NCFE Level 2

Certificate in Principles of
Business Administration

MANAGING INFORMATION

HEALTH AND SAFETY

PROJECT MANAGEMENT

INNOVATION MANAGE BUDGETS

RIGHTS AND RESPONSIBILITIES

Workbook 9
Understand how to Store, Retrieve and Archive Information
 How to use your learning materials

This course is delivered on a flexible learning basis. This means that most of your
study will take place away from your Assessor/Tutor. It helps to carefully plan your
studying so that you get the most out of your course. We have put together some
handy tips for you below.

Study Guidance

Try to plan an outline timetable of when and where you will study.
Try to complete your work in a quiet environment where you are unlikely to
be distracted.
Set realistic goals and deadlines for the various elements of your course.
Plan what you are going to study during each session, and try and achieve
this each time.
After each session, reflect on what you have achieved and plan what you hope to
complete next time.
Remember that not only do you have the support of your Assessor/Tutor, but it is
likely that your family, friends and work colleagues will also be willing to help.

Assessor/Tutor Support

Your Assessor/Tutor will be available to support and guide you through the
programme. They are experts in your area of study and are experienced in helping
many different types of learners.
They can help you to improve the standard of work you submit and will give
you useful feedback on areas in which you have excelled, as well as where
you can improve.
Remember to listen to, or read, their feedback carefully. Ask if you are unsure
about any of the feedback you receive as your Assessor/Tutor is there to help.
Make note of any tips they give. Refer to the learning materials as they contain the
information you need to complete the end-of-unit assessments.
Look out for areas in which you can improve, and set yourself an action plan to
make sure you complete the required work.
Take positive feedback on board; this demonstrates you are doing things right and
have a good understanding of the subject area.
Use the feedback to avoid repeating any mistakes you may have made.

Enjoy your studies!

2 © LCG 2016
 NCFE Level 2 Certificate in Principles of
Business Administration

Workbook 9
Understand how to Store, Retrieve and
Archive Information

Workbook Contents

This workbook explores how businesses store and retrieve information, including the
importance of choosing the appropriate filing system and keeping filing up to date.
Additionally, learners will study laws that protect information and what happens when
information is archived.
Within the workbook, there are several Knowledge Activities that help to focus on the
various topics. These are informal activities that help to consolidate knowledge. In
the last section, there are Extension Activities for learners who wish to develop their
knowledge further.

Contents
This workbook contains three sections: Page
Section 1: Understand information storage and retrieval 4
Section 2: Understand archiving requirements 12
Section 3:
Extension activities 16

Each section has a corresponding assessment that must be NCFE Level 2 Certificate in Principles of
Business Administration

completed in order to achieve this part of the programme. Assessment 9

Understand how to Store, Retrieve and
Archive Information

The assessments for this workbook can be found in: Learner contact details:

Assessment 9: Understand how to Store, Retrieve

Name:

Contact address:

and Archive Information Postcode:

Contact number:

Email:

Learner declaration

When you have completed this workbook you should I confirm that the answers in Assessment 9 were completed by me, represent my own
ideas and are my own work.

attempt the assessment. Your Assessor/Tutor will then

Learner signature: Date:

give you detailed written feedback on your progress.

If you need any help in completing these assessments, refer to the
relevant section within Workbook 9, or contact your Assessor/Tutor.

Assessment 9 1

Workbook 9 3
 Section 1: Understand information storage and retrieval

Retrieving and storing information: systems and procedures

Please read the following as it will help you to answer questions 1, 2, 3, 4
and 5.

All organisations deal with and store information, including supplier bank account
details and personal employee data. It is the organisation’s responsibility to keep
electronic and paper information safe and secure and ensure that it is easy to
find, when necessary. A well-managed filing system is an important element of any
organisation – large or small – because it can increase efficiency.
The table below outlines the different systems and procedures organisations may
implement to store and retrieve information.
Type of Storage/retrieval Systems/procedures
information system
Physical: Filing – e.g. can be easy to access
reports binders, filing can be easy to alter/remove documents
cabinets, trays, can be destroyed by fire/rain, etc.
presentations pigeon holes
can be lost
memos Labels and folder time-consuming to locate files
letters tabs are used for
cannot be changed/edited directly – takes
identification.
financial time to make copies/update old files
handbooks documents can easily be put back in the
wrong place
take up a lot of space – e.g. filing cabinets

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 Section 1: Understand information storage and retrieval

Type of Storage/retrieval Systems/procedures

information system
Indexing: there are four main types:
An index guide – chronological
can be created – numerical
that shows where – alphabetical
files are located. – geographical
It is useful for
chronological: information is grouped
managing large
together based on date
volumes of files.
– easy to locate most recent information
An index guide
is usually placed – can be used with another system – e.g.
after every 10-15 – alphabetical
files. – time-consuming to use
Cross indexing: numerical: information is filed numerically,
some files may in sequence
belong in more – good for hospitals and businesses with a
than one category, – lot of customers
so a note, or – easy to file correctly
cross reference, – easy to understand
is placed in one – easy to expand
of the files. Cross
– no accommodation for miscellaneous files
referencing can
– time-consuming
be done in a
notebook or on alphabetical: information is filed
notecards. alphabetically
– easy to set up and use
– uses a simple method
– uses a lot of space – which is also
– expensive
– difficult to make space for new information

geographical: information is filed
alphabetically within categories and is
arranged by location
is useful for analysis records
 process is time-consuming as multiple
the
identifiers are required, i.e. town, city and
county

Workbook 9 5
 Section 1: Understand information storage and retrieval

Type of Storage/retrieval Systems/procedures

information system
Electronic: Applications – e.g. Filed by:
email Outlook, Gmail, title
Hotmail; USB; subject
files external drive;
category/reference number
documents hard drive
date
reports
author
data storage end date

Electronic data:
is instantly accessible
is easy to back up and keep in different
locations
is accessible on a network, making it
susceptible to hackers
can be destroyed by viruses, etc.
can be edited quickly
can be shared quickly and cheaply (no
reproduction costs)
data can be transferred between
applications
File sharing – e.g. can be shared or edited quickly
Dropbox, cloud can be accessed by anyone with a link or
password, no matter where they are located
geographically
is accessible online, making it susceptible
to hackers

Information security and retention

Organisations have a legal responsibility to ensure that all information stored and
retrieved is kept safe and secure. Failure to maintain a good storage and retrieval
system could result in:
theft of sensitive information
loss of sensitive information

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 Section 1: Understand information storage and retrieval

Information being used illegally

organisations facing legal action

The General Data Protection Regulation 2016

The General Data Protection Regulation (GDPR) is European legislation that has
replaced the UK’s data protection legislation.

The GDPR sets out six main principles. These are that personal data is:
• Processed lawfully, fairly and in a transparent manner in relation to individuals.
• Collected for specified, explicit and legitimate purposes and not further processed
in a manner that is incompatible with those purposes; further processing for
archiving purposes in the public interest, scientific or historical research purposes
or statistical purposes shall not be considered to be incompatible with the initial
purposes.
• Adequate, relevant and limited to what is necessary in relation to the purposes
for which they are processed.
• Accurate and, where necessary, kept up to date; every reasonable step must
be taken to ensure that personal data that are inaccurate, having regard to the
purposes for which they are processed, are erased or rectified without delay.
• Kept in a form which permits identification of data subjects for no longer than
is necessary for the purposes for which the personal data are processed.
Personal data may be stored for longer periods insofar as the personal data will
be processed solely for archiving purposes in the public interest, scientific or
historical research purposes or statistical purposes subject to implementation of
the appropriate technical and organisational measures required by the GDPR in
order to safeguard the rights and freedoms of individuals.
• Processed in a manner that ensures appropriate security of the personal
data, including protection against unauthorised or unlawful processing and
against accidental loss, destruction or damage, using appropriate technical or
organisational measures.

(From Article 5 of the GDPR. Further information on GDPR can be found on the
Information Commissioner’s Office website at www.ico.org.uk)

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 Section 1: Understand information storage and retrieval

The organisation has to have a specific reason for keeping and using data and the
Regulation sets out six bases:
• consent
• contract
• legal obligation
• vital interests
• public task
• legitimate interests

Under the GDPR individuals have specific rights in relation to their personal data
including information about how data is used, access to the data, rectification where
data is incorrect and the ‘right to be forgotten’ which means all their data is erased
from systems.
Organisations must have systems in place to record explicit consent regarding
information and to make withdrawal of consent straightforward. There should also be
policies and procedures in place for managing and using data.
The Information Commissioner’s Office (ICO) can take criminal action against
organisations that fail to comply.

For more information on the General Data Protection Regulation please visit the ICO
website www.ico.org.uk.

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 Section 1: Understand information storage and retrieval

Data Protection Act 2018

Under the Data Protection Act 2018 businesses are only allowed to keep information
that they need for business purposes. Once the information has been used and is no
longer needed it must be safely and securely destroyed. Organisations should:

decide what information needs to be kept – this reduces the amount of
unnecessary information stored, in turn reducing storage costs
 up procedures for staff so they know what records to keep and where to keep
set
them – this will make systems easier to navigate; reduces opportunities for
information to be stolen or lost

Records that must be kept, by law, are the ones that show business accountability
– in case the business has to justify its decisions or actions.
Records that should be kept include:

stakeholder meeting minutes – e.g. meetings where important, company-wide
decisions are made
personnel records – e.g. for those personnel who currently work at the organisation
tax-related documents – e.g. expenses, bank statements

Filing systems

In addition to electronic filing systems there are two main physical filing systems
that can be used to make identifying and retrieving information easier and more
straightforward: vertical and lateral.

Vertical
A vertical filing cabinet is useful for small offices and files that are not accessed too
often. This type of cabinet is deep and bulky, but takes up less wall space than a
lateral filing cabinet. Vertical filing cabinets can be:
metal
wooden
multiple – i.e. stacked
single

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 Section 1: Understand information storage and retrieval

Horizontal
A horizontal filing cabinet is narrower and wider than a vertical filing cabinet, and each
drawer holds a large number of files. This type of filing cabinet is useful for storing
files that are accessed on a daily basis. Horizontal filing cabinets can be:
metal
wooden
various different lengths and heights

Search techniques

Once a filing system has been created, documents can be searched in a variety of
ways, including:
Paper-based systems – e.g. by number, by letter (alphabetically), by date or
location. Referencing an index guide will also speed up the process.
Electronic systems – e.g. cloud or email database. In an electronic system
searches can be done with specific information, such as a keyword, name or date
or with general information, such as a subject or phrase. A Boolean search can
also be used where several words are separated by ‘And’, ‘Or’ or ‘Not’.

Problems with storing and retrieving information

No filing system is perfect, and there is always the possibility that problems will arise
when information is stored and/or retrieved.
 isfiling – e.g. information is accidentally placed in the wrong file or saved in the
M
wrong folder electronically. When information is misfiled it can be time-consuming
and expensive to find. To prevent this from happening, careful attention must be paid
to where information is saved and titles should follow strict guidelines. If information
is ‘lost’, searches should be conducted using the methods mentioned earlier.

Not keeping filing up to date – e.g. falling behind or not updating index guides.
Filing can be time-consuming and is often a task that is placed low on a list of
priorities. However, there is value to completing filing in a timely manner – it saves
time later on, it makes information quick and easy to find and it increases efficiency.
It also reduces the amount of information that is lost or misplaced/misfiled.

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 Section 1: Understand information storage and retrieval

Hardware – computers can break, for example, viruses can render them useless or
they can suffer catastrophic failure. It is essential that data are backed up regularly,
either to a cloud or an external hard drive. This will ensure that most data will be
saved should hardware problems arise.
Software – all computer programmes are susceptible to bugs, so it is important
that updates are applied as soon as they are issued and that anti-virus software is
regularly updated.

Did you know?

Using the Freedom of Information Act, the public can obtain most of the
information held by public authorities. This led to finding out:
that MP Sir Peter Viggers tried to claim £1,645 for a floating duck house

restaurant food hygiene scores – before the FOI Act was implemented, councils
could refuse to share food hygiene scores. So now you can find out how clean
a restaurant is before you eat there

Knowledge Activity 1: What type of filing system would you use for each of
the following types of information? Give an explanation for each of your choices.
Rental agreements and references at an estate agency

Names, addresses and credit card details of customers at a large online

retailer

Patient notes at a small doctor’s surgery

Workbook 9 11
 Section 2: Understand archiving requirements

Archiving requirements
Please read the following as it will help you to answer questions 6, 7, 8, 9
and 10.

Archiving information

When information is no longer used or referred to on a regular basis, but still needs to
be kept for future reference, it is archived. This is the process of moving files – either
physical or electronic – and placing them somewhere else, either onto a different
server or in a separate location, such as a secure warehouse. Organisations must have
processes and procedures in place to help them decide what information is archived
and how to do so correctly to ensure it can be retrieved easily at any point in the future.
One of the main advantages of archiving old files is that it frees up space for new and
existing files. The second advantage is that information can be retrieved whenever it is
needed.

By law, organisations must keep:

health and safety records indefinitely
human resource records for six years following the end of employment
account records for between three and six years

There are two main systems of archiving information: manual or electronic.

Manual, paper-based system – e.g. information/files are kept in boxes and then
placed into a storage room or secure storage facility. Each box should be carefully
labelled with:
– a unique number
– list of contents
– archive date
– retention period
– destruction date
The information on each label should also be
placed on an archive list so that each box can
be retrieved quickly and easily.

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 Section 2: Understand archiving requirements

Electronic-based system – e.g. files kept on a computer. Electronic archiving is

faster and often easier to use than a manual archiving system as files can be
moved, searched for and retrieved with a few key strokes or keywords. Larger
organisations may use a separate server to archive documents. Automatic alerts
can be set to notify users when documents should be deleted.

Retrieving information

The way in which information is retrieved depends on each organisation’s policies

and procedures. Access to archived information is usually controlled by a code or
password, so before information can be retrieved, the user must have the correct
permissions.

The types of information that can be retrieved from an archive include:

physical – e.g. letter, fax
visual – e.g. photograph
audio – e.g. tape recording
digital – e.g. email

The retrieval process may include:

looking up the file in the archive database
contacting the person in charge of the archive
giving that person the relevant information, e.g.:
– department name
– archive box number
– archive date
– contents needed
– reason for requesting access
collecting the information

For electronic databases, the process may be similar, but the files will be accessed
using a password. Copies of archived information will be tightly controlled.

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 Section 2: Understand archiving requirements

Retention policies

Organisations must agree and create policies about how long different types of
information should be kept, or retained, or before being archived or destroyed.
Retention policies help organisations to ensure that their filing systems are up to
date and that no information is needlessly kept, thus freeing up space to store new
information. Retention policies can be determined by organisational guidelines or by
law, and it is highly important that all staff know the organisation’s policies.

The length of time a file or document is kept before being archived will depend on a
range of factors, including:
physical space in the ‘live’ filing system
physical space in the archive filing system
type of information

Deleting archives

Organisations will have their own policies and procedures for deleting or destroying
documents, but the main thing to remember is that information can only be destroyed
after the retention period has ended. This process is usually conducted once a year
in a company-wide effort. Physical archive boxes will be removed from storage, the
contents destroyed and the boxes relabelled, so they can be used for new archive
material. Electronically archived data will be deleted straight from the server.

Off-site archives

Some organisations choose to use off-site archives, such as commercial storage

facilities, to house important information. This could be because there isn’t enough
space on-site to store multiple boxes, or the organisation may not have the resources
to manage the archive. Archives can also be kept online in a ‘cloud’. Clouds can be
managed by the company that offers the service – for a fee – or by the organisation.

Staff will be required to follow the storage facility’s policies and procedures for
archiving and retrieving information. Off-site archives will be secure and subject to
strict access requirements, which may include:
a unique login
user verification – e.g. personal questions unique to each user

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 Section 2: Understand archiving requirements

an identity badge

a user name and password

restricted content – e.g. information may have to be viewed at the storage facility
unless permission is gained; copies may not be allowed to be made; electronic
information may be ‘read only’, which means it can’t be altered or copied

Did you know?

 Billund, Denmark, Lego has an archive of most LEGO sets produced
In
(4,720 sets to date) that are kept in a secure, temperature- and humidity-
controlled, fireproof vault.

There is a storage facility in Kansas, USA, that is buried 650 feet below the
surface where Fortune 500 companies store their archived information. It is
1.7 million square feet and holds millions of items.

Knowledge Activity 2: Make some notes on how you would retrieve

information from an off-site facility. What information would you need?

Summary

In this section you have learned about:

information storage and retrieval
archiving requirements

Workbook 9 15
 Section 3: Extension activities

Further your knowledge and understanding of the topics in this workbook by

completing the following extension activities.

Extension Activity 1: What type of storage would you suggest for the
following types of information? Make some notes on why you chose each type.
Personnel records of employees who left the company between three and
five years ago

Accounting information that is used on a daily basis

Rental agreements for 100 houses that are reviewed once a month

Dental records of a large 500-patient surgery

Well done!
You have now completed Workbook 9 and should
attempt the assessments. If you require any help or
guidance please contact your Assessor/Tutor.

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Please use this page for additional notes

Workbook 9 17
 Please use this page for additional notes

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Please use this page for additional notes

Workbook 9 19
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