Report Date : July, 2009

Data integrity – Audit ReportPersonnel Files & Oracle records

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Table of contents

Objective, Scope & procedure performed 3

Executive summary 4

Detailed Inspection & recommended suggestions 5

Detailed Suggestion & Best practices 6

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Objectives, Scope & procedure performed

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Procedure performe

d

Scope

The scope of this audit includes a review of filing & updating of records processes, focusing on the following areas: • Employee file• Matching file records to HR system records• Identify the type of data integrity causes whether it’s human errors, system or process.• Records retention standards.

Objective

• Determine data integrity causes• Records validation & accuracy • Indentify opportunities for process improvements• Determine the “BEST PRACTICE”

• Interviewed personnel officers regarding the filing process• Reviewed current file samples by matching the Oracle records with file records & updating them in parallel • Discussed plans o improve current process• Summarized Inspection and improvement plans

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Executive Summary

Our objective was to determine data integrity by comparing the file records with Oracle records, though this was our main objective but due to necessity

to identify causes of such inaccurate records & not address some of these additional problems may cause inefficiencies and could eventually put the

HR’s ability to deliver & maintain data accuracy at risk.

To be most effective the HR needs to put more efforts into creating & implementing improvements on SOP plan as such plan does not currently

exit.

Here are our recommendation & several additional steps including guidance on Personnel record keeping & periodic inventories of files.. Etc.

Records Retention standards (H 2) & e Archive (H 5)

Renew employment contract

New Associate file standard (H 3)

e Archive (H 5)

New employee file standard (H 3)

File Charge out policy (H 4)

Periodic inventories of files(H1), Records checklist(H 6) & Benefit

acknowledgement (H 6.1)

Guide to Personnel Record Keeping (H)

Records Retention standards (H 2) & e Archive (H 5)

Renew employment contract

New Associate file standard (H 3)

e Archive (H 5)

New employee file standard (H 3)

File Charge out policy (H 4)

Periodic inventories of files(H1), Records checklist(H 6) & Benefit

acknowledgement (H 6.1)

Guide to Personnel Record Keeping (H)

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Detailed Inspection/Suggestion

Inspection/Issues Suggestion Inspection/Issues Suggestion

1. Some files are overwhelmed with old & new docs

2. Some Employee have no employment contract

3. Un related docs are put & mixed with other docs

4. Ex – employee files are still kept with the personnel officer though EOS already done

5. Some employee files are worn out and needs new one

6. Misplaced employee files or missing

7. Out dated records, wrong or missing in both files & HR system,

8. Diversity in filing process between personnel officer

1. Some files are overwhelmed with old & new docs

2. Some Employee have no employment contract

3. Un related docs are put & mixed with other docs

4. Ex – employee files are still kept with the personnel officer though EOS already done

5. Some employee files are worn out and needs new one

6. Misplaced employee files or missing

7. Out dated records, wrong or missing in both files & HR system,

8. Diversity in filing process between personnel officer

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Detailed Suggestions & Best practices

H

H 1

H 1.1

Guide to Personnel record KeepingRef.

HR has to issue a Guide to employee record keeping which Personnel Officers must follow in maintaining the files, this educational guide includes SOP & Practices such describe below:

Periodic Inventories of filesHR has to create a periodic inventories of files SOP where it conducts on scheduled date as an Audit inspection and it consist of these following steps:

Check file statusThe files are to be checked for their status if worn out should be replaced immediately H

1.2Check RecordsRecords can be checked by reviewing contents with the Data records checklist (H 6) form & Benefit Acknowledgment (H 6.1)

H 1.3Check charge out files

Conduct an inspection on charge out files by reviewing the file charge out (H 3) cards

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Detailed Suggestions & Best practices

H 2Records Retention Standards “RRS” Documents will be categorize in the associate file as either long term or temporary.

Long term records include the employment contract and such. Temporary records include offer letters and such. This would help ensure consistent treatment of these recordsH 3

New employee file standardCurrent employee file needed to be modified to suite new additional document such Training & Development & employee separation Etc..

H 4File charge out policy

HR should uses a colored sign-out cards to track associate files while they are use by other than Personnel Officer. The person taking out the file writes down his name, Emp. number & charge out date on the card then is placed in a specific order in a separate file for sign-out cards. Files are supposed to be returned within a specific period.

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Detailed Suggestions & Best practices H 5 e Archive

Employee file records documents can be maintained and archived electronically for easy access & fast retrievable purpose.All electronic records should meet Employee Archives and Records Standard. “EARS”

H 6 Data Records Checklist

For the purpose of maintaining accurate records on both Employee files & HR system Personnel Officer suppose to conduct periodic records update following the standard Data Records Checklist.

Benefit Acknowledgment To prevent a possibility of uncertain claims from employee on their benefits & to secure on further abuse on such cases, employee has to undertake a Benefit Statement Acknowledgment form, which could be done on a annual manner.

H 6.1

Report Date : July, 2009

THANK YOU

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