Introduction to Records Management - Getting Organized - Files & Records - Seminar - March 21, 2011

8/7/2019 Introduction to Records Management - Getting Organized - Files & Records - Seminar - March 21, 2011

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INTRODUCTION TO RECORDS MANAGEMENT - Getting Organized: Files & Records

PO Box 2235, 40 Northey Lane, Longdenville, Chaguanas, Trinidad & Tobago, W.I.Telephone: 1-868-671-8173 / 1-868-672-7002 Fax: 1-868-672-7005

Email: [email protected] Website: www.lorsonresources.com

COURSE DESCRIPTION

Course

Title:

INTRODUCTION TO RECORDS MANAGEMENT

Getting Organized Files & Records

Unit: 1 Introduction to Records Management1.1Definition of a RecordDefinitionsofwhatexactlyconstitutesarecordbasedonvariousenvironmentsandasdefined

by several international and regional authorities: ISO 15489, ARMA, AIIM, IRMT, as well as

selected Caribbean legislation, e.g. FOI Acts, Evidence Acts and other relevant pieces of

legislation.

1.2The Records Life Cycle ConceptIntroduction to the lifecycle conceptdescribing thevarious stages throughwhich information

passesinrecordedform.

1.3The Odyssey of Records ManagementOverviewofthehistoricalbackgroundofrecordsmanagementfromcavedrawingsandrecorded

messagesleftbyearliercivilizations,anditstransitionfromaperceivedlowlevelclericalfunction

into an accepteddisciplinewith itsown set ofethics, rules, standards and academic support

programmes. Related information disciplines will also be discussed as well, with some

appreciation for how these disciplines complement records management, as well as the

increasinglydiversefunctionsandnomenclaturethatpeoplemanagingrecordsarenowfacing,

especiallywithintheelectronicenvironment.

Unit: 2 Active Files ManagementThismoduledealswithmattersaffectingthemanagementofActiveRecords,andwilltreatwith

thefirsttwo(2)stagesoftheRecordsLifecycle,i.e.;creationandmaintenance/use.

2.1Correspondence ManagementDiscussiononsomeofthetypesofcorrespondenceusedwithintheorganization,withemphasis

being placed on standardization of letterheads, use of form letters and the use of subject

captions to help with the classification of documents, as well as the treatment of

correspondencereceivedanddisseminatedby/throughouttheorganization.

2.2Records Centre OperationsIllustrationsofsomeofthegeneralservicesusuallydeliveredbytheRecordsCentre/Unit.Best

practicesforthecreationofnewfiles,mergingoffiles,closingoffiles,crossreferencingandthe

openingofnewfilevolumeswillbesharedwiththeparticipants.Therelationshipbetweenthe

RecordsUnit/Centerandotherbusinessunitswillalsobe

brieflyexamined.

2.3Filing Equipment & ControlFiling equipment selection for recordkeeping will be discussed, as well as demonstration of

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simpleFileMonitoringSystemsforthetrackingofcorrespondenceandrecordsthroughoutthe

organizationwillbeundertakeninthissession.

2.4Business Systems Analysis & Records Classification DevelopmentOneof theprerequisites todeveloping taxonomies for themanagementof information is to

view the organization as a system. This sessionwill discuss the dictionary and encyclopedic

methodsforthesortingandarrangingoffilesandrecordsintoaRecordsClassificationScheme.

SomeemphasiswillhoweverbeplacedontheuseoftheMasterListofSubjectHeadingsand

various coding methods, as well as the hierarchical arrangement of records into primary,

secondaryandtertiaryblocksforaccuratedescriptionandclassificationofinformation.

Unit 3 Management of InActive Records

Thismoduledealswithmattersaffecting themanagementof InActiveRecords,andwill treat

withthelasttwo(2)stagesoftheRecordsLifecycle,i.e.;dispositionanddestruction.

3.1The Records Inventory ExerciseConduction of a Records Inventory Exercise as the foundation for a Records Management

Programme,aswellasthe importanceofstocktakingtodeterminethe informationalassetsoftheorganization,aswellasthe identificationandeliminationofnonrecordswillbediscussed

duringthissession.

3.2Records Retention & DispositionConsiderationoftheconceptsofappraisalanddisposal,andtheimportanceofappraisalpolicies,

followedbya reviewof someof thekey steps involved in carryingout recordsappraisaland

disposal activities, including: identifying responsibilities, documenting processes, conducting

research, carrying out an assessment, confirming appraisal assessment and implementing

appraisalanddisposaldecisionswillbecoveredduringthissession.

3.3Disposal of RecordsDispositionisthefinaldeterminationofwhethertostoreinactiverecordsthatmayberequired

for furtheruseby the organization in aRecords StorageCentreor anArchive,or the secure

destructionof recordsthatareno longerneededbytheorganization.Somebestpractices for

thedisposalofrecordswillthereforebehighlightedduringthissession.

Unit 4 Legs & Regs for Records

This module will be examining legislative and regulatory requirements for recordkeeping in

various industries. An attempt will be made to link local examples to the established

internationalbestpractices.

4.1Legal Requirements for Records KeepingDuringthissessiontheparticipantswillbetaughthowtoconductaLegalResearchExercise in

ordertodetermine thespecificrecordkeeping, industryand legislativerequirementsthat their

organizationmustcomplywith.

4.2Electronic Records ManagementAdiscussionof thebenefitsofelectronic recordsmanagement, including:widespread access,

flexibility of use, increased efficiency and effectiveness, economic benefits and increased

auditing capabilities, followed by a discussion of the challenges posed by electronic records,

including: technological obsolescence, increasing organizational dependence on technology,

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concernsaboutreliabilityandauthenticity,securityandprivacyissues,maintenancecostsand

thedevelopmentofindividualapproachestorecordscreationandcare.

4.3MetadataAbriefdiscussionofthebenefitsofreliabledescriptiveinformation,andtherolethatmetadata

playsintherecordkeepingprocess.

4.4Standards for RecordkeepingAn examination of the technological features that surround recordkeeping, including:

considerationofthecomponentsofelectronicinformationsystems,theplaceofrecordsinthose

information systems, the concept of information architecture, the changing software

environment,theroleoftechnologicalstandardstosupportelectronicrecordkeeping,andthe

importanceofbeingawareofchangingtechnologicalissuesanddevelopments.

Unit 5 Information Security & Protection

Thismodule dealswith protecting records and information from bothnatural andmanmade

threats.

5.1Security of Records & InformationThe use of various classification protocols to prevent the lost, theft ormalicious damage of

informationviaaninformationsecurityawarenesssubprogrammeasanecessarycomponentof

theoverallrecordsmanagementprogramme.

5.2Access to Information/ Freedom of InformationThe impactofFreedomof Information legislationontherecordsmanagementprogrammewill

bediscussed inthissession,sothatparticipantswhooperatewithinorganizationsaffectedby

this typeof lawwill be able to organize their recordsmanagementprogrammewith the full

consideration

of

the

associated

legal

and

evidential

requirements

for

this

type

of

law.

RecognizingthatFOIisnowbeingenactedacrosstheCaribbeanRegion,itisnecessarytoprovide

participants with an introductory session on how this legislation may/ will affect records

managementsystems.

5.3Disaster Planning and RecordsAdiscussiononhowtoprotectandpreparerecordsand informationfromvariousnaturaland

manmadedisasters.

5.4Basic Records Recovery TechniquesFollowing from the previous session, some basic recovery techniques for the restoration of

informationanddocumentation (forbothelectronicandpaperbased records) following these

eventswillbeintroducedduringthissession.

Unit 6 Planning for the Records Management Programme

ThismodulecoversabriefoverviewofsomeoftheessentialstepsinvolvedinplanningaRecords

ManagementProgramme.

6.1The Records Advisory CommitteeTheestablishment,constitutionandresponsibilitiesoftheRecordsManagementCommitteeto

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guidetherecordsmanagementpoliciesandsubprogrammesacrossthevariousareasofthe

organization isessentialtothecontinuityofanyRecordsManagementProgrammeandwillbe

thefocusofthissession.

6.2The Records Management ManualThedevelopment,introductionanduseofawrittenguidelineasanauxiliarysupporttoolforthe

continuedefficientmanagementofinformationwithintheorganizationwillbediscussedinthis

session.

6.3Marketing for the Records Management PlanVariousmethods forgettingthenecessary buy in fromTopManagementwillbediscussedas

well as some recommended approaches on how to best articulate the proposed records

managementstrategysothatitmayserve/meettheinformationdemandsoftheorganization.

Issuessuchasthesize/ambitionoftheproposedstrategy,

aswellasthesizeandtypeoforganizationwillbeexaminedinordertosupporttheintroduction

ofinformationsystems.

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Ins t ruc t or Profi l e

Emerson O. Bryan is an Independent Consultant and Information Specialist currently onassignment at the Office of Trade Negotiations (OTN) of the CARICOM Secretariat, formerly theCaribbean Regional Negotiating Machinery (CRNM).

Mr. Bryan was prior to this, the Research Assistant/ Junior Consultant in the United NationsDepartment for Economic and Social Affairs (UNDESA) Caribbean Technical and AdvisorySupport Facility (TASF) on eGovernment based at the Caribbean Centre for DevelopmentAdministration (CARICAD) in Bridgetown, Barbados.

Mr. Bryan has over sixteen (16) years of experience in information management, and begun hiscareer as a member of the Jamaican Foreign Service, where he worked as a Records Officer in the Ministry of ForeignAffairs and Foreign Trade, during this time, he was seconded from the Foreign Ministry, for a year, as the Records andInformation Manager of the Ministry of Land and Environment (Office of the Prime Minister).

Mr. Bryan has worked with several organizations across the Caribbean and is an Associate Consultant/Trainer with theTrinidad and Tobago-based Lorson Resources Limited. He is a member of: The Association of Commonwealth Archivists& Records Managers (ACARM), a former Executive Member of the Barbados Association for Records & InformationManagement (BARIM), a former member of the Library & Information Association of Jamaica (LIAJA), the Jamaica DefenceForce Coast Guard (National Reserves), and is active in several professional organizations, and charity organizations.

PUBLICATIONS & SEMINARS:

ARTICLES: Bryan, E. The Proposed Access to Information Legislation. Caribbean Journal of Public Sector

Management. 3:1, (2002): 16-29. ISSN 0799-0847 See:http://www.mind.edu.jm/Templates/ReadNews.jsp?newsindex=64

Bryan, E.The Proposed Access to Information Legislation Part 1 ACARM Newsletter. 31(2002): 16-19. ISSN0258-2163 See: http://www.acarm.org/documents/issue31/emmerson1.pdf Bryan, E.The Proposed Access to Information Legislation Part 2 ACARM Newsletter. 32 (2002): 17-21. ISSN

0258-2163 See: http://www.acarm.org/documents/issue32/emmerson.pdf

Bryan, E.The Possible Future of the Records and Information Management Profession The view from within theJamaican Public Service. ACARM Newsletter. 33 (2003): 10-17. ISSN 0258-2163See: http://www.acarm.org/documents/issue33/Emmerson.pdf

Bryan, E. The Possible Future of the Records and Information Management Profession. LIAJA Bulletin 2003/2004. (2004): 35-39. ISSN 0799-1207

Bryan, E. An Analysis of Content and Information as Drivers for Electronic Government ACARMNewsletter 40 (2007): 6-9. ISSN 0258-2163 URL: http://www.acarm.org/documents/issue40/Autumn%2007.1.pdf

Bryan, E. Governance Legal: Information Management Matters, Nation Newspaper [Barbados] 9 April 2008: 38A. Bryan, E. Information Security Management: Protecting your Assets ACARM Newsletter 43 (2008): 13-15. ISSN

025-2163 URL: http://www.acarm.org/documents

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Bryan, E. Issues of Privacy and Data Protection Legislation within the Networked Environment The CaribbeanExperience (forthcoming).

Bryan, E. Governance & Records Management, Challenge to Change, [Barbados] 6-7, 11:3 & 12:1 (2009): 6-7 &20.

MONOGRAPH:

Bryan, E. First Steps towards Good Recordkeeping - A Caribbean Manual, 2011. (forthcoming).PRESENTATIONS:

Bryan, E. Presentation: Governance: Records and Information Management Matters. BarbadosAssociation for Records and Information Management (BARIM) 2nd Regular Meeting, Cable & Wireless BoardRoom, Bridgetown, Barbados. 27 Feb. 2008. See:http://uk.groups.yahoo.com/group/barim2004/files

Bryan, E. & W. Tyson. Presentation: Managing Risks Information Matters. Caribbean RegionalCompliance Association Annual Conference (CRCA). Hilton Nassau Colonial Hotel, Nassau, The

Bahamas. 21 Nov. 2007. See: < http://www.crcaconference.com/2007/SpeakerProfile.htm >

Bryan, E. Information Management Visioning Exercise. Caribbean Regional Fisheries Mechanism(CRFM) Secretariat, Belize City, Belize. June 2006.

Bryan, E. An Introduction to Records & Information Management Barbados Community College, St. MichaelBarbados. March 2009.

WORKSHOPS:

Principal Facilitator: Records Management Seminar for Senior Directors of Ministry of Health/ Office of Public

Sector Reform, Bridgetown, Barbados. 10-11 Nov. 2009.

Principal Facilitator: Records Management Seminar for Cabinet Office of Barbados/ Office of PublicSector Reform, Bridgetown, Barbados. 2-3 Dec. 2008.

Principal Facilitator: Records & Information Management Workshop for the Caribbean Centre forDevelopment Administration (CARICAD), Bridgetown, Barbados. 11 Sep. 2006.

Principal Facilitator: Records & Information Management Workshop for the Organization of EasternCaribbean States (OECS) Secretariat, Castries Room, Morn Fortune, St. Lucia. 13 July 2006.

Principal Facilitator: Developing a Records & Information Management Strategy for the EasternCaribbean Telecommunications Authority (ECTEL) Directorate, Board Room, Castries, St. Lucia.

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P.O. Box 2235, 40 Northey Lane Telephone: 868-671-8173/672-7002Longdenville, Chaguanas Fax: 868-672-7005TRINIDAD, W.I. Email: [email protected] 7

REGISTRATION FORM

Course title:

Location & Date of course:

Name of participant:

Position/responsibilities:

Organisation:

Telephone: Mobile: Fax:

E-mail:

Postal address:

What kind of background in records work do you have?:

How did you find out about the course?:

I have read and agreed to the conditions for training course registration outlined above.

Signature: Date:

Authorising officer:

Name: Position:

Telephone: Fax:

E-mail:

Signature: Date:

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P.O. Box 2235, 40 Northey Lane Telephone: 868-671-8173/672-7002Longdenville, Chaguanas Fax: 868-672-7005TRINIDAD, W.I. Email: [email protected] 8

REGISTRATION AND PAYMENT TERMS & INSTRUCTIONS:

1. Please ensure registration forms are properly filled out and more importantly authorization/approval forregistration indicated on the form before forwarding to Lorson.

2. All costs quoted are in US$.3. Where applicable, the TT$-US$ rate of exchange shall be calculated at the prevailing bank rate.4. Payments must be made IN ADVANCE.5. Late payments -- 15 days and more from the date of invoice) shall incur a 15% late fee charge.6. Companies based in Trinidad & Tobago can issue cheques payable to LORSON RESOURCES LIMITED. All

other companies please complete an International Wire Transfer. The details will be included on your invoicefrom Lorson Resources Limited.

7. A 5% discount shall apply for groups of five (5) participants or more from one organisation.8. The price of the course also covers morning and afternoon snack breaks, lunch, manuals/course materials

and certificate.9. PAYMENT AND REGISTRATION SUBSTITUTION POLICY

Substitute participants are permitted for individuals from the same company or organization. Substitutionrequests must be received in writing, and validated by a supervisor, no later than 5 (five) business days

before the first day of the registered program.

10.CANCELLATION POLICYLorson Resources Limited reserves the right to cancel courses, programs, workshops or seminars at anytime for any reason. The decision to cancel is at the sole discretion ofLorson Resources Limited. In theevent Lorson Resources Limited cancels a program, trainees will be sent a full refund. Consequently, LorsonResources Limited assumes no responsibility or liability for any transportation, travel, or penalty costsincurred by customers in making their travel arrangements.

Neither Lorson Resources Limited nor any of its affiliates shall be liable for any direct, indirect, special,consequential, incidental or punitive damages (including, without limitation, lost profits or revenues, costs ofreplacement goods, business interruption and loss or damage arising out of registration for any ofLorsonResources Limited's courses, programs, workshops or seminars.ALL CANCELLATION REQUESTS MUST BE MADE IN WRITING AND MAILED/EMAILED TO:Lorson Resources LimitedPO Box 2235, 40 Northey Lane, Longdenville, Chaguanas, Trinidad, W.I.

Registrants who cancel their registration at least 15 days prior to the first day of courses will receive arefund less a cancellation fee of 50% of course cost. ALL COURSES, PROGRAMS, WORKSHOPS, ORSEMINARS ARE NON-REFUNDABLE WITHIN 15-DAYS OF THE FIRST TRAINING DAY.All cancellations received less than 15 (fifteen) days prior to the first day of courses are non-refundable.

PLEASE MAIL OR FAX THE ABOVE REGISTRATION INFORMATION TO:Lorson Resources Limited, PO Box 2235, 40 Northey Lane,Longdenville, ChaguanasTrinidad, West IndiesTEL: 868-671-8173 or 868-672-7002 FAX: 868-672-7005Email: [email protected]

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Documents

Introduction to Records Management - Getting Organized - Files & Records - Seminar - March 21, 2011