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PERSONNEL RECORDS, AUDIT AND RESEARCH Chapter EXCEL BOOKS 27-1 27
ANNOTATED OUTLINE 27-2 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
27-3 Essentials of a good record and report Personnel Records, Audit And Research Record    Report 1. Simple: Record-keeping must be simple. It should, at the  1. Conformity: Reports must conform  same time, meet the requirements of the organisation.  to organisational objectives. 2. Accurate: Records should be error-free.  2. Unbiased: Reports must be objective They must be built around facts as far as possible. and prepared without prejudice or bias. 3. Economical: It should not cost a fortune  3. Data based: Reports must be built  to maintain records. The cost of maintaining  around facts. Theycmust not only  records must not be high. present facts but interpret them in a  meaningful manner. 4. Useful: Records must provide information which could 4. Clarity and Simplicity: The report must be put to use. They must facilitate managerial decision  be clearly worded so that people could   making. To this end they must be reviewed and kept  use it easily. To make it simple, some  up-to-date. illustrative points could also be used. 5. Timely: Reports must be submitted  keeping the time limits in mind. They  very purpose of preparing a report  gets defeated once it exceeds the time  limit.
27-4 The purposes of records management may be listed thus Records Management Personnel Records, Audit And Research 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
27-5 Types of Personnel Records  Personnel Records, Audit And Research 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
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
27-7 Personnel records and reports help management in obtaining the requisite information regarding the use of human resources in various departments or divisions.   Significance of Personnel Records   Personnel Records, Audit And Research
27-8 Significance of Personnel records  Personnel Records, Audit And Research Personnel records play a significant role in performing various personnel functions including audit and research. They are specially needed to: i. supply the information required by the management and trade unions to  review the effectiveness of personnel policies and practices and develop  them. ii. supply the information required by various agencies on the accidents,  employment position, strikes, absenteeism, turnover, etc. iii. provide the information about manpower inventory for manpower  planning and  succession planning. iv. conduct research in personnel and industrial relations areas. v. identify training and development needs. vi. revise pay scales and benefits from time to time.
27-9 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. Personnel/Human Resource Audit Personnel Records, Audit And Research 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.
27-10 Scope of HR audit   Personnel Records, Audit And Research Personnel audit covers areas like personnel philosophy, policies, programmes, practices and personnel results.  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.
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 Mathematical models Simulation methods Action research methods Personnel Records, Audit And Research 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.

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Chapter 27

  • 1. PERSONNEL RECORDS, AUDIT AND RESEARCH Chapter EXCEL BOOKS 27-1 27
  • 2. ANNOTATED OUTLINE 27-2 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
  • 3. 27-3 Essentials of a good record and report Personnel Records, Audit And Research Record Report 1. Simple: Record-keeping must be simple. It should, at the 1. Conformity: Reports must conform same time, meet the requirements of the organisation. to organisational objectives. 2. Accurate: Records should be error-free. 2. Unbiased: Reports must be objective They must be built around facts as far as possible. and prepared without prejudice or bias. 3. Economical: It should not cost a fortune 3. Data based: Reports must be built to maintain records. The cost of maintaining around facts. Theycmust not only records must not be high. present facts but interpret them in a meaningful manner. 4. Useful: Records must provide information which could 4. Clarity and Simplicity: The report must be put to use. They must facilitate managerial decision be clearly worded so that people could making. To this end they must be reviewed and kept use it easily. To make it simple, some up-to-date. illustrative points could also be used. 5. Timely: Reports must be submitted keeping the time limits in mind. They very purpose of preparing a report gets defeated once it exceeds the time limit.
  • 4. 27-4 The purposes of records management may be listed thus Records Management Personnel Records, Audit And Research 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
  • 5. 27-5 Types of Personnel Records Personnel Records, Audit And Research 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
  • 6. 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
  • 7. 27-7 Personnel records and reports help management in obtaining the requisite information regarding the use of human resources in various departments or divisions. Significance of Personnel Records Personnel Records, Audit And Research
  • 8. 27-8 Significance of Personnel records Personnel Records, Audit And Research Personnel records play a significant role in performing various personnel functions including audit and research. They are specially needed to: i. supply the information required by the management and trade unions to review the effectiveness of personnel policies and practices and develop them. ii. supply the information required by various agencies on the accidents, employment position, strikes, absenteeism, turnover, etc. iii. provide the information about manpower inventory for manpower planning and succession planning. iv. conduct research in personnel and industrial relations areas. v. identify training and development needs. vi. revise pay scales and benefits from time to time.
  • 9. 27-9 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. Personnel/Human Resource Audit Personnel Records, Audit And Research 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.
  • 10. 27-10 Scope of HR audit Personnel Records, Audit And Research Personnel audit covers areas like personnel philosophy, policies, programmes, practices and personnel results. 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.
  • 11. 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
  • 12. 27-12 Techniques to carry out personnel research Personnel research can be undertaken through: Historical studies Case studies Survey method Statistical studies Mathematical models Simulation methods Action research methods Personnel Records, Audit And Research 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.