracts Some staff appoin
Page 47: extended probationary period or dis
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
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In some cases, confidential files a
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INTERNAL ARRANGEMENT OF THE FILE Me
Page 105 and 106:
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
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
Page 161:
RECOMMENDED RETENTION PERIODS (WHER
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