MGT3200 Administrative Management

1
MGT3200 Administrative Management

• Exam Revision

2
Unit Assessment

• Assignment 1 20
• Assignment 2 30
• End of semester examination 50
• (3 hours - 10 min perusal)

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End of semester examination
Please refer to handout on exam technique

• 3 hours ten minutes perusal
• Part A - 15
• short answer questions
• each question MUST be answered
• marks per question vary
• Part B - 35
• five essay type questions
• choice of FIVE from EIGHT
• each answer is awarded seven (7) marks
• each answer should contain 300-350 words

4
What is Records Management?

• ..the field of management responsible for the
  efficient and systematic control of the creation,
  receipt, maintenance, use and disposition of
  records, including processes for capturing and
  maintaining evidence of and information about
  business activities and transactions in the form
  of records
• AS ISO 15489 2002, Part 1

5
The Role of Records Management

• Reduce corporate risk by
• Defining recordkeeping needs relating to business
  activities
• how and when records should be created and how
  long they should be kept
• Develop business rules and standards to support
  the creation and capture of complete and accurate
  records
• Develop systems and controls to ensure the
  capture of complete and accurate records
• Develop systems and services which will provide
  efficient and appropriate access to records
• Set up processes to monitor compliance with
  external and internal recordkeeping requirements
• Ensure organisation is appropriately prepared for
  audits of records by external regulatory bodies
  such as ATO and ASC

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Importance of records management
Right information to support decision making
Need to control volume of information being
created and stored
Right information for operational purposes
ORGANISATIONAL SUCCESS
Right information as evidence of policies and
activities
Right information as litigation support
Legal, ethical and professional responsibilities
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What is a record? AS ISO 15489

• ..information created, received, and maintained
  as evidence and information by an organisation or
  person, in pursuance of legal obligations or in
  the transaction of business

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What is recordkeeping?

• ..making and maintaining complete, accurate and
  reliable evidence of business transactions in the
  form of recorded information
• Standards Australia, AS4390, 1996, pt 1, p 7,
  4.19
• EVERYONES RESPONSIBILITY!!
• senior management
• business unit and functional managers
• records managers
• system administrators
• individuals who create or maintain records

Note that the term recordkeeping is not used in
AS ISO 15489 instead the term records system is
used
Record system .. An information system which
captures, manages and provides access to records
through time (AS ISO 15489 - 2002)
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Essential Characteristics of Records AS ISO
15489

• Authenticity
• records can be proven to be what it purports to
  be, to have been created or sent by the person
  purported to have created or sent it and to have
  been created or sent at the time purported
• Reliability
• the record contents can be trusted as a full and
  accurate representation of the transactions,
  activities or facts to which they attest
• Integrity
• the record is complete and unaltered
• Useability
• the record can be located, retrieved, presented
  and interpreted and capable of subsequent
  presentation as directly connected to the
  business activity or transaction that produced it.

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AS ISO 15489 Authenticity
AS ISO 15489

• An authentic records is one that
• Can be proven to be what it purports to be
• Can be proven to have been created or sent by the
  person purported to have created or sent it
• Can be proven to have been created or sent at the
  time purported
• Organisations need to implement and document
  policies and procedures which control
• Creation
• Receipt
• Transmission
• Maintenance
• Disposition of records
• to ensure that
• Records creators are authorised and identified
• Records are protected against unauthorised
• Addition
• Deletion
• Alteration
• Use and concealment

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AS ISO 15489 Reliability and Integrity
AS ISO 15489

• A reliable record is one whose contents can be
  trusted as a full and accurate representation of
  the transactions, activities or facts to which
  they attest and can be depended upon in the
  course of subsequent transactions of activities
• To ensure reliability records should be created
  at the time of the transaction or incident to
  which they relate, or soon afterwards, by
  individuals who have direct knowledge of the
  facts or by instruments routinely used within the
  business to conduct the transaction
• The integrity of a record is assured when the
  record is complete and unaltered
• To ensure a records integrity they need to be
  protected against unauthorised alteration
• Policies and procedures should specify
• What additions or annotations may be made to a
  record after it is created
• Who is authorised to make them
• Any authorised annotation, addition or deletion
  should be explicitly indicated and traceable

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AS ISO 15489 Useability
AS ISO 15489

• A useable record is one that can be
• Located
• Retrieved
• Presented and
• Interpreted
• A useable record should be capable of subsequent
  presentation as directly connected to the
  business activity or transaction that produced it
• Useability of records can be ensured through
• Contextual linkages

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What is a document?

• ..structured units of recorded information,
  published or unpublished, in hard copy or
  electronic form, and managed as discrete units in
  information systems
• (Standards Australia, 1996, AS4390, Pt 1, p 6,
  4.12)
• .. recorded information or object which can be
  treated as a unit (AS ISO 15489 2002)
• Not all documents created and received by
  organisations are records as defined by
  AS4390-1996 eg background documents relating to a
  business activity

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What are archives?

• those records which are appraised as having
  continuing value
• (Standards Australia, AS4390, 1996, pt 1, p 6,
  4.5)
• eg annual reports, certificates of incorporation,
  deeds, patents etc.
• records may be classified as archival because of
• the uniqueness of the information contained
• the importance in documenting a company history
• the information yielded regarding operations and
  past actions
• archives may serve a number of purposes eg
• preserve company history for posterity
• heighten public image by permitting public use of
  archives
• maintain relevant information for legal,
  administrative or fiscal purposes
• Archives may also refer to archival authority ie
  the agency or programme responsible for
  selecting, acquiring and preserving archives,
  making them available and approving destruction
  of other records

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Life Cycle approach to Records Management
Permanent Storage
Records Creation
Records Disposition
Records Distribution
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1
7
2
3
6
4
5
Records Utilisation
Records Storage - Inactive
Creation Distribution Usage Maintenance Disposal
Records Storage - Active
Records Transfer
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Records Continuum approach to Records Management
Archives
Corporate Memory
Practical operations within the dimensions may
take place simultaneously
Tagging
Creation
First dimension - creation as part of
communication processes Second dimension -
tagging with metadata including how they link to
other records
Third dimension - formal system of storage and
retrieval ie the corporate memory Fourth
dimension - collective memory eg state govt
archives
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Records Continuum Model

• ..the whole extent of a records existence.
  Refers to a consistent and coherent regime of
  management processes from the time of creation of
  records (and before creation, in the design of
  record keeping systems) through to the
  preservation and use of records as archives
• Standards Australia, 1996, AS4390-1996, Pt 1, p
  7, 4.22
• Crucial questions using this approach
• What records need to be captured to provide
  evidence of an activity?
• What systems and rules are needed to ensure those
  records are captured and maintained?
• How long should records be kept to meet business
  and other requirements?
• How should records be stored?
• Who should have access to them?

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The case for records administration

• need for systematic and integrated approach to
  the management of records
• many organisations find their records critically
  out of control
• organisations running out of space for records
• constant frustration and embarrassment caused by
  missing files
• unacceptable amounts of time spent tracking down
  files
• existing staff lack skills needed to develop
  efficient records systems

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Symptoms of inefficient records management
systems (1)
No overall plan for managing records No plan for
retaining or destroying records No standards for
evaluating workers
Management Problems
Lack of concern re importance of records Hoarding
of records Tendency to regard PC files as their
own Assuming that people know how to use the
files for storage and retrieval of records
Human Problems
Overloaded and poorly labelled drawer and
folders Inconsistent indexing and classification
of electronic records Failure to protect
records Misfiles resulting in lost records or
slow retrieval Records removed and placed in
files without proper authorisation
Inefficient filing procedures
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Symptoms of inefficient records management
systems (2)
No equipment standards No use of fire-resistant
equipment Improper type of storage containers for
records Lack of or improper use of automated
systems
Poor use of equipment
Crowded working conditions Poor layout of storage
area Inadequate use, or absence of, microfilmed
or electronic records Resistance to use of
electronic/magnetic media
Inefficient use of space
Excessive records costs
Inefficiency due to the above problems
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Essential components of any records
administration program

• Broad statement of records admin policy
• Records management systems and practices/
  procedures designed to ensure efficiency
• records admin staffing
• fitting records admin into the org structure
• required budget for records admin
• facilities ie space, equipment, technology needs

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Goals of record keeping strategy (1)

• To ensure that records can be readily retrieved
• to ensure that records can be readily
  disseminated
• to meet security requirements
• to ensure that records are kept for appropriate
  period of time
• to control the volume of information being
  produced
• to improve the cost effectiveness of information
  processing

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Goals of record keeping strategy (cont)

• to control the standard of presentation of
  information
• to ensure information is timely
• to minimise duplication of information
• to ensure uniform procedures for records
  processing
• to control record sizes and media types

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Determining Records Administration Needs - The
Feasibility Study

• Seek management support
• Establish terms of reference
• Gather information
• Analyse information and develop alternate
  solutions
• Conduct cost-benefit analysis
• Prepare and present study report

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DIRKS (now DIRS) Designing and Implementing
Records Systems
Step A Conduct preliminary investigation
Step F Design records system
Step E Identify strategies to satisfy requirement
Step C Identify requirements for records
Step B Analyse business activity
Policy
Design
Step D Assess existing systems
Standards
Implementation
Step H Conduct post-implementation review
Step G Implement records systems
Primary
Feedback
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Determinants of recordkeeping requirements
Society has an interest in ensuring that records
(including digital) are authentic and reliable
Business considerations
Legal considerations
Regulatory environment
Historical/cultural considerations
An organisations recordkeeping requirements
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Major legislation affecting recordkeeping in
Australia

• Statutes of limitations
• Tax legislation
• Corporations legislation
• Financial institutions legislation
• Trade practices legislation
• Health legislation
• Evidence legislation
• Privacy and freedom of information legislation
• Electronic transactions legislation
• Legislation governing the disposal of public
  records

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Appraisal and Disposal AS4390 - 1996

• Appraisal (Australian Standard AS 4390-1996)
• Principles of records appraisal
• ..the process of evaluating business activities
  to determine which records need to be captured
  and how long the records need to be kept to meet
  business needs, the requirements of
  organisational accountability and community
  expectations..
• Disposal (Australian Standard AS 4390-1996)
• NAA Appraisal and Disposal
• ..a range of processes associated with
  implementing appraisal decisions. These include
  the retention, deletion or destruction of records
  in or from recordkeeping systems. They may also
  include the migration or transmission of records
  between recordkeeping systems, and the transfer
  of custody or ownership of records

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Records Disposition Authority AS ISO 15489

• Determining what records should be captured and
  how long they should be kept is most effectively
  undertaken in a systematic way and according to
  laws and regulations (which may be
  country-specific, specific to different types of
  organisations or industries or related to certain
  products).
• Instruments to standardise the decision-making
  may range from guidelines identifying what
  documents should be destroyed or captured into
  records systems to a formally approved schedule
  of classes of records, retention periods an
  appropriate disposition actions that is submitted
  for approval by an external authority (records
  disposition authority).
• In some countries, the disposition authorities
  may prescribe permanent preservation, either
  within the organisation or in a separate archives
  institution.
• In electronic records systems, the determinations
  about capture and retention should be considered
  in system design at the outset.

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How business classification assists in the
management of records

• Providing linkages between individual records
  which accumulate to provide a continuous record
  of activity
• Ensuring records are named in a consistent manner
  over time
• Assisting in the retrieval of all records
  relating to a particular function or activity
• Determining security protection and access
  appropriate for sets of records
• Allocating user permissions for access to, or
  action on, particular groups of records
• Distributing responsibility for management of
  particular sets of records
• Distributing records for action
• Determining appropriate retention periods and
  disposition actions for records

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Developing a business classification scheme
Gather information
Determine organisational OBJECTIVES
Determine FUNCTIONS undertaken to achieve
objectives
Determine ACTIVITIES undertaken to carry out
various functions
Determine TRANSACTIONS undertaken as part of each
activity
Determine PROCESSES which cut across functions
Develop map of functions, activities, processes
and transactions
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Records retention

• Poor records retention an disposal result in
  problems such as
• overcrowded active files storage resulting in
  slow retrieval times
• overcrowded inactive files storage resulting in
  wastage of floor space
• premature transfer or disposal of records and
• loss of records needed to fulfil legislative or
  legal requirements

THE JUST IN CASE RULE
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Determinants of record retention periods (1)

• Are records likely to be needed in current and
  future operations? For how long?
• Do records relate to essential functions or
  activities?
• Are records used to support processes or decision
  making in other parts of the organisation?
• Do records relate to unique functions or
  activities?
• Do records have evidential value in legal
  context?
• Do records document the legal bases of the
  organisations operations?
• Do records record information which may serve to
  protect the legal, civic or other rights of the
  organisations clients or public?
• Is information readily available elsewhere?
• Are there audit requirements for retention of
  records?
• Are there statutory requirements for the
  retention of records?
• Do records contain information of ongoing
  significance?
• Do records have historical significance for
  researchers?

Note Principles SB4.16
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Retention Principles
Avoid the every conceivable contingency syndrome
Reasonable probability rule
Conservatism in risk management
Professional consensus rule
Systematic disposal rule
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Objectives of records disposal scheduling

• To destroy records which are no longer useful
• to ensure records required for operational or
  legal purposes are retained for the appropriate
  period of time
• to ensure that statutory requirements for records
  retention are met
• to identify and preserve records which may be of
  social or historical importance
• to legitimise destruction of records
• to support he maintenance of a vital records
  protection program
• to remove inactive records from expensive office
  accommodation
• to improve storage and retrieval of active
  records
• to free up computer storage media for re-use
• to plan effectively for present and future growth
• to plan how to group records in the most
  appropriate way to facilitate the disposal process

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Registration of records

• ..the act of giving a record a unique identifier
  on its entry into a system
• (AS ISO 15489,Part 1 3.18)
• The purpose of registration is to provide
• evidence that a record has been created or
  captured in a records system
• (AS ISO 15489,Part 2 4.3.3)

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Indexing

• ..the process of establishing and applying terms
  or codes to particular records by which they may
  be retrieved.
• Appropriate allocation of indexing terms allows
  retrieval of records across classifications or
  categories.
• (AS 4390-1996 (Part 4, 8.1, p10)
• appropriate allocation of index terms extends
  the possibilities of retrieval of records across
  classifications, categories and media
• (AS ISO 15489, Part 2, 4.3.4.3)

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Metadata and Electronic Records

• Metadata .. A description or profile of a
  document or other information object which may
  contain data about its context, form and content.
• A vital ingredient of electronic recordkeeping
  because the risk of loss of electronic documents
  is much higher than for paper records
• addition of metadata can be automated by records
  management software programs
• http//www.gmb.com.au/products/button/intro.htm
• Overcomes inconsistency in naming electronic
  documents
• Essential to include in classification and
  indexing process the location of electronic
  records

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Indexing and Search Methods for Full Text
Databases and Networked information

• The nature and extent of human classification and
  indexing required will depend on the storing,
  indexing, and searching software capabilities of
  the system
• LANs and intranets allow the requesting of
  information by a client from document collections
  stored on a server
• Geographically dispersed organisations can access
  corporate documents stored at different points on
  the network

40
Defining the thesaurus

• Thesaurus - an alphabetical list of allowed and
  non-allowed terms with cross references to link -
• allowed and non-allowed terms
• related allowed terms
• A thesaurus is essential to consistency in the
  classification and indexing process
• A thesaurus is essential in order to achieve
  predictability in retrieval
• May include rules for formulating forms of names
  to be used for people and organisations
• AS ISO 15489 recommends use of an activities
  based classification scheme and thesaurus for
  titling and indexing documents

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What are active records?

• Active records are those that are used frequently
  in the daily operations of the business. Such
  records include both conventional hard-copy
  records and non-conventional records, such as
  photographs, magnetic disks, and microforms.

42
Records Maintenance
Gathering, preparing, sorting and storing records

• Most common problems
• just in case syndrome
• poor procedures for transferring files
• lack of understanding of cost of storing useless
  records or inappropriate storage procedures

Classifying records
Following up records
Locating lost records
Locating incorrectly filed records
43
Common file maintenance problems

• Too many people involved in filing
• Duplication of records
• Records difficult to locate
• Related records filed in separate places
• File folders or card files difficult to locate
  within drawer or cabinet
• Captions and file folder tabs hidden
• File folders buckle in drawer
• Misplacement of or lost records
• Increasing cost for file personnel and records
  maintenance
• Records not available when needed
• Slow access to and retrieval of stored records
• Miscellaneous folders filed with too many
  documents
• Inconsistency of filing, retrieval, charge out or
  follow up of records

44
Benefits of automated records management systems

• Reduced labour involved in records management
• Improved efficiency in capture, storage,
  retrieval and disposal of records
• improved access to information
• faster retrieval times
• reduced floor space needed by active records
  (more efficient transfer and disposal processes)
• reduced misfiles
• greater consistency in classification and
  indexing procedures
• improved tracking capabilities
• improved record security

45
Selecting records management systems - some
considerations

• Functional requirements
• what do you need the system to do?
• what would you like the system to do?
• Type of records to be managed
• paper documents, paper files, electronic
  documents (including word processing documents,
  spreadsheets and e-mail), digital images, video,
  audio, compound documents etc
• Underlying systems architecture on which
  application is based
• records captured and moved as an image into
  corporate store under control of RMS
• record captured into corporate store with
  pointers to application software used to create
  the record
• points to records stored in native application eg
  word processing or e-mail application

46
Selecting records management systems - some
considerations (cont)

• Degree to which electronic records to be captured
  into the RMS can be manipulated subsequent to
  their registration
• desirable that they cannot be added to or amended
• should be possible to make a copy for re-use and
  manipulation within the creating software without
  affecting the integrity of the original records
  and its transactional context
• Volume of records and documents to be managed
• Need for integration with other systems
• Availability of financial and human resources to
  purchase, implement and maintain the system

47
Selecting a records management system - some
considerations (cont)

• Hardware, software and operating environment in
  which the system is to be implemented
• degree to which records manager is limited by, or
  can benefit from existing computer and
  communications facilities within the organisation
• level of computer support available
• quality of existing manual systems that are to be
  computerised and work needed to prepare data for
  input
• Need for conversion of existing records
• Relative advantages and disadvantages of
  developing a system in-house and of purchasing a
  commercial package

48
Selecting a records management system - some
considerations (cont)

• Hardware, software and operating environment in
  which the system is to be implemented
• degree to which records manager is limited by, or
  can benefit from existing computer and
  communications facilities within the organisation
• level of computer support available
• quality of existing manual systems that are to be
  computerised and work needed to prepare data for
  input
• Need for conversion of existing records
• Relative advantages and disadvantages of
  developing a system in-house and of purchasing a
  commercial package

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Core functional requirements of records
management systems

• Management and recording of
• registration
• access
• movement
• disposal
• of records

Core functional requirements of an RMS
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Streamlining of registration made possible by an
RMS

• Automatic capture of contextual information about
  records eg data entry operator, date and time of
  registration
• provision of tables or lists from which
  information can be selected
• ability to fill field with default information
  related to particular record groups or types
• incorporation of a thesaurus or list of
  authorised terms to achieve consistency in the
  way business functions and activities are
  described, file and document titling and the
  selection of indexing terms and
• ability to support tables controlling changes in
  terminology, disposal provisions and
  organisational structures over time

51
Technical requirements of an RMS

• Which platforms and operating systems are
  supported? Is the system client/server based?
• Networking environments
• Server environments
• What system resources are required for software
  and for each record?
• Does the system rely on the organisation having a
  relational database system and if so, which
  systems does ti support?
• Is the system easy for records management staff
  and other users to learn and operate?What
  strategies are used for information capture and
  retrieval ie keyboard, mouse, touch pad etc?
• Are there tools to customise profile screens and
  filed names etc?

52
Technical requirements of an RMS (cont)

• Are appropriate industry standards complied with?
• Does the system support compound documents?
• Can the system be upgraded from a single
  workstation to a single server to
  enterprise-wide?
• Are there limits on the total number of users or
  on concurrent users or on number of records?
• Are there any performance issues related to the
  increase in number of users and records?
• Can the system interface with other systems both
  internal and external eg
• can information be downloaded from the Internet
• can documents be copied to other information
  repositories such as a server on an intranet to
  facilitate distribution
• Is conversion from existing system to new system
  possible?
• What controls are established to ensure that no
  data or formatting is lost or corrupted during
  transfer from existing system and between
  upgrades of the new system?

53
Technical requirements of an RMS (cont)

• Can the system link to the organisations
  security arrangements
• can it provide security down to user, menu and
  field level and by class of records
• can the system produce audit trails for actions
  on records?
• What tasks are involved in the technical
  administration of the systemgt?Is online backup
  available and if so are there any restrictions on
  accessing online backup?
• What disaster recovery/business continuity
  procedures are in place?
• What are the reliability and integrity
  capabilities of the system?
• Does it include automatic recovery from
  corruption after a server crash and routine
  reporting of security violations?

54
Other system requirements

• Functional (registration, access, movement and
  disposal)
• Technical
• Other
• reporting and statistics
• inbuilt reports report generator
• help screens
• able to be adapted to organisational needs
• support and training
• personal representative or help line
• comprehensive, user-friendly, well-indexed manual
• good software support documentation
• arrangements for distribution and implementation
  of enhancements and upgrades
• training at initial installation stage and for
  major upgrades
• costs
• full cost likely to include purchase price,
  optional modules, hardware and other equipment
  needed to run the software, installation,
  maintenance, modifications and training.

55
IMPLEMENTING A RMS - DETERMINANTS OF SUCCESS
Planning
Successful implementation of a records
management system
User liaison
Pilot phase
Maintenance and support
Training
Manuals
System down strategies
Review
56
Digital and microfilm imaging systems

• Imaging - technology by which images of documents
  or pictures are made and stored on microfilm or
  computer media
• microfilm imaging systems
• digital imaging technology
• imaging systems
• enable a substantial space saving
• paper copies can be stored in inactive storage
• reduce
• tedious manual filing
• misfiling
• time wasted in going to records area retrieving a
  file and locating a record
• allow documents to be viewed by several people at
  the same time

57
Imaging applications (3)
HYBRID SYSTEMS
Documents stored as images for initial
high-activity period and then on microfilm for
long-term storage
Signature problem
Cost justification for storage only
Long term stability of magnetic and optical
storage
Software and hardware obsolescence
As media technology and capacities develop and
grow, scanner speeds increase, and overall costs
reduce, optical storage is being considered more
seriously for long-term storage
58
DIRS - Vital Records
Vital records defined

• ..those records without which an organisation
  could not continue to operate. They are the
  records which contain information needed to
  re-establish the organisation in the event of a
  disaster which destroys all other records. They
  are the records which protect the assets and
  interests of the organisation as well as those of
  its clients and shareholders. It is estimated
  that about 10 per cent of the total records of an
  organisation can be classed as vital.
• (Kennedy and Schauder, 1998)

GMB Knowledge Management Inc. Managing
Capturing Vital Paper based Records
59
Reasons for vital records protection

• to enable resumption of business operations as
  expeditiously as possible
• to re-establish the financial and legal status of
  the organisation
• to fulfil obligations to employees, customers,
  stockholders, government agencies and others

60
Protecting Vital Records
61
Approaches to protecting vital records

• Existing dispersal
• vital record copies stored in another location as
  a matter of procedure - result of normal business
  operations
• Improvised dispersal
• extra copies of certain documents stored in a
  second location
• Evacuation transfer
• original copies of vital records are evacuated to
  the vital records depository
• Duplication
• second copy of vital record made by electronic
  tape, floppy disk, microform, optical disk or
  photocopy and stored in vital Record Centre
• COM
• copies of vital records stored on
  computer-output microfilm
• Vaulting
• uses heavy-duty combination lock vault to store
  vital records on site

Many authors describe just three methods (1)
duplication and dispersal within the
organisations offices (2) use of fireproof and
secure storage cabinets or rooms within the
organisations offices and (3) remote storage
62
NON-active records

• SEMI ACTIVE RECORDS
• records needed for reference when current work
  is being done eg previous years records
• INACTIVE RECORDS
• those which are seldom accessed but which must be
  retained for occasional reference or to meet
  statutory retention requirements or for their
  long-term value for legal or other reasons
• ARCHIVAL RECORDS
• records which have long lasting or permanent
  value to the organisation

63
Three steps to maximum efficiency in storing
inactive records (AS4390-1996 - Storage)

• Develop a retention and disposal schedule
• ensures records are retained for appropriate
  period of time
• ensures records not retained for longer than
  necessary
• provides framework for transfer from expensive
  office space to secondary storage
• Decide on storage media
• paper, microform, magnetic or optical format
• Decide on storage facilities
• selecting most appropriate type of storage
  facility ie in-house or external
• how to cost and plan an in-house facility
• method for secure records destruction

Is paper still the cheapest form of storage?
64
Criteria for assessing commercial records storage
facilities - (1)
Protection against unauthorized access what type
of security system - electronically activated
doors, electrical burglar alarm system, closed
circuit TV, guards, backup procedures in case of
malfunction who is allowed access? What checks
are made on staff? What measures are taken to
prevent unauthorized access to delivery vehicles?
Are delivery vehicles fitted with radio and
alarm systems?
Protection of records
Protection from environmental hazards Fire
protection methods, methods of protecting
different types of records, equipment
checks Measures to protect against flooding,
excessive temperature and humidity levels, pests
and dust
Protection against inadvertent loss
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Criteria for assessing commercial records storage
facilities - (2)
Plans for growth
What happens when existing warehouse is full?
What is guaranteed turn-around time for routine
deliveries? How quickly can urgent items be
delivered? Is retrieval service available 24
hours a day? What back-up arrangement exist
should regular vehicles be unavailable? Can
individual files be retrieved as well as boxes?
Do services and schedules meet organisational
needs?
Retrieval service
Is service offered? What methods are used? How
does it ensure security?
Secure destruction
Does the company accept all types of records the
company wants to store?
Media Stored
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Criteria for assessing commercial records storage
facilities - (3)
How professional are staff in respect to records
management principles? Are they cooperative and
flexible in meeting special needs? Does the
company have a good reputation in respect to
reliable service and attention to security?
Relationship with clients and reputation
Retrieval and faxing of individual records to
meet urgent requests? Facilities for client use
eg office, photocopier, facsimile etc,? Client
specific reports? Reporting on boxes due for
destruction? Sale of boxes, stationery etc?
Packing of records?, Cataloguing of records?
Micrographic or imaging facilities?
Other services
What protection exists against poor service?
What are the details of liability? How are
charges calculated? Are they likely to remain
stable? What services are covered by the basic
charge?
Contracts and charging
67

• MGT3200 Records Administration
• Exam Revision S1, 2003
• In revising for the exam it is important that you
  review the objectives of each module and that you
  come to terms with the bigger picture not the
  individual points that make up the modules.
• Do not treat the marks for each question as a
  guide to the number of points you have to raise.
  The marking per point will depend on the depth
  and breadth of the question.
• Exam Technique
• Regardless of how well you prepare for the exam
  you can still blow it with poor exam technique.
  Below are some suggestions which may help if you
  have not got your own exam technique worked out.
• During perusal time skim through the paper
  quickly. Highlight the key words in each
  question eg
• Define (Do) direct and indirect access
  records systems (what) and discuss (do) the
  advantages and disadvantages (what) of each type
  of system.
• When looking for key words, search for
• the DO word - ie what are you required to do ie
  list, discuss, compare, critically evaluate,
  contrast. Many students miss the do word and
  simply dump everything they know about the
  topic.
• the WHAT word - ie what are you required to list,
  discuss etc eg advantages and disadvantages of
  direct and indirect access records systems
• the CONTEXT word - ie in what context are you
  required to carry out the list, discuss, compare
  task eg tracking would be very different in the
  context of a manual records system versus an
  automated records system
• Exercise Find the DO, WHAT and CONTEXT words in
  the following question from the June 2000 51354
  exam paper
• Efficient records management systems need to
  fulfil a range of different types of
  accountability requirements. Discuss.
• Brainstorm key facts relating to each question.
  Do not try to organise facts at this stage just
  let the ideas flow. Jot your ideas down on the
  exam paper.
• Eliminate the question/s you are not going to
  attempt.
• Select the question with which you feel most
  comfortable. This should be the one you start
  the exam with.
• Allocate time per question and keep on track ie
  you know you have three hours (180 mins) for your
  exam. Since the short answer questions are worth
  15 out of the total of 50 marks you should
  allocate approximately 54 minutes to this part of
  the paper ie 15/50x180). The essay questions are
  worth 35 out of the total of 50 marks. Therefore
  you should allocate approximately 126 minutes to
  this section of the paper. You are required to
  write five essays in Part B, therefore each essay
  should be allocated approximately 25 minutes. I
  would therefore suggest the following time
  allocation

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• Writing your answers
• You are not required to provide references in
  your examination answers.
• Do not use point form unless you are running out
  of time.
• Try to provide a strong concluding sentence for
  each of your essay answers summarising the main
  points you have made.
• Use the notes you have brainstormed during the
  perusal time to guide your answers but be careful
  to construct and sequence your argument
  logically.
• If writers block occurs ie you panic and cannot
  think what else to write in answer to a question
  you have started - do not panic!! Leave that
  question and go to a fresh question and return
  once you have calmed down.
• Avoid simply putting down on paper everything you
  can remember about a topic ie make sure you have
  selected the key words during perusal time and
  that you are following instructions ie
  discussing, comparing, critically evaluating etc.