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PERSONNEL

RECORDS, AUDIT

AND RESEARCH

EXCEL BOOKS27-1

27Chapter 

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ANNOTATED OUTLINE

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INTRODUCTIONRecords management is the planned control of records. It includes

decision making regarding the retention, transfer, microfilming and

destruction of records. Personnel records and reports enablemanagers to obtain requisite information regarding the use of human

resources in various departments or divisions.

Personnel Records, Audit And Research

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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 onlyrecords 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. Theyvery purpose of preparing a report

gets defeated once it exceeds the time

limit.

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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

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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

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Fundamental principles of recordkeeping

For effective records management, record keeping must

Justification

Verification

Classification

 Availability of required information

Reasonable cost

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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

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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.

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It is a systematic evaluation of personnel policies, procedures andpractices. Basically it covers three things:

Measurement and evaluation of personnel programmes, policiesand 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.

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Scope of HR audit

Personnel Records, Audit And Research

Personnel audit covers areas like personnel philosophy, policies,

programmes, practices and personnel results.

The audit processVarious 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.

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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

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Techniques to carry out personnelresearch

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.