TECHNOLOGY AND OFFICE PROCEDURES

Assignment - Records Management

Short Answer Questions (34 marks)

Define records information management. (2 marks)

Records Management is the systematic control of records from the creation of the
record to its final disposition.

It involves the creation, maintenance, use and disposition of records and the
information that those records contain.

What are the stages of the document management system? (8 marks)

1. Creation, review, approval stage

2. Version Control

3. Security and access control

4. Searching indexing capability

5. Supports Multiple file type

6. Alert Notification

7. Backup and recovery

8. Reports/Metrics

What are three advantages of electronic filing? (3 marks)

Three advantages of electronic filing are:

1) Saving space
2) Less paper waste or no need for filing cabinets
3) Faster accessing of documents and files

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What does it mean when an indexing rule indicates ‘nothing comes before something’?
(1 marks)

Nothing comes before something means that names with ‘nothing’ like only an initial
will come before ‘something’ meaning a full name. For example, Faulkner, M. would
come before Faulkner, Michelle because it contains less information.

What are four drawbacks of electronic filing? (4 marks)

Four drawbacks to electronic filing are:

1) Multiple people can access and change information on a document, or save it

to multiple locations
2) Inconsistent labelling which could make the document difficult to locate
3) You risk unethical distribution of the file or document
4) Company may need to upgrade hardware for more storage and may require
scanners for electronic documents

Name and describe the four categories of Records Retention. (8 marks)

Records that should never be destroyed or replaced. For

Vital Records
example: patents, bylaws, audited financial statements

Records that are important for the orderly continuation of the

business and are only replaced with considerable time and
Important Records
money. For example: bank statements, inventories and
operational budgets.

Records that are useful but not vital to the operation of the
Useful Records
business. For example: letters and memos.

Nonessential Records that have no future value to the company. For

Records example: telephone messages or messages to co-workers.

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Name two of the Acts that relate to records information management and identify two
of the rules. (4 marks)
Privacy Act: A person’s right to access and correct personal information that is held by the
Government of Canada about them. This only applies to the Federal Government.

Two rules applied to the Privacy Act are:

1) Only information related directly to one of the government’s operating programs or activities
can be collected.
2) The information gathered may only be used for the purpose it was collected, unless otherwise
given consent.

Freedom of Information and Protection of Privacy Act: Requires the government to protect the
privacy of a person’s personal information within government records and gives people the right to
request access to information held by the government.

Two rules applied to the FIPPA are:

1) The public has the right to access information
2) The government must protect the privacy of individuals with respect to their personal
information held by the institution

Explain what cross-referencing is used for and what steps you need to take to manage
a cross-referenced file. (2 marks)

Cross-referencing is used when a file could be listed under more than one name. For example, if you
aren’t sure which is a first or last name, or for businesses that include multiple names. It allows you to
search by either way. First, the original file/document is indexed and coded. Underline the alternate
in the document and put an X in the margin. You would then create a second file with a photocopy of
the original inside, noting the cross-reference/name and location of the original file.

For example, if you had a client name Steven Mitchell, you may put the initial file as Mitchell, Steven
and then put a notice inside the secondary file under Steven, Mitchell saying See Mitchell, Steven. This
would allow you to cross reference either way of noting the name in case of confusion or mistake on
the proper name.

Explain why it is critical to regularly back-up your business documents. (2 marks)

It is critical to regularly back up your documents in case your computer or hard drive crashes, then
you have the documents backed up. It is also important to backup your business documents in
another location off-site in case of anything like fire or flood that could destroy or prevent you from
accessing the documents.