1. PERSONNEL RECORDS, AUDIT AND RESEARCH
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PERSONNEL RECORDS, AUDIT AND RESEARCH

2. INTRODUCTION ANNOTATED OUTLINE
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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. Essentials of a good record and report
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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 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 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.
Personnel Records, Audit And Research

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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. Types of Personnel Records
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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. Fundamental principles of record keeping
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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. Significance of Personnel Records
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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. Significance of Personnel records
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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. Personnel/Human Resource Audit
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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. Scope of HR audit The audit process
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Scope of HR audit
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.
Personnel Records, Audit And Research

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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
Personnel Records, Audit And Research

12. Techniques to carry out personnel research
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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