85% 65% 45% 80% 60

Personnel data
95% 70% 45% 90% 65

and record keeping

booklet

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Acas can help with your
employment relations needs
1

Every year Acas helps employers and employees from thousands of 3

workplaces. That means we keep right up to date with today’s
employment relations issues – such as discipline and grievance handling,
preventing discrimination and communicating effectively in workplaces. 4
Make the most of our practical experience for your organisation – find out
what we can do for you.

We inform
We answer your questions, give you the facts you need and talk through
your options. You can then make informed decisions. Contact us to keep
on top of what employment rights legislation means in practice – before it
gets on top of you. Call our helpline 08457 47 47 47 or visit our website
www.acas.org.uk

We advise and guide

We give you practical know-how on setting up and keeping good
relations in your organisation. Look at our publications on the website 5
or 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 train
From a two-hour session on the key points of new legislation or employing
people to courses specially designed for people in your organisation,
we offer training to suit you. Look on the website for what is coming up in
your area and to book a place or talk to your local Acas office about our
tailored services.
6
We work with you
We offer hands-on practical help and support to tackle issues in your
business with you. This might be through one of our well-known
problem-solving services. Or a programme we have worked out together
to put your business firmly on track for effective employment relations.
You will meet your Acas adviser and discuss exactly what is needed before
giving any go-ahead.
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Contents
1 Introduction 3

2 Why peronnel records are important 4

3 What records are needed 6

Human Resource Planning 7

4 Key areas that need records 8

Statutory records 8

Organisational records 8

Recruitment and selection 9

Induction 10

Training and career development for individuals 10

Sick pay 11

Absence, lateness and employee turnover 11

Discipline and grievance 12

Termination of employment 13

Equal opportunities issues 13

5 Setting up and running a personnel records system 15

What do you want the system to do? 15

Involving staff 15

What type of system? 16

Computer or manual? 16

Location 16

Document design 17

Using a computerised system 17

Reviewing the system 18

6 Conclusion 19

1
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7 Appendix 1 20

Examples of some personnel records: 20

Figure 1 Employment application form 21

Figure 2 Employment application form (simple) 23

Figure 3 A framework for a job description 25

Figure 4 Person specification 25

Figure 5 Induction checklist 26

Figure 6 Employment history record 28

Figure 7 Assessing employee performance 30

Figure 8 Individual absence and lateness record sheet 31

Figure 9 Monthly summary of absence etc 33

Figure 10 Labour analysis 34

Figure 11 Analysis of employee turnover 35

Figure 12 Record of disciplinary action 36

Figure 13 Leaver’s analysis form (monthly or annual as appropriate) 37

Figure 14 Sex and ethnic origin 38

8 Appendix 2 40

Data Protection Act 1998 40

Notes 43

Further information 45

Acas publications 47

Acas training 48

Acas addresses Back cover

2 PERSONNEL DATA AND RECORD KEEPING

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Introduction 1

All organisations, however large or In this booklet we explain why

small, need to keep certain records, accurate personnel records are
some because the law requires them, important. We also give an outline
and some for internal purposes. For of the key areas for employers, and
instance, keeping records of hours give basic information on the setting
worked by most workers (for the up of a personnel records system.
purposes of the implementation of Samples of common records are
the Working Time Regulations), and shown in Appendix 1.
pay rates (for the Minimum Wage
Act 1998, tax and national insurance
obligations) will enable employers
to monitor legislation compliance.
Every employer also needs records
of workers joining them, their job title,
pay and so on.

INTRODUCTION 3
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Why personnel records

are important
Planning ahead can help all Personnel records are necessary for
organisations to remain competitive the formulation and implementation
and provide good service to their of employment policies and
customers. Planning often depends procedures for recruitment, training,
on having accurate, up-to-date promotion, dismissal etc2. Some of
information. Personnel records these are required by law and others
are particularly important when it enable personnel to monitor other
comes to getting the best out of your processes. For instance, personnel
employees. Effective recruitment, records, and the statistics they
training and staff development play provide, are important in helping to
a key part in achieving organisational develop policies free from any bias
goals. on grounds of sex, sexual orientation,
religion or belief, race, age or
Good records can help managers: disability.

• make decisions based on fact Accurate records help ensure

rather than guesswork that workers receive their correct
pay3, holidays, pension and other
• know what staff resources are entitlements and benefits. They
available to meet production/ can be used to monitor fair and
service requirements consistent treatment of staff, for
example in relation to promotion
• more accurately assess levels of and discipline, and for worker
performance and productivity development purposes.

• know what is happening with Many national published statistics,

absence levels, employee turnover, for instance on earnings, employee
sickness, accidents, lateness, turnover, overtime and so on, are
discipline etc, and take appropriate gathered from employers via such
and timely action1. records. Employers’ associations,
individual organisations, trade unions
and many other bodies use such

4 PERSONNEL DATA AND RECORD KEEPING

information to help formulate their
own strategies and policies. Good
record keeping helps organisations
to respond readily to requests for this 2
type of information, subject to the
constraints of the Data Protection Act
1998 and individual anonymity within
the statistics.

Care must be taken over access to

personnel records, as described
more fully in the Data Protection Act
1998 information in Appendix 2. The
Information Commissioner’s Codes
of Practice give guidance on how to
comply with the Act and the Code
dealing with employment records
is particularly useful in helping
employers to distinguish between
absence and sickness records (see
p45 for contact details).

WHY PERSONNEL RECORDS ARE IMPORTANT 5

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What records
are needed
Every organisation should keep • absence details – lateness,
information about individual workers sickness, any other authorised or
– for example: unauthorised absence eg annual
holiday, maternity/paternity/
• personal details – name, address, dependents leave, compassionate
emergency contact, date of birth, leave
sex, education and qualifications,
tax code, national insurance • details of any accidents connected
number, details of any known work- with work, including on way to and
relevant disability, work experience from work. Certain accidents must
be reported to relevant authorities
• employment history with the for health and safety purposes5,
organisation – date employment but it is a good idea to record
began, promotions, present job, any level of accident including the
job title administration of first aid

• details of terms and conditions • details of training/further

– pay3, hours of work, holiday education undertaken with the
entitlement, any other benefits, organisation, whether internal
eg car, private health insurance. A or external. Any worker on a
copy of the written main terms and Modern Apprenticeship with the
conditions of employment, or the organisation is normally entitled to
employment contract must be kept a written agreement setting out the
to avoid any future query on the terms of the apprenticeship
terms and conditions agreed on
starting4. Copies of any changes • details of any disciplinary action6
to the contract and, if appropriate,
a copy of the worker’s agreement • details of termination of
to exceed the Working Time employment.
Regulations limits must also be
kept

6 PERSONNEL DATA AND RECORD KEEPING

Many organisations will also want
their record systems to provide
data for wider analysis, for instance,
total wage/salary costs, overall
time-keeping/absence levels,
staffing levels needed for optimum
production/service provision.
Computerised staffing record
systems allow easy analysis of much 3
personnel data, but organisations
must be aware of the need to keep
only those records that are relevant.
All personnel and personal records
and files must be kept safely and
securely.

Human Resource Planning

Successful Human Resource Plans
attempt to relate the organisation’s
current and future requirements
to the suitability of the available
workforce. Known or forecast
changes in technology may mean
different or additional skills need to
be found, either by training/retraining
existing staff or recruitment of new
staff. Legislative changes, such
as the Working Time Regulations,
may trigger organisational changes.
Whatever the impetus for change,
good personnel records are key,
providing the data for analysing what
needs to be put into place7.

WHAT RECORDS ARE NEEDED 7

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Key areas
that need records
Statutory records necessary assessments10, for
This section covers the main areas instance the requirement that staff
that anyone dealing with personnel using computer equipment should
matters will need for record keeping. have a workstation assessment.
Good records help managers.
Records required by law include:
Organisational records
• tax and national insurance In addition to these statutory
requirements, the organisation will
• for most workers it is advisable to want to keep other records including:
keep records of individual hours
worked to enable averaging over • recruitment and selection
a period to meet the requirements procedures and results
of the Working Time Regulations
19988 • induction

• holidays, again for the Working • training and career development for
Time Regulations 1998 individuals

• pay, to ensure the requirements • sick pay/sick absence

of the Minimum Wage Act 1998
are being met, and to meet the • other absence, lateness and
statutory requirement that workers employee turnover
are issued with pay statements9
• discipline, including dismissals, and
• paid sickness (more than four days) grievance
and Statutory Sick Pay
• termination of employment
• accidents, injuries, diseases and
dangerous occurrences. The • equal opportunities issues (gender,
Health and Safety Executive sexual orientation, religion or belief,
(HSE) can advise organisations race, age, disabilities).
on particular requirements and

8 PERSONNEL DATA AND RECORD KEEPING

All these records will help with Some organisations may use CVs
the overall planning of human (curricula vitae) to provide a record
resource needs for the organisation. of basic personal and work history
Monitoring these records enables information, without the need for the
personnel to amend or reformulate individual to complete an application
policies and procedures. Be form.
aware however, that changes to
organisational policy and procedure Information about criminal
may have a knock on effect on convictions may be asked if relevant
individual workers’ contracts to the job, but be aware of the
of employment. Such changes right of individuals to withhold
should only be introduced after information12. The Police Act
consultation with the workers or 1997 has provision for certificates 4
their representatives. Changing the of criminal records to be made
contract of employment requires available via the Criminal Records
consent, any unilateral action may be Bureau. Registered employers can
open to legal challenge. request that prospective workers for
particular types of work (for instance
working with children or vulnerable
Recruitment and selection people) provide such certificates.
Most organisations will have a
basic record of workers from their Information may be requested
original application form. A well about any disability that might
designed form can provide not only affect someone’s application – for
the necessary information to aid instance if there are any reasonable
shortlisting, but also a guide for the adjustments that the organisation
interview. Only questions directly may make to assist in the application
relevant to the job requirements process or in the job itself (see Fig 1
should be asked, as to do otherwise ‘Additional Information’ section, p22).
may be potentially discriminatory11;
for instance, questions relating to Other records useful in the recruitment
trade union membership and marital and selection process are:
status should not be included on
any application form as they may be • job descriptions, setting out the
construed as evidence of intention to purpose, duties and responsibilities
discriminate. of each job. A simple framework is
given in Figure 3 (p25), which can
Examples of application forms are in be extended as required for the
Figures 1 and 2 (pp21-24). specific job

KEY AREAS THAT NEED RECORDS 9

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• person specification, setting out the signed off by the new starter. This
characteristics and competencies method also allows managers to
necessary in the person who is tell Personnel about any changes/
best suited to perform each job additions that may be necessary to
– for instance, skill, qualifications, the checklist.
particular experience. A sample
specification is in Figure 4 (p25)
Training and career

development for individuals

Recruitment records should be kept

A progressive employment history
for a period of time, perhaps six
record should be a basic element
months, in case of any discrimination
in the organisation’s overall training
challenge, or if a vacancy occurs
and human resource plans. A record
and the organisation believe that any
for each worker, giving details of
previous applicants may be suitable
experience, skills, qualifications
– it can provide a short cut in the

gained before and since joining

recruitment process.

the organisation, will provide the

basis for assessing the individual
Induction training, promotion or transfer needs
Proper induction helps the new and suitability. Figure 6 (p28) is an
starter to settle in quickly and is example of an employment history
the start of their continuing training record.
and development. A simple record
of the induction process should Individual appraisal reports will
be kept. This ensures that the new help in performance assessment.
recruit receives the appropriate A simple grading scheme may be
information at the right time. Some adopted to highlight the aspects of
of the induction areas will be the job that are particularly relevant,
covered by Personnel, others by and the worker can be graded
local management, health and safety against these tasks. This is common
representatives and so on. A sample practice in assessing previous work,
checklist is in Figure 5 (p26). ie the year before, and is useful for
highlighting those areas that might
The new starter and their manager need further attention in the coming
should each have a copy of the period. Figure 7 (p30) gives examples
checklist, and the manager’s copy of some qualities an employer
can be returned to Personnel for may identify as important when
safe keeping when all aspects of considering worker performance.
induction have been covered and

10 PERSONNEL DATA AND RECORD KEEPING

An appraisal provides the opportunity be combined to provide summary
to consider whether there are needs statistics on levels of absence or
for training, or a move to different lateness, which should enable the
work. It also enables feedback by the organisation to spot problem areas
worker to their manager about their and take necessary remedial action.
work and the way the individual may Figure 9 shows an example of such a
wish to progress13. summary.

Employee turnover, like absence,

Sick pay is expensive for the organisation. A
Employers are responsible for the employee turnover record, combined
payment of Statutory Sick Pay (SSP) with periodic labour analysis, offer
for periods of four days or more up the simplest and most basic way of 4
to a total of 28 weeks absence in any monitoring these costs (see Figures
one period of incapacity for work. 10 and 11, pp34-35 for examples
Employers faced with exceptionally of these records). Completing a
high levels of sickness at any one employee turnover record also
time may be able to claim financial gives the organisation the means
assistance under the Percentage to calculate its stability index, ie
Threshold Scheme operated by the how successful it is in retaining
Department for Work and Pensions14. experienced workers.

Employers can choose whether to Looking at the figures for different

operate SSP, but only if contractual sections of the workforce can
pay is equal to or more than SSP. help pinpoint areas that may
They should still keep the basic need attention. They may indicate
records necessary to enable the different standards of recruitment,
worker to transfer to incapacity induction, training or supervision in
benefit at the end of the 28 weeks if the department concerned, or point
appropriate. to environmental or organisational
influences15.
Absence, lateness and Some organisations may choose to
employee turnover keep separate records of overtime
By keeping individual records of
worked, as this additional cost,
absence (whether sickness or other)
particularly if regular, may indicate
and lateness, the organisation can
the need for recruitment rather than
monitor individual performance.
paying higher rates for overtime.
Figure 8 gives an example of such a
record. Individual records can then

KEY AREAS THAT NEED RECORDS 11

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else in any files referring to that

Discipline and grievance worker.

Accurate records of disciplinary

action are important. They enable
A copy of any record of disciplinary
management to take a worker’s
action should be given to the worker,
past record fully into account when
their line manager and their worker
deciding what action to take when
representative if appropriate. If such
any breach of the rules has occurred,
copies are provided, and a ‘wipe­
and they help management to
clean’ provision comes into effect,
apply disciplinary rules fairly and
then those in receipt must be told to
consistently. Disciplinary records
destroy their copies too.
may also provide important evidence
if a worker makes a claim to an
Whilst grievances are often dealt with
employment tribunal that they have
informally, or by line management
been unfairly or wrongfully dismissed.
intervention, it is good practice to
keep a record of any grievance
Most disciplinary action taken against
raised and the manner by which
a worker should be recorded, apart
it has been resolved. This is
from informal verbal admonishments.
particularly important if grievances
Figure 12 (p36) is an example of an
need to go beyond the ‘informal’
individual discipline record. Most
and a worker raising the grievance
warnings should be disregarded
considers invoking their right to be
for disciplinary purposes after a
accompanied at any hearing. Clearly,
specific period (eg 12 months for
accurate records of such meetings
a first written warning) subject
are necessary so that all parties
to satisfactory conduct and
understand the issues and any action
performance.
decisions16.
Some organisations have a
The Acas Code of Practice on
‘wipe-clean’ policy, whereby any
Disciplinary and grievance procedures
warnings are removed from the
sets out principles for handling
worker’s record after a certain
disciplinary and grievance situations
period of satisfactory conduct and
in the workplace. These include:
performance. In these cases the
records need to be in a format
• informing the employee of the

easily altered. This is often done by

problem

simply removing the sheet containing

the record, or deleting it from any
• holding a meeting to discuss the

computer record, and making sure

problem

there is no reference to it anywhere

12 PERSONNEL DATA AND RECORD KEEPING

• allowing the employee to be useful information, and analysis can
accompanied help employers address problems of
high turnover of staff, effectiveness
• deciding on the appropriate action of recruitment and induction, equal
opportunities issues and supervision.
• providing employees with an A sample leaver’s analysis form is
opportunity to appeal at Figure 13 (p37). An exit interview
also gives the opportunity to remind
• employment tribunals are legally the person leaving of any obligations
required to take the Code into such as confidentiality and the
account when considering relevant return of equipment belonging to the
cases. Tribunals will also be able to organisation.
adjust any compensatory awards 4
made in these cases by up to 25
Equal opportunities issues
per cent for unreasonable failure
All organisations should be free from
to comply with any provision of the
discrimination in employment. Good
Code.
personnel records help in this by
providing the information necessary
Termination of employment both to monitor compliance with
Any termination of employment, legislation and develop equal
whatever the reason, should be opportunity policies. Workers and
properly documented. Requests prospective workers can be asked
for references (and copies of those to provide voluntary information
given), should be kept as, subject on sex, ethnic origin and disability.
to the Data Protection Act 1998, This is often done in the form of a
ex-workers may ask for details. Any separate sheet or ‘tear-off’ section
employment tribunal would also on application forms, or perhaps
expect the organisation to hold on applications for promotion or
some record of any termination – at transfer. This enables the information
the very least to show what monies to be used only to monitor equality
may have been paid (eg redundancy of selection/development. Workers
pay, notice pay, outstanding holiday must be told why the information is
pay, pension entitlements etc). sought and for what reason.
Documentation about dismissal is
essential to answer any question of An example of such a monitoring
unfair procedure or discrimination. form is in Figure 14 (p38) – this can
easily be adapted to attach to an
It is a good idea to keep a record of application form, or be used for
exit interviews. These can provide existing workers. Further information

KEY AREAS THAT NEED RECORDS 13

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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 of this type, so that

workers understand the need for

and purpose of the information

requested. It is vital that all such

information is treated as confidential.

Monitoring such information provides

the opportunity to assess progress

in implementing equal opportunities

policies and checking whether

related objectives have been met.

14 PERSONNEL DATA AND RECORD KEEPING

 work
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Setting up and running a

personnel records system
What do you want the system Involving staff
to do? It is a good idea to involve the staff
In setting up from scratch you who are to operate the system from
need to decide what you want the an early stage17. Most potential
system to do for the organisation. operating difficulties can be ironed
Ask all potential users of personnel out in this way, and the staff will be 4
information: more in tune with the system as it
develops. The organisation should
• what information they need to also recognise that all workers have
operate effectively rights and interests in: 5

• what information they currently • the type of records kept, and the
receive, from whom and why it is uses to which they are put
necessary
• the confidentiality of personnel and
• what information they currently personal records
supply and to whom
• the contribution such records can
• what information they would like make to individual training and
the system to provide and why. development.

Answers to these questions may All workers (including management)

demonstrate that too much or too should be involved in communications
little information is being kept, or and discussions about these aspects
that some is irrelevant to the needs of record keeping. This is often done
of the organisation, out of date or through trade union or other worker
not in keeping with best practice. representatives, works committees
The answers should also show up or staff associations. Records of
whether available information is meetings with staff and/or their
getting to those who actually need it representatives should be kept,
in their work. perhaps in the form of brief minutes,
or as action points.

SETTING UP AND RUNNING A PERSONNEL RECORDS SYSTEM 15

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Employers who recognise trade • which staff should have access to

unions should also keep records of which records
what ‘facility’ time off is allowed for
representatives18. • procedures to comply both with

organisational security and data

protection requirements.

What type of system?

Any record keeping system, whether
developed within the organisation Computer or manual?
or ‘bought in’, needs to fulfil certain Computerised record keeping
criteria. It must be: has now become the norm in
many organisations, and there is
• accurate, reliable and consistent a range of commercial personnel
systems available. However smaller
• confidential with regard to personal organisations may only need to keep
details a card index system, perhaps with
simple forms to keep absence or
• adaptable, so that it can cater for sickness details. Such forms can be
future developments and changes kept in envelopes filed to match the
card index.
• economical in its introduction, use
and maintenance.
Location
Alongside staff information held
Before deciding on the type of
on computer or in an index, many
system the organisation must also
organisations maintain personnel
have considered:
files, which might hold the individual’s
application form, any particular
• whether the records will be kept
career or training notes, references
manually, computerised, or in some
received and so on. These files can
combination of systems
become bulky, and may take up a
lot of space. Storage must be secure
• where the records are going to be
but accessible to authorised users.
located (how much space will be
Organisations also need suitable
required for secure storage)
secure storage for those records
kept long term, for instance tax
• how the design of documents
records need to be kept for six years.
affects the type of system, and vice
versa
As the workforce grows, different

demands are made of personnel

16 PERSONNEL DATA AND RECORD KEEPING

systems that manual systems made available for staff, and even
might find difficult to meet – for people used to computers will need
instance from personnel, training, specific training in the organisation’s
wages, pensions or production particular system.
control. Duplication of records can
lead to breakdowns in security, Designing ‘in-house’ allows the
difficulties in keeping up-to-date, and organisation to tailor a system exactly
problems with accuracy. A centrally to its needs. ‘Buying in’ may mean
administered computerised system that adjustments have to be made
should avoid these problems, and to the system to make it right for the
access by different users can be organisation.
better controlled.
Using a computerised system
Document design The commonplace use of computers
Whether using a computerised or in business generally means that
manual system it is best to keep those responsible for keeping 5
documents simple, and where personnel records are likely to have
possible, designed so that the access to one, even if not solely for
important information on each personnel use.
topic is visible on one screen or
one side of the card/file sheet. This If the organisation has no computer
makes updating and extraction of but is considering buying one, then
information much easier than if a lot attention has to be given to:
of detail has to be looked through
to find what is relevant. For instance • capital outlay and any ongoing
there might be a card/screen for maintenance costs
personal information, one for training
and development, one for pay and • security (of equipment and access)
benefits information etc.
• costs of staff training
The lay-out should provide an easy
to read and logical sequence. There • any site specific needs, for instance
should be adequate space for each portability.
entry, including allowing for changes.
Staff using the forms should have Computerisation of records can help
clear instructions on what information management by:
to record, where and in what form.
Using a computerised system may • increasing the flexibility of the
mean formal training has to be information available – for instance,

SETTING UP AND RUNNING A PERSONNEL RECORDS SYSTEM 17

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monitoring equal opportunity

Reviewing the system
issues becomes easier when
As with any system, personnel
personnel records can be sorted
records should be reviewed
by age, sex, job, grade, pay rates
from time to time to check their
and so on
effectiveness. Include the users and
operators of the system in the review
• speeding up the provision of

as they will know the strengths

information

and weaknesses of the system,

for instance a new manager may
• producing cost benefits through
be unaware of the job descriptions
administrative savings – staff time
for the workers in their area of
can be reduced on routine tasks
responsibility. The main questions to
ask in any review might include:
• increasing efficiency, particularly
with changes to records, routine
• is it providing the answers required
forms and letters, print-outs for
and providing them quickly and
checking and so on.
accurately?
However, computerisation of records
• is the organisation making effective
should not mean that there is no
use of the information that is
longer any direct contact between
available?
personnel and staff. For example,
whilst a computerised system
• is all the information useful and

can provide details of an worker’s

necessary?

sickness absence, it may not reveal

the underlying reasons for that
• is there any unnecessary

absence – but talking to the worker

duplication of records?

might.
• is it proving easy to keep the

Computer record systems set up

records up-to-date?

after 24 October 1998 are fully

covered by the requirements of
• what improvements might be made
the Data Protection Act 1998 (see
to the system?
Appendix 2 for details).

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Conclusion
Accurate personnel records will In developing, installing and
help the organisation in many maintaining a personnel records
ways – increasing the efficiency system the requirements of the
of recruitment, training and organisation and its workforce are
development, and promotion. They paramount. Consultation with the
can also provide the raw data to staff and their representatives, who
monitor equal opportunities issues are both to use the system and figure
and the legal requirements placed in it, will help the organisation to work
on all organisations. towards the best system for their
needs.
Keeping records of individual
skills and competencies should 5
help the organisation pinpoint any
particular opportunities to improve
skills to match requirements. For 6
instance, if the organisation needs
staff with computer skills, then
scrutiny of records of current staff
competencies may well show that
there are staff available who have
some previous computer experience
and can be readily trained to fill the
new vacancies.

Personnel records are about people,

and it is therefore in everybody’s
interests that the records are
accurate and secure. Knowledge
of this will contribute to better
working relationships – workers
and their representatives will know
what information is kept and why. It
should promote fair and consistent
treatment.

CONCLUSION 19
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Appendix 1
Examples of some personnel records

The following pages offer examples categories of workers itemised in the

of the content and layout of first column of the labour analysis
common personnel forms, some form in Figure 9 (p33) are appropriate
of which might be held in the mainly in manufacturing context;
form of computer records. Each different categories might apply in
can be adapted to suit particular other sectors of the economy.
organisations. For example, two
versions of an application form are The spaces in the different
given, one of which might suit more categories of the forms are for
senior jobs, or where academic illustration only, and will need
achievements are important, the adjustment for particular jobs and
other might better suit less skilled organisations.
or lower level jobs. Similarly the

20 PERSONNEL DATA AND RECORD KEEPING

Figure 1 Application form
Application for employment as
Surname (Block letters)
Other names
Address

Telephone

Education and Training

Details and results of any examinations taken 7

Further education (eg technical college, evening classes)

Any craft or other training

APPENDIX 1 21
 Figure 1 (cont.)
Employment History
1. Present employer
Address
Job title
Duties
Rate of pay
Date employed from
to
Reason for 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 for this job and why you think you are the best
person for the job.

Have you ever been convicted of a criminal offence YES / NO

(declaration subject to the Rehabilitation of Offenders Act 1974)

If you have a disability please tell us about any adjustments we may need to
make to assist you at interview

Please tell us if there are any dates when you will not be available for interview

I can confirm that to the best of my knowledge the above information is

correct. I accept that providing deliberately false information could result in
my dismissal.

Signature Date

22 PERSONNEL DATA AND RECORD KEEPING

Figure 2 Employment application form (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 of a criminal offence YES / NO

(declaration subject to the Rehabilitation of Offenders Act 1974)

Do you have any disabilities that might affect your application? YES / NO
Please tell us if:
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 itself to help
you carry it out

APPENDIX 1 23
 Figure 2 (cont.)
Do you need a work permit to work in the UK? YES / NO

When can you start work for us?

References
Please give the names and addresses of two persons as referees, other than
your present employer or relatives who we can approach now for references.
No approach will be made to your present or previous employers before an
offer of employment is made.
1 2

I can confirm that to the best of my knowledge the above information is

correct.

Signature Date

24 PERSONNEL DATA AND RECORD KEEPING

Figure 3 A framework for a job description

1 Job title
2 Department/Section
3 Main purpose of job
4 Key result areas/key tasks/main duties
a

etc

5 Responsible for staff/equipment

6 Responsible to (reporting relationship)

Figure 4 Person specification

Company name

Job title

7
Criteria Essential Desirable
Qualifications

Attainments/competencies (list as required)

Previous experience

Number of years experience required

Special aptitudes* (eg oral or written skills,

manual dexterity etc)
* Physical abilities, circumstances, interests, but only if a justifiable requirement for the job.

APPENDIX 1 25
 Figure 5 Induction checklist
It is good practice to let the new starter have a copy of this list – this enables them to follow
what is happening and will act as a reminder of anything missed or that needs particular
attention. It should be the responsibility of both management and new starter to ensure that all
relevant items are properly covered during the induction period.

Name date of starting

Induction completed (signature of 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
• Who’s who
• History
• Products/services/markets
• Future plans and developments
Terms and conditions of employment
• Written terms and conditions issued
• Contract of employment issued
• Hours, breaks, method of payment
• Holidays
• Clocking on/flexitime/reporting procedures
• Probationary period
• Period of notice
• Sickness provisions
• Pension provisions
Equal opportunities policy and worker development
• Training provision
• Further education/training policies
• Performance appraisal
• Promotion avenues
Worker/employer relations
• Trade union membership
• Other worker representation
• Worker communications and consultation
• Grievance and disciplinary procedure
• Appeals procedure

26 PERSONNEL DATA AND RECORD KEEPING

Figure 5 (cont.)

Date Carried out by Comments

Organisation rules
• Smoking policy
• General behaviour/dress code:
• Telephone calls
• Canteen/break facilities
• Cloakroom/toilets/lockers
Health and safety
• Awareness of hazards
– any particular to type of work
• Safety rules
• Emergency procedures
• Clear gangways, exits
• Location of exits
• Dangerous substances or processes
• Reporting of accidents
• First aid
• Personal hygiene
• Introduction to safety representative
Welfare and worker benefits/facilities
• Sports facilities
• Protective clothing – supply, laundry, replacement
• Medical services 7
• Savings schemes (including share options)
• Transport/parking arrangements
• Company discounts
The job
• Introduction to manager/supervisor
• Requirements of new job
• Standards expected
• Co-workers
• Supervision and work performance appraisals

APPENDIX 1 27
28
Figure 6 Employment history record Employee/Clock no.
Nat. Ins. No

Surname Other names

Address Date of birth

Telephone no

Name and address of next of kin

Change of address Name and address of emergency contact

PERSONNEL DATA AND RECORD KEEPING

Written statement of terms of employment issued /200

TU membership YES/NO Name of union

(if subscription is payed through payroll)

Nature of any disability

Pension scheme Date joined

Please start with your present or most recent employment and work backwards; include any service with HM forces

Job title Department Dates of F/ T P/ T Hours of work Rates of pay

Starting/transfer in Leaving/transfer out
 Figure 6 (cont.)
Education
Name of school, college etc Dates Certificate etc obtained

From To Examinations passed Subjects Level/Grade

Training
Nature of training or course Dates

Termination of employment

Date of termination

Reason for termination

Exit interview carried out YES/NO By whom?

Date written reasons for dismissal by employee Date sent

Whether suitable for re-engagement YES/NO

APPENDIX 1
29
7
 Figure 7 Assessing employee performance

Examples of key Outstanding Very good Good Fair Unsatisfactory

areas in job*

Judgement

Oral ability

Written ability

Numerical ability

Technical ability

Relations with
colleagues

Relations with
public

Management
of staff

Management
of resources
Acceptance of
responsibility

Drive and
determination
Reaction to
pressure

Overall
performance

*not all these aspects will be contained in every job.

30 PERSONNEL DATA AND RECORD KEEPING

Figure 8 Individual absence and lateness

record sheet.
Week Late or absent
no. S M T W T F S

Name 1
2
3
Employee/clock no
4
Department 5
6
Shift crew
7
8
Agreed qualifying days (tick)
9
S M T W T F S Date 10
11
12
13
14
15
Maximum Days 16
SSP
17 7
liability Money £ £ £
18
19
Issue SSP1(T) Days 20
(Transfer 21
form) alter: Money £ £ £
22

50
51
52
Total

Key:

Unauthorised absence.................................. U Uncertified sickness..................................U/S

Authorised absence ...................................... A Self-certified sickness ............................... S/S

Lateness (no. of minutes) .............................. L Medically certified sickness...................... M/S

Holidays ........................................................H Maternity/Paternity leave .......................... M/P

APPENDIX 1 31
 Figure 8 (cont.)

Week Late or absent SSP due in SSP Remarks

no. S M T W T F S week/month running total
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

Non-qualified days ........................................N Sickness in doubt or late notification*............X

Transferred.................................................... T *give reasons in remarks column

32 PERSONNEL DATA AND RECORD KEEPING

 Figure 9 Monthly summary of absence etc. Totals
Authorised absence (A) .................................

Unauthorised absence (U).................................

Certified sickness (S) .................................

Uncertified sickness (US) ..............................

Holidays (H).................................
Lateness (L) .................................
Department Month Maternity/Paternity leave (M/P).............................

Employee/
Clock no Name 1 2 3 4 5 6 7 8 9 10 11 12 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

APPENDIX 1
33
7
 Figure 10 Labour analysis
Department Month ended

Type of employee Starters Leavers

Increase or
decrease

Total at end
Terminations
Total at start

Transfers In

of month
Transfers
of month

Recruits

Starters

Leavers
Total

Total
+ –

Out
Direct labour

Skilled

Semi-skilled

Unskilled

Under 18

Part-time
(included in above)

Total direct labour

Indirect labour
(contract/agency etc)

Skilled

Semi-skilled

Unskilled

Under 18

Part-time
(included in above)

Total indirect labour

Monthly paid

Full-time

Part-time

Total monthly paid

Total employees

34 PERSONNEL DATA AND RECORD KEEPING

Figure 11 Analysis of employee turnover
Department Period

Length of service Sex Left voluntarily Dismissed Redundant Total

M
Less than 1 month
F
M
1-3 months
F
M
4-12 months
F
M
1-5 years
F
M
Over 5 years
F
M
Total
F

M F Total

(a) Total employed at beginning of period

7
(b) Total number of leavers during period

(c) Total starters during period

(d) Total employed at end of period

(e) Average number employed

during period = (a) + (d)
2

Employee turnover (%)

No. of leavers during period (b) x 100
Average employed during period (e)

Employee Stability Index (%)

No. currently employed with 1 year’s service or more x 100
Total number of employees 1 year ago

APPENDIX 1 35
36
Figure 12 Record of disciplinar y action

Department Employee/Clock No

Surname Other names

Date action taken Type of action (first warning, Expiry Reason for disciplinary action Details of appeal (if any)
final warning etc) date (absence, lateness etc) and other remarks

PERSONNEL DATA AND RECORD KEEPING

 Figure 13 Leaver’s analysis form (monthly or annual as appropriate)

Name Dept/ Job title Full-time/ Permanent/ Date of Age* Sex* Ethinic Reason Comments
Section part-time/shif t casual employment orign* for leaving*

*Codes can be used in Age 31-40 ...........................D

these columns eg: under 18...................... A 41-50 ........................... E

18-21...........................B 51-60 ........................... F

22-30 ..........................C over 61 ....................... G

APPENDIX 1
37
7
 Figure 14 Sex and ethnic origin
This organisation strives to operate a policy of equal opportunity and not
discriminate against any person because of age, gender, race or national
origin, disability, sexual orientation or religion or belief.

To help us monitor this, will you please provide details as below.

This information will only be used for this purpose.

What is your ethnic group? Choose ONE section from A to E, then tick the
appropriate box to indicate your cultural background?

A White
 British
 Irish
 Any other White background (please specify)

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

B Mixed
 White and Black Caribbean
 White and Black African
 White and Asian
 Any other mixed background (please specify)

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

C Asian or Asian British

 Indian
 Pakistani
 Bangladeshi
 Any other Asian background (please specify)

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

38 PERSONNEL DATA AND RECORD KEEPING

C Black or Black British
 Caribbean
 African
 Any other Black background (please specify)

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

D Chinese or other ethnic group

 Chinese

 Any other (please specify)

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

E Religion (optional)
 None  Jewish
 Christian  Muslim
 Buddist  Sikh
 Hindu
 Any other religion (please specify) 7

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

Are you male/female?

Surname__________________________________________________________

First names(s)______________________________________________________

Department/section _______________________________(for existing workers)

Pay number ______________________________________(for existing workers)

Date______________________________________________________________

Please return this form in the Confidential envelope provided.

APPENDIX 2 39
 work
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Appendix 2
Data Protection Act 1998
The Data Protection Act 1998 • personal data shall be adequate,
replaces the 1984 Data Protection relevant and not excessive in
Act. The particular points to note in relation to the purposes for which it
the 1998 Act are: is processed

• a wider definition of ‘data’ than in • personal data shall be accurate

the 1984 Act, including information and, where necessary, kept up to
held in filing systems regardless of date
location (manual, paper-based, and
computerised, including email and • personal data shall be kept for no
the Internet) longer than is necessary for the
purposes for which it is processed
• broadening of the definition of
‘processing’ • personal data shall be processed in
accordance with the rights of data
• extension of the rights of ‘data subjects under the Act
subjects’ (workers in this case)
to have access to details of data • personal data shall be subject
held about them, to know for what to appropriate technical and
purpose information is held, and its organisational measures to protect
relevance to their working life. against unauthorised or unlawful
processing and accidental loss,
There are eight principles governing destruction or damage
the processing of personal data:
• personal data shall not be
• personal data shall be processed transferred to a country or territory
fairly and lawfully outside the European Economic
Area unless that country or territory
• personal data shall be obtained ensures an adequate level of data
only for specified and lawful protection.
purposes, and shall not be
processed in any manner The Information Commissioner
incompatible with those purposes has published guidance to help

40 PERSONNEL DATA AND RECORD KEEPING

employers identify what counts exercise of functions conferred by
as ‘personal data’ under the Data statute, or for the exercise of any
Protection Act. Determining what is function of the Crown
personal data can be found at
www.ico.org.uk. • that if the processing relates
to sensitive data as to racial or
The 1998 Act introduces new ethnic origin it is necessary for the
restrictions on the holding and purpose of monitoring equality of
processing of what is termed opportunity or treatment between
‘sensitive personal data’, such persons of different racial or ethnic
as racial or ethnic origin, political origins with a view to enabling
opinions, religious or other beliefs, such equality to be promoted or
whether a member of a trade union, maintained; and is carried out
physical or mental health, sexual life, with appropriate safeguards for
and any court record, or allegations the rights and freedoms of data
of such. In addition to being subject subjects.
to the eight principles above at least
one of the following conditions must The Act also covers the use of
be complied with – there are others, computerised decision making
but most relevant in the context of packages, such as those used
employment are: in recruitment and sifting of
applications. The uses of such
• the worker has given their explicit packages to complement, not
consent to the processing replace, human judgement is not in
contravention of the Act – it is when
• the processing is necessary for they are in sole use that restrictions
the purposes of exercising or apply. 8
performing any right or obligation
which is conferred or imposed by Employers should think carefully
law on the employer in connection about what kind of information they
with employment ask of their workers. What is the
purpose of such information? Who
• the processing is necessary is to have access to it and under
in connection with any legal what conditions? Remember that
proceedings or for the purpose of the worker can access their personal
obtaining legal advice records and demand rectification of
errors, and can claim compensation
• the processing is necessary for for damage caused by any breach
the administration of justice, for the of the Act, and also for distress in
certain circumstances.

APPENDIX 2 41
 work
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Individuals can also see all manual

files held on them, and make
complaints, seek correction or claim
recompense.

The Information Commissioner –

responsible for enforcement of the
Data Protection Act has published
four codes to help employers
comply with the provisions of 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 from the Commissioner (see
p45 for contact details).

42 PERSONNEL DATA AND RECORD KEEPING

 work
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Notes

1. See Acas Advisory booklet Managing attendance and employee turnover.

Acas publishes a number of advisory handbooks and booklets offering
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 for small firms.

4. Workers employed for more than one month are entitled to be given,
within the first two months of employment, a written copy of their main
terms and conditions of employment. See BERR leaflet Written statement
of employment particulars and visit www.businesslink.uk.gov.

5. HSE can advise on particular responsibilities and requirements.

Tel: HSE Infoline 0870 154 5500.

6. See Discipline and grievances at work – the Acas guide (section 1 of 2).

7. Further information on Human Resource Planning is in the Acas advisory

booklet Recruitment and induction.

8. There are specific requirements for certain categories of workers. For

detail see BERR leaflet Guide to the Working Time Regulations and visit
www.businesslink.gov.uk.

9. See BERR leaflet Pay statement: what they must itemise or visit
Businesslink at www.businesslink.gov.uk.

10. The HSE Infoline is 0870 1502 5500

11. See Acas advisory booklet Recruitment and induction.

12. An ex-offender may withold details of criminal convictions when

applying for a job, depending on the job, the offence, and the time since
conviction. For further information see A guide to the Rehabilitation of
Offenders Act 1974, available from The Stationery Office.

NOTES 43
 work
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13. Acas advisory booklet Employee appraisal gives more information on

appraisal, and examples of different types of appraisal schemes, forms
and records.

14. Details of this scheme, and further information on employer’s obligations

for SSP are available from local social security offices.

15. See Acas advisory booklet Managing attendance and employee turnover
for more detailed information.

16. The right to be accompanied at disciplinary and grievance hearings is set

out in the Employment Rights Act 1999 and the Acas Code of Practice on
Disciplinary and grievance procedures.

17. See Acas advisory booklet Employee communications and consultation.

18. See Code of Practice Time off for trade union duties and activities.

44 PERSONNEL DATA AND RECORD KEEPING

 work
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Further information and

suggested further reading
Equality and Human Rights Commission (EHRC)
The Equality and Human Rights Commission – formerly the Equal
Opportunities Commission, the Commission for 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 belief 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

Office of the Information Commissioner

For information on the Data Protection Act 1998 and the Freedom of
Information Act 2000
Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF
Tel 01625 545745 www.informationcommissioner.gov.uk

Department for Business, Enterprise and Regulatory Reform

Wide range of information on workplace issues
www.berr.gov.uk

FURTHER INFORMATION AND SUGGESTED FURTHER READING 45

 Health and Safety Executive HSE
Controlling the risk to people’s health and safety in the workplace
Infoline: 08701 545500 www.hse.gov.uk

HM Revenue & Customs

Helpline for new and small employers:
Tel: 0845 6070143

Chartered Institute of Personnel and Development

CIPD House, Camp Road, Wimbledon, London SW19 4UX
Tel: 020 8971 9000 www.cipd.co.uk

The Stationery Office

Ordering 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

46 PERSONNEL DATA AND RECORD KEEPING

 work
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Acas Publications
Book time with your

Employment Specialist

Whether you need to know how to write a contract of employment, how

much holiday you are entitled to or about the latest employment legislation,
our range of booklets and leaflets give practical information and advice for
both employers and employees on employment matters.

You can choose from our handbooks offering comprehensive guidance to

the modern workplace or our Getting it Right pocket guides, providing vital
checklists to help small firms run their business.

View and order online at www.acas.org.uk/publications

Other Acas material that might be of interest includes:

Advisory handbook – The A to Z of work

Getting it right – Personnel records.

ACAS TRAINING 47
 work
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Acas Training

Our training is carried out by experience Acas staff who work with businesses
every day. They will show you the value to your business of following good
practice in employment matters and how to avoid the common pitfalls. We
also run special training sessions on new legislation.

Look at the Acas website (www.acas.org.uk/training) for up-to-date

information about all our training or if you want to book a place online.

Training sessions are specially designed for smaller companies and our
current programme includes:

• Managing discipline and grievances

• Managing absence at work

• Essential skills for supervisors

• Having a difficult conversation

• Contracts of 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 e-learning.

48 PERSONNEL DATA AND RECORD KEEPING

Information in this booklet has been revised up to the date of the last
reprint – see date below. For more up-to-date information check the
Acas website.

Legal information is provided for guidance only and should not be

regarded as an authoritative statement of the law, which can only be
made by reference to the particular circumstances which apply. It may,
therefore, be wise to seek legal advice.

Acas aims to improve organisations and working life through better

employment relations. We provide up-to-date information, independent
advice, high quality training and we work with employers and employees
to solve problems and improve performance.

We are an independent, publicly-funded organisation and many of our

services are free.

April 2009
Acas main offices

Acas National Scotland

22nd Floor, Euston Tower, 151 West George Street, Glasgow G2 7JJ
286 Euston Road, London NW1 3JJ
South East
East Midlands Cygnus House, Ground Floor, Waterfront
Lancaster House, 10 Sherwood Rise, Business Park, Fleet, Hampshire GU51 3QT
Nottingham NG7 6JE
Suites 3-5, Business Centre,
East of England 1-7 Commercial Road, Paddock Wood,
Acas House, Kempson Way, Suffolk Kent TN12 6EN
Business Park, Bury St. Edmunds,
Suffolk IP32 7AR South West
The Waterfront, Welsh Back,
London Bristol BS1 4SB
23rd Floor, Euston Tower,
286 Euston Road, London NW1 3JJ Wales
3 Purbeck House, Lambourne Crescent,
North East Llanishen, Cardiff CF14 5GJ
Cross House, Westgate Road,
Newcastle upon Tyne NE1 4XX West Midlands
Apex House, 3 Embassy Drive,
North West Calthorpe Road, Egbaston,
Commercial Union House,
Birmingham B15 1TR
2-10 Albert Square, Manchester M60 8AD

Yorkshire & Humber

Pavilion 1, The Matchworks, Speke Road,
The Cube, 123 Albion Street,
Speke, Liverpool L19 2PH
Leeds LS2 8ER

www.acas.org.uk

Helpline
08457 47 47 47
08456 06 16 00
For minicom users
08457 38 37 36
Acas Customer Services Team
for details of services and training in your area
08456 00 34 44
For questions on managing equality in the workplace
08702 42 90 90
For ordering Acas publications