introduction to records management - getting organized - files & records - seminar - march 21, 2011
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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: info@lorsonresources.com 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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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: info@lorsonresources.com Website: www.lorsonresources.com
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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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: info@lorsonresources.com Website: www.lorsonresources.com
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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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: info@lorsonresources.com Website: www.lorsonresources.com
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: info@lorsonresources.com 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: info@lorsonresources.com 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: info@lorsonresources.com
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