NCV 3 Management Practice Hands-On Support Slide Show - Module 4

Management Practice 3

Management Practice - Level 3 1Future Managers

Module 4: Maintain an existing information system in an office

environment


Module 4: Maintain an existing information system in an office environment

• After completing this module, you will be able to:– Store information using an existing storage system– Retrieve valuable information from an existing

storage system– Store valuable documentation and reference

materials– Establish a record keeping system to store records

for new projects– Maintain and update a record system


1. Store information using an existing storage system

• After completing this outcome, you will be able to:– Classify, sort, record and safely store paper based records

according to established requirements so that they are undamaged and accessible when required

– Discuss the method of cross-referencing and cross-reference information accurately

– Describe an organisation’s procedure for archiving to ensure that information located is current and available

– Discuss the implications for productivity when an item cannot be located and the problems that result from unconventional classification and cross-referencing

– Source and gather filing documentation for a specific reason– Create, label and file electronic documentation according to

organisational requirements– Complete filing within organisational time frames and standards– Refer classification uncertainties to an appropriate authority



• Requirements for a good filing system– accessibility– suitability– flexibility– safety and durability– neatness– economic– simple

Management Practice - Level 3 Future Managers 5


• Safety and security of documents and files– The safety, security and durability of documents should be

ensured– When staples or paperclips are removed from documents,

the responsible person must do so with the utmost care– No food or beverages of any kind must be even in the vicinity

of documents– Folders must be made of good quality material that will be

durable and easy to clean– Clear guidelines should be defined for identifying

confidential documents– Confidential documents should never be left lying around


1.1 Sorting, recording classifying and storing paper based records• Paper based records

– A variety of articles such as cheques, contracts, statements, forms, letters and faxes, most of which have to be kept by the organisation for at least five years

• Sorting and recording– All documentation reaching the organisation must

be sorted and recorded before it can be distributed– Once documents have been dealt with, they can be

released for filing and must be sorted


1.1.1 Classification• General business information• Personal matters• Confidential matters• Personal and confidential matters• Highly confidential• Secret and top secret


1.1.2 Filing systems• Centralised filing

– All the records are kept in one place– Advantages include:

• It provides more effective control and better supervision• Clear guidelines can be laid down for filing• It requires less equipment and fewer staff• Experienced staff can be appointed or trained• Classification and indexing can be standardised throughout the filing

system• All documentation relating to one particular subject is kept together

– Disadvantages• Files take longer to get requested, as files have to be ordered• Delays sometimes occur in locating files• It is not suitable for confidential records as these need better security


1.1.2 Filing systems• Departmental filing

– Filing is done in the individual department– Advantages include:

• Each department can operate a system that best suits its particular requirements

• The staff become familiar with the system and is able to locate and retrieve documents quickly

– Disadvantages• More filing cabinets and storage space are required.• Filing will be done by various secretarial and clerical staff

members who are not all equally well trained.


1.1.3 Methods of classification

• Alphabetical• Numerical• Subject• Geographical• Chronological


Activity 1


1. Find out what filing and classification systems your SIM, your college or company uses.

2. Design a filing system for your parents at home if they don’t have one yet or improve the existing one if it does not work well.

3. Design an index card for the following client: P. Gericke. He lives in Noordhoek at 11 Protea Road. His telephone number is 021-7896654. His index card number is 243

1.2 Cross referencing• Cross referencing

– Refers to filing documents which can logically be in more than one file

– The following procedures can be followed to locate the file:

• File the document according to the caption by which it is most likely to be requested.

• Also file a reference to it with the second name in one of two ways:

• Prepare a reference to the item, called a cross reference.• Make a copy of the document and file it.• When a document is likely to be called for by more than

two names, prepare additional cross references.


1.3 Archiving• Archiving happens when files become too

full or not used any more. The oldest files are moved to archives or reserve storage systems

• Two methods of transfer– Perpetual– Periodic


1.3 Archiving• Disposal

– Papers with low usage value can be destroyed• Retention period or schedule

– The time set for keeping documents within the current filing system

– Short-term– Medium-term– Long-term


1.4 The impact of unconventional filing and cross referencing

• Delays in file retrieval or lost files can result in:– Frustration– Deteriorating relationships with customers,

possibly even lost customers– Loss of jobs – Costing the company large sums of money


Activity 3


• Explain how you would arrange files under the following circumstances:– Ms Ludick opens an account at a boutique. Which filing

classification would be best for storing details of Ms’s Ludicks Account?

– A company is based in the Cape Town, but as branches in Wynberg, Milnerton, Belville and Simons Town. How would information of the different branches be filed?

– A company selling carpets have different brand names like Van Diyk, Noveau, etc. available. How would they file their information?

– If possible, find out how the following are filed by governmental bodies:

• car registration plates, • car licences , • identity numbers.

1.5 Create and label electronic files and file according to organisational

requirements• Equipment used for electronic filing

– Stiffies– CDs– Hard drive– DVDs– Network file servers– Magnetic tapes

• It is important that backups be made


1.5 Creating and label electronic files

• Naming files– File names should be appropriate

• Labelling disks– All disks should be clearly and neatly labelled

• Filing disks– Arrange files on each disk alphabetically – disk 2 will

follow on where disk 1 stopped. – A topic system, where all information on the same topic

is stored on the same disk, can also be used. Topics can then be arranged in alphabetical order. Number the disks and keep index cards with lists of all the files that are stored on the disk or stiffie.


1.7 Complete filing within organisational time frames and standards

• Paper work should be sorted in sorting trays at intervals throughout the day.

• Careful and precise handling of documents will also help meet organisational time frames for filing.

• The person responsible for filing must allow at least 30 minutes a day in his/her schedule for filing. Filing must be done at a time when things are relatively quiet so that he or she is not hurried, anxious or distracted by anything and can focus on filing.

• Keeping abreast of filing, will eliminate embarrassing and stressful situations


1.8 Refer classification uncertainties to an appropriate authority

• If there is any doubt about how documents should be classified (secret / non secret) it should be referred to the knowledgeable person


2. Retrieve information from an existing storage system

• At the end of this outcome, you will be able to:– Identify the steps to be taken to locate copy and despatch

promptly required information to the correct person and location

– Identify and communicate the reasons for delay in a given context

– Describe the procedure to record retrieved information– Explain why it is necessary to record retrieved information – Retrieve and record specific information correctly– List the procedures used to identify and locate missing and

overdue items– Locate missing or overdue items, following correct

procedures


2.1 Locate, copy and despatch information

• Locating information– Make a note of the request so that it is not forgotten– Confirm the request with the person who made to ensure that all the

details are correct– If doubt exists, the authority of the person who makes the request must be

confirmed– The request can then be validated and approved – The person must be given a possible date and time of when the document

will be available– The process of locating (finding) the document must now start– Make a copy of the original document and return the original for

safekeeping– The person collecting the copy must sign for it– In the case of a document that must be returned it must be logged in on its

return and returned to its original location for safekeeping.– Electronic files will be located under their file names on the computer



• Copy documents– Original documents must not be distributed.

Only copies are distributed as a rule. – Photocopying is quick and versatile– Many companies have a central photocopy area

where copies are done by one responsible person. If this is the case, photocopies must be requested by filling out a small form

– If the individual requesting the document makes the copy, it is usually quicker and safer



• Dispatch paper based documents– Make sure the correct address is on the

envelope– Write the name and address of the sender

clearly on the back of the envelope– Documents can be despatched by:

• Ordinary mail• Fastmail• Courier

– Receipt should be followed up on



• Despatch electronic files– Locate the file– Make sure you have a back-up copy – Make sure there are no viruses in the file – Dispatch the electronic file to the person requesting it by

attaching the file to an e-mail message or by transferring the file onto a diskette or CD and have it couriered

– Have receipt acknowledged– Make a note of all the information you dispatch in a logbook.– Telephone the person requesting the information to make

sure that they have received the documents they requested– Log the details of the person requesting the document


Activity 4


• Read the case study and answer the questions that follow:• Sarah Mpo had finished the General Business

Administration course with a company called “Empowering People” She was notified that she had passed the course and that her certificate was on its way. when she still had not received it after a month, she phoned the company to find out what was causing the delay.

1. Discuss possible reasons why Sarah had not received her certificate

2. Each group must present its findings to the class3. The class will then compile a master list

2.2 Identify and communicate reasons for delay

• Possible reasons for delay– The Manager or CEO whose OK is required may be out of

town.– The person who must first deal with the request may be on

leave, on a course or off-sick– The request may have to go via somebody else before it

reaches its proper destination– If such a person is inexperienced, forgetful or unreliable, to

the request may not reach the person it is intended for on time or not at all

– The requested document can get lost or be delayed in the mail

– Things can go wrong at the receiving end so that the document is not delivered straight to the person it is intended for



• Possible reasons for delay– It can take time to locate the requested document

because it can be in the archives, it can be misfiled or not yet returned by somebody who is using it

– The more people involved in the requesting and dispatching process, the higher the chances that delays may occur

– Some people are inclined to procrastinate when dealing with issues

– Some people are simply ill-mannered and inconsiderate. They may regard the request of lesser importance and may then not even bother to get back to the person who requested the information



• Communicating reasons for delay– Requests must be acknowledged immediately

with any reasons given for delay– Apologise for any delays– The company’s eagerness to please and to

render excellent service should be evident


2.3 Retrieving recorded information

• The company should keep a registry, logbook or electronic file where the following information can be recorded:– Name and necessary details of the person who

requested the information– Name and department of person handling the request– Date when it was dispatched– Date when receipt was acknowledged– Date when document was returned – What information was requested– Documents retrieved


2.4 Importance of recording retrieved documents

• If recording is not done, it is possible that the documents will be lost forever

• Recording allows tracking of who had the document last

• Return dates for the records can be established

• Can restrict the number of people who handle the document


2.5 Identify and locate missing and overdue items

• The trail of recorded requests and retrieved documents should be followed

• If the item wasn’t returned the person who last had the record should be asked to return it


3. Store valuable documentation and reference materials securely• At the end of this outcome you will be able to:

– Identify valuable items within an organisation with reasons why they are considered valuable

– Discuss the process used to maintain the security of valuable items and identify the person(s) responsible

– List the reasons for security procedures with regard to valuable items within the organisation

– Provide examples of the effects on an organisation when there is a breach of security

– Identify security risks and discuss the procedures to be followed to correct security risks

– Identify and report security risks following the familiar and established procedures.


3.1 Valuable items within an organisation

• Any personal information about management, employees or clients of the company

• The minutes of the Annual General Meeting (AGM) of the company

• Records of strategic planning done by the company.• Tenders• Intellectual property, that is everything original that can be

considered the “brain child” of any role-player in the company• Researched and developed information• Invoices, delivery notes and waybills• Itinerary of CEO when he is on an important trip• Why is this information valuable?


3.2 Security procedures• Paper documents

– Documents shouldn’t be left lying around– Watermarks can be used to prevent copying– Workshops about security should be arranged

• Electronic information– Encryption– Secure passwords (numbers, letters and symbols,

>8 digits)– Digital certificates– Firewalls– Audit trails


3.3 Security risks• Disclosing one’s access code and user name to somebody else• Omitting to log out when one has finished work on the computer• Being careless with keys• Leaving confidential information on a computer screen while going on lunch• Unauthorised copying of electronic files• Unauthorised copying of paper-based files• Selling of confidential documents on products that are being developed to the

company’s competitors• Disclosing confidential information on the income or shares of a client• Disclosing confidential details of employees like pending salary raises, etc• Leaving confidential files unguarded on one’s desk or in an in-tray where

anybody can have access to it• Not returning an original document to its place of safekeeping when a copy has

been made• Not shredding obsolete confidential documents, putting it in a waste paper

basket instead or hiding it under other items.


3.3 Security risks• Dealing with security risks

– Security risks should be dealt with immediately– Every company should have a security breach policy– If an employee becomes aware of a security breach by a

colleague, like negligence regarding keys, computer screens and files, which could be contributed to forgetfulness, being distracted or being in a hurry, he/she should confront the person tactfully but firmly and bring the possible consequences of his deed to the person’s attention

– Hacking into the computer system is a serious offence and could result in dismissal


3.3 Security risks• Effects of security breaches:

– The company may lose tenders– The company may lose contracts – The company may lose valuable manpower– The company’s ideas may be stolen– Years of research may be nullified– The company may lose the majority of its clientele– The company may lose its leading place in the

market– The company can become bankrupt


3.4 Reporting security breaches

• Report to immediate senior• Immediate senior will report it to the head

of administration• The head of administration will deal with it,

or report it to the Board of Directors or the CEO


4. Establish a record keeping system to store records for new projects

• At the end of this outcome you will be able to: – Identify the records necessary for an identified

project– Set up a recording system for the identified

project– Retrieve specific records as requested


4.1 Identifying records necessary for the project

• The budget• The program time and date• Venue and other resources• Attendees• Guest speakers• Catering


4.2 Set up a recording system to store the relevant records for the identified

projects• Record systems should be set up for the files

that are needed• Information related to specific topics should

be filed together• A filing cabinet or drawer should be set

aside for the project


4.2 Set up a recording system to store the relevant records for the identified

projects• Documents to be filed permanently include:

– Details of the venue used– Guest list – invitees– Guest list – responses– Guest list – registrations– Detail of travel and accommodation– List of prospective and participating guest speakers– Details of caterers– Details of service providers used– Final budget– Final program– Presentation and speeches delivered– Feedback– Evaluation report


5. Maintain and update a recordkeeping system

• At the end of this outcome you will be able to– Update the records within a record-keeping

system for a specific timeframe in a given department


5.1 What are maintenance and updating

• What is maintenance?– Maintenance of a record keeping system is the

act of keeping hard copy files and the documents contained by them, in a good, presentable condition.

• What is updating?– Updating of a filing system is the act of

replacing old, outdated documents and data by the most recent ones and by adding missing data


5.1.1 How do we maintain and update?

• Files that are worn and dirty should be replaced

• Torn papers should be glued• Documents larger than the file should be

neatly folded in the file• Old documents should be removed from the

file


5.1.2 When must filing systems be checked and updated?

• When the office is relatively quiet• According to a schedule, depending on how

often it needs to take place


5.1.3 What kind of information must be updated and why?

• Personal information of clients• Staff lists and staff details• Stock


5.1.4 Where must filing systems be updated?

• In large companies, by the filing clerk• In smaller companies, each department will

be responsible for maintaining their own files


NCV 3 Management Practice Hands-On Support Slide Show - Module 4

Education

Transcript of NCV 3 Management Practice Hands-On Support Slide Show - Module 4