27-1

EXCEL BOOKS

Chapter

27

PERSONNEL RECORDS, AUDIT AND RESEARCH

27-2

ANNOTATED OUTLINE

INTRODUCTION
Records management is the planned control of records.

It includes decision making regarding the retention, transfer, microfilming and destruction of records.

Personnel records and reports enable managers to obtain requisite information regarding the use of human resources in various departments or divisions.

Personnel Records, Audit And Research

27-4

Records Management
The purposes of records management may be listed thus

To keep an orderly account of progress

To facilitate the preparation of the statement of the true conditions To enable the making of comparisons To facilitate the detection of errors and frauds To meet legal requirements To serve other miscellaneous purposes

Personnel Records, Audit And Research

27-5

Types of Personnel Records

job application and test scores job descriptions and job specifications interview results employment history medical reports attendance records payroll employee ratings training records leave records

accident and sickness records grievances, disputes records contracts of employment records to be kept under various statutes

Personnel Records, Audit And Research

27-6

Fundamental principles of record keeping

For effective records management, record keeping must Justification Verification Classification Availability of required information Reasonable cost

Personnel Records, Audit And Research

27-9

Personnel/Human Resource Audit

It is a systematic evaluation of personnel policies, procedures and practices. Basically it covers three things: Measurement and evaluation of personnel programmes, policies and practices Identification of gap between objectives and results Determination of what should or should not be done in future.

Why personnel audit?

Increasing size of the organisation and personnel in most organisations Changing philosophy of management towards human resources Increasing strength and influence of trade unions Changing HR philosophy Increasing dependence of the organisation on the human resources system and its effective functioning.

Personnel Records, Audit And Research

27-10

Scope of HR audit
Personnel audit covers areas like personnel programmes, practices and personnel results. philosophy, policies,

The audit process

Various personnel policies, procedures and practices can be evaluated by posing questions like: What are they(policies, procedures, practices)

How are they established , communicated and understood

Are they consistent with other policies/ What are the controls that exist for ensuring their effective and uniform application

What measures exist to modify them?

Personnel audit can be carried out either by attitudinal survey or by interpreting data. It can be undertaken at frequent intervals. It may be done either by internal people or by external consultants. To be effective, personnel audit should focus attention on rectifying things rather than fault-finding.
Personnel Records, Audit And Research

27-11

Personnel Research
Personnel research implies systematic investigation into any aspect of personnel or human resource management in a systematic way. The major objectives of personnel research include: Measure current conditions in human resource management Evaluate effects and results of current policies and practices Discover ways and means of strengthening the abilities and attitudes of employees at a high level and on a continuing basis Provide an objective basis for revising current programmes and activities

Personnel Records, Audit And Research

27-12

Techniques to carry out personnel research

Personnel research can be undertaken through: Historical studies Case studies Survey method Statistical studies

Simulation methods
Action research methods Personnel decisions can be improved through personnel research because better information leads to better solutions Personnel research can offer valuable insights for managers as they attempt to increase employee productivity and satisfaction while reducing absenteeism and turnover.
Personnel Records, Audit And Research