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Personnel dataand record keeping
bookletinform advise train workwith youworkwith you
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Acas can help with youremployment relations needs
Every year Acas helps employers and employees rom thousands oworkplaces. That means we keep right up to date with todaysemployment relations issues such as discipline and grievance handling,preventing discrimination and communicating eectively in workplaces.Make the most o our practical experience or your organisation fnd outwhat we can do or you.
We informWe answer your questions, give you the acts you need and talk throughyour options. You can then make inormed decisions. Contact us to keepon top o what employment rights legislation means in practice beore itgets on top o you. Call our helpline 08457 47 47 47 or visit our websitewww.acas.org.uk
We advise and guide
We give you practical know-how on setting up and keeping goodrelations in your organisation. Look at our publications on the websiteor ask our helpline to put you in touch with your local Acas adviser.Our Equality Direct helpline 08456 00 34 44 advises on equality issues,such as discrimination.
We trainFrom a two-hour session on the key points o new legislation or employingpeople to courses specially designed or people in your organisation,we oer training to suit you. Look on the website or what is coming up in
your area and to book a place or talk to your local Acas ofce about ourtailored services.
We work with youWe oer hands-on practical help and support to tackle issues in yourbusiness with you. This might be through one o our well-knownproblem-solving services. Or a programme we have worked out togetherto put your business frmly on track or eective employment relations.
You will meet your Acas adviser and discuss exactly what is needed beore
giving any go-ahead.
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Contents
Introduction 3
Why peronnel records are important 4
What records are needed 6
Human Resource Planning 7
Key areas that need records 8
Statutory records 8
Organisational records 8Recruitment and selection 9
Induction 10
Training and career development or individuals 10
Sick pay 11
Absence, lateness and employee turnover 11
Discipline and grievance 12
Termination o employment 13
Equal opportunities issues 13
Setting up and running a personnel records system 15
What do you want the system to do? 15
Involving sta 15
What type o system? 16
Computer or manual? 16
Location 16
Document design 17
Using a computerised system 17
Reviewing the system 18
Conclusion 19
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Appendix 1 20
Examples o some personnel records: 20
Figure 1 Employment application orm 21
Figure 2 Employment application orm (simple) 23Figure 3 A ramework or a job description 25
Figure 4 Person specication 25
Figure 5 Induction checklist 26
Figure 6 Employment history record 28
Figure 7 Assessing employee perormance 30
Figure 8 Individual absence and lateness record sheet 31
Figure 9 Monthly summary o absence etc 33
Figure 10 Labour analysis 34
Figure 11 Analysis o employee turnover 35Figure 12 Record o disciplinary action 36
Figure 13 Leavers analysis orm (monthly or annual as appropriate) 37
Figure 14 Sex and ethnic origin 38
Appendix 2 40
Data Protection Act 1998 40
Notes 43
Further information 45
Acas publications 47
Acas training 48
Acas addresses Back cover
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1
Introduction
All organisations, however large orsmall, need to keep certain records,
some because the law requires them,
and some or internal purposes. For
instance, keeping records o hours
worked by most workers (or the
purposes o the implementation o
the Working Time Regulations), and
pay rates (or the Minimum Wage
Act 1998, tax and national insuranceobligations) will enable employers
to monitor legislation compliance.
Every employer also needs records
o workers joining them, their job title,
pay and so on.
In this booklet we explain whyaccurate personnel records are
important. We also give an outline
o the key areas or employers, and
give basic inormation on the setting
up o a personnel records system.
Samples o common records are
shown in Appendix 1.
3INTRODUCTION
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Why personnel records
are importantPlanning ahead can help all
organisations to remain competitive
and provide good service to their
customers. Planning oten depends
on having accurate, uptodateinormation. Personnel records
are particularly important when it
comes to getting the best out o your
employees. Eective recruitment,
training and sta development play
a key part in achieving organisational
goals.
Good records can help managers:
make decisions based on actrather than guesswork
know what sta resources areavailable to meet production/
service requirements
more accurately assess levels operormance and productivity
know what is happening withabsence levels, employee turnover,
sickness, accidents, lateness,
discipline etc, and take appropriate
and timely action1.
Personnel records are necessary or
the ormulation and implementation
o employment policies and
procedures or recruitment, training,
promotion, dismissal etc2
. Some othese are required by law and others
enable personnel to monitor other
processes. For instance, personnel
records, and the statistics they
provide, are important in helping to
develop policies ree rom any bias
on grounds o sex, sexual orientation,
religion or belie, race, age or
disability.
Accurate records help ensure
that workers receive their correct
pay3, holidays, pension and other
entitlements and benets. They
can be used to monitor air and
consistent treatment o sta, or
example in relation to promotion
and discipline, and or workerdevelopment purposes.
Many national published statistics,
or instance on earnings, employee
turnover, overtime and so on, are
gathered rom employers via such
records. Employers associations,
individual organisations, trade unions
an
PERSONNEL DATA AND RECORD KEEPING4
d many other bodies use such
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2
inormation to help ormulate their
own strategies and policies. Good
record keeping helps organisations
to respond readily to requests or thistype o inormation, subject to the
constraints o the Data Protection Act
1998 and individual anonymity within
the statistics.
Care must be taken over access to
personnel records, as described
more ully in the Data Protection Act
1998 inormation in Appendix 2. TheInormation Commissioners Codes
o Practice give guidance on how to
comply with the Act and the Code
dealing with employment records
is particularly useul in helping
employers to distinguish between
absence and sickness records (see
p45 or contact details).
5WHY PERSONNEL RECORDS ARE IMPORTANT
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What records
are neededEvery organisation should keep
inormation about individual workers
or example:
personal details name, address,emergency contact, date o birth,
sex, education and qualications,
tax code, national insurance
number, details o any known work
relevant disability, work experience
employment history with the
organisation date employment
began, promotions, present job,job title
details o terms and conditions
pay3, hours o work, holiday
entitlement, any other benets,
eg car, private health insurance. A
copy o the written main terms and
conditions o employment, or the
employment contract must be keptto avoid any uture query on the
terms and conditions agreed on
starting4. Copies o any changes
to the contract and, i appropriate,
a copy o the workers agreement
to exceed the Working Time
Regulations limits must also be
kept
absence details lateness,
sickness, any other authorised or
unauthorised absence eg annual
holiday, maternity/paternity/
dependents leave, compassionateleave
details o any accidents connected
with work, including on way to and
rom work. Certain accidents must
be reported to relevant authorities
or health and saety purposes5,
but it is a good idea to record
any level o accident including theadministration o rst aid
details o training/urther
education undertaken with the
organisation, whether internal
or external. Any worker on a
Modern Apprenticeship with the
organisation is normally entitled to
a written agreement setting out theterms o the apprenticeship
details o any disciplinary action6
details o termination o
employment.
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Many organisations will also want
their record systems to provide
data or wider analysis, or instance,
total wage/salary costs, overalltimekeeping/absence levels,
stang levels needed or optimum
production/service provision.
Computerised stang record
systems allow easy analysis o much
personnel data, but organisations
must be aware o the need to keep
only those records that are relevant.
All personnel and personal recordsand les must be kept saely and
securely.
Human Resource PlanningSuccessul Human Resource Plans
attempt to relate the organisations
current and uture requirements
to the suitability o the available
workorce. Known or orecast
changes in technology may mean
dierent or additional skills need to
be ound, either by training/retraining
existing sta or recruitment o new
sta. Legislative changes, such
as the Working Time Regulations,
may trigger organisational changes.Whatever the impetus or change,
good personnel records are key,
providing the data or analysing what
needs to be put into place7.
7WHAT RECORDS ARE NEEDED
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Key areas
that need recordsStatutory records
This section covers the main areas
that anyone dealing with personnel
matters will need or record keeping.
Good records help managers.
Records required by law include:
tax and national insurance
or most workers it is advisable to
keep records o individual hours
worked to enable averaging over
a period to meet the requirements
o the Working Time Regulations
19988
holidays, again or the Working
Time Regulations 1998
pay, to ensure the requirements
o the Minimum Wage Act 1998
are being met, and to meet the
statutory requirement that workers
are issued with pay statements9
paid sickness (more than our days)
and Statutory Sick Pay
accidents, injuries, diseases and
dangerous occurrences. The
Health and Saety Executive
(HSE) can advise organisations
on particular requirements and
necessary assessments10, or
instance the requirement that sta
using computer equipment should
have a workstation assessment.
Organisational recordsIn addition to these statutory
requirements, the organisation will
want to keep other records including:
recruitment and selection
procedures and results
induction
training and career development or
individuals
sick pay/sick absence
other absence, lateness and
employee turnover
discipline, including dismissals, and
grievance
termination o employment
equal opportunities issues (gender,
sexual orientation, religion or belie,
race, age, disabilities).
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All these records will help with
the overall planning o human
resource needs or the organisation.
Monitoring these records enablespersonnel to amend or reormulate
policies and procedures. Be
aware however, that changes to
organisational policy and procedure
may have a knock on eect on
individual workers contracts
o employment. Such changes
should only be introduced ater
consultation with the workers ortheir representatives. Changing the
contract o employment requires
consent, any unilateral action may be
open to legal challenge.
Recruitment and selectionMost organisations will have a
basic record o workers rom their
original application orm. A well
designed orm can provide not only
the necessary inormation to aid
shortlisting, but also a guide or the
interview. Only questions directly
relevant to the job requirements
should be asked, as to do otherwise
may be potentially discriminatory11
;or instance, questions relating to
trade union membership and marital
status should not be included on
any application orm as they may be
construed as evidence o intention to
discriminate.
Examples o application orms are in
Figures 1 and 2 (pp2124).
Some organisations may use CVs
(curricula vitae) to provide a record
o basic personal and work history
inormation, without the need or theindividual to complete an application
orm.
Inormation about criminal
convictions may be asked i relevant
to the job, but be aware o the
right o individuals to withhold
inormation12. The Police Act
1997 has provision or certicateso criminal records to be made
available via the Criminal Records
Bureau. Registered employers can
request that prospective workers or
particular types o work (or instance
working with children or vulnerable
people) provide such certicates.
Inormation may be requested
about any disability that might
aect someones application or
instance i there are any reasonable
adjustments that the organisation
may make to assist in the application
process or in the job itsel (see Fig 1
Additional Inormation section, p22).
Other records useul in the recruitment
and selection process are:
job descriptions, setting out the
purpose, duties and responsibilities
o each job. A simple ramework is
given in Figure 3 (p25), which can
be extended as required or the
specic job
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PERSONNEL DATA AND RECORD KEEPING10
person specication, setting out the
characteristics and competencies
necessary in the person who is
best suited to perorm each job or instance, skill, qualications,
particular experience. A sample
specication is in Figure 4 (p25)
Recruitment records should be kept
or a period o time, perhaps six
months, in case o any discrimination
challenge, or i a vacancy occurs
and the organisation believe that anyprevious applicants may be suitable
it can provide a short cut in the
recruitment process.
InductionProper induction helps the new
starter to settle in quickly and is
the start o their continuing trainingand development. A simple record
o the induction process should
be kept. This ensures that the new
recruit receives the appropriate
inormation at the right time. Some
o the induction areas will be
covered by Personnel, others by
local management, health and saety
representatives and so on. A samplechecklist is in Figure 5 (p26).
The new starter and their manager
should each have a copy o the
checklist, and the managers copy
can be returned to Personnel or
sae keeping when all aspects o
induction have been covered and
signed o by the new starter. This
method also allows managers to
tell Personnel about any changes/
additions that may be necessary tothe checklist.
Training and career development or individuals
A progressive employment history
record should be a basic element
in the organisations overall training
and human resource plans. A recordor each worker, giving details o
experience, skills, qualications
gained beore and since joining
the organisation, will provide the
basis or assessing the individual
training, promotion or transer needs
and suitability. Figure 6 (p28) is an
example o an employment history
record.
Individual appraisal reports will
help in perormance assessment.
A simple grading scheme may be
adopted to highlight the aspects o
the job that are particularly relevant,
and the worker can be graded
against these tasks. This is common
practice in assessing previous work,ie the year beore, and is useul or
highlighting those areas that might
need urther attention in the coming
period. Figure 7 (p30) gives examples
o some qualities an employer
may identiy as important when
considering worker perormance.
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An appraisal provides the opportunity
to consider whether there are needs
or training, or a move to dierent
work. It also enables eedback by theworker to their manager about their
work and the way the individual may
wish to progress13.
Sick payEmployers are responsible or the
payment o Statutory Sick Pay (SSP)
or periods o our days or more upto a total o 28 weeks absence in any
one period o incapacity or work.
Employers aced with exceptionally
high levels o sickness at any one
time may be able to claim nancial
assistance under the Percentage
Threshold Scheme operated by the
Department or Work and Pensions14.
Employers can choose whether to
operate SSP, but only i contractual
pay is equal to or more than SSP.
They should still keep the basic
records necessary to enable the
worker to transer to incapacity
benet at the end o the 28 weeks i
appropriate.
Absence, lateness andemployee turnoverBy keeping individual records o
absence (whether sickness or other)
and lateness, the organisation can
monitor individual perormance.
Figure 8 gives an example o such a
record. Individual records can then
be combined to provide summary
statistics on levels o absence or
lateness, which should enable the
organisation to spot problem areasand take necessary remedial action.
Figure 9 shows an example o such a
summary.
Employee turnover, like absence,
is expensive or the organisation. A
employee turnover record, combined
with periodic labour analysis, oer
the simplest and most basic way omonitoring these costs (see Figures
10 and 11, pp3435 or examples
o these records). Completing a
employee turnover record also
gives the organisation the means
to calculate its stability index, ie
how successul it is in retaining
experienced workers.
Looking at the gures or dierent
sections o the workorce can
help pinpoint areas that may
need attention. They may indicate
dierent standards o recruitment,
induction, training or supervision in
the department concerned, or point
to environmental or organisationalinfuences15.
Some organisations may choose to
keep separate records o overtime
worked, as this additional cost,
particularly i regular, may indicate
the need or recruitment rather than
paying higher rates or overtime.
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PERSONNEL DATA AND RECORD KEEPING12
Discipline and grievanceAccurate records o disciplinary
action are important. They enable
management to take a workers
past record ully into account when
deciding what action to take when
any breach o the rules has occurred,
and they help management to
apply disciplinary rules airly and
consistently. Disciplinary records
may also provide important evidence
i a worker makes a claim to anemployment tribunal that they have
been unairly or wrongully dismissed.
Most disciplinary action taken against
a worker should be recorded, apart
rom inormal verbal admonishments.
Figure 12 (p36) is an example o an
individual discipline record. Most
warnings should be disregardedor disciplinary purposes ater a
specic period (eg 12 months or
a rst written warning) subject
to satisactory conduct and
perormance.
Some organisations have a
wipeclean policy, whereby any
warnings are removed rom theworkers record ater a certain
period o satisactory conduct and
perormance. In these cases the
records need to be in a ormat
easily altered. This is oten done by
simply removing the sheet containing
the record, or deleting it rom any
computer record, and making sure
there is no reerence to it anywhere
else in any les reerring to that
worker.
A copy o any record o disciplinaryaction should be given to the worker,
their line manager and their worker
representative i appropriate. I such
copies are provided, and a wipe-
clean provision comes into eect,
then those in receipt must be told to
destroy their copies too.
Whilst grievances are oten dealt withinormally, or by line management
intervention, it is good practice to
keep a record o any grievance
raised and the manner by which
it has been resolved. This is
particularly important i grievances
need to go beyond the inormal
and a worker raising the grievance
considers invoking their right to be
accompanied at any hearing. Clearly,
accurate records o such meetings
are necessary so that all parties
understand the issues and any action
decisions16.
The Acas Code of Practice on
Disciplinary and grievance proceduressets out principles or handling
disciplinary and grievance situations
in the workplace. These include:
inorming the employee o the
problem
holding a meeting to discuss the
problem
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allowing the employee to beaccompanied
deciding on the appropriate action
providing employees with an
opportunity to appeal
employment tribunals are legally
required to take the Code into
account when considering relevant
cases. Tribunals will also be able to
adjust any compensatory awardsmade in these cases by up to 25
per cent or unreasonable ailure
to comply with any provision o the
Code.
Termination o employmentAny termination o employment,
whatever the reason, should beproperly documented. Requests
or reerences (and copies o those
given), should be kept as, subject
to the Data Protection Act 1998,
exworkers may ask or details. Any
employment tribunal would also
expect the organisation to hold
some record o any termination at
the very least to show what moniesmay have been paid (eg redundancy
pay, notice pay, outstanding holiday
pay, pension entitlements etc).
Documentation about dismissal is
essential to answer any question o
unair procedure or discrimination.
It is a good idea to keep a record o
exit interviews. These can provide
useul inormation, and analysis can
help employers address problems o
high turnover o sta, eectiveness
o recruitment and induction, equalopportunities issues and supervision.
A sample leavers analysis orm is
at Figure 13 (p37). An exit interview
also gives the opportunity to remind
the person leaving o any obligations
such as condentiality and the
return o equipment belonging to the
organisation.
Equal opportunities issuesAll organisations should be ree rom
discrimination in employment. Good
personnel records help in this by
providing the inormation necessary
both to monitor compliance with
legislation and develop equal
opportunity policies. Workers andprospective workers can be asked
to provide voluntary inormation
on sex, ethnic origin and disability.
This is oten done in the orm o a
separate sheet or tearo section
on application orms, or perhaps
on applications or promotion or
transer. This enables the inormation
to be used only to monitor equalityo selection/development. Workers
must be told why the inormation is
sought and or what reason.
An example o such a monitoring
orm is in Figure 14 (p38) this can
easily be adapted to attach to an
application orm, or be used or
existing workers. Further inormation
13KEY AREAS THAT NEED RECORDS
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PERSONNEL DATA AND RECORD KEEPING14
on monitoring is available in the Acas
guide Delivering equality and diversity
at www.acas.org.uk/publications.
It is good practice to involve and
consult worker representatives in
any monitoring o this type, so that
workers understand the need or
and purpose o the inormation
requested. It is vital that all such
inormation is treated as condential.
Monitoring such inormation provides the opportunity to assess progress
in implementing equal opportunities
policies and checking whether
related objectives have been met.
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15SETTING UP AND RUNNING A PERSONNEL RECORDS SYSTEM
Setting up and running a
personnel records systemWhat do you want the systemto do?In setting up rom scratch you
need to decide what you want the
system to do or the organisation.
Ask all potential users o personnelinormation:
what inormation they need tooperate eectively
what inormation they currentlyreceive, rom whom and why it is
necessary
what inormation they currentlysupply and to whom
what inormation they would likethe system to provide and why.
Answers to these questions may
demonstrate that too much or too
little inormation is being kept, orthat some is irrelevant to the needs
o the organisation, out o date or
not in keeping with best practice.
The answers should also show up
whether available inormation is
getting to those who actually need it
in their work.
Involving staIt is a good idea to involve the sta
who are to operate the system rom
an early stage17. Most potential
operating diculties can be ironed
out in this way, and the sta will bemore in tune with the system as it
develops. The organisation should
also recognise that all workers have
rights and interests in:
the type o records kept, and theuses to which they are put
the condentiality o personnel andpersonal records
the contribution such records canmake to individual training and
development.
All workers (including management)
should be involved in communications
and discussions about these aspectso record keeping. This is oten done
through trade union or other worker
representatives, works committees
or sta associations. Records o
meetings with sta and/or their
representatives should be kept,
perhaps in the orm o brie minutes,
or as action points.
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PERSONNEL DATA AND RECORD KEEPING16
Employers who recognise trade
unions should also keep records o
what acility time o is allowed or
representatives18.
What type o system?Any record keeping system, whether
developed within the organisation
or bought in, needs to ull certain
criteria. It must be:
accurate, reliable and consistent
condential with regard to personaldetails
adaptable, so that it can cater oruture developments and changes
economical in its introduction, useand maintenance.
Beore deciding on the type o
system the organisation must also
have considered:
whether the records will be keptmanually, computerised, or in some
combination o systems
where the records are going to belocated (how much space will be
required or secure storage)
how the design o documentsaects the type o system, and vice
versa
which sta should have access towhich records
procedures to comply both with organisational security and data
protection requirements.
Computer or manual?Computerised record keeping
has now become the norm in
many organisations, and there is
a range o commercial personnelsystems available. However smaller
organisations may only need to keep
a card index system, perhaps with
simple orms to keep absence or
sickness details. Such orms can be
kept in envelopes led to match the
card index.
LocationAlongside sta inormation held
on computer or in an index, many
organisations maintain personnel
les, which might hold the individuals
application orm, any particular
career or training notes, reerences
received and so on. These les can
become bulky, and may take up alot o space. Storage must be secure
but accessible to authorised users.
Organisations also need suitable
secure storage or those records
kept long term, or instance tax
records need to be kept or six years.
As the workorce grows, dierent
demands are made o personnel
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systems that manual systems
might nd dicult to meet or
instance rom personnel, training,
wages, pensions or productioncontrol. Duplication o records can
lead to breakdowns in security,
diculties in keeping uptodate, and
problems with accuracy. A centrally
administered computerised system
should avoid these problems, and
access by dierent users can be
better controlled.
Document designWhether using a computerised or
manual system it is best to keep
documents simple, and where
possible, designed so that the
important inormation on each
topic is visible on one screen or
one side o the card/le sheet. Thismakes updating and extraction o
inormation much easier than i a lot
o detail has to be looked through
to nd what is relevant. For instance
there might be a card/screen or
personal inormation, one or training
and development, one or pay and
benets inormation etc.
The layout should provide an easy
to read and logical sequence. There
should be adequate space or each
entry, including allowing or changes.
Sta using the orms should have
clear instructions on what inormation
to record, where and in what orm.
Using a computerised system may
mean ormal training has to be
made available or sta, and even
people used to computers will need
specic training in the organisations
particular system.
Designing inhouse allows the
organisation to tailor a system exactly
to its needs. Buying in may mean
that adjustments have to be made
to the system to make it right or the
organisation.
Using a computerised systemThe commonplace use o computers
in business generally means that
those responsible or keeping
personnel records are likely to have
access to one, even i not solely or
personnel use.
I the organisation has no computerbut is considering buying one, then
attention has to be given to:
capital outlay and any ongoing
maintenance costs
security (o equipment and access)
costs o sta training
any site specic needs, or instance
portability.
Computerisation o records can help
management by:
increasing the fexibility o the
inormation available or instance,
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monitoring equal opportunity
issues becomes easier when
personnel records can be sorted
by age, sex, job, grade, pay ratesand so on
speeding up the provision o
inormation
producing cost benets through
administrative savings sta time
can be reduced on routine tasks
increasing eciency, particularly
with changes to records, routine
orms and letters, printouts or
checking and so on.
However, computerisation o records
should not mean that there is no
longer any direct contact between
personnel and sta. For example,
whilst a computerised system
can provide details o an workers
sickness absence, it may not reveal
the underlying reasons or that
absence but talking to the worker
might.
Computer record systems set upater 24 October 1998 are ully
covered by the requirements o
the Data Protection Act 1998 (see
Appendix 2 or details).
Reviewing the systemAs with any system, personnel
records should be reviewed
rom time to time to check their
eectiveness. Include the users and
operators o the system in the review
as they will know the strengths
and weaknesses o the system,
or instance a new manager may
be unaware o the job descriptions
or the workers in their area o
responsibility. The main questions toask in any review might include:
is it providing the answers required
and providing them quickly and
accurately?
is the organisation making eective
use o the inormation that is
available?
is all the inormation useul and
necessary?
is there any unnecessary
duplication o records?
is it proving easy to keep the
records uptodate?
what improvements might be made
to the system?
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6
Conclusion
Accurate personnel records will
help the organisation in many
ways increasing the eciency
o recruitment, training and
development, and promotion. They
can also provide the raw data to
monitor equal opportunities issues
and the legal requirements placedon all organisations.
Keeping records o individual
skills and competencies should
help the organisation pinpoint any
particular opportunities to improve
skills to match requirements. For
instance, i the organisation needs
sta with computer skills, thenscrutiny o records o current sta
competencies may well show that
there are sta available who have
some previous computer experience
and can be readily trained to ll the
new vacancies.
Personnel records are about people,
and it is thereore in everybodysinterests that the records are
accurate and secure. Knowledge
o this will contribute to better
working relationships workers
and their representatives will know
what inormation is kept and why. It
should promote air and consistent
treatment.
In developing, installing and
maintaining a personnel records
system the requirements o the
organisation and its workorce are
paramount. Consultation with the
sta and their representatives, who
are both to use the system and gure
in it, will help the organisation to worktowards the best system or their
needs.
19CONCLUSION
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Appendix 1
Examples of some personnel recordsThe ollowing pages oer examples
o the content and layout o
common personnel orms, some
o which might be held in the
orm o computer records. Each
can be adapted to suit particularorganisations. For example, two
versions o an application orm are
given, one o which might suit more
senior jobs, or where academic
achievements are important, the
other might better suit less skilled
or lower level jobs. Similarly the
categories o workers itemised in the
rst column o the labour analysis
orm in Figure 9 (p33) are appropriate
mainly in manuacturing context;
dierent categories might apply in
other sectors o the economy.
The spaces in the dierent
categories o the orms are or
illustration only, and will need
adjustment or particular jobs and
organisations.
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Figure 1Application orm
Application for employment as
Surname (Block letters)
Other names
Address
Telephone
Education and Training
Details and results o any examinations taken 7
Further education (eg technical college, evening classes)
Any crat or other training
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Figure 1 (cont.)Employment History
1. Present employerAddress
Job title
Duties
Rate o pay
Date employed rom
toReason or leaving
No approach will be made to your present employer before an offer
of employment is made to you.
Please tell us about other jobs you have done and about the skills you used
and/or learned in those jobs.
Please tell us why you applied or this job and why you think you are the best
person or the job.
Have you ever been convicted o a criminal oence(declaration subject to the Rehabilitation o Oenders Act 1974)
YES / NO
I you have a disability please tell us about any adjustments we may need to
make to assist you at interview
Please tell us i there are any dates when you will not be available or interview
I can conrm that to the best o my knowledge the above inormation is
correct. I accept that providing deliberately alse inormation could result in
my dismissal.
Signature Date
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Figure 2 Employment application orm (simple)
Application for employment as
Surname Other names
Address
Tel (home)
Tel (work)
Education and Training
Information in support of your application
Please include any skills and experience you have acquired that can support
this application whether within the working environment or outside.
Have you ever been convicted o a criminal oence(declaration subject to the Rehabilitation o Oenders Act 1974)
YES / NO
Do you have any disabilities that might aect your application? YES / NO
Please tell us i:
a. there are any reasonable adjustments we can make to assist you in your
application
b. there are any reasonable adjustments we can make to the job itsel to help
you carry it out
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1 2
Figure 2 (cont.)
Do you need a work permit to work in the UK? YES / NO
When can you start work or us?
References
Please give the names and addresses o two persons as reerees, other than
your present employer or relatives who we can approach now or reerences.
No approach will be made to your present or previous employers beore an
oer o employment is made.
I can conrm that to the best o my knowledge the above inormation iscorrect.
Signature Date
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Figure 3A ramework or a job description
1 Job title
2 Department/Section
3 Main purpose o job
4 Key result areas/key tasks/main duties
b
a
c
etc
5 Responsible or sta/equipment
6 Responsible to (reporting relationship)
Figure 4 Person specifcation
Company name
Job title
Criteria Essential Desirable
Qualications
Attainments/competencies (list as required)
Previous experience
Number o years experience required
Special aptitudes* (eg oral or written skills,
manual dexterity etc)
* Physical abilities, circumstances, interests, but only i a justiable requirement or the job.
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Figure 5 Induction checklist
It is good practice to let the new starter have a copy o this list this enables them to ollow
what is happening and will act as a reminder o anything missed or that needs particularattention. It should be the responsibility o both management and new starter to ensure that all
relevant items are properly covered during the induction period.
Name date o starting
Induction completed (signature o new starter)
Date Carried out by Comments
Reception
Received by Personnel documentation and checks completed:
P45
NI number
Swipe/security card
Introduction to the company
Whos who
History
Products/services/markets
Future plans and developments
Terms and conditions o employment
Written terms and conditions issued
Contract o employment issued
Hours, breaks, method o payment
Holidays
Clocking on/fexitime/reporting procedures
Probationary period
Period o notice
Sickness provisions
Pension provisions
Equal opportunities policy and worker development
Training provision
Further education/training policies
Perormance appraisal
Promotion avenues
Worker/employer relations
Trade union membership
Other worker representation
Worker communications and consultation
Grievance and disciplinary procedureAppeals procedure
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Figure 5 (cont.)
Date Carried out by Comments
Organisation rules
Smoking policy
General behaviour/dress code:
Telephone calls
Canteen/break acilities
Cloakroom/toilets/lockers
Health and saety
Awareness o hazards
any particular to type o work
Saety rules Emergency procedures
Clear gangways, exits
Location o exits
Dangerous substances or processes
Reporting o accidents
First aid
Personal hygiene
Introduction to saety representative
Welare and worker benets/acilities
Sports acilities
Protective clothing supply, laundry, replacement
Medical services
Savings schemes (including share options)
Transport/parking arrangements
Company discounts
The job
Introduction to manager/supervisor
Requirements o new job
Standards expected Coworkers
Supervision and work perormance appraisals
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PERSONNEL DATA AND RECORD KEEPING28
Fig
ure6Employmenthistoryrecord
Employee/Clockno.
Nat.Ins.No
Surn
ame
Othernames
Address
Dateobirth
Telephoneno
Nameandaddressonextokin
Changeoaddress
Nameandaddressoemerge
ncycontact
Writt
enstatementotermsoemploymentissued
/20
0
TUm
embership
YES/NO
Nameounion
(isub
scriptionispayedthroughpayroll)
Natu
reoanydisability
Pens
ionscheme
Datejoined
Pleasestartwithyourpresentorm
ostrecentemploymentandw
orkbackwards;includeanyservicewithHMorces
Jobtitle
Department
Dateso
Starting/transeri
n
Leav
ing/transerout
F/
T
P/
THoursowork
Ratesopay
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29APPENDIX 1
Fig
ure6(cont.)
Edu
cation
Nameoschool,collegeetc
Dates
Certfcateetcobtained
i
From
To
Examinationspassed
Subjects
Level/Grade
Training
Natureotrainingorcourse
Dates
Terminationoemployment
Dateotermination
Reasonortermination
Exit
interviewcarriedout
YES/NO
Bywhom?
Datewrittenreasonsordismissalbyemployee
Datesent
Whe
thersuitableorre-engageme
nt
YES/NO
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Figure 7Assessing employee perormance
Examples o key
areas in job*
Outstanding Very good Good Fair Unsatisactory
Judgement
Oral ability
Written ability
Numerical ability
Technical ability
Relations with
colleagues
Relations with
public
Management
o sta
Management
o resources
Acceptance o
responsibility
Drive and
determination
Reaction to
pressure
Overall
perormance
*not all these aspects will be contained in every job.
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Figure 8 Individual absence and lateness
record sheet.
Name
Employee/clock no
Department
Shit crew
Agreed qualiying days (tick)
S M T W T F S Date
Maximum Days
SSP
liability Money
Issue SSP1(T) Days
(Transer
orm) alter: Money
Week
no.
Late or absent
S M T W T F S
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
50
51
52
Total
Key:
Unauthorised absence..................................U Uncertied sickness..................................U/S
Authorised absence...................................... A Selcertied sickness ...............................S/S
Lateness (no. o minutes) .............................. L Medically certied sickness...................... M/SHolidays ........................................................H Maternity/Paternity leave ..........................M/P
31APPENDIX 1
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Figure 8 (cont.)
Week
no.
Late or absent SSP due in
week/month
SSP
running total
Remarks
S M T W T F S
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
50
51
52
Total
Waiting days ................................................ W Excluded* ......................................................E
Nonqualied days ........................................N Sickness in doubt or late notication*............XTranserred.................................................... T *give reasons in remarks column
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Fig
ure9Monthlysu
mmaryofabsenceetc.
Totals
Authoriseda
bsence
(A).................................
Unauthorisedabsence
(U).................................
Certi
(S).................................
fedsickness
Uncerti
(US)..............................
feds
ickness
Holidays
(H).................................
Lateness
(L).................................
Department
Month
Maternity/Pa
ternityleave
(M/P).............................
Emp
loyee/
Cloc
kno
Name
1
2
3
4
5
6
7
8
9
1011
12
1718
19
20
21
22
23
24
2526
27
282
9
30
31
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Figure 10 Labour analysis
Department Month ended
Type o employee
Totalatstart
omonth
Starters Leavers
Increaseor
decrease
Totalatend
omonth
Recruits
TransersIn
Total
Starters
Terminations
Transers
Out
Total
Leavers
+
Direct labour
Skilled
Semiskilled
Unskilled
Under 18
Parttime
(included in above)
Total direct labour
Indirect labour
(contract/agency etc)
Skilled
Semiskilled
Unskilled
Under 18
Parttime
(included in above)
Total indirect labour
Monthly paid
Fulltime
Parttime
Total monthly paid
Total employees
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Figure 11Analysis o employee turnover
Department Period
Length o service Sex Let voluntarily Dismissed Redundant Total
Less than 1 monthM
F
13 monthsM
F
412 monthsM
F
15 yearsM
F
Over 5 yearsM
F
TotalM
F
M F Total
(a) Total employed at beginning o period
(b) Total number o leavers during period
(c) Total starters during period
(d) Total employed at end o period
(e) Average number employed
during period = (a) + (d)
2
Employee turnover (%)
No. o leavers during period
Average employed during period
(b) x 100
(e)
Employee Stability Index (%)
No. currently employed with 1 years service or more x 100
Total number o employees 1 year ago
35APPENDIX 1
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n
oitc
ya
ranilpics
f
di
rdo
co
eR2
re1
u
giF
Employee/ClockNo
Department
Surn
ame
Othernames
Date
actiontake
n
Typeoaction(frstwarning,
fnalwarning
etc)
Expir
y
date
Reasonordisciplinaryac
tio
n
(absence,latenessetc)
Detailsoappeal(iany)
andotherremarks
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t
37APPENDIX 1
Fig
ure13Leaversa
nalysisform(monthlyorannualas
appropriate)
Nam
e
Dept/
Sectio
n
Jobtitle
F
ull-time/
p
art-time/shit
Permanent/
casual
Dateo
employmen
Age*
Sex*
Ethinic
orign*
Reaso
n
orleaving*
C
omments
*Cod
escanbeusedin
Age
31-40...........................D
thesecolumnseg:
under18......................A
41-50...........................E
18-21...........................B
51-60...........................F
22-30
..........................C
over61
.......................G
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..................................................................................................................
..................................................................................................................
..................................................................................................................
Figure 14 Sex and ethnic origin
This organisation strives to operate a policy o equal opportunity and not
discriminate against any person because o age, gender, race or nationalorigin, disability, sexual orientation or religion or belie.
To help us monitor this, will you please provide details as below.
This inormation will only be used or this purpose.
What is your ethnic group? Choose ONE section rom A to E, then tick the
appropriate box to indicate your cultural background?
A White
British
Irish
Any other White background (please speciy)
B Mixed
White and Black Caribbean
White and Black Arican
White and Asian
Any other mixed background (please speciy)
C Asian or Asian British
Indian
Pakistani
Bangladeshi
Any other Asian background (please speciy)
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..................................................................................................................
..................................................................................................................
C Black or Black British
Caribbean
AricanAny other Black background (please speciy)
..................................................................................................................
D Chinese or other ethnic group
Chinese
Any other (please speciy)
E Religion (optional)
None Jewish
Christian Muslim
Buddist Sikh
Hindu
Any other religion (please speciy)
Are you male/emale?
Surname__________________________________________________________
First names(s)______________________________________________________
Department/section _______________________________(or existing workers)
Pay number ______________________________________(or existing workers)
Date______________________________________________________________
Please return this orm in the Condential envelope provided.
39APPENDIX 2
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PERSONNEL DATA AND RECORD KEEPING40
Appendix 2
Data Protection Act 1998The Data Protection Act 1998
replaces the 1984 Data Protection
Act. The particular points to note in
the 1998 Act are:
a wider denition o data than inthe 1984 Act, including inormation
held in ling systems regardless o
location (manual, paperbased, and
computerised, including email and
the Internet)
broadening o the denition o
processing
extension o the rights o data
subjects (workers in this case)
to have access to details o data
held about them, to know or what
purpose inormation is held, and its
relevance to their working lie.
There are eight principles governing
the processing o personal data:
personal data shall be processed
airly and lawully
personal data shall be obtained
only or specied and lawul
purposes, and shall not be
processed in any manner
incompatible with those purposes
personal data shall be adequate,
relevant and not excessive in
relation to the purposes or which it
is processed
personal data shall be accurateand, where necessary, kept up to
date
personal data shall be kept or no
longer than is necessary or the
purposes or which it is processed
personal data shall be processed in
accordance with the rights o datasubjects under the Act
personal data shall be subject
to appropriate technical and
organisational measures to protect
against unauthorised or unlawul
processing and accidental loss,
destruction or damage
personal data shall not be
transerred to a country or territory
outside the European Economic
Area unless that country or territory
ensures an adequate level o data
protection.
The Inormation Commissioner
has published guidance to help
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employers identiy what counts
as personal data under the Data
Protection Act. Determining what is
personal data can be ound atwww.ico.org.uk.
The 1998 Act introduces new
restrictions on the holding and
processing o what is termed
sensitive personal data, such
as racial or ethnic origin, political
opinions, religious or other belies,
whether a member o a trade union,physical or mental health, sexual lie,
and any court record, or allegations
o such. In addition to being subject
to the eight principles above at least
one o the ollowing conditions must
be complied with there are others,
but most relevant in the context o
employment are:
the worker has given their explicit
consent to the processing
the processing is necessary or
the purposes o exercising or
perorming any right or obligation
which is conerred or imposed by
law on the employer in connectionwith employment
the processing is necessary
in connection with any legal
proceedings or or the purpose o
obtaining legal advice
the processing is necessary or
the administration o justice, or the
exercise o unctions conerred by
statute, or or the exercise o any
unction o the Crown
that i the processing relates
to sensitive data as to racial or
ethnic origin it is necessary or the
purpose o monitoring equality o
opportunity or treatment between
persons o dierent racial or ethnic
origins with a view to enabling
such equality to be promoted or
maintained; and is carried outwith appropriate saeguards or
the rights and reedoms o data
subjects.
The Act also covers the use o
computerised decision making
packages, such as those used
in recruitment and siting o
applications. The uses o such
packages to complement, not
replace, human judgement is not in
contravention o the Act it is when
they are in sole use that restrictions
apply.
Employers should think careully
about what kind o inormation theyask o their workers. What is the
purpose o such inormation? Who
is to have access to it and under
what conditions? Remember that
the worker can access their personal
records and demand rectication o
errors, and can claim compensation
or damage caused by any breach
o the Act, and also or distress incertain circumstances.
41APPENDIX 2
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Individuals can also see all manual
les held on them, and make
complaints, seek correction or claim
recompense.
The Inormation Commissioner
responsible or enorcement o the
Data Protection Act has published
our codes to help employers
comply with the provisions o the
Act. The Employment Practices Data
Protection Code Part 1 covering
recruitment and selection Part 2 dealing with employment records
Part 3 on monitoring at work
and part 4 on health at work are
available rom the Commissioner (see
p45 or contact details).
PERSONNEL DATA AND RECORD KEEPING42
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43NOTES
Notes
1. See Acas Advisory booklet Managing attendance and employee turnover.Acas publishes a number o advisory handbooks and booklets oering
guidance on personnel and employment relations topics.
2. See Acas advisory booklet Recruitment and induction.
3. See Acas advisory booklet Pay systems and advisory handbook
Employing people: a handbook or small frms.
4. Workers employed or more than one month are entitled to be given,within the rst two months o employment, a written copy o their main
terms and conditions o employment. See BERR leafet Written statement
o employment particulars and visit www.businesslink.uk.gov.
5. HSE can advise on particular responsibilities and requirements.
Tel: HSE Inoline 0870 154 5500.
6. See Discipline and grievances at work the Acas guide (section 1 o 2).
7. Further inormation on Human Resource Planning is in the Acas advisory
booklet Recruitment and induction.
8. There are specic requirements or certain categories o workers. For
detail see BERR leafet Guide to the Working Time Regulations and visit
www.businesslink.gov.uk.
9. See BERR leafet Pay statement: what they must itemise or visitBusinesslink at www.businesslink.gov.uk.
10. The HSE Inoline is 0870 1502 5500
11. See Acas advisory booklet Recruitment and induction.
12. An exoender may withold details o criminal convictions when
applying or a job, depending on the job, the oence, and the time since
conviction. For urther inormation seeA guide to the Rehabilitation oOenders Act 1974, available rom The Stationery Oce.
http:///reader/full/www.businesslink.uk.govhttp://www.businesslink.gov.uk/http://www.businesslink.gov.uk/http:///reader/full/www.businesslink.uk.govhttp://www.businesslink.gov.uk/http://www.businesslink.gov.uk/ -
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PERSONNEL DATA AND RECORD KEEPING44
13. Acas advisory booklet Employee appraisalgives more inormation on
appraisal, and examples o dierent types o appraisal schemes, orms
and records.
14. Details o this scheme, and urther inormation on employers obligations
or SSP are available rom local social security oces.
15. See Acas advisory booklet Managing attendance and employee turnover
or more detailed inormation.
16. The right to be accompanied at disciplinary and grievance hearings is set
out in the Employment Rights Act 1999 and the Acas Code o Practice on
Disciplinary and grievance procedures.
17. See Acas advisory booklet Employee communications and consultation.
18. See Code o Practice Time o or trade union duties and activities.
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45FURTHER INFORMATION AND SUGGESTED FURTHER READING
Further information and
suggested further readingEquality and Human Rights Commission (EHRC)
The Equality and Human Rights Commission ormerly the Equal
Opportunities Commission, the Commission or Racial Equality, and the
Disability Rights Commission works to eliminate discrimination, reduce
inequality, and protect human rights.
www.equalityandhumanrights.com
Disability Helpline (England)
Tel: 08457 622 633
Textphone: 08457 622 644
Race, age, gender, sexual orientation, religion and belie and human rights
Helpline (England)
Tel: 0845 604 6610
Textphone: 0845 604 6620
EHRC Wales
Tel: 0845 6048810
Textphone: 0845 6048820
EHRC Scotland
Tel: 0845 6045510
Textphone: 0845 6045520
Ofce o the Inormation Commissioner
For inormation on the Data Protection Act 1998 and the Freedom o
Inormation Act 2000
Wyclie House, Water Lane, Wilmslow, Cheshire SK9 5AF
Tel 01625 545745 www.inormationcommissioner.gov.uk
Department or Business, Enterprise and Regulatory Reorm
Wide range o inormation on workplace issueswww.berr.gov.uk
http:///reader/full/www.equalityandhumanrights.comhttp://www.informationcommissioner.gov.uk/http://www.berr.gov.uk/http:///reader/full/www.equalityandhumanrights.comhttp://www.informationcommissioner.gov.uk/http://www.berr.gov.uk/ -
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Health and Saety Executive HSE
Controlling the risk to peoples health and saety in the workplace
Inoline: 08701 545500 www.hse.gov.uk
HM Revenue & Customs
Helpline or new and small employers:
Tel: 0845 6070143
Chartered Institute o Personnel and Development
CIPD House, Camp Road, Wimbledon, London SW19 4UX
Tel: 020 8971 9000 www.cipd.co.uk
The Stationery OfceOrdering publications and making enquiries:
Tel: 0870 600 5522 www.tso.co.uk
Business Link
Free business advice and support service available online or through local
advisers.
www.businesslink.gov.uk
PERSONNEL DATA AND RECORD KEEPING46
http://www.hse.gov.uk/http:///reader/full/www.cipd.co.ukhttp:///reader/full/www.tso.co.ukhttp://www.businesslink.gov.uk/http://www.hse.gov.uk/http:///reader/full/www.cipd.co.ukhttp:///reader/full/www.tso.co.ukhttp://www.businesslink.gov.uk/ -
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workinform a vise train with you
47ACAS TRAINING
Acas Publications
Book time with yourEmployment Specialist
Whether you need to know how to write a contract o employment, how
much holiday you are entitled to or about the latest employment legislation,
our range o booklets and leafets give practical inormation and advice orboth employers and employees on employment matters.
You can choose rom our handbooks oering comprehensive guidance to
the modern workplace or our Getting it Rightpocket guides, providing vital
checklists to help small rms run their business.
View and order online at www.acas.org.uk/publications
Other Acas material that might be o interest includes:
Advisory handbook The A to Z o work
Getting it right Personnel records.
http://www.acas.org.uk/publicationshttp://www.acas.org.uk/publications -
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worinform advise train with you
PERSONNEL DATA AND RECORD KEEPING48
Acas Training
Our training is carried out by experience Acas sta who work with businesses
every day. They will show you the value to your business o ollowing good
practice in employment matters and how to avoid the common pitalls. We
also run special training sessions on new legislation.
Look at the Acas website (www.acas.org.uk/training) or uptodate
inormation about all our training or i you want to book a place online.
Training sessions are specially designed or smaller companies and ourcurrent programme includes:
Managing discipline and grievances
Managing absence at work
Essential skills or supervisors
Having a dicult conversation
Contracts o employment how to get it right
Employment law update
We also have an online learning package to help you with discipline and
grievance handling just go to www.acas.org.uk and click on elearning.
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Inormation in this booklet has been revised up to the date o the lastreprint see date below. For more up-to-date inormation check the
Acas website.
Legal inormation is provided or guidance only and should not beregarded as an authoritative statement o the law, which can only bemade by reerence to the particular circumstances which apply. It may,thereore, be wise to seek legal advice.
Acas aims to improve organisations and working lie through betteremployment relations. We provide uptodate inormation, independentadvice, high quality training and we work with employers and employeesto solve problems and improve perormance.
We are an independent, publicly-unded organisation and many o ourservices are ree.
April 2009
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