NCV 2 Management Practice Hands-On Support Slide Show - Module 5

Management Practice 2

Module 5: Record Keeping

Management Practice – Level 2 2Future Managers

• After completing this Module, you will be able to:– Explain why companies record and keep

information– Name and describe the type of records that are

specific to a contract or to an agreement in a selected business sector

– Locate and provide records to users on request– Maintain confidentiality of customer and

company information

Recordkeeping


• After completing this outcome, you will be able to:– Explain why it is necessary to record

information

– List examples of types of records kept within given departments and explain the information recorded in such documents

– Name three methods of creating records

– Describe the purpose for using specific records

1. Explain why companies record and keep information


• What is a record?– A record refers to the written or spoken proof

of information gathered and kept for use in making decisions

• Types of Records– Paper records

– Electronic records (Name as many types of electronic storage as you can)

– Spoken records

The record life cycle


• Make a list of all the current methods of record keeping that you are aware of

Activity 5.1: Record keeping


The record life cycle


Records creation

Records storage

Records maintenance

Records retrieval

Records disposal

• Record management– Refers to an administrative service in an

enterprise that is responsible for creating and maintaining systematic procedures and controlling all phases of the record’s life cycle

Record management programme


• Phase 1: Creating a record– Employees should understand the importance

of controlling records creation



• Think of ways in your environment where record creation can be limited and list them



• Phase 2: Record storage– Physical storage

• Alphabetical

• Numerical

• Alpha-numerical

• Chronological

• Geographical

• Subject



• Visit a nearby organisation and do research on how it classifies its records, with reference to the above methods. If possible, bring a picture of the record classification systems in that specific organisation

Activity 5.3: Research task


• Find out how well you know the rules of alphabetical filing by writing the following names in the correct alphabetical order – according to the surnames.– Samantha O’ Reilly– Willem de la Porte – Frank van Meyeren– Roberto di Favia– John Mkize– Koos van der Merwe

Activity 5.4: Filing


• Before filing records, you must inspect, index, code, cross-reference and sort them. Why?

• Inspecting records– Place records that relate to one file together

– Remove all staples and paperclips from them and repair any damaged sheets

• Indexing records– The process of deciding where a record needs to be

filed



• From the below list of attorneys, use the indexing method (surname) and put them alphabetically in your filing system:– A Batchelor & Associates – Abe Swersky & Ass. – Allan G. Jones Attorneys – Basson, Immelman & Ass. – De Waal & Mohohlo Attorneys – Malherbe & Hanekom Attorneys – Steyl & Vosloo Incorporated – Jan S. de Villiers Attorney – Raymond Joffe Attorney – Smit & Kruger Inc. – Campbell, Scheiflinger Inc. – Ince, Wood & Raubenheimer Att. – Wendy Smith Att. – Faure & Faure Attorneys – Malherbe & Malan Inc

Activity 5.5: Indexing


• Coding records– Coding is the marking of the record by the name,

subject, location or number that was determined in the process of indexing

• Cross-reference records– Sometimes a record may need to be stored in more

than one place, and this could cause problems– you can either make a copy for each folder or – file the memorandum in one folder, namely the

vacation pay folder, and place a cross-reference sheet in the other two folders (sick leave and retirement)

– Which do you prefer? Why?



• Sorting records– Sorting is the arrangement of records in the order

in which they are to be filed• Filing equipment

– No more space should be allocated for records than is necessary.

– Types of filing include:• desk-sized filing units and two-drawer filing cabinets • four or five-drawer file cabinets• lateral cabinets• open-shelf filing units• high-density mobile filing units• rotary files• heavy cardboard boxes

Record Management Programme


• Find out and explain what a letter sorter looks like and how it works

• Information on the sorter could be found by: – visiting the local post office and asking them for

either information on a sorter or an explanation on how it works/operates

– going to the nearest library and gathering information on a sorter

– going onto the internet

Activity 5.6: Sorting


• Obtain pictures of the above-mentioned types of filing equipment. You could obtain pictures or any other information from:– a business in your environment that sells

office furniture

– brochures, promotional material, newspapers

Activity 5.7: Sorting


• Phase 3: Records retrieval– Record retrieval refers to the process of locating

stored information

• Phase 4: Records maintenance– Refers to all activities needed to operate the

storage and retrieval system– Activities include:

• developing efficient procedures for operating the records system

• developing efficient procedures to retain records• protecting the records.



• Critically analyse the check-out card system and identify a possible shortcoming of the system and how this shortcoming can be solved

Activity 5.8: Retrieval of storage information


• Procedures for operating the record system– Set guidelines of how the records management

programme works– Train new people. When a new person is going to use

the filing system, give him or her copy of the written guidelines

– Clear up any areas of controversy– Work out regular times to do filing– At the end of each filing classification, set up a

“miscellaneous” folder for records that do not relate to a particular client or number. File the records in the miscellaneous file in alphabetical order for easy retrieval

– Do not overcrowd files or cabinets– Always leave working space



• Procedures to retain records– Active records – remain in the current system– Semi-active records – can be placed in a less

convenient location– Inactive records – can be placed in archive

boxes– Long-term records – can be placed in archive

boxes– Archive records – placed in offsite location or

storeroom



• What can cause the loss of records?• Vital records include:

– tax records– legal records– insurance policies– warranties– financial records– personnel records – electronic records

Protecting records


• Individual record keeping is also very important. Divide into groups, analyse and answer the following referring to individual record keeping:– list the causes for an individual to lose his or her

records– list the information which is important for the

individual not to lose – what can individuals do to protect their

records?



• In your groups, make a list of reasons why we have to dispose of records

Activity 5.10: Record disposal


• Records disposal– The reasons for the disposal of records are:

• More space becomes available

• Retrieval time is reduced

• Control of records is more efficient and effective when active and inactive files are separated

• Cost savings can be made to the organisation

– If there is no longer a need for records, or the records are not longer active, these records are destroyed. How are records destroyed?



a. Visit a nearby organisation or businesses (different types and sizes) and find out for how long these businesses keep their records before destroying it

b. When they destroy their records, find out how they “destroyed” them?

How long did they keep their records before destroying them:Business A: Retention time of records:Business B: Retention time of records:Business C: Retention time of records:

Method of destroying records:

Activity 5.11: Retention time of records


• Records provide proof of transaction

• Used as references

• Used to improve customer service

• Information can be available when required

1.1 Explain why it is necessary to record information


1.2.1 Detailed and secure records are kept in the following documents:

• Contracts– Legally binding documents that confirm a

relationship between two parties

– Details, as part of a contract are:• dates

• payment

• penalty clauses

1.2 Examples of types of records and information contained in these records


You are requested to:

• bring a copy of a contract to the classroom for an explanation on what a contract will look like

• bring a copy of an already completed contract to display the information included in a contract

Activity 5.11: Retention time of records



• Client records

• Personnel records– the contract of employment between the

company and staff members

– records of annual leave, sick days and overtime

– information about members’ service records




• Agreements• Annual reports• Analytical reports• Management exception reports• Status reports• Activity reports• Company policies• Labour legislation• Insurance policies• Warranties



You are requested to bring a copy of a warranty to the classroom. It could be a warranty of:

• Your playstation

• Ipod

• CD Player

• Kettle

• Any other household item

Activity 5.13: Warranty


1.2.2 Record keeping in the human resources department

• Salary level sheets• Attendance record sheets• Training records• Each employees training attendance• Certificate numbers issued• Long service awards



• Visit the human resources department of your College

• Ask one of the staff to help you make a list of all records stored in the human resources department

• Ask the same staff member for how long they will store the records before they are destroyed

Activity 5.14: Records


• Filing or indexing

• Electronic files

• Computer Output Microfilm

1.3 Methods of creating records


• ensures records of job or agreement• keep record of clients• clarify the conditions of an agreement or contract• declare the possibility and conditions of legal recourse• enable creation of extra copies of documents for clients

or other parties• securing and storing company information• to keep a record of the company’s or staff member’s

activity• to ensure that organisation maintains accountability and

transparency, and to take responsibility for its actions• availability of information about the company and its

activities requested by authorised individuals

1.4 Describe the purpose for using specific records


After completing this outcome, you will be able to:1. List various contracts or agreements that might

be implemented by a business in a selected business sector

2. Describe the types of records that might be kept specific to a selected contract from a particular business sector

2. Name and describe the types of records that are specific to a contract or an agreement in a

selected business sector


• Contract of employment

• Contract of mandate

• Contract of agency

• Contract with an independent contractor

• Credit agreement

• Contract of sale.

2.1 List the various contracts or agreements that

might be implemented by a business in a selected business sector


• Contract of employment• A contract of employment can be verbal or written• Employee obtains the right to remuneration as well

as the obligation to render a service, for a certain period of time

• Employer can assist that an employee must render certain services in return for remuneration and he exercises authority over the employee in terms of the contract of employment




• Contract of employment

• Requirements for a valid contract of employment are:– Consensus

– Contractual capacity

– Legality

– Possibility of performance

– Formalities




After completing this outcome, you will be able to:

1.List the possible locations of records within a business environment

2.Name the users of records in a business environment

3. Locate and provide records to users on request


• Procedure for locating information or records– Filing clerks in the respective departments are

responsible to put the information on record

– The date that the information was put on record must be written on the file

– The file must be put back from wherever the clerk gets the file from

3.1 Location of records


• Information is located in:– four or five-drawer vertical filing cabinets– horizontal filing cabinets– open-shelf filing units, where files are arranged in a

horizontal or vertical manner– high-density mobile filing units – rotary files bring records close to the user with little

user movement– heavy cardboard boxes – these are used for inactive files– folders– magnetic media, where information is stored on a

magnetic disk or on the word processor’s hard disk– microfilms– electronic storage – computer disks and tapes



• The following are requirements for a good filing system:– accessibility– suitability– flexibility– safety and durability– neatness– economic– simple



• Procedures for withdrawing information– A staff member requests a file– The filing clerk removes the file and places an out

card or out file in its place– Out cards or files are normally of different colour

and are therefore different from the files in the drawer and can easily be identified

– The following information must be written in pencil on the out card/file:

• the name of the file• who requested the file• date of removal• who issued the file



• Procedures for withdrawing information– correspondence received in the meantime is placed

in the out file or a concertina file– if the file is not returned in time, the filing clerk

must remind the person who took the file to return it

– when the file is returned, it is updated with the correspondence from the out file

– the out card/file is removed and the original file is replaced in its proper location

– information is written so that it may be used again



After completing this outcome, you will be able to:

1. Define confidentiality of data in data systems2. Discuss why data confidentiality is essential for

ensuring ethical business practices3. Explain by means of current examples how a

business can maintain confidentiality of customer and company information

4. Discuss your own role in maintaining data confidentiality within a structured business environment

4. Maintain confidentiality of customer and company information


• What is confidentiality?• Some rules of confidentiality

– Employees are not permitted to divulge client information or personal information about clients or colleagues

– All records, documents and information must be kept confidential and securely stored

– All original documents must be returned to their places of safekeeping. If a copy of the document has been made, a note should be attached to the original, stating the reason for the copy and the name of the person who has the copy in his or her possession

– Employees are not allowed to “leak” information on company projects or jobs

4.1 Define confidentiality in data systems


• Any system is vulnerable to natural dangers, such as fire and floods

• Any system is vulnerable to physical dangers created by humans, such as terrorism and vandalism

• Any system connected to the outside world is vulnerable to software attacks, such as hacking

• Any system used by a number of users is vulnerable to computer fraud and crime.

4.2 Securing Information


1. Access control

2. Authorisation

3. Passwords

4. Access rights

4.3 Ensuring the security of customer and company information


• Can you explain why companies record and keep information?– Explain why it is necessary to record

information?

– List examples of types of records kept within given departments and explain the information recorded in such documents?

– Name three methods of creating records?

– Describe the purpose for using specific records?

Recap


• Can you name and describe the types of records that are specific to a contract or an agreement in a selected business sector? – List various contracts or agreements that might

be implemented by a business in a selected business sector?

– Describe the types of records that might be kept specific to a selected contract from a particular business sector?

Recap


• Can you locate and provide records to users on request?– List the possible locations of records within a

business environment?

– Name the users of records in a business environment?

Recap


• Can you maintain confidentiality of customer and company information?– Define confidentiality of data in data systems– Discuss why data confidentiality is essential for

ensuring ethical business practices– Explain by means of current examples how a business

can maintain confidentiality of customer and company information

– Discuss your own role in maintaining data confidentiality within a structured business environment.

• If you can, congratulations, you are ready to move onto the next module

Recap


NCV 2 Management Practice Hands-On Support Slide Show - Module 5

Education

Transcript of NCV 2 Management Practice Hands-On Support Slide Show - Module 5