IRMT TERM Module 5

INTERNATIONAL RECORDS MANAGEMENT TRUST
Module 5
MANAGING PERSONNEL RECORDS IN

AN ELECTRONIC ENVIRONMENT
Training in Electronic Records Management

TRAINING IN ELECTRONIC RECORDS MANAGEMENT
MODULE 5
MANAGING PERSONNEL RECORDS IN

AN ELECTRONIC ENVIRONMENT
Training in Electronic Records Management
General Editor, Laura Millar
MODULE 5
MANAGING PERSONNEL
RECORDS IN AN
ELECTRONIC ENVIRONMENT
INTERNATIONAL RECORDS MANAGEMENT TRUST

TRAINING IN ELECTRONIC RECORDS MANAGEMENT
Module 5: Managing Personnel Records in an Electronic Environment
© International Records Management Trust, 2009.

Reproduction in whole or in part, without the express written
permission of the International Records Management Trust,
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Inquiries concerning reproduction or rights and requests for

additional training materials should be addressed to
International Records Management Trust

4th Floor
7 Hatton Garden
London EC1N 8AD
UK
Tel: +44 (0) 20 7831 4101
Fax: +44 (0) 20 7831 6303
Email: info@irmt.org
Website: http://www.irmt.org
Version no. 1/2009

TERM Project Personnel
Project Director
Dr Anne Thurston, founder of the Trust, is a pioneer in defining international
solutions for the management of public sector records. Both as an academic and as a
programme director, she has extensive experience of working with many different
governments to provide practical solutions for strengthening record-keeping systems.
Her groundbreaking survey of record-keeping systems across the Commonwealth
resulted in the establishment of pilot projects to restructure records systems in The
Gambia and Ghana, and she established the Trust in 1989 to develop and extend this
work. She joined the staff of the School of Library, Archive and Information Studies
at University College London in 1980 to develop the Masters’ in Records and
Archives Management (International); she was also a Reader in International Records
Studies. In 2000 she was awarded an OBE for services to public administration in
Africa; she received a lifetime achievement award from the UK Records Management
Society in 2006. She was awarded the Emmett Leahy award for Outstanding
Contributions to the Information and Records Management Profession in 2007.
General Editor
Laura Millar divides her time among three careers: in archives as an archival and
information management consultant and educator; in publishing as a writer, editor,
and instructor; and in distance education as a curriculum developer, instructional
designer, and course author. She received her MAS degree in archival studies from
the University of British Columbia, Canada, in 1984 and her PhD in archival studies
from the University of London in 1996. From 1994 to 1999, as Managing Editor of
the Management of Public Sector Records Study Programme for the International
Records Management Trust and the International Council on Archives, she was
responsible for the development, testing, and delivery of 18 distance education
training modules and 15 associated publications in archives, records and information
management. She is the author of a number of books and articles on various topics in
archives, publishing, and distance education.
Project Manager
A New Zealand born Australian based in Seattle, Washington, Michael Hoyle has a
Masters degree in Information Management and Systems from Monash University in
Australia. Prior to moving to Seattle in 2005, he was the Group Manager, Govern-
ment Recordkeeping at Archives New Zealand. He has also worked in various in-
formation management and other roles in several government agencies in Australasia,
including ten years at Archives New Zealand and six years at the National Archives
of Australia. Michael has been a council member of the Archives and Records
Association of New Zealand (1996 to 1999) and served the Association of
Commonwealth Archivists and Records Managers (ACARM) as Deputy Chair (2000
to 2002) and as Chair (2002 to 2004). He also served the Pacific Branch of the
International Council on Archives (PARBICA) as Secretary General (2002 to 2003)
and President (2003 to 2004).
Module 5: Managing Personnel Records in an Electronic Environment
Authors
Andrew Griffin
Michael Hoyle
Reviewers
Keith Bastin
Charles Kinyeki
Mphalane Makhura
Jim Suderman
Anne Thurston
Justus Wamukoya
The International Records Management Trust would like to acknowledge the support
and assistance of the Department for International Development (UK).
Contents
Preface ix
Introduction 1
Unit 5.1 The Context of Personnel and Payroll Records Management 5
Unit 5.2 Understanding the Relationship between Human Resource
Management Functions and Records 13
Unit 5.3 Types of Personnel Records 29
Unit 5.4 Managing Personnel Records and Personnel Files 39
Unit 5.5 Improving Personnel Record-keeping Systems and Verifying
the Payroll 49
Unit 5.6 Moving Toward Electronic Personnel Record Keeping 59
Study Questions 67
Figures
Figure 1 Documents Generated by the Personnel Function 14–16
Figure 2 Master File Checklist 33
Figure 3 Sample Paper File Cover 40
Figure 4 Sample Retention and Disposal Schedule for Personnel Files 46
Figure 5 Decongesting a Personnel Filing System 52
Figure 6 List of Payroll Anomalies 55
Figure 7 Developing and Implementing a HRIS 63
PREFACE
ABOUT THE TERM PROJECT

This module is part of an educational initiative called Training in Electronic Records
Management or TERM, developed by the International Records Management Trust as
part of a wider project to investigate issues associated with establishing integrity in
public sector information systems. Begun in 2006, Fostering Trust and Transparency
in Governance: Investigating and Addressing the Requirements for Building Integrity
in Public Sector Information Systems in the ICT Environment was a project designed
to address the crucial importance of managing records in the information technology
environment. The focus of the study was pay and personnel records, since payroll
control and procurement are the two major areas of government expenditure most
vulnerable to misappropriation, and payroll control is, therefore, a highly significant
issue for all governments.
The project provided an opportunity to explore the management of paper records as
inputs to financial and human resource management information systems, the
management of electronic records as digital outputs and the links between them. It
also involved examining the degree to which the controls and authorisations that
operated in paper-based systems in the past have been translated into the electronic
working environment.
The primary geographical focus of the study was eastern and southern Africa, and two
significant regional bodies participated: the Eastern and Southern Africa Regional
Branch of the International Council on Archives (ESARBICA) and the Eastern and
Southern African Association of Accountants General (ESAAG). Four countries from
the region (Zambia, Botswana, Lesotho and Tanzania) hosted case studies, and
comparative studies were carried out in West Africa (Ghana) and Asia (India).
The products of this project, which will be available without charge, include
 route maps for moving from a paper-based to an electronic information
environment
 good practice indicators to measure records management integration in ICT
control systems
 these training modules on the management of records in electronic form.
The project deliverables also include case studies conducted in Botswana, Ghana,
India, Sierra Leone, Tanzania and Zambia. The studies focused primarily on issues
related to the management of human resources and payroll functions in governments
and involved research into paper-based and computerised personnel management
systems. However, they provided an opportunity also to examine records and
information management in the public sector in these countries. The case studies are
PLANNING AND MANAGING AN ELECTRONIC RECORDS MANAGEMENT PROGRAMME

ix
most relevant to those readers focusing on personnel and payroll management.
However, the findings also offer valuable insights into the challenges of automation
and electronic government, and the issues involved with making the transition from
paper-based to electronic records and information management. The final case studies
are being made available on the Trust website at www.irmt.org.
The case studies all point to the general need for greater integration of records
management in the design and implementation of electronic information and
communications (ICT) systems. The good practice indicators produced by this project
are intended to help governments determine whether or not records management
requirements have been integrated in ICT systems and to provide a high-level guide
to records management integration. The indicators are particularly relevant to
Modules 2 and 3. The good practice statements that underpin the indicators are
derived from generally accepted international standards but are also informed by the
findings of the case studies.
It is hoped that the research conducted as part of this project will offer governments
the resources they can use to increase their capacity to manage paper and electronic
records as accurate and reliable evidence in electronic environments. Their ability to
measure progress toward accountability will be enhanced, and there should be a
higher success rate of e-governance applications.
Project Steering Team

An international steering team oversees the work of the project, consisting of the
following members.
 Stephen Sharples, Chair of the Steering Committee, Senior Governance
Adviser, Africa Policy Department, UK Department for International
Development
 Anne Thurston, Project Director and International Director, International
Records Management Trust
 Michael Hoyle, Project Manager, International Records Management Trust
 Andrew Griffin, Research Officer and UK Director, International Records
Management Trust
 Jerry Gutu, Chief Executive Officer, East and Southern African Association
of Accountants General (ESAAG) (2006)
 Cosmas Lamosai, Chief Executive Officer, ESAAG (2007 and 2008)
 Kelebogile Kgabi, Chair, Eastern and Southern African Branch, International
Council on Archives (ESARBICA), and Director, Botswana National
Archives and Records Services (2006)
 Gert Van der Linde, Lead Financial Management Specialist, Africa Division,
World Bank
 Peter Mlyansi, Director, Tanzania Records and National Archives
Department and Chair of ESARBICA (2007 and 2008)
 Nicola Smithers, Public Sector Specialist, Africa Region, World Bank
MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

x
 David Sawe, Director of Management Information Systems, Government of
Tanzania
 Ranjana Mukherjee, Senior Public Sector Specialist, Asia Region, World
Bank.
More information about the project and the other

deliverables can be found on the International Records
Management Trust website at
http://www.irmt.org/building_integrity.html.
About the Modules

The following modules have been produced as part of this project:
Module 1 Understanding the Context of Electronic Records Management
Module 2 Planning and Managing an Electronic Records Management Programme
Module 3 Managing the Creation, Use and Disposal of Electronic Records
Module 4 Preserving Electronic Records
Module 5 Managing Personnel Records in an Electronic Environment.
As well, the following two resources have been produced:
Additional Resources a bibliography of key resources related to the management
of electronic records.
Glossary of Terms a consolidated glossary of relevant records management,
electronic records management, information technology
and computer terms.
These materials are primarily intended for use by records management practitioners in
developing countries. The focus is on providing both a conceptual framework and
practical guidance about important issues related to electronic records management.
The goal is to produce a series of resources that can be used in a variety of ways, such
as
 for self study
 for in-house training
 for management training institutes
 as a resource for university or college courses
 as supporting information for distance education courses.
A series of self-study questions has been included at the end of each module. These
questions can be used by readers to assess their own understanding of the content
provided in the module. The questions may also be used by trainers or educators to
develop activities, assignments or other assessments to evaluate the success of any
training offered. In order to facilitate the widest possible use of these questions by
both learners and educators, they have been gathered together in one place at the end

xi
of the module rather than interspersed throughout the text. Readers interested in
developing educational or training initiatives using these modules are also directed to
the MPSR training resources developed in 1999, and listed below, which offer
guidance on how to adapt and use educational tools such as these.
Contributors
A number of records and information professionals were asked to contribute to the
modules, including representatives from such countries as Australia, Botswana,
Canada, Kenya, Singapore, South Africa, the United Kingdom and the United States.
The following people have contributed to the project as contributors, editors,
reviewers and production assistants.
 Keith Bastin, United Kingdom, reviewer

 Adrian Brown, United Kingdom, contributor
 Luis Carvalho, United Kingdom, administrative coordinator
 Donald Force, United States, editor
 Elaine Goh, Singapore, contributor
 Andrew Griffin, United Kingdom, contributor
 Greg Holoboff, Canada, graphic artist
 Michael Hoyle, United States, contributor
 Shadrack Katuu, South Africa, contributor
 Segomotso Keakopa, Botswana, contributor
 Lekoko Kenosi, Kenya, contributor
 Charles Kinyeki, Kenya, reviewer
 Barbara Lange, Canada, desktop publisher
 Helena Leonce, Trinidad and Tobago, reviewer
 Mphalane Makhura, South Africa, reviewer
 Walter Mansfield, United Kingdom, contributor, editor
 Peter Mazikana, Zimbabwe, contributor
 John McDonald, Canada, contributor
 Laura Millar, Canada, contributor, editor
 April Miller, United States, contributor
 Patrick Ngulumbe, South Africa, reviewer
 Greg O’Shea, Australia, contributor
 Lori Podolsky Nordland, Canada, contributor
 Peter Sebina, Botswana, contributor
 Anthea Seles, Canada, contributor
 Elizabeth Shepherd, United Kingdom, reviewer
 Kelvin Smith, United Kingdom, contributor
 Jim Suderman, Canada, contributor, reviewer
 Setareki Tale, Fiji, reviewer

xii
 Louisa Venter, South Africa, reviewer
 Justus Wamukoya, Kenya, reviewer
 Richard Wato, Kenya, reviewer
 Geoffrey Yeo, United Kingdom, reviewer
 Zawiyah Mohammad Yusef, Malaysia, reviewer.
Relationship with the MPSR Training Programme

The modules are designed to build on and support the Management of Public Sector
Records training programme, developed by the International Records Management
Trust in 1999. The MPSR training resources consist of over thirty separate training
tools that address basic records management issues for developing countries. While
some information found in those earlier modules may also be found in this new
training programme, the concept behind this new set of modules is that they build
upon but do not replace those earlier fundamental records management training tools.
However, this new TERM programme focuses on the electronic record-keeping
environment that is becoming so prevalent in the early years of the 21st century.
Readers wishing to orient themselves to basic records management principles will
want to refer back to those MPSR resources, which are available free of charge from
the International Records Management Trust website at www.irmt.org. Those training
resources are identified below.
Training Modules
1 The Management of Public Sector Records: Principles and Context
2 Organising and Controlling Current Records
3 Building Records Appraisal Systems
4 Managing Records in Records Centres
5 Managing Archives
6 Preserving Records
7 Emergency Planning for Records and Archives Services
8 Developing the Infrastructure for Records and Archives Services
9 Managing Resources for Records and Archives Services
10 Strategic Planning for Records and Archives Services
11 Analysing Business Systems
12 Understanding Computer Systems: An Overview for Records and Archives Staff
13 Automating Records Services
14 Managing Electronic Records
15 Managing Financial Records
16 Managing Hospital Records
17 Managing Legal Records
18 Managing Personnel Records

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Procedures Manuals
19 Managing Current Records: A Procedures Manual
20 Restructuring Current Records Systems: A Procedures Manual
21 Managing Records Centres: A Procedures Manual
22 Managing Archives: A Procedures Manual
23 Planning for Emergencies: A Procedures Manual
24 Model Records and Archives Law
25 Model Scheme of Service
Educators’ Resources
26 Educators’ Resources
 Introduction to the Study Programme
 Glossary of Terms
 Additional Resources for Records and Archives Management
 Educators’ Resource Kit
 Writing Case Studies: A Manual.
Case Studies
27 Case Studies Volume 1
The introduction to each module in the TERM programme includes more specific
information about relevant MPSR resources that readers may wish to review in
association with the TERM module in question.
A Note on Terminology
As with any material related to computer technologies, these modules contain a great
deal of specialised terminology. Every attempt has been made to define key terms the
first time they are used. When important concepts are discussed cross-references are
included as appropriate to earlier references or to the glossary of terms. Readers are
also directed to the Additional Resources tool for more information on various topics,
and web addresses are included whenever detailed information is provided about
particular organisations or specific resource materials.
The modules are written using British English (programme, organisation) though of
course many computer terms use American English: thus an organisation may run a
records management ‘programme’ but it uses a particular software ‘program.’
Abbreviations and acronyms are defined the first time they are used in each module
and are used as sparingly as possible.
One exception is ERM for ‘electronic records management’: this acronym is used
regularly throughout all the resources as appropriate when referring to the general
concept of managing computer-generated records. When referring to an electronic

xiv
records management system – that is, to specific software programs designed to
manage electronic records – the term ERMS is used. It is recognised, however, that
ERMS software may also offer document management features: supporting the
creation, use and maintenance of both documents (such as works in progress) and
records (official, final documents). When referring specifically to software that
manages both documents and records, the acronym EDRMS is used, but the acronym
ERMS is used more often, particularly when the concept of electronic records
management systems is discussed more generally.
For More Information

For more information or to download a copy of these resource materials free of
charge, go to the International Records Management Trust website at www.irmt.org.
The Trust can be reached as follows:
International Records Management Trust phone +44 (0) 20 7831 4101
4th Floor fax +44 (0) 20 7831 6303
7 Hatton Garden email info@irmt.org
London EC1N 8AD UK website www.irmt.org

xv
INTRODUCTION
All public and private offices, including businesses and government, generate
personnel records. Personnel records play a vital role in providing the information
needed by organisations to manage and pay their staff members, plan their workforce
requirements and monitor staff performance. Ultimately, any organisation’s
development and sustainability will depend on sound and effective human resource
management, and the approaches it chooses to follow will be derived in part from an
analysis of the information contained in personnel records.
The goal of personnel records management is to ensure that a complete and
comprehensive employment history of each employee is readily available for as long
as it is needed, and that the information contained in personnel records supports the
management, deployment, payment and development of staff. Other key objectives of
personnel records management are to support transparency and organisational
accountability and to enable accurate audits by creating and protecting human
resource records as reliable evidence.
The purpose of this module is to provide guidance to those who create, use and keep
personnel records, both in paper and electronic form. With the introduction of Human
Resource Information Systems (HRIS), human resource management functions and
processes are increasingly conducted electronically. Many business processes that
traditionally depended purely on the movement of paper have become partially or
wholly computerised. The adoption of technology has allowed human resource
managers not only to focus on purely administrative activities relating to individual
employees, but also to develop well-researched strategies and plans, enabling human
resource planning to be aligned directly with overall business objectives.
The benefits of technology are not limited to strategic planning, however.
Increasingly, organisations are providing their staff with direct access to human
resource information through an Intranet or web portal. As a result, organisations can
communicate changes in personnel policies and procedures more easily; managers can
access staff records without having to keep multiple copies or wait for the delivery of
a centrally held paper file; individual employees can access personal information
about their work status and entitlements; and self-service facilities can be provided so
that staff members can manage their own personal data. HRIS are also increasingly
likely to have built in workflow and business rules to promote consistency in
operations and to allow for better monitoring.
While technology is greatly affecting how human resource records are created, used
and maintained, the record-keeping requirements remain the same no matter the
medium. Regardless of whether records are electronic or paper, the evidence of
decisions, actions, communications and transactions related to employees must be
kept and safeguarded in accordance with records management principles.

1
Electronic records may be replacing paper but most organisations will need to
maintain a mix of manual and electronic record-keeping systems for the foreseeable
future. Even in the most highly computerised offices, paper copies of forms and
correspondence will still be printed from the electronic record. The challenge of
effective records management in this hybrid environment is to integrate paper and
electronic systems so that all records about the same employee, whether they are
created or held in paper or digital media, can be brought together, and managed and
used effectively. Manual filing systems are likely to play a continuing role in human
resource management for some time. Therefore, paper records must be maintained in
good order so that the information contained in them can serve as authentic and
reliable evidence.
The planning, design and implementation of electronic personnel management
systems is often seen as the responsibility of information technology specialists and
human resource management professionals. Frequently, records managers are not
included in the design process, resulting in poor control over the evidentiary inputs to,
and outputs of, the computer systems. It is hoped that this module, in conjunction with
the other modules in this training programme, will equip records managers with the
knowledge and skills to help them play a greater role in planning major IT initiatives,
particularly in the area of human resource management.
This module examines key issues for managing personnel or human resource records
in an electronic environment.
Unit 5.1 addresses contextual issues surrounding personnel and payroll records
management, examining the different characteristics of personnel records, considering
the legal framework for personnel records management and discussing some of the
key issues associated with the impact of automation on personnel records.
Unit 5.2 looks at the different personnel management functions performed by most
governments or offices and the records generated by those functions. Specific
functions examined include human resource planning, monitoring and policy develop-
ment; establishment control; recruitment; appointment; performance appraisal;
education, training and staff development; promotions, transfers and secondments;
disciplinary and grievance proceedings; attendance, leave and sickness; termination or
separation from employment (through resignation, retirement, dismissal or other
reasons); and pay and allowances.
Unit 5.3 examines the different types of personnel records that might be created and
used, including policy and subject files; personnel files, including both master and
working files; other manual records; data input sheets; and records generated by
computerised human resource management systems.
Unit 5.4 examines recommended standards for, and key processes involved in, the
management of personnel records. While the focus is on traditional paper records,
many of the principles and standards apply also to electronic records. Specific
processes examined include: creating standardised file covers; arranging files and
establishing numbering systems; managing registers and indexes; establishing and
maintaining movement registers; receiving documents; providing access; preparing

2
active personnel files for transfer; closing files; appraising and disposing of personnel
records; and storing personnel files.
Unit 5.5 considers how to improve personnel record-keeping systems in order to
ensure the quality of electronic and paper records and information. It examines certain
actions that can be taken to improve paper-based and electronic systems so that they
can better support the human resource management function. The unit includes an
examination of the challenge of collapsed record-keeping systems; discusses the
importance of capturing and preserving accurate personnel data; outlines the steps
involved in repairing collapsed systems and dealing with incomplete personnel files;
outlines a method of verifying payroll data; and examines issues associated with
digitising paper records.
Unit 5.6 looks at some of the issues associated with moving toward computerised
human resource records management.
At the end of the module, there is a series of study questions that readers may wish to
review in order to help them reflect on the topics discussed throughout the text.
FOR ADDITIONAL INFORMATION

Readers are reminded to review the Additional Resources document for more
information about publications, websites, associations and other resources relevant to
the general topic of electronic records preservation. The Glossary of Terms includes
definitions for key records management terminology. Readers wishing to study some
of the fundamentals of records management as related to this specific topic may wish
to review some of the MPSR training modules, available online at www.irmt.org.
Of particular relevance to the preservation of electronic records are the following
MPSR products:
Training Modules
 Managing Personnel Records
Procedures Manuals
 Managing Current Records: A Procedures Manual
 Restructuring Current Records Systems: A Procedures Manual
Case Studies
 Ann Pederson, Australia, Management Case Study: Revising the Record
Keeping Programme for the Widget Manufacturing Company
 Barbara Reed, Australia, Personnel Records: A Case Study
A Note on Terminology
In this module, the term ‘human resource management’ is used synonymously with
‘personnel management’ as a description of the functions and processes involved in

3
managing the employees of an organisation. The abbreviation HR is also used when
referring to human resources. The term HRIS is used to refer to Human Resource
Information Systems, which are electronic information systems that support the
processes of human resource or personnel information management (also sometimes
referred to as ‘human capital’ management).
The term ‘payroll’ refers to the record of salaries and deductions for each employee.
The payroll record is likely to be maintained in an electronic database. This database
may be a stand-alone payroll system or part of a combined personnel / payroll system
that supports the human resource management function. While this module discusses
payroll management, it does not address the management of information in ‘stand
alone’ payroll systems, focusing instead on the wider sphere of human resource
information management. The module also emphasises HR management in
government and the public sector, but readers will find that much of the content also
applies to private-sector organisations. The module is also written from a British
Commonwealth perspective, and users in different countries may find they need to
substitute local terminology for some of the words and phrases used in the text. The
underlying principles of effective human resource information management should be
the same regardless of country, however.

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UNIT 5.1
THE CONTEXT OF PERSONNEL AND

PAYROLL RECORDS MANAGEMENT
Personnel or human resource management refers to the management, both
individually and collectively, of an organisation’s most valuable resource, the people
it employs. The goal of human resource management is to attract and retain a
workface that will enable the organisation to achieve its purpose and objectives.
Human resource management also involves the training and development, health and
welfare and performance improvement of each employee. In addition, it supports the
organisation’s capacity to plan, monitor and evaluate its own performance.
It follows that the creation and control of personnel records are critical to the success
of an organisation’s operations. The effective management of personnel records
enables organisations to manage their employees efficiently and equitably, encourages
informed and consistent decision making, supports transparency and accountability
and facilitates the monitoring and evaluation of staff performance. All operations in
relation to human resource management, from preparation of pay slips to strategic
planning, ultimately depend on reliable and accurate personnel records. The records
professional needs to understand the special characteristics of personnel records, the
legal framework for HR management and the effect of changing technology on the
nature and structure of personnel records.
This unit begins by discussing the characteristics of personnel records: most notably,
that they are found throughout organisations; they can be linked with other systems in
the organisation; and they can be used for many different purposes. The unit also
discusses the fact that personnel records are critical to the operations of the
organisation, they can consist of large quantities of highly sensitive information and
they must be retained and protected for extended lengths of time. The unit also
considers the legal framework for personnel records management and some important
issues associated with the impact of computerisation on personnel records.
Characteristics of Personnel Records

While sharing characteristics with other types of records, personnel records have
some special characteristics, as outlined below.
Organisation wide
Organisations normally maintain personnel records of some sort at many different
levels within their organisational structure and in different physical locations in their

5
offices. This variety of location has implications for the duplication of records as well
as for the communication and sharing of information about employees. It also has
implications for ensuring the reliability of records in order to provide evidence of HR
events, especially when records are located in widely dispersed locations.
Links with other systems

There are strong links between personnel record-keeping systems and other
government systems, notably systems dealing with budget, payroll and pension
management. Personnel records provide the evidence and authority to pay salaries and
benefits to employees. Personnel costs are likely to be the largest single item of
expenditure in the public sector budget, and personnel records ultimately enable
governments to be accountable for this expenditure.
Different uses
Personnel records provide a basis for planning, decision making and conducting
business in every area of human resource management, whether in relation to the
individual employee, to groups or categories of employees or to the entire workforce.
Importance
Reliable personnel records support the efficient management and use of the
organisation’s single most important resource, its people. However, the quality of
personnel records also directly affects the employees themselves, as well as their
families, in relation to job security, pay and entitlements. Personnel records document
the contractual relationship between employer and employee and provide a history of
the employee’s career. The information held in these records is used to make a wide
range of decisions, for example about promotion, transfer, termination or disciplinary
action. The records also provide the authority to determine pay and other benefits,
including pensions. Personnel records must be accurate and complete, and they must
also be trustworthy to both the organisation and the employee.
Sensitivity
Because many personnel records contain personal information about individuals, they
are highly sensitive and confidential. Access to the records, whether paper or
electronic, must be strictly controlled and monitored: strong and effective security
measures are needed to protect the records against loss, damage, unauthorised access
or alteration, while in storage and during their active use in the office. The location
and use of paper records needs to be tracked. Mechanisms need to be developed to
identify who has accessed an electronic record, when they accessed that information
and whether any action was taken on, or changes made to, the record. Those who have
custody and day-to-day management of personnel records must be aware that they
have been entrusted with the responsibility not to reveal information gleaned from the
records.

6
Longevity
Some personnel records will need to be kept for the entire career of the employee and
then for a period after the employee’s death, retirement or separation from public
service. This extremely long retention requirement has implications for the selection
of storage systems, both for paper and electronic records. Factors such as the
longevity of the media and ease and cost of migration of personnel records are
particularly relevant when developing and using electronic record-keeping systems.
All personnel records must be retained and disposed of in accordance with approved
retention and disposal schedules.
Quantity
Typically, the public service maintains very large quantities of personnel records, the
majority of which until recently have been on paper. The failure to manage personnel
records appropriately will result in wasted office space, wasted financial resources
and wasted staff time. Given the longevity and quantity of personnel records, the
conversion of all paper records to digital media may not always be a cost-effective
and efficient solution; sometimes it is just as effective to maintain older records (such
as those for retired or deceased staff) in paper form and digitise newer records (for
current staff).
Ownership
Within the public sector, all personnel records are government property and must be
maintained by the relevant record-keeping authorities (for example, the department or
authority responsible for public service staffing, as well as the National Archives).
Personnel records, or any of their contents, must be provided to the relevant
authorities on request and may not be destroyed without authority.
The Legal Framework for Personnel Records

Management
The legal framework in which human resource records are created, used and
maintained will vary from jurisdiction to jurisdiction, but it is the norm that the terms
and conditions of public service are governed by some form of employment
legislation, such as an Employment Act or Civil Service Act. Legislation generally
defines the rights and obligations of employers and employees and establishes various
mechanisms for resolving disputes (including grievances) between management and
staff. These and other acts may also prescribe the establishment of employing
authorities, such as a Public Service Commission or Civil Service Department, and
outline mechanisms relating to compensation, entitlements and pensions.
The laws themselves may be supported by regulations, codes and statutory
instruments that further define personnel structures and outline policies and
procedures. Both HR managers and records professionals responsible for personnel
records must be fully aware of the record-keeping implications of all relevant laws,
regulations, standing orders and codes. Certain records will need to be created and
kept specifically to ensure that ministries, departments and agencies (MDAs) can

7
demonstrate compliance with these laws and regulations. Other legislation may also
be relevant to the management of personnel records, including public records and
archives legislation and laws related to public access and the protection of privacy.
Many governments and central agencies with responsibility for HR functions follow
written rules and procedures for human resource management. These documents are
often printed and issued in compendium editions and are updated regularly. Typically,
the rules and procedures address issues such as: general conditions of service,
appointments, examinations, discipline, promotions, transfers, performance appraisal,
emoluments, training, benefits, loans, leave, travel and transport. The rules may also
specify the content and structure of forms used to execute HR processes.
With the introduction of computerised systems, there has been a tendency not to keep
printed rules and procedures up to date but to rely instead on business rules built into
the systems. However, up-to-date online or printed manuals are still essential to guide
users through procedures.
The laws, policies, regulations and procedures which govern human resource
management are also subject to revision as government organisation and functions
evolve. It is important, therefore, to keep track of the development of new or revised
employment-related legislation, policies and procedures and to ensure that record-
keeping practices and reporting requirements continue to support current HR
practices. In addition, legislation may need to be updated to allow electronic records
to be considered acceptable evidence in a court of law.
The Impact of Computerisation on Personnel Records

Human resource management has been undergoing considerable change over the past
few decades, as governments and decision makers have recognised the potential of
technology to improve HR management and information. At the same time, there has
been a desire in many public agencies around the world to increase efficiency, reduce
costs, save space, improve service delivery and enhance transparency and
accountability. Traditional paper-based records systems, even if well organised and
complete, cannot easily provide the information governments need to manage the
public service and to develop policies and plans based on accurate and current data.
The expectation has been that computerisation will not only improve HR processes
but will also provide more accurate, consistent and usable information.
The basic function of a computerised Human Resource Information System (HRIS) is
to hold data about employees. This information, which may relate to both existing and
former staff, will include personal details as well as data about recruitment, salary,
position, entitlements, attendance, leave, skills, training, performance, discipline and
grievances. When integrated with payroll management, a HRIS can calculate salaries
and provide a range of supporting functions such as preparing pay slips and payroll
reports.
A HRIS may be closely linked to, or even a component of, an Integrated Financial
Management Information System (IFMIS). Regardless of how effectively, the
organisation has structured the functions of payroll management, establishment

8
control, budgeting and HR management, these processes need to be closely integrated
so that information about employee costs and deployment can be shared. Typically, an
HR event that affects the payroll (a new appointment, a promotion, the grant of an
allowance) originates in the HR function but is concluded in the finance function.
Pensions and loans may be managed by separate systems but again, there should be
the capacity to share data with the HR and finance systems.
A HRIS can support the management of many HR processes. To take one example,
the task of recruitment is managed by capturing information about applicants and
tracking the interview and selection process. Controls can be built in to ensure that the
organisation follows all necessary authorisations, communication and monitoring
processes. Once a selection is made, the HRIS is used to manage the processes
associated with the new employee commencing work and joining the payroll. In a
highly developed system, users can create their own required business processes and
decide how to store and retrieve information.
Good practice requires that audit trails document all additions, deletions and changes
to personnel data, not only identifying which user made a change and when but also
ensuring the original, unchanged information is retained as a record. A HRIS may
have the capacity to generate a wide range of reports to support HR planning and
decision-making, such as lists of employees by department, grade or location;
summaries of personal and career details; payroll or benefits statements; annual wage
reports; or bank deposit details. The HRIS should also enable HR managers to define
and generate additional reports to meet their particular requirements.
Many HRIS applications are split into separate but integrated modules, each covering
a different aspect of HR management. For example, separate modules may exist to
manage payroll; personal details; recruitment; position management; performance
management; training; attendance; travel and expenses; loans and advances; and
pensions. The modular approach enables the system to be matched to users’ needs.
More powerful systems can be tailored to meet organisation-specific requirements.
The Effect of Technology on Record Keeping

The introduction of computerised systems, digital technologies and electronic
communications is having a huge impact on the management of recorded information
throughout organisations. There has long been an expectation that technology will
solve information management difficulties and that it will remove the need for paper
records. Computerisation of the payroll and personnel information has often been
regarded as a solution to the problem of poor information quality, particularly when
existing paper systems have failed to meet information and business needs. But not all
computer systems are designed to create and preserve records. While HRIS are
excellent tools for managing data, they have generally lacked the capacity to meet
records management requirements: for example, to manage the records used to enter
or verify system data, or the records generated by the system such as letters,
memoranda, forms and reports. Furthermore, experience has shown that effective
electronic systems cannot simply be built over poorly managed manual systems. In
many cases, when a HRIS is quickly introduced to replace a collapsed and non-

9
functioning paper-based system, the payroll and HR data used to populate the new
system are inaccurate and unreliable.
When considering the role of a HRIS, therefore, it is important to resolve some
important record-keeping issues. For instance, it is necessary to decide if the HRIS
will hold records or if it will simply be a repository for data, with the records
preserved elsewhere, electronically or in hard copy form. If the HRIS contains the
authoritative evidence of personnel management processes – such as appointment and
promotion letters or confirmation of transfers and retirements – then the HRIS must
be able to keep this evidence meaningful and useable for as long as it is needed. If the
HRIS is not the official records repository, then another mechanism will be needed to
preserve the documentary evidence. In the past, HRIS have been used to manage data,
not records, and the primary function has been to store current information.
Unfortunately, separate processes have not always been established to protect the
records, resulting in the loss of critical evidence.
Appraisal and the identification of official records are

discussed in detail in the other modules in this series,
particularly Module 3.
It is also important to integrate the paper and electronic systems used to support
personnel management. Linkages between the HRIS and original, often paper-based,
source documents need to be established. The source documents will continue to be
needed to verify information about HR events. Too often, the personnel records that
provide the evidence of personnel-related actions and decisions are managed
completely separately from the HR database. One solution to these difficulties is to
run the HRIS in conjunction with an electronic document and records management
system (EDRMS), which is designed specifically to manage records as evidence. The
EDRMS should be capable of managing and linking all the records relating to
particular individuals, including emails, forms, desktop created documents, paper and
digitised records so that, in effect, each employee has a virtual file.
ERMS systems are discussed in detail in the other

modules in this series, particularly Module 2.
Security and Access

Computers have increased the ability of organisations to share information within and
outside their offices. In the pre-computer days, information was communicated in the
form of paper documents, and all the contextual information needed to understand and
authenticate the information (such as the letterhead, signature, date and office of
receipt stamp and other metadata) was contained in the document. Similarly, manual
records management controls, such as registers tracking the movement of files or

10
security classifications governing access to folders, reduced the risk of unauthorised
access to paper records.
As discussed in other modules in this series, computerisation enables information to
be shared more easily; but it may also result in a gap between the information itself
and the contextual data needed to authenticate and understand it. As a result, the
information may not by itself provide all the evidence needed. Computerisation may
also increase the risk of unauthorised access. While a HRIS enables personnel
information to be more easily accessed and reused, it can leave information exposed
to inappropriate access and use. Dates of birth and salary details can easily be
changed. It is necessary to protect electronic records not only against unauthorised
changes made by those accessing the system as users, but by system administrators
who will have higher levels of access.
Decentralisation and Record Keeping

Another records management concern in an electronic environment is the manage-
ment of personnel records in increasingly decentralised organisational structures.
More and more governments are decentralising functions and services from central
agencies to line ministries and departments or regional centres or to other levels of
government. Decentralising of HR management can lead to greater ownership,
accountability and efficiency, as well as more accurate, complete and up to date
records for local purposes.
A common approach is to decentralise human resource and payroll management, but
to maintain centralised monitoring and overall establishment control. However,
decentralisation increases the challenges of maintaining the up-to-date information
needed by the centre. Policies and procedures, and compliance mechanisms, must be
in place to ensure that the information needs of both central and decentralised
agencies are served. As well, networks must be sufficiently stable to allow the regular
and routine exchange of data.
Centralised office systems were introduced when organisations such as government
agencies were smaller and their functions were simpler. With the increase in the size
and complexity of the civil service in many countries, it has become more difficult to
deal with the volume of personnel transactions from a centralised office. As a result,
there can be unacceptable delays in processing appointments, implementing salary
changes, calculating pension payments and so on. Furthermore, centralised human
resource operations are increasingly seen as too remote from the offices actually
conducting the business of government. While centralisation encouraged the develop-
ment of common procedures, is has been argued that decentralisation of tasks such as
recruitment, appointments and promotions can increase efficiency, serve local
requirements better and reduce cost.
Decentralisation has a significant impact on record keeping in both manual and
electronic environments. New policies, standards and work practices need to be
developed, and many more staff must be trained in their new responsibilities and
procedures. While practices may differ to take account of local circumstances,
common standards for record-keeping systems are still needed to ensure that agencies

11
manage their records effectively and comply with good practice. In national
governments, the National Archives and Records Service can and should play a key
role in developing record-keeping standards and monitoring compliance. Similar
agencies can support effective record keeping in other jurisdictions and in the private
sector. Just as agencies with devolved responsibilities for HR management must meet
common standards for creating, managing and using paper personnel records, so they
must also meet standards for the creation, management and use of electronic records.
In recent years, there has been an increase in the outsourcing of various functions
(such as payroll) to private companies, adding to record-keeping and security
challenges. One significant concern is the danger that personnel information will be
lost or damaged during transit from government agencies to service providers. To
ensure accountability, private companies must be required to comply with the same
security and record-keeping standards as governments. Contracts and service level
agreements between governments and private companies must explicitly require that
records are securely and properly managed, that adequate records services are
maintained and that the records remain the property of the government.
Regardless of whether the personnel management service is provided centrally or in
decentralised offices, or by governments or private service providers, regular audits
should be undertaken to make certain that all personnel records, regardless of medium
or format, are properly managed. Again, the National Archives or another archival
agency can play a pivotal role in monitoring compliance with records management
standards. In addition, audit of the payroll and human resource function itself will
involve other agencies, such as internal audit and the external audit office, which will
each have an interest in determining whether record keeping is adequate and
compliant.
As outlined in this unit, there are many issues affecting the management of personnel
records in an electronic environment. The next unit looks more carefully at the
relationship between human resource management functions and the records created
and used as a result.

12
UNIT 5.2
UNDERSTANDING THE RELATIONSHIP

BETWEEN HUMAN RESOURCE
MANAGEMENT FUNCTIONS AND RECORDS
Most organisations undertake a number of common human resource or personnel
management functions, including those listed below:
 human resource planning, monitoring and policy development
 establishment control
 recruitment
 appointment
 performance appraisal
 education, training and staff development
 promotions, transfers and secondments
 disciplinary and grievance proceedings
 attendance, leave and sickness
 separation from employment (through resignation, retirement or other reasons)
 pay and allowances.
All these activities generate records that need to be captured and managed in record-
keeping systems, regardless of whether the records are in paper or electronic format.
Examples of key documents generated by the personnel management function are
provided in Figure 1 below, along with information about where they should be held.
To illustrate different record-keeping requirements, the rest of this unit consists of a
summary of typical personnel management functions and the records that they
generate.

13
Figure 1: Documents Generated by the Personnel Function
Function Examples of Documents Custody
Human resources  Human resources plan: the plan should form part of and be The strategic plan should be widely disseminated through the
planning and linked to the organisation’s wider strategic plan. There are organisation. The human resources plan itself should be treated
establishment likely to be records of analyses carried out leading to the as confidential and made available only to senior management.
control preparation of the plan, as well as records relating to The central HR agency should hold the master copy in its policy
budgeting and monitoring files. Staff and seniority lists, organisations charts, schemes of
 Staff establishment lists, seniority lists, organisational service and job classifications, etc should be kept with the policy
charts files of the appointing or employing agencies concerned.
 Schemes of service, job classification schemes
 Job descriptions, post specifications
Policy development  Policy and procedural documents on HR functions and The central HR agency should hold the master copies of these
processes including, for example, pay, grading and records in its policy files. Line agencies will also keep their own
allowances, retrenchment, employer-employee relations, policy files along with copies of centrally issued documents,
14
performance management, training records of local discussion and their own policy and procedural
documents.
Labour relations  Records of negotiations, discussions, disputes with The central HR agency should hold the master copies of these
unions and staff associations records in its policy files. Line agencies will keep their own policy
files containing copies of centrally issued documents and also
records of local meetings, disputes, etc. Because of the
sensitivity, some of these records may need to be kept separately
with limited access.
Health and safety  Policy and procedural documents Records relating to policy and procedures should be kept in policy
 Accident and incident logs files. Reports should be kept by the relevant health and safety
officer, with copies kept on policy files. Logs will be kept by the
 Investigations and reports of incidents
health and safety officer but will be accessible to deputising staff.
Records relating to individuals should be kept in master or
working personnel files as appropriate.
Recruitment  Job analyses, job descriptions, person specifications, The appointing authority should hold these items in their position
advertisements, interview reports. or case files.
Figure 1: Documents Generated by the Personnel Function (cont.)
Appointments  Candidates’ application forms, letters of appointment, letters Successful candidates’ application forms and letters of
of acceptance, confirmation letters appointment/ confirmation should go in the master personnel
 Contracts and records of contract negotiations, which may be files. The appointing authority or agency concerned should hold
specific to a particular job or may be more general, such as part- the contracts in a series of contracts files. A copy of the
time working, working flexible hours or job sharing contracts with individual employees will also be kept in the
master personnel files.
 Security clearance
 Disclosure/confidentiality/official secrets act agreement
Performance  Record of appraisal, forward job plan, annual report These records should be kept in the master personnel files.
appraisal  Personal development plan
Education, training  Training needs/skills assessments Agency-wide needs assessments or skills assessments should
 be kept in the policy files. Copies of certificates should be kept
15
and staff Records of courses attended, skills acquired and levels

development obtained in the master personnel files. Individual training records should
be kept in the working personnel files.
Promotion and  Promotion board reports Promotion board reports should be kept in the policy files of
transfer  Records of transfer negotiations appointing authority. Records related to transfers or promotions
should be kept in the master personnel files.
 Letters of promotion and transfer
Discipline  Warning letters; records of disciplinary proceedings and The full records of disciplinary proceedings should be
proceedings outcome maintained as separate case files, possibly requiring special
security. Only the outcome, such as letters to the individual,
should be kept in the master personnel file.
Grievance  Records relating to the hearing of, and decisions about, Depending on the seriousness of the case, records of
proceedings grievances proceedings and outcomes are likely to be kept in the master
personnel file or, for complex cases, separately in an
associated file.
Figure 1: Documents Generated by the Personnel Function (cont.)
 Leave and sickness cards Records related to individual attendance, leave and sickness
Attendance, leave

and sickness Requests, approvals should be kept in the working personnel files. Records related to
 Claims; medical reports leave that affects terminal benefits and medical claims and
reports should be kept on master personnel files. Accident
 Accident/incident registers
registers should be held by the employing agency.
 Assessment of pension entitlement, pension notification These records should all be kept in the master personnel files;
Separation from
and other documents relating to the retirement process with copies retained in the pensions department case files.
employment
 Full records of redundancy proceedings, negotiations and
results relating to individual employees
 Death certificate; compensation terms

16
Letters of appointment, promotion, transfer, and so on Copies of records that document payroll changes should be kept
Pay and allowances
 Payroll input forms and authorisations on master personnel files. The payroll record itself will be
managed by the paying authority.
Human Resource Planning, Monitoring and Policy
Development
What Is the Function?
Human resource managers are responsible for assessing and monitoring their
organisations’ HR needs, planning for the future and developing appropriate policies
and guidelines. Planning and monitoring activities may relate, for example, to
recruitment needs; skills analysis; age and gender profiles; reorganisation of the
workforce; position management; retrenchment; or the identification of staff due for
retirement and the impact on pensions schemes. Policies cover all kinds of activities
including, for example, codes of conduct, job and grading structures, grievance
procedures, health and safety, labour relations and vacations and leaves of absence.
Managers undertaking planning, monitoring and policy development will need to
access data about current employees so that they can analyse existing and future HR
requirements.
What Records Are Created?

Computerised systems provide the capability for detailed analysis of information
about the workforce, but accurate and complete data are essential to ensuring the
analysis is reliable. The most reliable data are derived from personnel records
generated in the day-to-day processes of HR management. These records are
traditionally paper documents kept on files but increasingly they may be held in
electronic format. A HRIS is also likely to depend on data input sheets that
themselves may provide ‘evidentiary’ data, including authorisations and approvals. A
HRIS may capture this data during the processing of HR events, such as appointments
or promotions, but verifiable evidence of these events must still be maintained in the
form of records (for example, letters of appointment or promotion).
The analysis process itself is likely to generate reports, records of discussions and
internal correspondence, some of which may need to be kept on policy files. In a fully
computerised system, HR records and reports may be held electronically in an
EDRMS, but it is likely that manual personnel files and policy or subject files will
continue to be created and will be retained in a central filing system. Planning records
should be retained as part of the development of all plans. They can provide useful
insights into the evolution of practices and inform the development of future plans
and policies.
Policy records include position papers, reports and the policies themselves. These are
important documents and should be retained as a series on their own within the human
resources filing system or central system.
More detailed information about file series is provided

in Unit 5.4.

17
Establishment Control
Establishment control is the term used to describe the processes by which
governments and organisations control the overall number of employees, and ensure
that the right number are recruited at the correct grades and with the right mix of
skills. Frequently, establishment control involves employing authorities agreeing,
with a central agency, the staff numbers and structure that can be appointed at
designated grade levels, expressed in terms of authorised posts. More recently, other
methods of establishment control have been introduced that give departments and
employing authorities more freedom to choose their own mix of staff within fixed
budget constraints.

A wide range of documents are generated to support establishment control.
Traditionally, these included, for example, staff lists, organisational charts, schemes
of service, job classification schemes and a variety of reports and internal documents.
Central and departmental estimates and budgets are also relevant. Computerised
systems that enable the analysis and aggregation of data about employees are also
likely to result in, or contribute to, reports for management. These will need to be
retained in policy files.
Recruitment
Recruitment (or selection) involves a number of different processes, including filling
new or vacant posts, advertising for applications internally or externally, interviewing
candidates, conducting examinations or tests and corresponding with potential
recruits. The recruitment process may involve communications in person, via the
telephone, through regular print-based exchanges, through the Internet or by email.

Records must be kept not only to document new appointments but also to provide
evidence that the recruitment process has been competitive, fair, transparent and in
keeping with established rules and procedures. In some situations, audio tapes may be
made on interviews and may need to be treated as records. Records documenting the
recruitment process should be maintained as subject or case files by the agency that is
most directly involved with the recruitment process. The recruitment process may also
include the issue of a document or ‘warrant’ authorising the filling of the position.
Once a candidate has been selected, the records related to unsuccessful candidates
should remain on file for a certain period, in case, for instance, a candidate questions
the selection process or the agency wishes to consider the applicants for other
positions. The actual appointment records related to the successful candidate become
part of his or her personnel file and are discussed below.

18
Appointment
Most organisations make different types of appointment, depending on the particular
requirements. For instance, jobs may be permanent; pensionable or non-pensionable;
contract or temporary; casual or part-time; and so on. Usually, the more formal or
structured the position within the organisation, the more documents will be created.
Typically a letter of appointment is issued to new employees once they have accepted
the offer, which they usually do in writing. Prior to confirming the appointment, the
organisation may require candidates to undergo an examination by a medical officer,
who will provide a medical certificate as a result. Candidates may also have to
provide evidence of their birth date, citizenship and educational qualifications.
New staff members are often subject to a probationary period. At the end of this
period, they should be formally confirmed in post, unless their performance has been
unsatisfactory. If the probationer is not confirmed in post, the reasons for the decision
should be given and documented. A further probationary period, or dismissal, may
follow.

Individual personnel files should not be created until a candidate has been appointed
and issued a unique personal identification or other number. This number should
ideally become the unique identifier for that employee in any paper-based or
electronic HR information system. Copies of the application form, appointment letter,
acceptance letter, medical certificate, birth record and evidence of qualifications may
all go on the new employee’s master personnel file. Also on the personnel file should
be the confirmation that the employee has been placed on the payroll, and any data
entry forms used to create a record for the employee in a HRIS. Original paper-based
documents may be digitised and captured in an ERMS, if the organisation wishes to
keep as much information in electronic form as possible.
Both the letter of appointment and letter of acceptance are a crucial part of an
organisation’s audit trail. They provide evidence that a post is genuine and that it has
been filled by an actual person. The birth certificate or other evidence of birth date
also provides a key record that will be needed later when confirming the employee’s
retirement date and pension entitlement. Some organisations may require a security
clearance and disclosure agreement to be produced and filed. All these records will
need to be kept for the whole career of the employee and for a period after the
employee leaves employment. Retention and disposal schedules should provide
detailed guidance about the length of time records must be kept, when they can be
destroyed and what information may be confidential or sensitive. Given the
importance to the organisation and the employee of accurate and reliable personnel
information, all key appointment information must be kept in a way that prevents loss
or alteration and ensures that records remain accessible and understandable for as long
as necessary.

19
During the employee’s probationary period, HR managers should ensure that records
are kept of the progress of the staff member. These records will be essential should
the employee turn out to be unsatisfactory and not confirmed in post; otherwise, the
agency may have difficulty defending the legitimacy of its decision.
Performance Appraisal
Annual performance appraisals are a common requirement of the modern public
service, and they are increasingly popular in the private sector as well. A performance
appraisal is usually carried out as a dialogue between an individual employee and his
or her supervisor. The appraisal helps the organisation to document and monitor the
nature and effectiveness of each individual employee’s work. The appraisals can also
be used to identify training or development needs; to assess a person’s suitability for
promotion; or to provide rewards and incentives based on good performance. The
appraisal process also allows the employee and supervisor to review and agree
specific work objectives. The employee may be asked to conduct a self assessment
and prepare a personal development plan for the next year. At the end of the process,
it is normal for the employee and supervisor to agree to a set of goals for the next
year, either to set targets, improve performance or address inadequate work.

Assessment reports provide a means of monitoring the overall operational
effectiveness and continuing development of the organisation. Self-assessments are
also important for documenting the employee’s perspective on his or her performance.
All officers involved in the appraisal process must contribute to or sign a report
summarising the points raised and decisions made. If it is agreed that the employee’s
performance needs to improve, the specific concerns and agreed actions must be
documented and reviewed with the employee concerned. In cases where an employee
is considered unsuitable, performance appraisals can serve as critical evidence of the
problems or concerns raised and actions taken prior to actual dismissal.
The time frame for retaining performance appraisal records is usually determined by
local requirements, but the general practice is to retain the records for a finite period
(such as three or six years). The rationale is that an individual’s performance may
vary considerably over time: a new employee with few skills and limited performance
could quickly grow into an effective and valuable member of the organisation. It
could be prejudicial to the employee to retain records that document very different
levels of performance in earlier years. Because performance appraisal records are kept
for a relatively short period, they may need to be kept separately from other personnel
records, preferably as a subordinate file associated with the master personnel file.

20
Education, Training and Staff Development
All new members of staff require induction to their jobs and to the organisation as a
whole. During their careers, staff members should also receive opportunities for
further education, training and personal and professional development. Sometimes, if
the training is extensive or costly, bonding may be required: the employee agrees that
in exchange for access to education or training, he or she will undertake to work for
the employer for a specific period upon completion of the training. Where possible,
discussions about education and training should take place during the employee’s
performance appraisal and documented in writing as evidence of options considered
and decisions made.

The new employee’s immediate line manager and the HR manager will have joint
responsibility for managing the records of staff induction and initial training.
Induction records related to specific employees should be placed on their individual
personnel file.
Requests for training or education, along with approvals or rejections, information
about courses attended, post-training reports and certificates or other records of
qualifications should be placed on the personnel files or captured electronically. A
separate series of files on training opportunities, such as descriptions of courses or
information about educational institutions, will need to be kept by the HR unit as
subject files. Increasingly, information about training and qualifications is kept
electronically in a HRIS to allow HR managers to monitor and evaluate training needs
and opportunities across the organisation.
Promotion
The decision to promote an employee is usually based on an assessment of his or her
experience, qualifications, performance and potential. This information is gleaned
from performance appraisals and other records kept in individual personnel files.
Increasingly, governments and public organisations, as well as private-sector
agencies, promote employees based on their documented ability – often referred to as
meritocracy – rather than on personal preference or seniority, as used to be the case in
years past. Promotion on the basis of merit demands that organisations create and
keep complete and accurate records for each employee.

Any records related specifically to the promotion of an individual employee must be
placed on the personnel file of the individual concerned. Promotion is likely to lead to
an increase in pay, which then has implications for the level of pension benefits
available. Thus records related to promotion are critical for ensuring the payroll is
updated and that pension requirements are met when the time comes. In addition to

21
paper and electronic records, it is also important to retain any forms or similar
computer input documents used to update the HRIS and initiate changes in the
employee’s status or pay.
Transfer
Within the public service, employees can be transferred to other positions, sometimes
at short notice. Transfer is most common for staff members in specialist positions or
at a certain level within the organisation, as they may have skills and knowledge that
are in high demand. Staff members may also seek a transfer from one agency to
another, for personal or professional reasons. Even if transfers take place within the
same office of employment, and so do not involve a change in employer, it will still
be necessary to update information in personnel files and the HRIS to reflect changes
in title and position.

Records should be created and filed documenting all transfers. Documents may
include written communications between the employee and both the old and new
employing agency, as well as documents between the two offices involved in the
transfer or between the old and new offices and any central personnel authority.
Copies of all correspondence and communications must be filed on the personnel file
and the HRIS must be updated. Any input documents used to add information to the
computer should be retained and filed in accordance with established standards. A
letter of transfer or notification of posting will be issued to the employee, and a copy
of this document must be placed on the master file. Paper personnel files should be
transferred to the new employer’s HR unit.
Disciplinary and Grievance Proceedings

Disciplining staff is a serious undertaking that may have significant consequences,
and any disciplinary action should conform to legal, regulatory and policy
requirements. If any steps can be taken prior to actual discipline, these should be
initiated in order to identify weaknesses and take remedial measures before it is too
late to help the employee without recourse to disciplinary action. Such intermediate
actions may include preparing a performance improvement plan, issuing a warning
letter or imposing a penalty.
In cases where a departmental or ministerial inquiry is conducted, a disciplinary panel
is likely to be established. At the conclusion of the inquiry, the panel will submit a
record of the proceedings along with a notification of its findings and recommenda-
tions. All these procedures and any resulting disciplinary or other actions must be
fully documented.

22
Discipline and grievances may be covered by the same or similar procedures.
However, minor matters are likely to be dealt with informally and may not result in
the creations of records.

It is important that a full record is kept from the outset of the events or alleged
offences that have resulted or have the potential to result in formal proceedings.
Because it is impossible to know before an event happens that it may have such
serious consequences, it may be necessary to create a record some time after the first
indication that an alleged offence or incident took place, to summarise the situation as
known to that time. Employers and HR managers must be vigilant to document any
situations that have the potential to lead to difficulty or conflict: written warnings,
notes to file summarising conversations or situations or records of interviews will all
help document the facts and events in an objective manner.
Any records generated from a disciplinary or grievance process, including written
warnings, proceedings and reports, must be kept on master personnel files and / or
captured electronically in a HRIS or ERMS. They must be managed as records and
protected against alteration or loss, as their evidential value is very high. Adequate
documentation allows both the employer and employee access to the facts and reduces
the chance of appeal or further legal action by either party.
For exceptionally serious or sensitive issues, it may be necessary to file disciplinary
records separately from the individual’s personnel file and provide additional security
against inappropriate access. Since penalties or disciplinary action may affect the
employee’s salary, position or benefits, relevant information must be added to the
HRIS to assist with financial calculations.
During a disciplinary or grievance hearing, both parties will need access to all rele-
vant documentary evidence or other documents. Any employee charged with miscon-
duct or any other violation should be given an opportunity to see the evidence related
to the charges, and he or she should also have the chance to submit a written reply to
any charge. Copies of all these records must be filed in the master personnel file; they
may also be scanned and added to an electronic file. The records should be kept until
there is no possibility of further appeals, usually at the end of a statutory period of
limitation. In certain cases, it may be necessary to remove the record from the per-
sonnel file and destroy it once the statute of limitations has expired or if the charges
are determined to be unfounded. Decisions to remove records must be made by the
appropriate authorities who must follow established regulations and procedures.
Attendance, Leave and Sickness

Decisions about an employee’s attendance, annual leave, vacation time or sick leave
must be documented fully, in order to track the employee’s performance, ensure that
only the entitled time is taken and make sure the employee’s rights to such benefits
are respected. Requests for leave and records of attendance should be monitored by

23
the HR manager, who should discuss any concerns with the employee in order to
address attendance problems as early as possible.
Continuing poor attendance may result in disciplinary action, and excessive sick leave
may require reference to a medical board. A medical board may need to assess the
situation and prepare a report on the health and welfare of the employee.
Other types of leave include compassionate, maternity and paternity leave. Accurate
records of compassionate leave are particularly important to prevent abuse of the
system. Sabbatical leave, secondments and leave without pay must also be recorded.

Applications for leave (including vacations, secondments, sabbaticals or unpaid leave)
must be submitted on the prescribed forms and approved by the relevant authority. In
some situations, applications for leave can be submitted and authorised electronically;
the evidence of these applications must be protected within the electronic record-
keeping system or HRIS. In general, any decision about a leave request should be
recorded on the application form and placed on the employee’s working personnel file
or captured by the electronic system. In cases of sick leave, a medical certificate
covering the period of absence may need to be produced and captured.
Normally, leave records are filed on the employee’s working file, but where a medical
board is involved, the record of the decision should be filed on the employee’s master
personnel file. Attendance records that may affect an individual’s employment or
retirement may have to be retained for a long time. Records of leave that affect
benefits or pensions (such as evidence of unpaid leave) should therefore be kept on
the individual’s master file.
Routine attendance records, such as signing-in registers, rarely need to be kept for a
long time. Once they can no longer be used for grievance or disciplinary actions, they
should be disposed of according to retention and disposal schedules. If records are
required for disciplinary situations, the relevant entries related to the individual
employee can be extracted as long as it can be demonstrated that the information
remains accurate and reliable.
Official travel, home leave, study leave and associated expenses generate large
quantities of records. Where these records involve payments, records should be kept
according to financial and audit requirements. Generally, copies of such records are
kept on working files and do not require long-term retention.
In order to ensure accurate information is maintained about employee attendance, all
organisations are encouraged to maintain a daily manual or electronic attendance
register of staff. Local rules will specify which employees will be required to enter
information into the register. Aggregated attendance and leave data also provide
useful information for HR planning and monitoring.
Some types of leave records, such as staff annual leave plans, will need to be kept
separately from individual personnel files since they relate to more than one member
of staff. In some circumstances, it may also be more convenient to keep paper records
of annual and sick leave separately.

24
Separation from Employment
Separation from employment refers to situations where a person leaves the
organisation permanently. Separation may be the result of
 resignation
 compulsory or voluntary retirement
 redundancy (layoff)
 retirement on medical grounds, requiring a medical board recommendation
 retrenchment (abolition of position)
 termination of non-pensionable employee (end of fixed term)
 dismissal for disciplinary reasons or unsatisfactory performance
 death in service
 removal in public interest
 termination on contesting constitutional leadership or elective political post.

Each type of separation may be associated with different records (notice of
termination decision, letter of resignation and so on). However, the basic process and
documentation of a separation from employment is similar. A letter of termination (or
acceptance in the case of resignation) is prepared. The letter confirms the reason for
termination and the date that the person’s employment ends. A copy of the letter
should be placed on the individual’s master personnel file. There must also be a
process by which either a copy of the letter, or data derived from the letter, is used to
update the HRIS and payroll system so that the individual is removed from the
payroll.
Any outstanding leave, loans, salary, allowances and so on should be verified from
existing records, either in the HRIS or in personnel files or payroll records. Any
resulting compensation or adjustments should be documented, and in all cases the
paper files, the HRIS and payroll records should be updated. The employee should be
removed from the payroll on the effective date as indicated in the records. Any data
input forms created during the process of carrying out the termination should be
retained and filed in accordance with standard procedures. The employee’s file should
then be closed and transferred to secure storage for as long as required to fulfil legal
and statutory obligations.
In the event of redundancies or layoffs, a record should be made of any future
entitlements along with information about any compensation to be provided at the
time of redundancy. A copy of the statement of entitlement should be provided to the
employee. Any records related to redundancy policies should be kept in appropriate
subject files, together with records related to implementing any redundancy schemes.
Some benefits or allowances, for example, medical benefits, may continue after the
employee has separated from employment. Records that document or affect

25
entitlements and benefits should be retained for as long as required on the individual’s
personnel files.
If an employee dies while in service, his or her surviving spouse may be eligible for a
pension. Similarly, children below the age of majority may be entitled to survivor
benefits until they reach a specified age. Ex gratia payments may be considered in
some circumstances, for example where the death may have been brought about by
poor working conditions or an accident. In addition, the employer may be liable for a
statutory payment under health and safety legislation.
Pensions
Generally a specific length of continuous service is needed for an employee to be
entitled to a pension. Pensioners have statutory rights that must be observed.

Organisations must retain records documenting an employee’s length of service along
with information about non-pensionable breaks in service. Calculation of pension
entitlement or terminal benefits will depend on reliable and accurate records that
document the employee’s date of birth, first date of appointment and final day of
employment. Information about the person’s level or grade in the organisation may
also be required.
Records relating to the actual payment of pensions are usually created and retained by
the pension office or authority, not by the original employer. However, such records
may be accessed by authorised officials in the organisation, either manually or
electronically, such as through a HRIS.
Pay and Allowances

Some of the records already described in this unit will be required to confirm the
amount a person is paid according to position, grade, salary scale and qualifications
and any allowances he or she may be entitled to receive. For example, copies of the
letter of appointment, acceptance letter and other records related to the employment of
a candidate will likely be sent to the organisation’s accounting office to ensure the in-
dividual is added to the payroll. Any HR event that effects a change to an individual’s
pay and allowances will trigger changes in the payroll, so the effective management
and communication of relevant records is critical to maintaining accurate payments.
Commonly, changes in pay and allowances are initiated in the HR function but put
into effect by the finance function. Clearly, there is a requirement to integrate systems
and business processes that are involved in separate but related functions. This
underlines the need for the integrations of systems that manage data relating to HR
management and payroll control as well as pensions, loans and any other systems that
manage employees and employee-related costs.

26
Actions affecting an individual’s pay and allowances need to be documented in his or
her personnel file and also in the records of the agencies responsible for making
changes to and maintaining the payroll. Each payroll change will generate a separate
record. The organisation will need to keep records of some payroll changes, such as
secondments, leave without pay and educational leave, for a long time; these records
can document and therefore affect entitlements and terminal benefits.
The payroll record itself is likely to be held in a database that is continuously updated.
Hard copies of the payroll record are likely to be printed for review and audit
purposes. Regular electronic copies of the entire payroll record may also be created
and retained for security and reference purposes.
Employing agencies may be required to obtain copies of the payroll from the
accounting office so that they can compare it with the nominal roll and ensure that
numbers and names of the ‘staff in post’ agree with the information on the payroll.
A wide range of reports to support monitoring, management information and audit are
also likely to be generated.
This unit has provided a summary of typical personnel management functions and the
records that they generate. The next unit looks at the different types of personnel
records created and used, particularly in public-sector agencies.

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UNIT 5.3
TYPES OF PERSONNEL RECORDS

A wide variety of records may be created in the course of personnel or human
resource management. This unit examines the different types of personnel records that
might be created and used, including policy and subject files; personnel files (both
master and working files); data input sheets; and records generated by computerised
human resource management systems.
While the discussion in this unit focuses on the management of paper-based personnel
files, the underlying principles are the same whether the records are paper or
electronic. Individual personnel documents held electronically should be accessible as
a virtual file so that all documents relevant to the same individual can be viewed
through a single access point.
Policy and Subject Files

Most public offices maintain policy or subject files relating to the human resource
management function. These files are normally kept as a separate series within the
office’s filing system. The documents created address the development of policies and
procedures related to issues such as recruitment, conditions of service, schemes of
service, training, labour relations, performance management and discipline.
While some of the records kept on policy files may refer to individual public servants,
the records usually make reference to individuals only in order to develop or illustrate
policy or to carry out procedures that relate to groups of employees. Records that
document decisions, actions and processes affecting specific individuals should
always be copied to individual personnel files. In many jurisdictions in the past, the
practice of maintaining a separate personnel file for each employee has not been
followed, especially for non-established, non-pensionable civil servants such as
temporary or junior level staff. This has caused considerable problems in establishing
control of information about the whole workforce.
A suggested structure for HR management files is given below, with some examples
of the subject areas covered. The file series provide a coherent and comprehensive
framework into which registered files can fit easily. For records held in a central
office, as opposed to a local agency, the six file series described below will need to be
subdivided into many separate files or sub-series. Local agencies will likely need
fewer files, but the six main subdivisions should be maintained.
The suggested file series are:

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1 Staff Planning, Monitoring and Budgeting: including data on staff numbers,
grades, skills, age and location; forward plans; recruitment and appointments;
probation; and promotions and transfers.
2 Performance Management and Training and Development: including staff

appraisal procedures; career planning and development; training policies and
delivery; and management of a public service training college or training unit,
if applicable.
3 Pay, Grading and Allowances: including pay and grading reviews; staff
inspections; structural reviews; job evaluations; pay structure and levels;
contracts and performance agreements; performance-related pay; travel,
subsistence and foreign allowances; and annual, sick and special leave.
4 Employer / Employee Relations: including conduct, standards, discipline and

inefficiency; staff welfare; labour relations and staff associations; and
retirement and pensions.
5 Senior Executive Service (if applicable): including terms and conditions and
performance-related pay; appointments and promotion to and within the senior
levels of the service; succession planning; competency framework; and
leadership planning.
6 Corporate Strategy: including communications; organisational planning;

central staffing strategies; new policies; records and information management;
internal administration; human resource management strategies; and senior
management team activities.
Personnel Files
Personnel files contain the records that document an individual’s employment history
throughout his or her career. These records must be managed throughout their life
cycle, from creation, through their active and semi-active phase until their final
disposal as determined by retention schedules. There are two types of personnel files:
the master file and the working file. The master file is maintained as a central record
by the central HR management authority (for example, the Public Service Department
or a decentralised authority with a similar role). The working file is kept by the local
agency in which the individual is employed.
Throughout his or her career, an employee should have only one master file, though
the file may exist in several parts and there may be sub-files (for performance
appraisals, for example). In most circumstances, there should also only be one
working file at any one time. However, it may sometimes be necessary to maintain
more than one working file. For instance, the employing ministry may keep a working
file and the local office in which the individual is employed may also keep a working
file.

30
Whereas the master file is kept for the whole of the individual’s career and for a
certain time after the employee leaves the agency, documents on the working file may
be destroyed in accordance with retention schedules when they have no further value.
While many of the documents held on the master file may be duplicated on the
working file, the master file should always be treated as the authoritative record and
should contain a complete set of all key documentation. The contents of master and
working files are described below in more detail.
In addition, some governments make a distinction between open and confidential
personnel files. Confidential files should be housed in a more secure environment
with restricted access, whereas open files are maintained under normal record office
conditions. If both open and confidential files are maintained, it is essential to
establish standards and rules to determine the types of documents to be placed on each
file. Any lack of clarity about which documents belong on which file is likely to result
in slower access, and there is the risk that confidential records will be seen by
unauthorised staff. If the open and confidential files are governed by different
retention periods, accurate and consistent filing is critical to ensuring that records with
ongoing value are not destroyed by accident.
Many public-sector agencies have adopted a system of managing unified files which
bring together what were formerly treated as open and confidential records. The
recommended standard is that all personnel files should be classified as confidential
and protected against unauthorised access. Access to individual personnel files,
whether paper or electronic, should be restricted to appropriate staff, such as heads of
the department, human resource managers and authorised records staff, direct
supervisors and, in accordance with established policies, the individual staff member
himself or herself. Any records that have different access requirements must be kept
separately from the personnel files. For example, documents used to plan the
vacations and absences of staff working together in a unit will need to be shared
among employees and so should be kept separately from other personnel records.
Contents of the Master File

The contents of a master personnel file are the single most valuable record of an
individual’s career with his or her employer. The file is an essential source of personal
information and should therefore be safeguarded for as long as it is needed. The
master file also facilitates information retrieval by ensuring that all essential personnel
documents are concentrated in a single location.
The master file should include the core record of service, basic personal details and all
the records that are needed to document the legal and contractual relationship between
the employer and employee, such as letters of appointment; confirmation of position;
promotion, transfer and separation records; and disclosure agreements concerning
official information. The purpose of the master file is not only to hold the key
documents that provide evidence of the individual’s employment history, but also to
protect the legal and financial rights of the employer and the employee.

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A master file should not be created until the appointment letter has been issued and an
acceptance form signed and returned by the new employee. Certain prescribed key
documents should be added at the time the file is opened. These may include, for
example:
 the application form
 appointment letter
 acceptance letter
 medical certificate
 evidence of qualifications.
Other initial documentation could include:
 copy of birth certificate
 passport photograph or biometric records
 medical reports
 security clearance
 disclosure / confidentiality / official secrets act agreement.
While the concept of ‘original’ and ‘duplicate’ records may be blurred in the paper
environment (for example, two identical signed copies of the same document may be
created), the master file should contain the originals of key documents when there is a
clear distinction to be made between ‘original’ and ‘copy.’
The master file must be assigned a unique file number created according to a common
standard, as discussed in Unit 5.4. Before a new file is opened, a search should be
carried out to confirm that a newly appointed employee has not already been
employed in the same organisation or public service. If the individual concerned was
employed before, the master file covering the earlier period of service must be joined
with the master file for the current employment. Similarly, files for reinstated staff
should be located and combined with the new master file.
See Unit 5.4 for more detailed information about

creating and managing files.
The master file may also include a checklist recording the presence of all documents
on the file. The checklist should be kept at the front of the file and should record the
addition of new documents, such as letters of promotion or transfer, disciplinary
records, evidence of change of name and so on, as they are filed. The checklist serves
as a security measure, allowing users to confirm that no documents have been
removed. An electronic equivalent of a checklist can also be maintained for electronic
files.
Figure 2 below provides an example of a checklist and also identifies the documents
typically held on a master file.

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Figure 2: Master File Checklist
MASTER FILE CHECKLIST
Name: ……………………………………..… File/PIN Number: …………………..
Use additional columns for new documents, such as a

second promotion letter, third transfer letter and so on.
Document Folio no. Folio no. Folio no. Folio no.
Personal Record Card/Form (including PIN

and Social Security Number)
Application form(s)
Appointment letter(s)
Acceptance letter(s)
Medical report on appointment
Birth certificate/affidavit
Photograph
Letters of confirmation
Letters of promotion
Letters of transfers/postings
Copies of educational/professional
certificates
Security vetting documents
Disclosure/official secrets act agreement
Marital status record
Medical Board reports
Notification of termination/resignation/
retirement/death
Change of name
Disciplinary records
Pension certification
Performance assessment forms (on sub-file)

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Working Files
‘Working’ personnel files are maintained by the local agency or office in which the
individual public servant is employed. A working file may contain reference copies of
key documents held on the master file, but the file is primarily used for routine
records that are not critical to the employee’s contractual relationship or salary
calculation and do not therefore need to be filed in the master file. In decentralised
systems, the master and working files may be held by the same authority, but the
distinction between the two files should still be maintained. The contents of the
master file should be retained for the whole career of the employee, whereas the
contents of the working file may be weeded periodically or destroyed according to
retention schedules. Ensuring the two files are distinct and separate is essential to
maintaining accountability in human resource management.
Examples of the types of records that can be found on working personnel files are
shown below:
 copies of documents held on the master file
 details of acting appointments
 requests for job changes, transfers and so on
 complaints concerning promotion, training, allowances, leave and so on
 documents relating to salary and allowances, including:
 salary advances
 salary arrears
 salary slips / advice
 documents relating to tax, national insurance and so on
 government loan applications and details
 allowance applications, repayments
 refunds
 expense claims
 telephone call charges
 documents relating to training or study leave, including:
 training requests / nominations
 training courses / reports
 academic progress report
 correspondence relating to travel, other travel documents, insurance
records and so on
 records of annual leave, leave forms, applications and so on
While it is not good practice for a number of working files to be opened for the same
individual, it is sometimes necessary for separate working files to be kept at different
levels in the same organisation, such as by the employee’s section manager and by the
agency’s HR authority. In such cases, the contents of the section manager’s working

34
file should be regarded as convenience copies kept for reference purposes. These
copies should be destroyed when they are no longer of reference value.
To prevent the creation of multiple working files for the same employee, working
files should be transferred with employees when they move from one office to
another. A common indicator of record-keeping problems is the proliferation of
personnel files, as offices create new files each time an employee is transferred rather
than retrieving existing files. The resulting confusion can lead to difficulties in
verifying personal details and service records, confirming pension entitlements,
validating payroll and HRIS data or performing other important HR functions. The
files for employees who transfer from one office to another should therefore be sent to
the new agency’s HR authority so that any documents of potential further use can be
combined with the agency’s own working file.
Data Input Sheets

HRIS systems are themselves significant generators of paper records, including input
forms and supporting documents; output forms; and printed reports and logs. These
records are part of the audit trail of human resource and payroll processes and need to
be managed properly.
Data entry forms and supporting documents are of particular concern because they are
produced in large volume but are frequently poorly managed once their initial purpose
of data entry has been served. Responsibility for managing data entry forms, including
their filing and storage, must be assigned and monitored. An effective method for
managing them is periodically to arrange the forms and supporting documents in
bundles and send them to local storage or to a records centre. This process ensures
that the documents are available for reference and audit. They can be kept in storage
until their destruction date, as authorised in retention schedules, is reached.
Data entry forms and supporting documents should be bundled into an appropriate
order that facilitates reference and retrieval. The arrangement of documents within
bundles will depend on a number of factors, including the processes involved in
generating the documents. For example, if data entry forms originate in the business
offices themselves, they may be organised by the name of the office and the month
the document was created; the documents in each bundle can be organised by the
employee’s personal identification number (PIN). On the other hand, if forms
originate in regions or districts, they may be batched by geographical area and then by
PIN number. Alternatively, if different forms are used for different purposes, such as
promotion, transfer, retirement / separation and so on, they can be sorted by purpose
and then by the employee’s PIN. Combinations of these arrangement methods may
also be needed.
An alternative approach is to file all input forms on the relevant paper master or
working file depending on the significance of the data. This approach also ensures
there is a direct link between the data used to update HRIS and payroll and the
personnel records used to verify information.

35
See Unit 5.4 for more information about how to
arrange and number personnel files.
HRIS-Generated and Desktop-Generated Records

Until recently, a print and file approach was used for many electronic records created
from HRIS software programmes or desktop computers. Electronic systems were not
considered as trustworthy as paper record-keeping systems, and so the recommended
practice was to print any electronically generated record and file it as a paper record.
Many HRIS may still operate in this way, with parallel sets of paper personnel files
kept as the authoritative and authentic record.
The storage, search, dissemination and access capacity of electronic systems has
encouraged users to dispense with the paper copy. With the introduction of the
desktop in many working environment, personnel records created electronically are
now also stored with varying degrees of formality and standards on the desktop itself.
Of course, simply storing information electronically will not ensure long-term
preservation and accessibility. Rather, records have to be captured into a formal
record-keeping system and properly managed to ensure their survival, as discussed in
the other modules in this training programme.
One of the objectives in implementing a HRIS is to make use of the computer
technology to create new outputs that were not previously possible. Some of the
outputs (such as employee lists, earnings registers or pension entitlements) will have
been created as paper records before the arrival of the HRIS. HR managers may
continue to create some or all of these records in paper form after the installation of
the HRIS, but once the computer system is fully operational it is common to
discontinue the maintenance of paper records systems. However, this would require
that effective electronic records management procedures are in place and are working
well to ensure the preservation of reliable and authentic evidence in electronic form.
Payroll Records
Payroll was one of the first business functions to be computerised. Initially, pay
records for each employee were typically maintained in a stand-alone database. While
such systems still exist, large organisations are now more likely to administer payroll
as part of a combined or integrated personnel / payroll / financial management system
so that data affecting different business processes only need to be entered into
computers once.
Prior to computerisation, payroll records were maintained in registers and pay lists,
with payroll files maintained to hold the forms and documentation required to request,
authorise and direct changes to the payroll for individual employees.
As a minimum, the payroll record, whether manual or computerised, should include
the following details for each employee:

36
 name and birth date of the employee
 PIN and / or payroll number
 Position / designation / grade
 place of employment
 rate of pay
 additional allowances
 amount of all deductions made from paid wages / salary
 payment method (for example, weekly / monthly / bank details)
 date of the beginning of the employment
 dates of unpaid absences
 date of termination of employment.
This unit has examined different general types of personnel records. The next unit
considers the standards that should be followed and the core tasks that should be
performed in order to manage personnel records effectively.

37
UNIT 5.4
MANAGING PERSONNEL RECORDS AND

PERSONNEL FILES
This unit examines recommended standards for, and key processes involved with,
managing personnel records. As noted several times in this module, paper and
electronic personnel record-keeping systems are likely to operate in tandem for many
years to come. Even though the standards and processes outlined here apply primarily
to the management of manual records, and even though there are obvious differences
between physically arranging and storing paper and electronic documents, the general
recommendations offered in this unit can apply to some degree to both paper-based
and electronic personnel systems. In fact, establishing sound and effective procedures
for managing paper personnel files forms a solid basis for identifying the
requirements needed to manage a computerised system successfully.
In this unit, the following record-keeping issues are addressed:
 creating standardised file covers
 arranging files and establishing numbering systems
 managing registers and indexes
 establishing and maintaining movement registers
 receiving documents
 providing access
 preparing active personnel files for transfer
 closing files
 appraising and disposing of personnel records
 storing personnel files.
Creating Standardised File Covers

File cover designs should conform to a common standard throughout the organisation,
so that everyone becomes familiar with the same approach to documenting and
managing records. The cover design will be determined by the information to be
included; the following elements are most often required on a file cover:
 social security or other individual identification number (such as a nationally
issued identification code)
 personal identification number (PIN) for the employee (a government-issued
number, often the unique payroll number)
 name of the employing office, such as the ministry, department or agency

39
 employee’s full name, usually shown as surname first followed by other
names
 whether the file is open or confidential (usually the inapplicable category is
crossed out)
 file part number, if the file becomes more than one volume
 table documenting the circulation of the file, to record which officer or section
has received the file and when, and whether any action was taken.
An example of a typical paper file cover is provided in Figure 3 below.
Figure 3: Sample Paper File Cover
SOCIAL SECURITY OR PERSONAL IDENTIFICATION

IDENTIFICATION NUMBER NUMBER
MINISTRY / DEPARTMENT / AGENCY
PERSONNEL FILE
NAME
OPEN / CONFIDENTIAL PART
Officer Officer
or For Action or For Action
Section Action Initials Date Taken Section Action Initials Date Taken

40
Arranging Files and Establishing Numbering Systems
Experience shows that if personnel files are organised and stored alphabetically by the
name of the employee, numerous errors can arise when files are removed and replaced
or when documents are added to the files. Moreover, an alphabetical filing system is
difficult to audit against the payroll. Alphabetical filing is prone to error, because of,
for instance, the similarity between two or more names; the misspelling of names on
documents; changes to names over time; confusion between first, middle and last
names; and the use of hyphenated names. Even poor penmanship can cause confusion
and filing mistakes. Errors are reduced when files are arranged and stored in
numerical order.
The file numbering systems used by different offices within an organisation should be
standardised so that there is no confusion between different methods of numbering.
More importantly, the same number should never be issued to more than one
individual. The simplest and most reliable method of achieving a common file
numbering standard across a government or other agency is to use the individual’s
personal identification number or PIN. Optimum efficiency is achieved and audit is
facilitated when the PIN is also the employee’s payroll number as well as his or her
file number.
The method of generating the PIN or payroll number is an important consideration.
Poor control or lack of discipline in the method of generating numbers may result in
the creation of duplicate numbers that will affect the integrity of the payroll. Some
systems use a serial number so that each new employee is assigned the next available
number in a sequence. Other systems use a combination of, for example, date of birth,
date of first employment or national insurance number with a serial number.
However, the method of generating the number should not be too complex otherwise
it too will be prone to human error. Whatever the method, the number should be
permanent and should be issued by the time the new employee is added to the payroll.
When the unique PIN is used, any personnel file for the same employee, regardless of
where it is kept, will always bear the same number and provide a unique identification
for that employee. The number also provides a convenient cross reference between
the paper personnel files, electronic information in the HRIS and payroll records.
An individual’s PIN should always be quoted on all documents created in conjunction
with any dealings with that individual. This practice also helps to reduces filing errors
by ensuring both the name and number are always on the record.
Managing Registers and Indexes

For paper records, an index of personnel files must be maintained to provide quick
access to the files. The index should link the employee’s name to his or her PIN and
personnel file. The index can take the form of a card index or a simple computerised
database created, for example, in MS Access. Both computerised and manual indexes
should use the same data fields, including the person’s full legal name, his or her PIN,
any alternative names and the date the personnel file was opened. If individuals are
known by alternative surnames, cross references should be created for the different

41
names. Similarly, cross references are necessary to identify employees who change
their name, for example when they marry.
A personnel register is a log of each new personnel file created. Entries in the register
may be made in chronological order, according to the date on which files are opened.
For systems that have large volumes of files, entries can be made alphabetically
according to the initial letter of the surname and, within initial letters, chronologically
by date of opening. The register is intended to keep track of the existence of all
personnel files. The register should include, as a minimum, the employee’s PIN, the
surname followed by all forenames in full, the date the file is opened and the date it is
closed. A ‘remarks’ column records important details, such as why the file was closed
(the employee retired or left the service), when the file was transferred to another
employing agency or any other comments needed to locate the file. The register will
serve as a permanent record of all employees and will help confirm whether personnel
files have been created.
Establishing and Maintaining Movement Registers

Many of the processes relating to the HR management function involve the movement
of information between different officials within the employing agency and the
central human resources agency and with the office responsible for payroll. HR
managers, records office staff, data entry section staff and others who send and
receive personnel-related documents must ensure that all movements of personnel
documents are fully recorded. For instance, incoming and outgoing correspondence
registers or equivalent electronic databases track the movement of letters and forms,
particularly paper-based documents. A manual register is valuable as evidence, since
anyone receiving or dispatching documents must always sign the register to confirm
the action, leaving behind an audit trail and ensuring that the location of documents is
known at all times.
Senior staff, HR managers and all other users of personnel files must deal with files
promptly and not let them remain on their desks for an extended period. As soon as
any business is concluded on a personnel file, the file should be returned to the
records office or authorised storage area. If files are passed directly from one officer
to another, the records office must be informed of the new location so that the
‘movement’ record can be updated.
In the electronic environment, a HRIS may incorporate a ‘workflow’ function that not
only passes information from officer to officer involved in the business process, but
also tracks the progress of any outstanding work. For example, several authorities
may need to confirm the appointment of a new employee before he or she can be
added to the payroll. A HRIS can automatically route a request for approval to each of
the appropriate authorities and can capture information at each step. Thus the status of
the new appointment can be verified at any time.

42
Receiving Documents
In paper filing systems, documents should be placed on the file in order of the date
they were received, rather than the date of the actual document. Filing this way
preserves the correct business sequence. Traditionally, each paper document on the
file is given a folio number: a sequential number, beginning at number one, for each
distinct document in the file. Note that each document is given a folio number, not the
individual pages within that document. At the front of the file, a minute sheet is
maintained recording the addition of each document, indicating: the author or sender,
the recipient, the date it was sent, the date it was filed, one or two keywords identify-
ing the topic of the document and a note of any action required. As well as improving
access to individual documents, the assignment of folio numbers helps maintain the
integrity of personnel files, since it is possible to identify missing documents by
reviewing the sequence of folio numbers and referring to the minute sheets.
Each new document received for filing should be examined to see if it indicates a
change in an employee’s status or provides new information about the employee
concerned. For example, the document may confirm a new position, indicate a change
of name or identify a promotion or transfer. Any change in the employee’s status
should be noted on the employee’s record of service or in the HRIS. The task of
updating the employee’s record of service is usually the responsibility of the HR
manager, and any changes must be supported by copies of the documents that initiated
the change. Note that this same procedure applies whether the employee’s record of
service is held in paper or electronic form.
Providing Access
Organisations should establish a formal policy for accessing personnel records, stating
explicitly who may access records for what purposes and when. Access must be
limited to those whose official duties require them to have access; the sensitivity and
confidentiality of personnel records demands that no unauthorised access be provided.
Any evidence of alteration, tampering or removal of documents must be reported
immediately to the HR manager or other senior member of staff.
The same requirements for controlled access must apply to personnel records in both
paper and electronic form. There is little point in establishing a strict policy on access
to manual personnel files if the same information can be accessed electronically
without the same restrictions. Audit trails in electronic systems are extremely
valuable, since they can document not only each instance that an employee’s record is
accessed and any changes that are made but also the identity of those accessing the
information. Clearly, it is more difficult to maintain the same ‘audit trail’ controls for
paper records. Electronic systems should also enable different levels of access
permission to be assigned to officers, depending on their responsibilities.
Procedures must be in place to handle requests from anyone outside of the
organisation to access individual personnel records. Some requests are legitimate and
others are not; in all cases, the request should be referred to a senior officer who will
determine whether the request should be authorised. All such requests and

43
authorisations should be documented and either filed on the employee’s paper
personnel file or added to log entries in the HRIS. In most circumstances, certified
copies of requested documents can be provided in place of originals.
Preparing Active Personnel Files for Transfer

As already noted, personnel files should move with employees when they transfer
from one office to another within an organisation or government. Before transferring
a paper-based file, a check should be made that all required documents are included,
that they are filed in correct order and that the file includes up-to-date information
about absences, leaves, loans or advances against salaries. The associated indexes, file
registers, movement registers, databases and HRIS should be all be updated as
appropriate. The same broad principle applies to electronic records, although the
mechanisms for transfer may differ depending on the technology used and the
organisation’s policies about electronic file sharing. Access permissions will need to
be changed to allow the new employer to access the electronic file and to restrict the
former employer from using the file again.
Closing Files
The systematic closure of files is an important aspect of file management, ensuring
that files do not become too bulky for efficient access and handling, and that files for
staff members who are no longer employed are identified for removal from the active
filing system.
The personnel files of any employees who have left the public service must be closed.
This closure should be done as a matter of routine in accordance with established
policy or retention schedules. For manual files, the reason the employee has left –
such as ‘dismissed,’ ‘resigned,’ ‘retired,’ ‘terminated’ or ‘deceased’ – should be
written diagonally across the front cover of the file. The date the file was closed
should be written on the cover as well. Indexes and registers and any electronic
systems will also need to be updated.
Processes for closing electronic folders will depend on the functionality and particular
operating procedures of the electronic system. However, the same broad principles
that apply to manual files also apply to electronic folders. For electronic folders, the
metadata should be updated to include a note that the file is ‘CLOSED’ and the date
of closure recorded. Retention and disposition instructions associated with the folder
may need to be updated, using the date of closure to set the disposal date. There may
also be procedures to transfer the folder from current records to closed records.
Appraising and Disposing of Personnel Records

All personnel records should be governed by retention and disposal authorities, as
discussed in other modules in this training programme. These schedules should
 describe all the different series of personnel records (for example, master
personnel files, working personnel files, separately held performance appraisal

44
and leave records, movement registers, tracking databases, data input sheets
and HRIS records)
 set out the length of time that each series should be retained
 specify the actions to be taken at the end of their retention periods (for
example, transfer to a records centre or destruction).
In the absence of an approved retention schedule, an interim policy should be agreed
so that closed and inactive personnel files can be removed from current filing systems
and transferred to storage until agreement is reached about their final disposition.
Ideally, an employee’s master personnel file should be kept in active storage for two
years after the individual leaves employment before being transferred to a records
centre or other offsite storage facility. The files of temporary and contract employees
who are not pensionable and who have left the service must be retained in active
storage for two years from the date of cessation of employment before they are
transferred to storage. A list should be maintained of all files transferred, so it can be
checked against the records when records arrive at the records centre.
Master personnel files must be retained until all pension or other rights will have
expired, after which they may be destroyed. To simplify the disposal process, master
files may be kept for 100 years from the employee’s date of birth, or 85 years from
date of the earliest document on file if the person’s date of birth cannot be determined.
For non-pensionable staff, many organisations retain files for ten years after the year
of termination of appointment and then destroy the files in accordance with retention
and disposal schedules.
The personnel files of distinguished public servants, including employees notable for
their achievements and those whose misdeeds may be of future interest, may be
worthy of permanent preservation in the National Archives. Decisions will need to be
made on a case-by-case basis. Such files are eventually opened to public use
according to retention and disposal schedules, for example 100 years from the
individual’s date of birth or five years after his or her death, whichever is later.
Figure 4 below provides a general example of the structure and content of a typical
personnel records retention and disposal schedule.

45
Figure 4: Sample Retention and Disposal Schedule for Personnel Files
Record Category Held By Action Records Centre Final Disposition
Retention
Master personnel files Central Closed files are retained in the records office for two 100 years from Archives to review before
(pensionable officers) employment years after the date of cessation of employment and date of birth destruction and select files of
authority then transferred to semi-current storage. significant public servants for
permanent preservation
Working personnel files Office of Closed files are retained in the records office for two 5 years from Destroy
(pensionable officers) employment years after the date of cessation of employment and date of transfer
then transferred to semi-current storage.
Master personnel files Central Closed files are retained in the records office for two 8 years from Destroy
(contract officers) employment years after the date of cessation of employment and date of transfer
authority then transferred to semi-current storage.
Working personnel files Office of Closed files are retained in the records office for two 5 years from Destroy
46
(contract officers) employment years after the date of cessation of employment and date of transfer
then transferred to semi-current storage.
Personnel file registers Office of Closed registers are retained in Records Office for 10 years from Destroy
employment two years after the register is superseded by a new date of last entry
register system, and then transferred to semi-current
storage.
Personnel file indexes Central Closed indexes are retained in Records Office for two 10 years from Destroy
employment years after the index superseded by a new index date of last entry
authority system, then transferred to semi-current storage.
Original HRIS / IFMIS input Office of Place on working files after copies are dispatched to See working See working personnel files
forms and supporting employment the central employment authority or financial office. personnel files
documents
Copies of HRIS / IFMIS input Central After data entry, batch documents by number and 10 years Destroy
forms and supporting employment retained in current storage for two years, then
documents authority transfer to semi-current storage.
Storing Personnel Files
Active personnel files should be stored in numerical order according to their unique
identifying number. Arrangements for storing closed files may be different. For
example, inactive files may be closed and removed from active file storage as part of
an annual routine procedure required by retention and disposition schedules. In this
case, the files may have to be stored in annual batches and then by their unique
identifying number within those batches.
From time to time, storage areas should be inspected by audit and records staff, who
should be encouraged to make recommendations for improvements or corrective
action, especially if storage conditions do not meet required standards.
See Module 4 for more information on the

preservation of electronic records.
The next unit examines some steps that can be taken to improve personnel records
systems and to incorporate effective records management into the development of
computerised human resource management systems.

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UNIT 5.5
IMPROVING PERSONNEL RECORD-KEEPING

SYSTEMS AND VERIFYING THE PAYROLL
Poor record-keeping standards are likely to result in unreliable information about
individual employees. Effective human resource management demands that personnel
and payroll information must agree, whether the records are in paper or digital form.
The breakdown of personnel records systems is a major obstacle to effective and
accountable human resource and payroll management.
This unit considers how to improve personnel record-keeping systems in order to
ensure the quality of records and information, in paper filing systems, in electronic
HRIS and in payroll systems. It considers the actions that can be taken to improve
paper-based and electronic systems so that they can better support the human resource
management function. In particular, this unit looks at the challenge of collapsed
record-keeping systems, the importance of capturing and preserving accurate
personnel data; the work involved in repairing collapsed systems; steps involved in
recreating incomplete personnel files; and the importance of being able to verify
payroll data using accurate and reliable personnel records. The unit also looks at
issues associated with digitising paper records. The processes in relation to verifying
the payroll are also outlined.
The Challenge of Collapsed Record-keeping Systems

In some countries, paper-based filing systems managed by traditional registries have
deteriorated, in some cases to the point of collapse. The deterioration of records
systems can be the result of a shortage of funds for equipment and supplies, a lack of
training and career development for registry staff, or a poor understanding by
managers of the role, functions and importance of record keeping. Another factor in
the decline of paper records systems is an excessive confidence in the role of
technology to solve information problems. With the introduction of computerised
systems, paper filing standards and procedures that were used in the past to generate
good quality records are no longer followed. Copies of key personnel records may no
longer be automatically sent to the registry, and if they are sent they may not be filed
promptly and accurately.
A vicious circle results: as confidence in the paper filing system declines, the
incentive to maintain or improve the system decreases. As the system continues to
deteriorate, ad hoc practices replace formal rules. In the end, it is impossible to use the
records as a basis for consistent and sound personnel management decisions, to
determine responsibility for HR actions and to hold individuals accountable for their
decisions and actions.

49
Overcrowded registries and storage areas are a common consequence of the neglect of
personnel filing systems. Current files become mixed with files relating to individuals
who have been transferred or who have died, resigned or retired. In these
circumstances, it is not surprising that senior executives wish to scrap old systems and
move straight to electronic record keeping.
Policy makers often see the computerisation of personnel information and HR
management processes as a solution to the problem of poorly managed paper-based
systems. However, building an electronic system on top of a collapsed manual system
usually results in more problems rather than improvements. Without a reliable source
of information from paper records, the data used to populate an electronic system may
be inaccurate or out of date. It is difficult to verify information if the paper records
cannot be found, and in the end a computerised personnel management information
system based on erroneous information cannot but fail to deliver its objectives. It is
not possible to achieve control over personnel management functions simply by
automating inadequate and incomplete information systems.
The Importance of Accurate Personnel Data

A credible plan for computerisation of the HR management function must include
three essential records-related components: (1) a comprehensive infrastructure of
policies, standards and work practices for record keeping; (2) staff who have been
trained to manage paper and electronic records as an integrated whole and (3) a
reliable source of personnel information for data entry into electronic systems. The
other modules in this training programme are designed to explain the infrastructure
and training requirements needed for an effective electronic records management
programme of any kind; this next section of this unit focuses on the importance of
data quality for accurate human resource management.
See the other modules in this training programme for

more information on establishing effective and account-
able electronic records management programmes.
Authentic, reliable and accurate paper records will play a key role in human resource
management for many years to come. These traditional, manual documents will
remain the best means for gathering accurate information for entry into electronic
human resource management systems, even when the manual systems have collapsed
and must therefore be repaired.
The data used to populate HRIS have tended to be drawn from several sources. These
sources include paper personnel files, nominal rolls, existing systems, other databases
and surveys (including questionnaires, interviews and statistical analyses). All these
data sources have their shortcomings.
 Paper record-keeping systems may be poorly maintained, difficult to access
and incomplete.

50
 Nominal rolls may be poorly maintained and in any case are normally derived
from other sources.
 Existing databases, such as old payroll systems and HR spreadsheets, may
contain inaccurate information or lack all the necessary data needed to
populate the HRIS.
 It is often difficult to map data accurately from older systems, which are likely
to have a different data structure than the current system.
 While surveys have the advantage of providing up-to-date information, the
accuracy of information depends on the integrity and competence of those
conducting the survey or completing survey forms. Surveys also require
substantial effort to carry out and can end up incomplete or out of date if not
conducted speedily and effectively.
The most reliable data source for any personnel management system is the well-kept
individual personnel file, which should hold the accumulated record of the
individual’s employment history from the time he or she entered the service until the
current time. Well-maintained and accessible files provide the evidence of
appointments, promotions and other key events. But as noted, personnel files are not
always well maintained, and it is unfortunate but not surprising that the developers of
HRIS often decide not to use paper personnel files as the data source for a new
system. It is equally true that, even when personnel files are reliable and complete,
they present logistic and organisational difficulties if used to build HRIS and payroll
data, especially when the number of employees is large. Where data sources do exist,
the development of a HRIS is often driven by the need to have a functioning system
up and running quickly. There may be pressure to compromise on data accuracy and
rely on data cleaning at a later stage. However, those responsible for implementing a
new or upgraded HRIS must be aware of the risks of working with inaccurate data.
Experience also shows that even where the paper records are under some degree of
control, the developers of new systems too often overlook important records manage-
ment requirements. Paper and electronic records end up poorly managed instead of
coordinated as two parts of an integrated whole. Designers and implementers of
software systems have tended to focus on information, not on evidence, and they do
not recognise the vital importance of working with and protecting accurate
documentary resources.
Repairing Collapsed Records Systems

There are steps that can be taken to restore poor record-keeping systems so they can
be used as authentic sources of data and as accurate evidence of actions and
transactions. One of the first tasks is to identify and physically remove from the
records office those paper files that have not been used for some time. This will need
to be for an agreed period, for example, five or ten years. The process of removing
inactive records is often referred to as ‘decongestion’ because it creates more space
for the current records that remain in the records office. The removed files may still
be needed, for instance to verify benefits, and so they cannot be destroyed. But they
can be transferred to separate storage, such as a low-cost but secure records centre.

51
Once non-current files have been transferred to a records centre, the next step is to
create a finding aid that identifies all personnel files, so that all files or records related
to the same individual can be brought together. Such a finding aid is best created
using a database software programme but it can also be generated through the manual
preparation of index cards that can then be sorted alphabetically.
The next steps in the decongestion process are outlined in Figure 5 below. This figure
presents an approach that works best when multiple files exist for the same individual,
where the distinction between master and working files has broken down or is
unclear, and when the organisation wishes to create one master personnel file for each
employee. The decongestion process should be carried out both in the central
employment authority and in each office of employment. At the end of this process,
both sets of files should be brought together to ensure overlaps are identified and gaps
filled. This approach also requires access to payroll records, in order to confirm that
all existing employees have been identified and any non-current or non-existent
employees are removed from the payroll.
Figure 5: Decongesting a Personnel Filing System
Step 1
Divide all individual personnel files into four categories:
A: Staff currently working for the organisation.
B: Staff who have been transferred to a different employing authority.
C: Staff no longer in the service, such as those who have retired, resigned, been dismissed or
died.
D: Staff whose status is unclear: their files can be allocated to other categories as work proceeds.
Duplicate or inactive files are progressively eliminated from the system by
 decongesting the records office of Category C files
 reorganising Category A files by the unique PIN or payroll number
 merging Category B files with current files held by the present employer.
Step 2
Bring together all duplicate files for each individual and review all the documents contained in them.
Actions include
 clarifying what should be held on the master and working files, and on any open or confidential
files if they are still going to be used
 separating master files from working files
 identifying any missing information and attempting to fill in gaps in the records as possible, with
accurate and original source information.
Step 3
Encourage better personnel records management going forward by
 designing, introducing and documenting standards and procedures for personnel file
management
 training records staff and HR managers in the established procedures
 regularly auditing the accuracy and comprehensiveness of personnel files.
Where the goal is to provide a basis for introducing computerisation, the timing of the
decongestion exercise should coincide with the development of the electronic system.

52
Ideally, if there are any problems with the personnel records system, a records
management improvement project should precede the implementation of
computerised personnel systems in order to ensure accuracy and consistency in data
entry and particularly to avoid adding unnecessary data about employees no longer
with the organisation.
Creating Complete Personnel Files

Some governments or organisations wishing to implement an HR management or
public-sector reform programme may find that their personnel files are incomplete,
lost or scattered. Wars, natural disasters, frequent relocations, under-resourced records
services, lack of effective systems and other factors can result in missing or damaged
records throughout the agency.
Because incomplete and inaccurate files cannot provide comprehensive and reliable
information about the workforce, it is common for senior managers to consider
abandoning paper altogether and moving directly to electronic information systems.
However, this could mean the loss of potentially valuable evidence. It is advisable
instead to build a reliable information base for the workforce by reconstructing as
much evidence as possible from existing personnel records, both records on personnel
files and records from other sources as described below. This approach is particularly
important in public service agencies with obviously inaccurate payrolls, especially
those including ‘ghost’ names for nonexistent workers. If the reconstruction process
includes taking photographs and / or fingerprints of all verified existing employees
and for all new recruits, it will be possible to keep the payroll accurate and reliable in
the future. Ideally, reconstruction will take place in parallel with the introduction of
new or improved records management systems and procedures. The exercise of
establishing a reliable information base may also be accompanied by other initiatives,
such as the issue of new or improved employee ID cards.
The objective of the reconstruction programme is to locate, recreate or update a
master personnel file for every civil servant. This file should contain at a minimum
those key documents that define the contractual relationship between the employee
and the employer, including the letter of first appointment and evidence of date of
birth. These core records can be used to verify the payroll and resolve anomalies.
Other core records may include: the acceptance letter for the first appointment,
educational certificates, medical reports and previous photographs of the employee.
The central filing system maintained by the employing authority will be the starting
point for the reconstruction process. Once all inactive files have been removed, as
described earlier, the remaining files can be checked against the employee’s payroll
number or PIN to identify those employees for whom files do not exist at all. New
files will need to be created for these employees. Then, essential documents need to
be located and added to incomplete files. Important documents may be found in
various places within the agency, including the following locations:
 the central authority’s subject or policy files, which may contain records
regarding individual appointments, promotions, transfers or retirements

53
 the personnel and subject files of line departments and line managers
 files in the accounting or audit offices
 records held by the Public Service Commission or equivalent appointing
authority
 files or documents held by individual employees
 payroll verification records, data entry forms or survey records.
Gaps in the files can gradually be filled by photocopying documents found in these
locations and adding them to the master personnel file.
Verifying Payroll Data

Once all sources of essential documents have been exhausted, the recreated master
files can be used to verify the payroll and resolve anomalies. The objective of the
verification process is to identify and investigate payroll anomalies between data
derived from authenticated personnel records and data derived from payroll records.
Note that missing key documents are themselves anomalies that will need to be
resolved. The most effective method of capturing anomalies is to create a simple
database. The fields of the database will represent the key data (date of birth, date of
first appointment, current position and employing authority and so on) that should be
captured about each employee.
The comparison of personnel records with payroll lists is likely to reveal many
anomalies, particularly when establishment controls have been inadequate. For
example, there may be individuals on the payroll for whom there is no evidence of
appointment. There may also be discrepancies in an employee’s name or date of birth
between the payroll and personnel files.
The verification and anomaly resolution process is also likely to involve face-to-face
interviews with each employee on the payroll. By attending an interview and being
able to verify or supply key data, employees demonstrate that they are contactable at
their place of employment and that they are drawing salaries legitimately. Interviews
also provide an opportunity to take photographs, provide biometric data such as
fingerprints and copy key personnel documents in their possession, such as letters of
appointment or evidence of birth, which may be missing from official files.
A list of typical anomalies is provided in Figure 6.

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Figure 6: List of Payroll Anomalies
Anomaly Type
1 Employee appears twice on payroll with same PIN

2 Employee appears twice on payroll with different PIN
3 Two different employees with same PIN
4 Variation in name between payroll and personnel file
5 Evidence on file that employee has retired, resigned or been dismissed but still on payroll
6 Evidence that employee is past retirement age but still on payroll
7 Employee is on unauthorised absence but still on payroll
8 Evidence on file of authorised unpaid absence but still on payroll
9 Employee is deceased but still on payroll
10 Different dates of birth recorded on file or between file and payroll
11 Different dates of birth between file and payroll
12 Evidence of false identity (for example, photo on file does not match employee)
13 Document(s) on file are damaged so that key information is missing
14 Missing key documents on personnel file
15 No letter of first appointment on file
16 No letter of acceptance on file
17 No proof of date of birth on file
18 No proof of date of first appointment on file
19 No proof of education on file
20 Empty personnel file
21 Employee aged over 65 but no evidence of pension / retirement on file
22 Date of appointment less than 15 years after date of birth
23 Evidence of employment event before date of first appointment
24 Difference in position/ designation/ pay grade between file and payroll
25 No evidence of place of employment
26 Discrepancy in place of employment
A summary of the steps involved in the verification process are outlined below.
 Enter data from personnel files into a specially created anomalies database.
 Enter an up-to-date copy of the payroll in the database.
 Identify anomalies by comparing personnel file data and payroll data in the
anomalies database.
 Request further information from the employing agency or the staff member to
help resolve the anomaly.

55
 Update the anomalies database with new information received from offices or
employees.
 Interview each employee at his or her office to verify or capture new
information and obtain biometric data (such as a photograph and fingerprints).
 Update the anomalies database with new information received during the
interview.
 Document all remaining anomalies and recommend a method for resolution,
such as the removal from payroll of the names of individuals whose existence
cannot be proved.
Payroll verification should be a regular activity, conducted annually or every two or
three years depending on resources. HR managers should therefore plan and budget
for regular verification exercises.
Digitising Paper Records

A common approach to improving personnel information management is to create
digital copies of key paper documents using scanning technology. Digitised
documents can often be located, accessed and used much more quickly than the paper
originals. A database of digitised personnel records, linked to a HRIS, can be a
powerful tool to improve the efficiency of HR management. The database can be part
of an EDRMS or it can be a separate application designed specifically to hold
digitised images of personnel records.
As with all other record-keeping systems, mechanisms are needed to ensure the
database of digitised records is kept up to date and is integrated with systems and
processes that generate and hold new personnel information. As well, the records
must be secure from loss, deletion or alteration, so that the records are preserved and
accessible for as long as needed.
Before embarking on large-scale scanning projects, all organisations should first
consider whether there is a business case to justify the expense. A needs assessment
and risk analysis, as discussed in Module 2, can be conducted specifically in relation
to the digitisation of personnel records. The following questions should be considered
during the assessment.
 Is scanning cost effective? Keeping and accessing well-managed paper copies
may be cheaper.
 Which paper records should be scanned? It is important to retain any linkages
between different paper records that document the full context of the
information; scanning only selected documents may mean that users will have
to return to the paper files anyway to gain a complete understanding.
 Will the paper originals be destroyed once they have been scanned? If yes,
what are the legal implications? If not, what are the additional costs of
maintaining two sets of records? If documents are selectively scanned, are
there any linkages between scanned and unscanned documents that need to be
preserved?

56
 Does the software application that will hold the scanned images meet
acceptable standards for security, preservation and other record-keeping
requirements?
 Can the system be integrated as necessary with related computer systems and
business processes? Strong integration is essential if the digitised records are
to be kept up to date. For example, when an employee transfers, is promoted
or retires, this information needs to be captured and related to the employee’s
existing paper or electronic records.
 How long will scanned images be preserved? Are scanned documents
identified in existing retention and disposal schedules? Is there a long-term
preservation strategy in place?
 What is the cost of maintaining the integrity, accessibility and usability of the
digitised records for as long as they are needed? Digitised personnel records
may have to be kept for up to 100 years; can the organisation commit to that
requirement as well the necessary expenditure?
 Should the digitisation process include optical character recognition (OCR)
during the scanning process to enable content searching? Will OCR processes
be effective for the records considered for scanning?
The next unit in this module introduces some important issues to consider when an
organisation decides to investigate the transition toward electronic personnel record
keeping.

57
UNIT 5.6
MOVING TOWARD ELECTRONIC PERSONNEL

RECORD KEEPING
Computerised payroll systems have been in existence since the early 1960s.
Computerised HR management systems also have a relatively long history; they were
run on mainframe computers and required high capital investment until the arrival of
‘client-server’ computer architecture in the late 1980s. Today, web-based computer
programmes enable organisations to share human resources and payroll information
throughout their offices, allowing a number of authorised users to have access to
information at the same time.
Electronic personnel record keeping can help HR departments perform routine
administrative tasks more efficiently and cost-effectively. One example is updating
information about an individual’s employment and making this information easily
accessible to authorised users. Another example is identifying when action may be
required, such as to conduct staff performance reviews, initiate retirement procedures
or investigate absences, through the generation of automated notification messages in
the computer system.
This unit considers some of the issues associated with moving toward computerised
human resources or personnel records management.
HR Management as a Strategic Service

At a strategic level, a HRIS can support human resource management and planning by
providing information about, for example, the age profile or skills base of the
workforce. A HRIS can also help managers uncover trends, such as the balance of
genders, the number of employees close to retirement or the level of absenteeism in
different parts of the organisation. Analyses can take place at the department level or
for the organisation or government as a whole.
However, the installation of a HRIS does not automatically lead to a greater focus on
strategy or an enhanced capacity to plan and manage human resources. Firstly, the
data held in the HRIS must be accurate, up to date and complete. The HRIS must be
able to capture new information about appointments, promotions, transfers,
retirements and all other activities that affect individual employees and their pay.
Appropriate business processes therefore must be in place to ensure this information
is routinely captured.
The introduction of a HRIS inevitably requires changes in procedures and work
practices. It may lead to a restructuring of functions in the central personnel
management office, in HR units within employing offices or throughout the entire

59
organisation or government. Unless business processes are accurate and are executed
fully and properly, the HRIS could end up holding incorrect and incomplete
information, rendering the system unreliable and ineffective.
Within the payroll and HR management function, particular units and staff may use
different HRIS modules. Whereas some will be more concerned with the payroll and
position management modules, others will make greater use of the training module.
This will require coordination across the HR function and with other functions within
the organisation, such as finance, training or pension administration, not only to
define roles and responsibilities but also to ensure that the data entered in the HRIS,
and the information the HRIS holds, meet the requirements of all stakeholders. For
example, the skills base of the workforce cannot be analysed if details of employees’
qualifications and training are not captured consistently.
As well, a more strategic focus for personnel records management depends on how
much authority the HR department is given. If senior management in the organisation
does not see the personnel unit as a key player in government policy and strategy, the
department will not receive the resources it needs to fulfil its potential in planning and
policy development. For instance, the ability of a personnel department to
demonstrate solid evidence of high absenteeism or high staff turnover is useful for
strategic planning throughout the organisation. However, dealing with these problems
may be complicated and time consuming, and unless the HR department has the
authority to act then the information it generates cannot be put to good use.
Self Service in HR Management

The trend in the developed world is toward giving staff direct access to HR
applications through an Intranet-based or web-based personnel management system.
With ‘self-service’ facilities, individual staff members can manage and update their
personal data such as home address, bank account details or life events (such as
marriage or the birth of children). Employees can also download HR forms, book
vacation and leave, check information about their pay and entitlements; and carry out
many other tasks that previously would have involved other staff and taken more time
and effort. Employee access to personnel management information also allows the
organisation to disseminate HR policies and procedures and communicate changes
electronically through emailed notices or web postings. As well, line managers are
able to access records relating to their staff more easily rather than have to consult a
paper file, which may be stored in a location removed from their own offices. Self
service also reduces the cost of centralised human resource management and increases
efficiency.
By empowering employees to take charge of their own personal details, the
information is likely to be more accurate and up-to-date. However, ensuring
individual security and data protection is critical; otherwise the entire personnel
management system is at risk. All staff members need to be trained and able to
participate in the system or else there will be gaps in service records and a greater
likelihood that information for some employees will not be current. As well, checks
are needed to ensure that incorrect data is not entered, for example, by reference to

60
documentary evidence. Moreover, setting up the infrastructure for managing staff
access to a self-service HRIS is costly. This model may not be feasible unless the
organisation already has or is considering the necessary ICT infrastructure.
Implementing a HRIS
Developing a HRIS is not just a technology issue. Implementation involves changes
to policies, practices, business processes and organisational responsibilities and
structures. As with introducing any computerised system, implementation takes place
in several stages, including: identifying and defining the needs and requirements;
establishing responsibility and accountability; planning the development project;
conducting a business needs analysis; evaluating potential vendors; selecting a
system; implementing and testing the system; and completing post-implementation
audits or reviews. Introducing a HRIS can also result in business process
reengineering, if the business practices are found to be deficient and unworkable in
the electronic environment.
A number of important decisions need to be taken about how data are going to be
managed in the system, who will have access to which records and who will be
allowed to make changes to information.
Full support is needed from all key stakeholders in the organisation, including
representatives responsible for human resources, financial management, information
technology, legal matters and other business. Records professionals must also be
central players in any implementation project, so that they can ensure critical
evidential requirements are met. Stakeholders in a public-sector environment may
need to include representatives from:
 the Public Service Commission
 the Ministry of Finance
 the Treasury or Accountant General
 the Pensions Office
 the Audit Office
 the Legal Unit
 the National Security Office
 the IT Directorate
 the National Archives and Records Service
 any line ministries or departments.
A communications plan will help keep staff informed and, as possible, involve them
in the design and planning. Selected employees can participate in testing and piloting.
Interested and motivated staff can become early adopters and expert users.
There are hundreds of companies that sell HRIS with at least some basic level of HR
management functionality. (Indeed, establishing a HRIS is so popular that a website
has been created specifically in order to provide up-to-date information about

61
different vendors of HR systems in North America and around the world: it can be
found at http://www.hr-guide.com/data/206.htm.)
A successful HRIS implementation requires participation and commitment from all
levels of the organisation, including senior executives or managers, who need to take
ownership of any policy or organisational changes that are needed, champion the new
system and show leadership in its development. HR managers must ensure that HR
rules are appropriately built into the HRIS. Staff must be sensitised to the new system
and users must receive sufficient training to make the successful transition to new
work processes. And users must be given enough exposure to the technology to
become confident when using the system, so that they are compliant with required
procedures. Therefore, effective communication plans and change management
programmes are critical.
See Module 2 for information on advocacy and change

management.
Figure 7 summarises the stages and roles in developing and implementing a HRIS.
The figure omits reference to organisational and policy changes that are needed.
These issues are covered in other modules, especially Module 2.
After a system is implemented, its effectiveness should be reviewed and changes
made as required. Reviews are often conducted by individuals who have not been
involved in the development of the system and can therefore provide an impartial
assessment. Many organisations find it useful to keep a planning or steering
committee in place after the HRIS has been implemented, to monitor the ongoing
quality of operations, manage relationships with the HRIS vendor and plan for later
HRIS upgrades or enhancements.

62
Figure 7: Developing and Implementing a HRIS
Stages in HRIS Implementation Responsibility
HR Managers Information
Records
and Other Technology
Managers
Users Managers
analyse information requirements (for example,

develop a business case)
  
define systems requirements (process modelling,

logic modelling and conceptual data modelling)
  
carry out a benefits analysis (including stakeholder

analysis)
  
design the system (logical design: forms and

reports, interfaces, data modelling; physical design:   
file and database design, distributed systems)
specify hardware and software requirements   
refine design specifications 
procure equipment and commercial software or

develop in-house software

implement the system (includes coding, testing

piloting and installing the system, training users 
and writing documentation)
maintain the system (including backup and storage

provisions)
  
Ensuring Compliance with Record-keeping

Requirements
It cannot be assumed that all HRIS applications will function as reliable record-
keeping systems. Many HRIS are designed largely to support current informational
needs without regard for longer term evidential requirements. Some HRIS are likely
to have stronger record-keeping capabilities than others. Below is a list of some of the
ideal software features that will allow the HRIS to serve effectively as a records
management system.
 As new information is entered to replace old data, the old information is
maintained and remains accessible to authorised individuals.
 The system preserves the context of the data and the circumstances of the
creation of that data, along with the inter-relationships between different data

63
elements or records, allowing users to interpret the data and understand its
original content and purpose.
 The system supports all security, access, retention and disposal controls
required to confirm with records management standards.
 There is a full audit trail of any changes made to information in the system.
 The HRIS supports the ongoing maintenance of historical data or audit logs so
that they remain accessible over time, for example, by allowing migration to
newer formats.
 All of the records required to support human resource management and
planning are captured by, or linked directly to, the HRIS.
 Staff have the knowledge and skills needed to manage electronically generated
or digitised records effectively.
If these needs are met, the HRIS may create and maintain high-quality records,
meaning that the organisation may need to place less reliance on some types of paper
records. However, the full audit trail of human resources events, such as appointments
or promotions, may still depend on the preservation of supporting documents in paper
form, such as formal letters of appointment, confirmation of promotion and so on.
Linking HRIS and Records Systems

In fact, despite the common belief that computer systems will replace paper-based
information environments, few HRIS systems can or should capture all the
documentation created from the processes of human resource management. In
general, HRIS systems capture data: names, addresses, departments, locations, dates,
grades, entitlements, qualifications, training and rates of pay. Records, in the form of
documents, are most frequently maintained outside of the HRIS; examples include
signed contracts of employment and letters to and from individual employees.
Traditionally, these documents are maintained in paper filing systems. Increasingly,
they are being captured electronically in ERMS or other content management
systems, either as born digital records (that is, records that are created and maintained
electronically) or as scanned paper records. However, these records are still retained
outside of the HRIS so that it is necessary to manage at least two record-keeping
systems in order to oversee the personnel management process.
Installing Safeguards for Accountable Records Management

As organisations move to electronic document creation, safeguards need to be in place
to ensure the effectiveness of computer systems as repositories for authentic and
reliable electronic personnel records. The following safeguards are highlighted:
 The integrity of all electronic records must be maintained: that is, the records
must be complete, accurate and verifiable. Integrity requires the following.
 Appropriate security procedures and systems (such as access restrictions or
permissions) must be imposed to ensure that (1) only authorised
information is input into the system and generated from the system and (2)
only authorised individuals can access or amend information.

64
 There must be appropriate backup procedures and storage facilities to
ensure records can be retrieved and restored if necessary.
 Appropriate protection from malicious code, such as virusus, must be
maintained, including tools to contain the effects or such code, and to
recover or reset the data back to the last known uncorrupted state.
 The decision about whether to establish centralised or decentralised systems
must be made with due regard for record-keeping requirements and not just for
the immediate needs of users.
 Records must be retrievable for administrative, legal or historical purposes;
records should only be destroyed with proper authority and according to
approved records retention and disposal schedules.
 Appropriate management structures need to be established to support the
operation of the system; these structures include legislation and regulations
confirming the legal admissibility of electronic information if there is no
parallel paper system.
 Adequate administrative provisions must be in place to support the ongoing
maintenance of the system, including financial resources, adequate physical
conditions and sufficient staff. For example, power supplies must be reliable;
secure backup and storage procedures and facilities must be in place; and
electronic and paper records need to be stored in appropriate environmental
and physically protected conditions.
 All users and custodians of the system and its records must receive adequate
and ongoing training and support.
Additional Records Management Duties

In addition to ensuring that the standards and requirements outlined above are in
place, records professionals can also help develop an effective HRIS by
 identifying records with continuing utility and enduring value
 determining, with stakeholders, how long records need to be maintained and
accessible in order to meet business, reference or archival requirements
 identifying the structural and contextual information (metadata) that needs to
be captured and maintained to ensure electronic records remain identifiable,
understandable and accessible over time
 working with systems developers to ensure that electronic records can be
preserved over time
 developing clear procedures for managing any paper inputs into or outputs
from the HRIS, including data entry forms, confirmation notices or letters and
other communications
 ensuring all records, whether paper or electronic, are managed according to
established retention and disposal schedules.

65
As can be seen in this unit, many important steps are involved in making the transition
from paper-based to electronic human resource management. It is hoped that the
information provided in this module will help readers plan such a project so that it is
effective, efficient and sustainable.

66
STUDY
QUESTIONS
The following questions are designed to encourage readers of this module to examine
some of the issues raised in more detail and to consider how the general information
presented here applies to the specific environment in which these records
professionals are working.
1 What is meant by the phrase ‘personnel records are organisation wide’?
2 Why do personnel records have close links with other records in a government
or organisation?
3 Explain why personnel records are considered both important and sensitive?
4 Who owns personnel records? Why is ownership important?
5 Explain the importance of understanding the legal framework for personnel

records management. What research must be done in order to understand the
specific legal environment in which an organisation’s personnel records are
created and used?
6 Explain some of the ways in which computerisation is affecting personnel

records management.
7 Why is security an issue in the management of both paper and electronic

personnel records?
8 Explain the concept of decentralised personnel management and the effect of

decentralisation on personnel records management.
9 What kinds of records are kept in personnel-related policy and subject files?
10 Name five file series that could be established for the management of records
related to personnel management policies.
PLANNING AND MANAGING AN ELECTRONIC RECORDS MANAGEMENT PROGRAMME

67
11 Explain the difference between a master personnel file and a working personnel
file.
12 Name five key documents that should be added to any personnel master file
when it is first opened. Name five other documents that might also be added to a
personnel master file over time.
13 Explain the concept of a checklist for a master file.
14 List the different types of documents that might be found on a working

personnel file.
15 What is a data input sheet and why is it important to retain such documents
when gathering and inputting information into a HRIS or payroll system?
16 Explain the function of human resource planning, monitoring and policy

development, and then explain the types of records that are generated from that
function.
17 Explain the functions of recruitment and appointment, and explain the types of
records that are generated from those functions.
18 Explain the function of performance appraisal, and then explain the types of
records that are generated from that function.
19 Explain the function of providing staff with education, training and staff
development, and then explain the types of records that are generated from that
function.
20 Explain the function of managing promotions, transfers and secondments, and

then explain the types of records that are generated from that function.
21 Explain the function of overseeing disciplinary and grievance proceedings, and

then explain the types of records that are generated from that function.
22 Explain the function of managing staff attendance, including regular leave and
leave owing to sickness, and then explain the types of records that are generated
from that function.

68
23 Explain the function of managing an employee’s separation from the
organisation, through registration or retirement, for example, and then explain
the types of records that are generated from that function.
24 Explain the function of managing pay and allowances, and then explain the
types of records that are generated from that function.
25 Why is it useful to create and use standardised file covers for paper-based
personnel records?
26 What information should be captured on a paper file cover?
27 Why is it best to arrange files by numbering systems instead of alphabetically?
28 What is a personnel file register and why is it important for managing personnel
information and records?
29 What is a movement register and why is it important for personnel records

management?
30 How should documents be made accessible for use in order to protect them from
loss or damage?
31 Why is it important to close files appropriately? When should files be closed?
32 What is the purpose of a retention and disposal schedule for personnel records?
33 Why is it so important to protect the authenticity and integrity of personnel

records and information?
34 Why do personnel records systems collapse? Describe the steps that can be
taken to repair collapsed systems.
35 List five sources that may be used to fill the gaps in incomplete personnel files?
36 Why is it important to verify payroll data? Outline the major steps involved in
the verification process.

69
37 What issues must be considered when determining whether or not to digitise
paper-based personnel records?
38 Explain some of the benefits of a HRIS for the organisation and its employees.
39 What different kinds of self-service functions could staff members perform if

they had access to a HRIS?
40 Who are the stakeholders in any project to convert from paper-based to

electronic human resources information management?
41 Name at least three features that a HRIS computer program should have in order
to ensure the records it holds can serve as authentic documentary evidence.
42 What safeguards must an organisation put in place to ensure the effectiveness of

computer systems as repositories for authentic and reliable electronic personnel
records?

70
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INTERNATIONAL RECORDS MANAGEMENT TRUST

MANAGING PERSONNEL RECORDS IN

Training in Electronic Records Management

MANAGING PERSONNEL RECORDS IN

INTERNATIONAL RECORDS MANAGEMENT TRUST

© International Records Management Trust, 2009.

Produced by the International Records Management Trust

Printed in the United Kingdom.

Inquiries concerning reproduction or rights and requests for

International Records Management Trust

Version no. 1/2009

ABOUT THE TERM PROJECT

PLANNING AND MANAGING AN ELECTRONIC RECORDS MANAGEMENT PROGRAMME

Project Steering Team

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

More information about the project and the other

About the Modules

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

 Keith Bastin, United Kingdom, reviewer

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

Relationship with the MPSR Training Programme

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

For More Information

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

FOR ADDITIONAL INFORMATION

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

THE CONTEXT OF PERSONNEL AND

Characteristics of Personnel Records

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

Links with other systems

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

The Legal Framework for Personnel Records

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

The Impact of Computerisation on Personnel Records

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

The Effect of Technology on Record Keeping

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

Appraisal and the identification of official records are

ERMS systems are discussed in detail in the other

Security and Access

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

Decentralisation and Record Keeping

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

UNDERSTANDING THE RELATIONSHIP

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

Function Examples of Documents Custody

and staff Records of courses attended, skills acquired and levels

Function Examples of Documents Custody

What Records Are Created?

More detailed information about file series is provided

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT

What Records Are Created?

What Records Are Created?

MANAGING PERSONNEL RECORDS IN AN ELECTRONIC ENVIRONMENT