STUDENT’S NAME: _____________________________________________________________
BSB20107 Certificate II in Business
BSBINM201A
Process and Maintain
Workplace Information
STUDENT INFORMATION BOOKLET
UNIT CODE: BSBINM201A
UNIT TITLE: Process and maintain workplace information
Description
This unit describes the performance outcomes, skills and knowledge required to collect,
process, store and maintain workplace information and systems. It is also includes
maintenance of filing and records systems.
ELEMENT PERFORMANCE CRITERIA
1. Collect information 1.1 Collect information in a timely manner and
ensure that it is relevant to organisational
needs
1.2 Use business equipment/technology
available in the work area to effectively obtain
information
1.3 Apply organisational requirements relating
to security and confidentiality in handling
information
2. Process workplace information 2.1 Use business equipment/technology to
process information in accordance with
defined timeframes, guidelines and
procedures
2.2 Process information in accordance with
defined timeframes, guidelines and
procedures
2.3 Update, modify and file information in
accordance with organisational requirements
2.4 Collate and despatch information in
accordance with specified timeframes and
organisational requirements
3. Maintain information systems 3.1 Maintain information and filing systems in
accordance with organisational requirements
3.2 Identify, remove and/or relocate inactive or
dead files in accordance with organisational
requirements
3.3 Establish and assemble new files in
accordance with organisational requirements
3.4 Update reference and index systems in
accordance with organisational requirements
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Introduction
All businesses store information to support the day-to-day operation of their primary function of
manufacturing goods or providing services. Information/ data is recorded either in an electronic database
system or in a paper-based system, or in a combination of both systems. This information/data is classified,
indexed and stored efficiently and effectively so that it can be retrieved quickly when it is required. This is
called records management.
A record is any business document. The following are some examples:
letters to clients:
making an initial contact
replying to a request for information
making a request for information
confirming an order for goods/services
internal memorandums between personnel within the organisation:
passing on information
communicating information on corporate policies and procedures
reports from departmental managers to top level management on the progress of production
and/or sale of goods or services
sales reports from management to department managers communicating information on future
goals and deadlines
invoices and statements to customers
purchase orders for supplies
internal stationery requisitions
personnel information/data recorded in the human resources department for internal use
names and addresses of customers/clients
details of books and journals on microfiche or computer database in libraries
insurance policies and other legal documents necessary for the running of the business
The Three Functions of Records Management
1. Primary function
The primary function of records management is to control the creating, care, storage and retrieval of essential
information/data required by personnel at all levels of the organisation in order to:
make decisions
provide information on decisions already taken
record transactions for the business and those who deal with the business
provide a source of material for research into better methods and procedures
satisfy legal and taxation requirements
2. Secondary Function
The secondary function of records management is to provide essential information/data for:
statistical analysis
input into administrative services
updating supplies, maintenance and purchasing
preparation of reports for management
3. Tertiary function
Records management allows analysis for internal audit for evaluation of the records management system
itself.
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Centralised and Decentralised Filing Systems
Whether your records management system is paper-based, or an electronic database, who operates it and how
it is controlled will depend on the size and type of the organisation you work for, and whether the system is
centralised or decentralised. In any kind of business both systems can be operating at the same time.
Centralised Filing Systems (computer or paper-based)
In a centralised filing system, all records are kept in one location and are controlled by one person (or a
number of persons) using one procedural system. In a computerised system it is easy for anyone to access the
system from different workstations anywhere in the building.
For example, in large organisations such as Telstra, or the Commonwealth Bank, huge computer data banks,
containing customers' names and addresses and transactions, are easily accessed by hundreds of people using
the same centralised computerised system.
In a paper-based system, anyone requiring a document in a specified file must make an official request for
release of that file, which is recorded manually, and all this takes time.
Medical and dental centres are examples of a centralised computer based system and a paper-based
system operating together. Patients' personal records are stored on computer for easy access at reception, and
paper records of tests and doctors' notes are stored in a paper based centralised system.
Decentralised Filing System
In a decentralised system, each department, office or section controls and maintains its own filing system
and filing procedures. Usually the same filing procedures are followed as for a centralised system - the major
difference is the physical location of the files themselves.
An effective records management system
Each business chooses the best system and procedures to meet the demands of the individual requirements of
the organisation. The records management system you choose for your business must incorporate four basic
procedural principles. It must:
be simple and easy to use
be accessible
have a high retrieval rate
be safe and secure
Simple and easy to use
Each person in the office who uses the system should be familiar with the way the system operates.
You may be using a computer-based centralised system, with access provided to all personnel. Whatever the
system you use, all the people using it should be trained in the correct procedures required to maintain a
smooth flow of instant information. This procedure should set out in writing in the Office Procedures Manual
to be used by all staff.
Accessibility
The procedures that are set in place must incorporate some method of locating documents when required.
This should include those that are being used by people who have taken them out of the system.
High retrieval rate
Retrieving information from a file as quickly as possible is the ultimate goal of an effective records
management system. Giving a quick, confident, accurate answer to a query from a customer/client, whether
it be on the telephone or at reception, will give the organisation a positive image.
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Security in a computer based management system
To make your computer system as safe and secure as possible, all staff who use the computer database
system must observe the following rules, which should be entered in the procedures manual.
Staff should only have access to data using their personal security password or number
Staff should strictly follow the security procedures so that unauthorised personnel do not have
access to this information
Disks containing confidential data should be locked away when not in use
Security in a paper-based records management system
Ensuring security of confidential information in a records management system can be done in a number of ways:
Confidential files may be colour-coded for easy identification when out of the system
A list should be compiled of staff with access to the confidential files, so that unauthorised
personnel cannot retrieve these records
All filing cabinets containing confidential files should be locked
Confidential files should not be left on desks unattended
LIFECYCLE OF A RECORD
Records management covers the complete lifecycle of a record. It includes:
external or internal creation
utilisation
filing procedures and systems
filing supplies
filing equipment
storage of files
control
retrieval
disposal
External Creation
A letter is received from a customer/client
A letter in reply is dictated, transcribed and printed on a letterhead, and copies are made before
the letter is mailed
Messages are taken over the telephone or by e-mail from customer/clients
Diaries or computer systems contain records of appointments
Internal Creation
Memorandums are written and created and distributed from one department to another
department within the organisation
Stock-control cards are used to maintain a supplies system
Personnel details are stored on a computer database or on cards in the human resource
department
Utilisation
The information in these records is used-to create more information, or is used as a basis for decision-making.
A letter is sent in reply to a letter received from a customer and copies are filed for future action.
Information in an internal memo received from the manager of the sales department by the
manager of the production department is used to make decisions on manufacturing and
production of goods. It is then filed away for future reference.
A message you take from a client regarding a query on the delivery of goods is handed to your
manager for action.
The appointments made by you for clients, and entered in your diary and your manager's diary,
are used to gain new business or increase existing business.
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Stock control cards or computer database systems, are controlled and maintained so that supplies
are received in plenty of time to ensure the smooth operation of the business.
Stationery supplies such as letterheads, copy paper, staples, folders, pens and pencils must be
ordered before stocks are finished.
Records stored in the human resource department are used to calculate and pay out wages and
salaries, or to select an employee for a position within the organisation.
Records Handling
Your duties as a filing clerk using a paper based system are to control and maintain documents in a condition
ready for instant retrieval and use by management and other personnel on demand. This involves:
using the correct filing procedures
preparation of documents ready for filing
indexing documents
coding documents
placing documents in the correct filing system
keeping track of any files which have been taken out of the system
arranging for the disposal of non-active or 'dead' files (after this has had the approval of your
manager or supervisor)
Filing Procedures
Earlier, it was mentioned that an effective records management system must incorporate factors such as ease
of use, accessibility, high retrieval rate, safety and security. These factors must be included in the system that
is most suitable for your type of business.
Procedures Manual
Once the details have been organised and approved, they should be written down in the-office procedures
manual for reference by other-people using the system. A procedures manual should include a section on
records management, stating:
how files are to be classified and what type of record is to be store in each file
the procedures to be used for creating files
the procedures to be used for storage and retrieval of documents
the procedures to be used for retention and disposal of documents
the procedures to be used for release of files, including a list of names for the release of
confidential files
Preparation of Documents for Filing
Before filing documents, you must prepare them by inspecting, indexing and coding them.
Inspecting Documents
First look for a release mark, which is the authorisation for the document to be filed. This could be a
handwritten instruction to file the document, together with the initials of the person who has dealt with it. It
could be a rubber stamp stating 'FILE', or it could be the reference number of the file in which the document
is to be placed.
Then you prepare documents for filing by:
repairing any damaged sheets with sticky tape
placing documents together which relate to one file
removing all staples and paperclips from them if your filing system requires you to actually clip
documents into the file
If your filing system requires you to file documents loosely, it is not necessary to remove either
staples or paperclips.
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Indexing Documents (Key Words)
Indexing is the process of deciding the order in which names and titles of organisation are to be considered
when working out where to file a document. The order is determined by the most important part of the name
or title or the key word or key number as shown below:
J B Morrison and Associates Pty Ltd (Morrison is the key word)
Next, it is necessary to decide the order of the other words in the title which follow on from the key word.
Each separate word or letter is referred to as a Unit:
Unit 1 Unit 2 Unit 3 Unit 4 Unit 5 Unit 6
Morrison J B Associates Pty Ltd
Colour-Coding Documents
One of the most helpful aids in any filing system is colour-coding both copy documents and sections of the
system. For example
Confidential - red
Customer - blue
Administration - yellow
Staff -orange
It is easy to classify the types of files when they are out of the system and sitting on desks. This helps
particularly in the control of confidential files - it is easy to see, from the colour of the file, who is actually
accessing them. A simple check with the authorised list can indicate whether or not that person is authorised
to have that particular file. It is also easy to see immediately if a file has been misplaced - the incorrect
colour will stand out.
Filing Classifications
Classifying is deciding which kind of filing system is best suited to a particular set of circumstances. Most
organisations will usually use a-variety of filing systems to suit the particular documents being filed.
Documents can be classified in six different ways:
alphabetical alphanumeric
numeric subject
geographic chronological
Indexing Alphabetically
Examples of listing items in alphabetic order are the classified sections of the newspapers and the telephone
White Pages. In the classifieds, under each subject, such as 'positions vacant' and 'cars for sale', each item is
listed in alphabetic order. In the telephone White Pages, names and organisations are listed in alphabetic
order in sections divided with primary guides A to Z.
Primary Guides
Primary guides divide files into sections within each classification. For example, in a card-index box a
special card with a label indicating the letter (A, B, etc) is placed at the front of each section, or a tab is
attached to the first suspension file in each section of the filing cabinet drawer. This clarifies each section
and makes a specific file easier to find.
A (Primary Guide) B
Aarons, Paul Baade, Anthony
Abbey, Mary Barker, Judith
Abbott, Richard Barrow, Allan
Abbott, Tern Bende, Julie
Abdallah, Eden Benhoiz, Martin
Bodsworth Susan
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ALPHABETIC FILING
Alphabetical filing can either be by the lexicographical or the directory method.
LEXICOLGRAPHICAL FILING
Files are placed in strict alphabetical order – the same way that words would be listed in a dictionary. Names
are filed according to the surname first. The above examples of Primary Guides are in lexicographical order.
DIRECTORY METHOD
This is the type of filing used in the telephone directory. For the sake of indexing, the file names are split up
into units as shown in the following six "rules". The first step in indexing is to place each part of the file
name or document name into its correct unit. The units are then arranged in alphabetical order.
There are six basic rules for alphabetic filing.
Rule 1 Alphabetic order
Names and titles are arranged in alphabetic order by units. When names in the first unit are the same, the
second and sometimes the third unit determines the order.
Name Unit 1 Unit 2 Unit 3
J Antell Antell J
Alan Crawford Crawford Alan
Dayton Distributors Dayton Distributors
Harper Furnishings Harper Furnishings
Reynolds Dress Collection Reynolds Dress Collection
Reynolds Dress Shop Reynolds Dress Shop
Rule 2: Nothing comes before something
A single letter, for example, comes before a full name or word. Note: all letters in a possessive are considered.
eg Jim's but disregard the apostrophe Jims
Where initials are part of a company name, the order is not changed as it is for ordinary names.
Example J A Security
Jim's Greek Tavern
Rule 3: Single letters
Single letters that are not abbreviations should be considered as separate units, even if the letters are joined
together.
Example K B International
Q & L Music
Rule 4: Last Name First
Names of persons are indexed by the last name as the first unit. Other parts of the name are indexed in order.
Name Unit 1 Unit 2 Unit 3 Explanation
J Davis Davis J Nothing comes before something
James M Davis Davis James M
John Davis Davis John
Martin Davis Davis Martin There are two entries under M so it is necessary to go
to the next unit, Unit 3, nothing before something
Martin W Davis Davis Martin W
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Rule 5: First word first for business titles
Treat each word of a business title as a separate unit and index the name in the order in which it is written.
However, if there are initials in the company name, then the surname is considered as Unit 1:
Name Unit 1 Unit 2 Unit 3 Explanation
Freeman Dresses Freeman Dresses
Freeman Travel Agency Freeman Travel Agency
L J Hooker Hooker L J comes under H
Jack Casey Toyota Jack Casey Toyota comes under J
Joseph Freeman Wholesale Joseph Freeman Wholesale
Sara Freeman Flowers Sara Freeman Flowers
Rule 6: Numbers
If a business title contains a number, index the number as if it were a word and treat it as one unit.
Name Unit 1 Unit 2 Unit 3 Explanation
A1 Industries A One Industries
21 Club Twenty-one Club
24 Hour Printing Twenty-four Hour Printing
INDEXING UNCERTAINTIES
There may be some occasions when you may be unsure about how to index unusual names and titles. Below
are some variations to the above six rules.
Prefixes eg De, D', De La, Van
Prefixes such as De, D', De La, and Van, are considered as part of the name to which they are attached and
are sorted exactly as written. Ignore any punctuation or spaces.
Mc and Mac
Mc is treated as though spelt Mac. The first letter of the word means that the initial indexing would come
under M and could be considered as Unit 1 in each case. The order under M is determined by what comes
after the Mc or Mac - in practical terms that means Unit 2 onwards.
Saint or St
Saint or St are both treated as if they were spelt out in full. The first letter of the word means that the
initial indexing would come under S with the rest of the word (either t or aint) considered as Unit 1 in each
case - in practical terms that means indexing is done depending on what is in Unit 2 onwards.
Hyphenated names are treated as one unit. Ignore the hyphen.
THE NUMERIC CLASSIFICATION
In the numeric system of classification, each file is allocated the next number in sequence. Numeric
classification and alphabetic classification are the most common ways of filing documents. Classification of
customers and clients in most large organisations is made including both a number and the name or title and
address of the customer/client. Examples of this are:
Telstra bills: account number and name and address of customer
Australian Taxation Office: tax file number, sequence number, name and address of customer
insurance policies: policy number and name and address of client
invoices and statements: number and name and address of customer
libraries: use the Dewey decimal classification for indexing books and other materials
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THE ALPHA-NUMERIC CLASSIFICATION
The alphanumeric system of classification uses a combination of both letters and numbers. For example:
In a hardware store, a certain type of nut and bolt is given the stock control letter of NB and each different
size is given a number (N13100, N13101, N13102, and so on).
THE GEOGRAPHIC CLASSIFICATION
The geographic system of classification is filing according to geographic location. Documents are indexed
using cities, towns and suburbs in the different states of Australia. For example the company divides its
operations into four regions:
Queensland and Northern Territory
Victoria and Tasmania
New South Wales
Western Australia and South Australia
Documents such as sales reports are indexed and filed using the state as the primary guide, with documents
filed in alphabetic order of suburb, and then alphabetic order of customers.
THE SUBJECT CLASSIFICATION
A simple example of subject classification is when you divide your filing system at home into sections with
headings such as:
Taxation Electricity
Rates Gas
Holidays Investments
A clothing manufacturing business could classify the letters to customers into categories of goods such as:
Silk Blouses (yellow)
Long Skirts (print)
Leggings Wool (black)
These would be used as primary guides with the customers' names and addresses indexed in alphabetic order
in each subject section. This would be useful in finding out the popularity of a particular article and would
help in maintaining manufacturing and stock records.
THE CHRONOLOGICAL CLASSIFICATION
Documents in the chronological classification are sorted in date order. The most useful application for this
system is in a 'diary file'. This is sometimes called a 'tickler file' or a 'bring-forward/bring-up' file.
Documents which need attention in the future, one day, one week, one month, or even years ahead, are filed
in the relevant date and retrieved on that date.
This system is also used as a reminder and can be a useful tool for better personal effectiveness. It can be
used in conjunction with a computer diary system, but the actual documents are filed in the diary file ready
for dealing with when retrieved.
One drawer in a filing cabinet is filled with suspension files labelled with primary guides for each month.
Thirty-one suspension files are installed after the first month labelled with the dates 1 to 31. There are-also
suspension files at the back of these files labelled with the dates of the next three or four years.
Documents are filed in the relevant day of the month, with enough time allowed for processing the
documents. Every day when you arrive at work you retrieve the documents filed for that day, place them on
your desk for processing, and place the suspension file (with the day of the month) at the back of the primary
guide for the next month. The days of the month are then moved forward, which is why this sometimes
called a 'bring-forward file'.
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FILING SUPPLIES AND EQUIPMENT
When you have classified, indexed and sorted your documents, these need to be labelled and stored in folders
and-placed in containers or cabinets in - a convenient location for easy access.
Vertical files
The most common method of storing customer records is in metal storage cabinets with two, three or four
drawers. Suspension files containing documents are placed one behind the other.
Lateral files
Although metal cabinets have been the traditional method of storing documents; today there are many types
of lateral filing cabinets that save space and use different methods of colour-coding for ease of retrieval. In
these, suspension files containing documents are placed next to one another. (Examples of lateral files:
compactus or trolley files).
Records Processing and Maintenance
Once you have established the methods and procedures for your filing system, you now have to control the
system by updating and modifying records to allow for:
new customers details being entered
files being taken out and returned
locating misplaced or lost files
cross-referencing files
Direct and Indirect Filing
The direct method of filing is when a document is accessed immediately from storage without reference to
another source of information. An example is when a letter is filed and retrieved using only a name or
company title.
If reference is made first to a number in a card index and then to the name, this is called the indirect method
of filing. A method of cross-referencing is used when classifying in the indirect method of filing.
Cross Referencing
Sometimes a record of information may need to be stored in more than one place and this could cause
problems when trying to retrieve the-information. For example, stationery goods, which are ordered by a
very large organisation may be delivered to different locations with different company titles.
A centralised accounting system operates from head office because of economies of scale, which means that
due to the large quantities ordered, the goods are bought at greatly discounted prices. One invoice is sent for
all the goods, so you need to have some method of linking the goods sent to the different locations with the
one invoice number. The usual method is to attach a cross-reference sheet or card to the main head office
company title indicating the other branch titles and the invoice number, as shown below:
Name/Title: Southern Cross Transport
See: Weir and Co Transport
See also: Dobsworth and Co Pty Ltd
Reference: Invoice Number: 27683
Date: 3 January 2007
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Movement of Files
To ensure that files borrowed from the system are returned to the correct location, there are several practices
that you need to put into operation.
Identifying, locating and retrieving files and documents
Once the filing system is organised into the procedures and systems most suited to your particular business;
all the classifications are colour-coded and labelled; and everything is set up efficiently, you-need-to make
sure that it stays that way. There are filing practices that need to be put into operation when taking files out
of the system and returning them to the system to make sure that everything continues to work efficiently
and effectively.
Good filing practices
Work out regular times to do the filing. This need not be every day, but documents should be
grouped together in classifications ready for filing so that items can be located if required.
At the end of each filing classification, set up a 'miscellaneous' folder for documents that do not
related to a particular client or number. File these documents in alphabetic order for ease of
retrieval
Do not overcrowd files or cabinets. This makes it very hard to find anything. Always leave
working space.
Procedures for Placing Documents in a Folder
Place correspondence in the folder with the top of the letter on the left
Place the most recent letter on top (chronological - most recent date; numeric - the highest
number). This means that all documents are facing the same way and easy to read.
Make new labels and replace folders when they become torn. Folders can be used many times.
File/document movement
Files in some systems are recorded in another location such as a file index box or a computerised system as a
double cheek in case one file is lost. There are some very simple aids to help prevent the loss of files.
File movement register
A file movement register can be easily compiled by using a ring binder with loose sheets which-record
details of files which have been taken out & the system, by whom, the date they were taken, and when they
were returned or are to be returned.
File movement marker
At the same time as a file is recorded in the file movement register, a file movement marker (out card) is
placed in the location from which the file has been removed so that anyone searching for that particular file
knows who has taken it.
Locating missing files
If you have checked the file movement register and still cannot locate the file, there are several things you
can do.
Check the file just before and after the file you are trying to find; it may have been misfiled.
Check the bottom of the filing cabinet drawer; the file may have slipped under the other files.
Check the other drawers; the document may have been placed in the wrong classification.
Cheek your desk and your boss's desk. The file may have become mixed up with other documents.
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Records Retention and Disposal
There are five stages of records retention:
1. Active Records are files that are used regularly. They could be documents that have been recently
created, or they could have been in the filing system for a long period of time. Active records should
remain in the current system.
2. Semi-active records are files that are only used occasionally and can be placed in a less convenient
location.
3. Inactive records are files that are not in current use and are being retained only for reference
purposes. These can be placed in archive boxes and stored in a less convenient location.
4. Long-term records are documents that have to be kept for a period of time for legal requirements.
These are also placed in archive boxes and stored in a less convenient location
5. Archive records are records that are retained only because of their historical interest or legal
requirements. These can be placed in a storeroom or off-site location.
Records disposal
All records pass through the lifecycle from 'creation' to 'disposal'. As part of records management, you check
regularly the stages of all files, and any that have reached the inactive, long-term, or archive stages should be
removed from your current filing system. The reasons for this are:
More space becomes available for active and new files
Retrieval time becomes quicker as it is easier to locate your current files as old files are not
taking up space in filing drawers
Control of records is more efficient and effective when active and inactive files are separated
Cost savings can be made to the business if less storage equipment is used
A decision is made, by management or your office supervisor, about the disposal of a document once the life
of that record has ended. Once records are outside the retention period, and are no longer active, or semi-
active, the documents are destroyed by shredding (particularly if they contain confidential information) or
recycling, as authorised by management or your supervisor.
A note of records that have been destroyed should be made in a Records Disposal Register in case this
information is required for legal purposes. The following table shows a records disposal register sheet.
Records Disposal Register
No Title of Document Description of Decision Disposal Date
documents made by: action
Automated Records Management Systems
Automated records management systems are systems where the computer is used to support the
implementation of records control. They can substantially reduce the labour involved in records management
procedures and improve the efficiency with which records are stored and retrieved. As with the automation
of any processes, they should only be introduced if existing systems are not meeting requirements, of if
computerisation will lead to worthwhile productivity improvements or open up new and better ways of
managing information.
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There is a variety of software available for management systems and these software packages come in the
form of some kind of database.
When reviewing packages, it is important to ensure information on all possible costs is gathered. The main
costs are for the initial purchase of the software, including any additional features that may be selected,
equipment, installation, annual or 'as required' maintenance, software modifications, and training.
Selecting a records management system
Before deciding on a records management system the Records Manager must have a good grasp of the
current records management requirements of the enterprise. He or she must also take into account the
direction in which the organisation is heading and the way in which information is generated, processed and
distributed. Specific issues to be addressed include:
The functional requirements-those that are essential and those that would be 'nice to have'.
The type and volume of records to be managed.
The need for integration with other systems.
The availability of financial and human resources to purchase, implement and maintain the system.
The hardware, software and operating environment in which the system is to be implemented.
The level of computer support available within the organisation.
The quality of existing manual systems that are to be computerised.
The need for conversion of existing records.
The relative advantages and disadvantages of developing a system in-house and of purchasing a
commercial package.
Whatever records management system is selected, it should be capable of meeting changing needs.
Security
As in all aspects of Records Management, security in electronic filing is essential. For example, a particular
user may have 'read only' access to all the records of staff files, but cannot enter or change any details, and
cannot see the field which includes the tax file number.
Summary
Current trends in the technology related to information processing have two major impacts to be considered
with the introduction of an electronic Records Management System.
Records stored in non-paper format need to be managed just as paper records do. If proper
controls are not established for electronic records, there is a danger that when they are required
for whatever reason, operational or legal, it will be discovered that they have been destroyed or
lost.
Technological developments can be used by Records Managers to improve the efficiency with
which information is created, used and managed within their organisations and to reduce the
amount of paper to be stored.
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