Presentation on theme: "MAINTAIN A PAPER-BASED FILING AND RETRIEVAL SYSTEM"— Presentation transcript:
1MAINTAIN A PAPER-BASED FILING AND RETRIEVAL SYSTEM D1.HGE.CL7.03 D1.HGA.CL6.03Trainer welcomes trainees to class.
2Subject Elements This unit comprises three Elements: Maintain information systemsRetrieve files in response to information requestsMaintain existing recording and filing systemsTrainer advises this Unit comprises three Elements, as listed on the slide explaining:• Each Element comprises a number of Performance Criteria which will be identified throughout the class and explained in detail• Trainees can obtain more detail from their Trainee Manual• At times the course presents advice and information about various protocols but where their workplace requirements differ to what is presented, the workplace practices and standards, as well as policies and procedures must be observed.
3Assessment Assessment for this unit may include: Oral questions Written questionsWork projectsWorkplace observation of practical skillsPractical exercisesFormal report from supervisorTrainer advises that assessment for this Unit may take several forms all of which are aimed at verifying they have achieved competency for the Unit as required.Trainer indicates the methods of assessment that will be applied to them for this Unit.
4Maintain information systems Element 1:Maintain information systemsIntroduce topic.Class Activity – General DiscussionAsk general questions:What is an information system?
5Maintain information systems Performance Criteria for this Element are:Information and filing systems are maintained in accordance with organisational requirementsInactive or dead files are identified, removed and/or relocated in accordance with organisational requirementsNew files are established and assembled in accordance with organisational requirementsReference and index systems are updated in accordance with organisational requirementsTrainer identifies the Performance Criteria for this Element, as listed on the slide.
6Maintain information and filing systems Importance of hard copy informationWhilst technology is having a greater impact in the way we conduct business activities including the production, transfer and storage of information, there will always be a need to maintain hard copy information.What is hard copy information?What are examples of it kept in the hospitality industry?Why is it important to store hard copy information?Class Activity – QuestionsDiscuss the questions in the slide
7Maintain information and filing systems Need for hard copy informationLegal reasonsForm of ‘evidence’Back up copyContains original signaturesClass Activity – DiscussionDiscuss the reasons for hard copy information
8Maintain information and filing systems Hard copy VS Electronic informationWhat are the advantages of hard copy information?What are the disadvantages of hard copy information?What are the advantages of electronic information?What are the disadvantages of electronic information?Class Activity – QuestionsDiscuss the questions in the slide
9Maintain information and filing systems What filing systems are used?Why is it important to have a good filing system?What are the characteristics of a good filing system?Class Activity – QuestionsDiscuss the questions in the slide
10Maintain information and filing systems Personnel handing hard copy documentationAll manner of personnel is required to handle hard copy documentation.Who normally handles hard copy information?What specific information do they need?Class Activity – QuestionsDiscuss the questions in the slide
11Hard copy information Types of generic hard copy information Correspondence, such as faxes, memos, letters, and other documentsComputer databases, such as library catalogue, customer recordsSales records, including monthly forecasts, targets achievedForms, including insurance forms, membership formsClass Activity – Discussion and show examplesDiscuss use of each type of hard copy informationShow examples where possible
12Hard copy information Types of generic hard copy information Invoices, such as from suppliers, to debtorsPersonnel records, including personal details, salary ratesInformation on training needsMarketing reports, plans, budgetsFinancial figuresProduction targetsClass Activity – Discussion and show examplesDiscuss use of each type of hard copy informationShow examples where possible
13Hard copy information Financial source documents Cheques Deposit books Cheque requisitionsTax invoicesCredit notesExpense vouchersPetty cash vouchersBank statementsClass Activity – Discussion and show examplesDiscuss use of each type of hard copy informationShow examples where possible
14Organisational requirements Importance of having organisational requirementsGiven that many of these documents are not only of a sensitive nature, but need to be stored in a logical and easy to locate manner, each organisation is likely to have a number of requirements that must be followed when handling them:What types of requirements do organisations have?Class Activity – QuestionsDiscuss the question in the slide
15Organisational requirements Types of organisational requirementsSecurity and confidentiality requirementsLegal and organizational policy, guidelines and requirementsManagement and accountability channelsCode of Conduct, Code of EthicsProcedures for updating recordsInformation protocolsClass Activity – DiscussionDiscuss the requirements.Identify what some potential policies or procedures that may be established to protect hard copy information
16Organisational requirements Types of organisational requirementsWho has responsibility for producing and handling documentsWho has authority for authorising documents and signing them prior to despatchFiling and storing copies of documentsIdentification of (blank and pro forma) documents that need to be prepared on a regular basisClass Activity – DiscussionDiscuss the requirements.Identify what some potential policies or procedures that may be established to protect hard copy information
17Handle inactive or dead files Types of inactive or dead filesInactive or dead files may include:Completed projects or eventsOld clientsPaid accountsEx employee informationClass Activity – DiscussionWhen are they considered to be ‘inactive’ or dead’?What is done with these files?
18Handle inactive or dead files Handling inactive or dead filesHow should you:Remove filesDestroy filesClass Activity – QuestionsDiscuss the questions in the slide
19Establish and assemble files Solicit input from usersWhen establishing and assembling new files it is important that the end user understands:How files will be filedMethods of identifying filesWhere they will be locatedHow they can be accessedClass Activity – QuestionsWhy is it important to ask others for input when setting up new files?Who should you ask?
20Establish and assemble files Establishing file categoriesTo make a filing system more effective it is essential to group files into ‘categories’. A category is a group or a collection of files or documents that belong together.What are examples of categories for different departments within a hotel?What are sub-categories with these?Class Activity – Group activityGet audience to list different categories and sub-categories for different positions in different hospitality departments
21Establish and assemble files Forming categoriesSome easy to follow suggestions include:Sort all your documents out into piles that you think belong togetherGive each pile a category nameMake a list of categoriesLook at your list criticallyClass Activity – Group activityGet audience to list different categories for different positions in different hospitality departments
22Establish and assemble files Filing procedureStep 1: Receiving the documentStep 2: ActionStep 3: Follow upStep 4: Collecting Documents to be filedStep 5: FilingClass Activity – DiscussionDiscuss this procedure
23Establish and assemble files GuidelinesHave easily identifiable files and foldersFile documents immediatelyHave consistency amongst filing systemsClass Activity – DiscussionWhat other guidelines would you have to make filing of documents easier?
24Update reference and index systems Role of the reference and index systemsImplementing a reference and index system enables you to file and then readily access paper-based documents:What reference and index systems can you use?Class Activity – DiscussionDiscuss different types of systems.
25Update reference and index systems Types of reference and index systemsReference and index systems may relate to:AlphabeticNumericAlpha-numericTopicSubjectClass Activity – DiscussionDiscuss different types of systems.
26Update reference and index systems Types of reference and index systemsReference and index systems may relate to:AlphabeticNumericAlpha-numericTopicSubjectClass Activity – DiscussionDiscuss different types of systems.
27Retrieve files in response to information requests Element 2:Retrieve files in response to information requestsIntroduce topic.Class Activity – General DiscussionAsk general questions:What actions are required when retrieving files from appropriate storage locations?
28Retrieve files in response to information requests Performance Criteria for this Element are:Locate specified files or records within designated timelinesRetrieve relevant fileRecord movements of documentation according to enterprise policies and proceduresFollow security and confidentiality proceduresTrainer identifies the Performance Criteria for this Element, as listed on the slide.
29Locate files within timelines Locating filesOne of the main priorities of using a filing system is to ensure that files and documents can be:LocatedIdentifiedRetrieved in a timely and efficient mannerClass Activity – DiscussionDiscuss these points
30Types of files Types of hospitality files and documents Guest mail Customer recordsIncoming and outgoing correspondenceFilesLettersFacsimiles (faxes)Class Activity – Discussion & Show examplesDiscuss these files, their uses, who uses themShow examples
31Types of files Types of hospitality files and documents Memos Reports MenusBanquet ordersFinancial recordsInvoicesReceiptsClass Activity – Discussion & Show examplesDiscuss these files, their uses, who uses themShow examples
32Types of systems Types of paper based filing systems Filing cabinets Flat BoxesLever archesSuspension foldersShelvingOtherClass Activity – DiscussionProvide examples of eachFiling cabinets: 3-drawer, 4-drawer, 2-drawerFlat Boxes: Flat box file, horizontal plan fileLever arches: BinderSuspension folders: Hanging filesShelving: Lateral cabinets, compactusOther: Trolley, spike file, rotary file, concertina file
33Retrieve relevant file Importance of documenting file retrievalOnce the specific file has been found, it is time to retrieve it. In many cases files have been kept for a specific reason.It is therefore important that is files are removed for whatever reason, that:There is a written record of this removalFiles are returnedClass Activity – DiscussionWhy is this important?
34Retrieve relevant file Ensuring files are not lostFile Out Book:A file-out book is simply a book in which we writeWho borrowed the file or documentName of the file or documentWhen they borrowed itWhen they returned itClass Activity – DiscussionWhy is a file out book important?What other information should be recorded in it?Who should have control of this book?
35Retrieve relevant file Ensuring files are not lostFile Out CardFile-out cards are used in a filing cabinet. They are the same size as the files and are put in the place of the file, which has been borrowed:Who borrowed the file or documentName of the file or documentWhen they borrowed itWhen they returned itClass Activity – DiscussionWhy is a file out card important?What other information should be recorded in it?Who should have control of this book?
36Record document movements Benefits of recording movement of documentsThis helps to identify:Who has the physical documentWho issues or authorised the movement of the documentWhere the document is currently locatedClass Activity – DiscussionDiscuss these benefits
37Record document movements Types of document movementsThere are endless types of movements involving documents including:Recording incoming or outgoing documentsFiling including electronic filing of correspondenceMailingPhotocopyingFaxingingBindingDistributionClass Activity – DiscussionDiscuss these regular movements.Who normally makes them?What is involved?
38Record document movements Ways to record movementsWays to record movements may include:Updating file registerUpdating records management systemTemporary or permanent transfer of recordsClass Activity – DiscussionWhat other ways can you record movements?
39Record document movements Benefits of recording document movementsEstablishes a transparent record of who has the document and where it has goneRequires authorisation to receive documentsEasy to see who has received and had the opportunity to read documentsRecords the time and date in which a specific person has physically received a documentClass Activity – DiscussionWhat other benefits are there?
40Follow security and confidentiality procedures Need for security and confidentialityMany hard copy files and documents contain information of a sensitive and confidential natureIt is essential that this information is protected in a manner that ensures that only authorised persons have access to themClass Activity – DiscussionWhat are examples of confidential files?How can you maintain security and confidentiality?
41Follow security and confidentiality procedures Types of confidential and sensitive informationInformation that may be considered confidential or sensitive may include:Personal information relating to both personnel and guestsCredit card informationSalary and benefits entitled to personnelPersonnel performance appraisal informationClass Activity – DiscussionWhat do you do with this information?How can you protect it?
42Follow security and confidentiality procedures Types of confidential and sensitive informationComplaintsClaims of harassment or discriminationFinancial informationStrategic informationNotes left by clients at a conferenceNotes left by guests in hotel roomsClass Activity – DiscussionWhat do you do with this information?How can you protect it?
43Follow security and confidentiality procedures Importance of securitySecurity of documents on file is important and must be ensured to:Protect the confidential nature of business documentsProvide back-up information in the case of computer crashProvide hard copy evidenceClass Activity – DiscussionWhy is this important?
44Follow security and confidentiality procedures Types of security and confidentiality proceduresSecurity and confidentiality procedures may include:Access authorityLockable files or cabinetsConfidentialityClass Activity – DiscussionDiscuss these measures
45Maintain existing recording and filing systems Element 3:Maintain existing recording and filing systemsIntroduce topic.Class Activity – General DiscussionAsk general questions:When a business has large volumes of hard copy files, how can you maintain these systems?
46Maintain existing recording and filing systems Performance Criteria for this Element are:Maintain recording and filing systems according to enterprise policies and proceduresAllocate new documents to designated categoryMonitor the issue and return of documents to ensure the integrity of the system is maintainedTrainer identifies the Performance Criteria for this Element, as listed on the slide.
47Maintain existing recording and filing systems Performance Criteria for this Element are:Archive, remove and update documents to ensure appropriate space available for current recordsIdentify and locate required files and dispatch to nominated person or section within designated time limitsMonitor and record file and document movementsTrainer identifies the Performance Criteria for this Element, as listed on the slide.
48Maintain existing recording and filing systems Performance Criteria for this Element are:Maintain documents in good condition and in correct locationSeparate confidential files from general files, with access available to nominated personnel onlyMonitor security system to ensure issued files are traceable at all timesTrainer identifies the Performance Criteria for this Element, as listed on the slide.
49Maintain existing recording and filing systems Maintain systemsSome documentation is kept on file because the establishment has identified a potential need for itIt is therefore important to maintain, modify and update whatever reference systems the establishment has decided to keepThis means ensuring the information contained within reports is current and accurate as much as possibleClass Activity – DiscussionHow can you maintain, modify and update information?
50Maintain existing recording and filing systems Legally required informationIt is also a legal requirement to keep certain files in storage in case an individual needs to be located because of a criminal or civil law action, which may include:An insurance claim being lodgedA theft from the guest’s roomA fire in the hotelClass Activity – DiscussionWhat other legal information needs to be retained and maintained?
51Maintain existing recording and filing systems Operational reportsOther documentation that may need to be modified and updated may include:Arrival and departure reportsRevenue reportsIn-house activity reportsStaff timesheetsWork claim formsAccident reportsStaff rostersClass Activity – DiscussionWhat other operational reports need to be retained and maintained?
52Allocate new documents to designated category Techniques to organise informationAlphabeticalNumericalGeographicalSubjectKey wordChronologicalColour CodingClass Activity – DiscussionWhere would these different techniques be appropriate?
53Monitor the issue and return of documents Files are kept in specific locations for the benefit of all staff, to help them conduct day to day activities. It is therefore important that staff has access to these files when requiredIf files go missing, not only does this make it inconvenient for other staff seeking information, it may also have serious confidential concerns if lostClass Activity – DiscussionHow can you control this?
54Monitor the issue and return of documents Management must place a priority to monitor that any files issued have been:ReturnedIn a complete formatClass Activity – DiscussionHow can you control this?
55Monitor the issue and return of documents Check recording systems and filesThis can be achieved by ensuring the above mentioned recording systems are:Are checked on a regular basisFollowing up outstanding files with relevant personsConducting a ‘stock take’ of files where possibleRemind staff of the importance of returning files to original locationsClass Activity – DiscussionDiscuss the importance of these points
56Archive, remove and update documents ArchivingWhere files or documents pass a certain time such as 12 months after their date, they may be removed and stored in a secure location for a nominated timeThis time is usually 5 to 7 yearsThis called ‘archiving’Class Activity – DiscussionWhere do files get archived to?
57Archive, remove and update documents Removing designated inactive filesPeriodically, files may need to be culled or archivedThese files are commonly known as ‘inactive files’Clearing the inactive files frees up more space for current or active filesClass Activity – DiscussionWhen is it time to identify and remove files?
58Archive, remove and update documents Options to remove inactive filesPhysically work through the files and remove anything older than a certain timeShred anything that is remotely likely to be personal or confidential in natureDocuments may need to be archivedClass Activity – DiscussionWhat other options exist?
59Archive, remove and update documents Methods to archiveArchive may refer to:Handling completed and closed files in accordance with the organization’s policy, procedure and systemStoring confidential files in an internal or external repositoryBeing able to retrieve archived files from storage, when requiredOff-site storageClass Activity – DiscussionDiscuss these options
60Identify and dispatch documents Sharing hard copy files with othersAt times personnel within the hospitality organisation will seek information or access to files that may be in your possessionIt is normal procedure for files to be distributed to othersClass Activity – DiscussionDiscuss these points
61Identify and dispatch documents Sharing hard copy files with othersEach organisation will have their own policies and procedures for transporting hard copy files to other personnelWhen transporting files, the security of the files themselves and the information contained within must be maintainedClass Activity – DiscussionDiscuss these points
62Identify and dispatch documents Issuing files to othersWhen issuing files to others it is important that you ensure:These files can easily be identifiedThe persons seeking the files have the authority to be given themThe files are given to them in a timely mannerThey are informed that files must be recorded or signed forFiles are returned if applicableClass Activity – DiscussionDiscuss these points
63Identify and dispatch documents Factors to consider when issuing files to othersPracticality of sending documentsUrgency of document to be deliveredSize of documents or filesLevel of confidentiality or security requiredCost of deliveryClass Activity – DiscussionWhat other factors need to be taken into account?
64Maintain documents in good condition Given that hard copy files are in fact physical pieces of information, it is essential that these files are looked after and kept in good working condition as much as possible.How can you do this?Who is responsible for it?Class Activity – DiscussionDiscuss the questions in this slide?
65Maintain documents in good condition Maintaining the filing systemKeep documents that are waiting to be filed in trays, do not leave them lying about on desks or shelves.File documents away at least once a day, or if your organisation is very small you can do it once a weekDo not put too much in files or foldersClass Activity – DiscussionDiscuss these points
66Maintain documents in good condition Maintaining the filing systemPut new covers on old files which get a lot of use and have become worn or tornBox files and lever arch files can hold more than simple foldersNever allow filing drawers or shelves to become too full. Acquire new filing cabinets when necessaryClass Activity – DiscussionDiscuss these points
67Maintain documents in good condition Good housekeeping and safetyAt the end of every day you should:File all the documents you canPut away those you cannot file in filing traysLock up all confidential documentsPlace all waste paper in rubbish binsLeave desks tidyClass Activity – DiscussionWhat else can you do to maintain a clean and tidy work area?
68Separate confidential files from general files ConfidentialityConfidentiality is a set of rules or a promise that limits access or places restrictions on certain types of information:What are examples of ‘general’ files?What are examples of ‘confidential’ files?Class Activity – DiscussionDiscuss the questions in this slide.
69Separate confidential files from general files Types of general filesThese files are considered to be ‘general’ and contain information that helps to clarify and address operational needs including:Expected arrivals and departuresTiming of banqueting activitiesExpected VIP’sStaff movementsUpdated information or factsExplanation of in-house promotions or menusClass Activity – DiscussionWhat are other types of general files for different departments?
70Separate confidential files from general files Types of confidential filesStaff personnel filesFinancial informationOperational informationCommercial in confidenceClass Activity – DiscussionWhat are examples of files in these categories?
71Staff personnel files Personnel files Current employees in alphabetical orderPersonal informationTestimonialsJob applicationsBanking DetailsMedical informationClass Activity – Discussion & provide examplesDiscuss confidential information contained within these files?Who controls these files?Who has access to these files?
72Staff personnel files Staff Procedures Personnel Procedures Conditions of EmploymentContract of EmploymentSalary InformationInductionJob descriptionsPerformance AppraisalsStaff TrainingLeaveClass Activity – Discussion & provide examplesDiscuss confidential information contained within these files?Who controls these files?Who has access to these files?
73Financial information Types of financial informationBudgetSalariesFinancial StatementsPetty CashAuditor's StatementsTaxStrategiesBankDebtorsBookkeepingClass Activity – Discussion & provide examplesDiscuss confidential information contained within these files?Who controls these files?Who has access to these files?
74Operational information Types of operational informationArrivals Report, Arrivals ListDepartures Report, Departures ListNo Show ReportRoom Status ReportSpecial Requests ReportOccupancy Forecast ReportAverage Room Rates ReportClass Activity – Discussion & provide examplesDiscuss confidential information contained within these files?Who controls these files?Who has access to these files?
75Operational information Types of operational informationMultiple or Double Room Occupancy ReportGuest List by Name ReportGuest List by Room ReportTravel Agents’ Commission ReportSpecial Packages ReportMarket Segment ReportRooms Out of Order ReportClass Activity – Discussion & provide examplesDiscuss confidential information contained within these files?Who controls these files?Who has access to these files?
76Operational information Types of operational informationDaily Room Revenue Summary ReportDaily Revenue Summary ReportWeekly Trading Summary ReportMonthly Trading SummaryYear-to-Date ReportIn-house Activity ReportClass Activity – Discussion & provide examplesDiscuss confidential information contained within these files?Who controls these files?Who has access to these files?
77Commercial in confidence There are also other types of information that are commonly not for public viewing.Some of these include, but certainly not limited to:Ownership AgreementsManagement AgreementsTrademark informationStrategic informationContractsRecipesBusiness proposalsClass Activity – Discussion & provide examplesDiscuss confidential information contained within these files?Who controls these files?Who has access to these files?
78Authorised accessIt is important that an authorisation system, including the physical distribution of documents and access to filing cabinets is established.Security considerations include:Keep office doors locked from the inside to protect against entry by unauthorised staff and members of the publicDon’t leave paperwork, documentation and records lying around where they may be visible to othersKeep ‘private’ and ‘confidential’ files lockedClass Activity – DiscussionWhat else can you do to improve authorisation of information?
79Monitor security systems Methods to trace and secure filesCheck file movement recording documentationFollow up with staff deemed to have files at regular intervals to list on a file census form all the files held by that personKeep a centralised record of file movementsConduct a physical stock take of files in specific locationsClass Activity – DiscussionWhat else can you do to trace and secure files?
80Monitor security systems Methods to trace and secure filesIssue and sign in important documents at the start and end of shiftAsk security to conduct locker or bag searches where highly sensitive information is not permitted to leave the premisesClass Activity – DiscussionWhat else can you do to trace and secure files?