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Test your knowledge answers

  1. What is meant by keeping records ‘secure’ and ‘confidential’? Sensitive (confidential) information about clients, products or personnel should not be released to unauthorised persons. This information must be kept secure by being locked away when not in use and kept out of the public view when in use.
     
  2. What precautions can be taken to maintain strict confidentiality in relation to sensitive records?
    • Categorise records according to their level of access
    • Maintain a list of staff authorised to have access to confidential files
    • Do not discuss sensitive or confidential matters or conduct private phone conversations in public areas
    • Keep files locked when not in use
    • Do not leave files unattended or in public view
    • Passwords should be issued to staff to gain access to computer based files

     
  3. Which of the following is sorted correctly? answer ‘c’
     
  4. Which of the following is sorted correctly? answer ‘b’
     
  5. Describe six different filing classifications.
    • alphabetic – using the client name and filing in A-Z order
    • numeric – using a file number or code, filed numerically
    • alpha-numeric – using a combination of alphabetical code and a number
    • geographic – filed according to location, usually State followed by city/town/suburb followed by client name, alphabetically sorted
    • subject – using a specific subject or heading as the indexing unit
    • chronological – filed in date order, most recent date on top
    • keyword – using a specific keyword from the information as the indexing unit

     
  6. How should you deal with inactive and dead files? At regular intervals records need to be identified as inactive or dead.
    • 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 records will be permanently removed from the system and destroyed

      Dead or inactive files may be
    • relocated to secondary storage elsewhere in the organisation or offsite
    • stored electronically (diskette, tape, CD-ROM, Zip files)
    • stored on Microfilm or Microfiche
    • Scanned and stored electronically
    • destroyed immediately by shredding (if confidential) or recycling

      The file index will need to 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.
     
  7. Explain ‘indexing’ and ‘coding’. 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.
     
  8. List some good filing practices. 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

     
  9. What are the advantages of using a computer to store files? Saves space, saves paper and time in preparing paper-based files, can be accessed by more than one person, can be edited or modified and reused, can handle an enormous quantity of information, can be ‘zipped’ or stored on CD for extra space saving, can be transmitted to other offices or staff (email) quickly and without using paper, can be kept off-site for additional security.
     
  10. Describe three methods that can help keep track of files in the office Use a file movement register to keep a record of all files taken from the system
    • Insert a file movement marker in place of the file to show others who has taken the file and when
    • Use a passing slip (similar to a circulation slip) to show the movement of the file around the office
    • Use a computerised bar code system to check out files

    Answers to questions from previous HSC examination papers

  11. (d)
     
  12. (b)
     
  13. (a)
     
  14. (a)
     
    1. Tweed                 Factory          (The)

      Twenty Four           Hour           Printing
       
    2. any two of: geographic, numeric, alphanumeric, chronological, keyword, subject
       
    3. Incorrect handling of records can cause hazards or injuries to self or others in the workplace eg tripping over open filing cabinets or files left on the floor, attempting to carry heavy loads instead of using a trolley. All staff should follow OH&S guidelines to prevent dangerous situations arising.
       
    4. answer could include explanations (three) from: coding, indexing, cross referencing, out guides, file movement register or cards, appropriate storage, removal of dead or inactive files to secondary storage or archives, filing regularly and correctly, confidentiality in handling of files.
       
    NOTE that you must include the importance of each procedure in the management of files to fully answer this question, eg removal of files to secondary storage – to avoid overcrowding of filing systems and easy and quick location of up-to-date records, dead or inactive files should be regularly moved to another location.
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