Managing Personnel Records - International Records Management ...

Common Filing Problems
Often there are substantial gaps in the completeness of personal files. One reason for
this is the proliferation of duplicate open and confidential files in ministries, regions
and districts arising from the common practice of opening a new file when a new
employee joins an organisation. In theory, a middle-grade civil servant in the
administrative cadre who is transferred half a dozen times in his or her career could
generate as many as several dozen files. Moreover, as personnel registries have
become congested and control systems have broken down, large numbers of files have
been mislaid within the system. This mishandling of files can lead to the creation of
numerous ‘temporary’ files. Crucial personnel information is thus spread across a
variety of files. In addition, procedures for sending documents for filing are often
disregarded or overlooked.
There can be substantial gaps in the completeness of
personal files.
The result is that information on any given employee may be fragmented; it is
impossible to know whether the record in question is complete. The objective is to
reduce the proliferation of duplicate personal files and to ensure that those that remain
are complete.
Before a records management programme can be implemented to restore control there
must be agreement over responsibilities for maintaining up-to-date personnel
information. It is important also to clarify rules for handling records when civil
servants are transferred or leave the service.
Where a computerisation project is planned there is an opportunity to work
co-operatively with the information systems staff. Projects to improve the quality of
the personnel data through surveys or extensive cross-checking of details about
individuals should also include measures to enhance the accuracy and reliability of the
records.
It is vital to the sustainability of the personnel records system that duplicate files
should not be allowed to develop. If a reference number is known but the file cannot
be found, a duplicate file should be opened, bearing the same number as the missing
file but marked on the cover with an agreed form of words such as ‘TEMPORARY
DUPLICATE FILE’. Clerks should not be permitted to open files of this kind
without consulting first with the supervisor, who should check that all efforts have
been made to find the original file before authorising the duplicate file. If the original
is found, the contents of the two files should be merged and the papers interfiled in
the correct sequence. The file cover of the duplicate may be destroyed unless it has
been used to record unique information, in which case it should be inserted within the
cover of the permanent file.
If a reference number is known but the file has been destroyed, a new file should be
opened. The file should bear the same number as the destroyed file but marked on the
cover with an agreed form of words such as ‘PREVIOUS FILE DESTROYED’.
MANAGING PERSONNEL RECORDS
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