acas personnel data record keeping accessible version july 2011

7/27/2019 Acas Personnel Data Record Keeping Accessible Version July 2011

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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

PERSONNEL DATA AND RECORD KEEPING2


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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


d many other bodies use such


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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

9KEY AREAS THAT NEED RECORDS

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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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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


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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.
http://www.acas.org.uk/publicationshttp://www.acas.org.uk/publications


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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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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,

17SETTING UP AND RUNNING A PERSONNEL RECORDS SYSTEM

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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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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


22/52


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.



23/52

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

21APPENDIX 1


24/52

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



25/52

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

23APPENDIX 1

7


26/52

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



27/52

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.

25APPENDIX 1

7


28/52

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



29/52

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

27APPENDIX 1

7


30/52


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


31/52

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

7


32/52

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.



33/52

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

7


34/52

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



35/52

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

33APPENDIX 1

7


36/52

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



37/52

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

7


38/52

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



39/52

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

7


40/52

..................................................................................................................

..................................................................................................................

..................................................................................................................

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)



41/52

..................................................................................................................

..................................................................................................................

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

7


42/52



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


43/52

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

8
http://www.ico.org.uk/http://www.ico.org.uk/


44/52

advise trainwork

with youinform

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).



45/52


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/


46/52

advise trainwork

with youinform


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.


47/52


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/


48/52

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

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/


49/52

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


50/52



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.
http://www.acas.org.uk/traininghttp://www.acas.org.uk/http://www.acas.org.uk/traininghttp://www.acas.org.uk/


51/52

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


52/52

Acas main ofces

Acas National

22nd Floor, Euston Tower,

286 Euston Road, London NW1 3JJ

East Midlands

Lancaster House, 10 Sherwood Rise,

Nottingham NG7 6JE

East o England

Acas House, Kempson Way, Suolk

Business Park, Bury St. Edmunds,

Suolk IP32 7AR

London

23rd Floor, Euston Tower,

286 Euston Road, London NW1 3JJ

North East

Cross House, Westgate Road,

Newcastle upon Tyne NE1 4XX

North West

Commercial Union House,

210 Albert Square, Manchester M60 8AD

Pavilion 1, The Matchworks, Speke Road, Speke, Liverpool L19 2PH

Scotland

151 West George Street, Glasgow G2 7JJ

South East

Cygnus House, Ground Floor, Waterront

Business Park, Fleet, Hampshire GU51 3QT

Suites 35, Business Centre,

17 Commercial Road, Paddock Wood,

Kent TN12 6EN

South West

The Waterront, Welsh Back,

Bristol BS1 4SB

Wales

3 Purbeck House, Lambourne Crescent,

Llanishen, Cardi CF14 5GJ

West Midlands

Apex House, 3 Embassy Drive,

Calthorpe Road, Egbaston,

Birmingham B15 1TR

Yorkshire & Humber

The Cube, 123 Albion Street,Leeds LS2 8ER

www.acas.org.uk

Helpline08457 47 47 47

08456 06 16 00For minicom users
http://www.acas.org.uk/http://www.acas.org.uk/

acas personnel data record keeping accessible version july 2011

Documents