E
XCE B
L OOK
S

27-1

Chapter

27

PERSONNEL
RECORDS, AUDIT
AND RESEARCH
27-2

ANNOTATED OUTLINE

INTRODUCTION
Records management is the planned control of records. It includes
decision making re...
27-3

Essentials of a good record and report
Record

Report

1. Simple: Record-keeping must be simple. It should, at the 1...
27-4

Records Management
The purposes of records management may be listed thus
 To keep an orderly account of progress
 ...
27-5

Types of Personnel Records


job application and test scores



job descriptions and job specifications



interv...
27-6

Fundamental principles of record
keeping
For effective records management, record keeping must
 Justification
 Ver...
27-7

Significance of Personnel Records
Personnel records and reports help management in obtaining the
requisite informati...
27-8

Significance of Personnel records
Personnel records play a significant role in performing various personnel function...
27-9

Personnel/Human Resource Audit
It is a systematic evaluation of personnel policies, procedures and
practices. Basica...
27-10

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

philoso...
27-11

Personnel Research
Personnel research implies systematic investigation into any aspect
of personnel or human resour...
27-12

Techniques to carry out personnel
research
Personnel research can be undertaken through:
 Historical studies
 Cas...
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Personnel records, audit and research - HR Audit

  1. 1. E XCE B L OOK S 27-1 Chapter 27 PERSONNEL RECORDS, AUDIT AND RESEARCH
  2. 2. 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
  3. 3. 27-3 Essentials of a good record and report 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. They must be built around facts as far as possible. 2. Unbiased: Reports must be objective and prepared without prejudice or bias. 3. Economical: It should not cost a fortune to maintain records. The cost of maintaining records must not be high. 3. Data based: Reports must be built around facts. Theycmust not only present facts but interpret them in a meaningful manner. 4. Useful: Records must provide information which could be put to use. They must facilitate managerial decision making. To this end they must be reviewed and kept up-to-date. 4. Clarity and Simplicity: The report must be clearly worded so that people could use it easily. To make it simple, some illustrative points could also be used. time 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 limit. Personnel Records, Audit And Research
  4. 4. 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
  5. 5. 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
  6. 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. 7. 27-7 Significance of Personnel Records Personnel records and reports help management in obtaining the requisite information regarding the use of human resources in various departments or divisions. Personnel Records, Audit And Research
  8. 8. 27-8 Significance of Personnel records 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. Personnel Records, Audit And Research
  9. 9. 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
  10. 10. 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
  11. 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. 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 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

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