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Important notes
Elements of competency
1. Collect information
Collection of information is timely and relevant to organisational needs
What is information?
Each organisation must have access to information and data if it is to function efficiently. This information needs to be collected (or created), stored and cared for and be easily accessed or retrieved. Records, then, are sources of information (documents or other items) which the organisation wants or needs to retain.
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Types of information
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Examples
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| correspondence | faxes, letters, memos, email |
| computer databases | customer records, library catalogue |
| computer files | copies of letters, memos, other documents |
| sales records | monthly forecasts, targets achieved |
| forms | membership forms, insurance forms |
| invoices | accounts from suppliers; to debtors |
| personnel records | personal details, salary rates |
| minutes of meetings | staff meetings, board meetings |
The overall objective of any records management system is to provide the right information, at the right time, to the right person(s) at an affordable cost. Information is stored so that specific information is available when it is needed and in such a way that security and confidentiality is maintained.
Business equipment/technology available in the work area is used to obtain information effectively
What types of technology or business equipment can assist in the effective collection of information?
- photocopier
- computer
- printer
- binder
- filing systems – manual, computerised or electronic
- answering machine
- fax machine
- telephone
All staff should know how to use this technology and equipment. If in doubt staff should ask for training or help to become familiar with the manufacturer’s instructions.
Someone in the organisation should ensure that regular maintenance is carried out and that any faults or hazards are reported immediately; this will ensure the efficient collection of information continues.
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Forms of paper based storage
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| Filing cabinets | 3-drawer, 4-drawer, 2-drawer |
| Flat | flat box file, horizontal plan file |
| Lever arch | binder |
| Suspension folders | hanging files |
| Shelving | lateral cabinets, compactus |
| Other | trolley, spike file, rotary file, concertina file |
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Forms of electronic storage
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| Database | For example, using Microsoft Access or Works |
| Computer files | For example, using Microsoft Word or Excel files on hard or floppy disk |
| For example Hotmail or Yahoo | |
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Forms of image based storage
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| Microfiche
Microfilm |
Micrographics involves filming documents to reduce their size and recording this information on microfilm or microfiche ‘pages’ allowing large quantities of records to be stored conveniently and with huge space reduction |
Organisational requirements relating to security and confidentiality are applied to information handling.
Offices generally store large amounts of information and a percentage of it will be confidential and should not be accessible by everyone. All classified or sensitive information should be stored in secure areas with access restricted to authorised staff.
All organisations will have policies and procedures designed to maintain security and confidentiality of information. Examples might include
- transferring telephone calls to a private area so that confidential discussion cannot be overheard
- ensuring mail is not left unattended or open to general public view
- using passwords to restrict access to computer records; some staff have more access than others
- restricting access to organisational email
- storing specific hard-copy files in a lockable cupboard, filing cabinet or vault
- using encryption of computer files
- requiring a written request for release of files; the request might require signed authorisation from a supervisor
Enterprise policy will also specify how the retrieval and movement of files is monitored so that files are not misplaced or misused.
2. Process workplace information
Business equipment/technology is used to process information in accordance with organisational requirements
Organisations establish filing systems to accommodate the type of records they need to keep. A business might establish a centralised filing system (all the records are kept in the one place) or a non-centralised system (departments within organisations have control of their own records).
Staff need to know about the types of technology and equipment used in the organisation and how it is used to organise information. Most organisations will train staff in their own procedures for record keeping, filing systems and security procedures.
Organisation of information
The most common types of classification for records and information are alphabetic, numeric, alpha-numeric, geographic, subject, keyword and chronological
Alphabetical
The most commonly used method of filing, the alphabetical system places files in alphabetical order according to the customer or business name eg the telephone book. There are a number of rules to remember when using the alphabetic system.
- Disregard ‘joining’ words and titles such
as “and”, “the”,
“&”, “Mr”, “Sir”,
“Dr”, “Miss” etc
- Hyphenated or compound names are treated as one word
eg Jones-Smythe and van der Lynden are both indexed as one word
- Initials come before names (in filing ‘nothing
comes before something’), eg B Thompson
would be filed ahead of Brian Thompson
- Company names are treated in the order they are
written, except if they contain a family name, eg both
Grace Bros and Robert E Grace & Sons are filed under
‘Grace’, but Robert & Hickey would be filed
under ‘Robert’
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Abbreviations are treated as if the word was written in
full
St is indexed as Saint, Ltd as Limited. This means that St and Saint entries are treated as if spelt the same way, and intersorted. Mac and Mc are also intersorted eg J McDonald would be filed ahead of John MacDonald
- Numbers which are part of a business or company name
are regarded as though spelled eg 24-7 is indexed as
twentyfour seven
- Note: computer filing systems will usually sort numbers before letters and would file 24-7 before the ‘A’ entries in a database listing
Filing rules can vary between organisations so staff should always check the procedures and rules at a workplace.
Numerical
Each file or piece of information is filed in number order, from lowest to highest, according to
- the number on the document eg Tax Invoice number
- the customer number, account number or membershipnumber
- another numbering system eg Dewy decimal system used in libraries
Numerical systems are usually an indirect method of filing and need to be cross-referenced to an alphabetical index eg an alphabetical list of customer names showing their account number. Alpha-numeric systems combine both letters and numbers in a file reference number.
Geographical
Information is indexed alphabetically according to geographical location. Australian States and Territories are indexed first, followed by the city, town or suburb, then other appropriate information eg customer name.
Subject
Records are sorted according to the subject matter and filed alphabetically. This allows information on the one topic, or subject, to be easily located.
Key word
A particular word is used as the subject classification and specific descriptors are also allocated to further classify the information. Keyword systems are usually used in large organisations where the keywords are specifically designated.
Chronological
Chronological filing is used in conjunction with other filing methods and involves sorting records according to their date. In a client file for example, correspondence would be filed with most recent on top. Copies of Purchase Orders would be filed with the most recently sent order on top.
Information is processed in accordance with defined timeframes, guidelines and procedures
In a business environment it is usual to have a specific amount of time in which to locate files or records, either for others in the organisation or in order to complete a task yourself. You need to be able to process information efficiently and effectively; having an understanding of the organisation’s policy and procedures, the filing systems, technology and equipment used will assist you in meeting these timeframes while maintaining security and confidentiality procedures.
When a document is stamped or noted ‘file’ or ‘F’ or ‘released’, all appropriate action has been taken and it is ready to be filed. The person who has dealt with the document will often indicate where it is to be filed.
Indexing is the process of deciding where the document is to be stored – the indexing unit may be the keyword, customer number, business name, individual’s surname, geographic location etc.
Coding makes it clear where the document is to be stored – either by highlighting the keyword or the name under which it is to be filed, or writing the file number or a subject or code on the document.
Requests for information should be dealt with in accordance with the instructions received. Circulation of some materials may involve photocopying, collating (or bringing together) a variety of materials or pages of information, binding these pages together or inserting into a folder, marking the information as ‘confidential’ or ‘urgent’ and dispatching the information or records (eg internal mail, post, email) within a certain timeframe.
Information is updated, modified and filed in accordance with organisational requirements
Businesses rely on having accurate information available. The integrity or accuracy of information in the system must be maintained at all times. Records will need to be
- updated eg adding a new customer to the database, changing the answering machine message over a holiday period, altering the prices on a price list
- modified eg changing a customer’s phone number on the database, using the newsletter template but changing the contents
These changes should be done in a timely manner and in accordance with organisational requirements – updating an address after the monthly statements are sent would be ineffective; regularly updating the message on the answering machine makes a positive impact on callers.
3. Maintain information systems
Information and filing systems are maintained in accordance with organisational requirements
Files, records and information are in daily use throughout the office. New files are being created and old files removed from both the system and file index, and information is modified and updated within files.
Most organisations have filing practices in place that allow the movement of files to be monitored at all times.
File Movement Register – a book, binder or electronic file, recording file name, number, date borrowed, borrower, date returned etc. Entering details into the register allows others to know the whereabouts of the file and saves valuable time in tracking the file.
File Movement Marker – an ‘outcard’ which is placed in the hard copy filing system where the file came from, or a note in an electronic system showing the borrower’s details and date borrowed.
Some organisations use a barcode borrowing system for files (similar to borrowing a library book) or ‘passing slips’ (similar to circulation slips or envelopes) recording the movement of files.
If a file could be located in more than one location it may be necessary to cross reference the file. A marker is inserted in the filing system in the alternate location, directing you to the actual location of the file.
Good filing practices include
- setting a regular time aside for filing
- removing paper clips or pins which might damage files
- mending any damage before filing
- attaching small documents to an A4 sheet before filing
- establishing new files rather than overfilling existing files
- avoiding the use of plastic covers
- returning files to the system as soon as possible
- paying attention to Occupational Health and Safety issues eg closing filing cabinet drawers when not in use; using a trolley when heavy or bulky items need to be moved; using a ladder when retrieving files from a high location; not storing files where they could overbalance or be tripped over
It is essential that computer operators understand the electronic file management procedures of the organisation, such as how files are named and how folders (directories) are used.
Inactive or dead files are identified, removed and/or relocated in accordance with organisational requirements
It is necessary to identify, record and store dead files or inactive files in order to make way for new files.
Organisations have procedures for routinely checking for dead or inactive records and transferring them from the active filing system to secondary storage at regular intervals.
Once records have been identified as no longer active
- some will be retained for a specific period of time eg financial records are retained for seven years as a legal requirement
- some records, usually of historic value, will be retained indefinitely as archive files
- some dead or inactive files can be immediately destroyed by shredding (if confidential) or recycling
- the file index will be updated to show current status of records on file, removing dead files from the index. A records disposal register may also be maintained showing when and which records have been removed from active storage.
Relocation of dead or inactive files may include
- periodically archiving or deleting files – relocating them to secondary storage elsewhere in the organisation or offsite
- electronic storage of files (diskette, tape, CD-ROM, Zip files)
- storing information, including printed and photographic materials, on microfilm or microfiche
- scanning information and storing electronically
- recycling or shredding
New files are established and assembled in accordance with organisational requirements
Steps in establishing a new file
- Identify the need to create a new file
- Assign a file name or number
- Prepare a hanging file or folder for paper based files or a sub directory or folder on the computer for electronic files
- Enter the new file in the file register or database
- Enter the file into the file index if necessary
- Gather items into the filing system in correct order
- Store as appropriate
Reference and index systems are updated in accordance with organisational requirements
In order to maintain the integrity of the system, any reference or file index will need to be updated regularly to show the current status of records on file. An out-of-date index system will cause confusion and waste valuable time.
- Name changes or changes in file numbers or codes should be regularly maintained and modified
- Dead files must be removed from the index
- A records disposal register may also be maintained showing which records have been removed from active storage, when and with whose authorisation.
- Computer systems should be regularly checked and purged of dead or inactive files.
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