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E. Bryan - An Introduction To Records Management [Barbados Community College]

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this is the presentation I gave to the Barbados Community College, as part of the Library & Information Technicians Programme.

this is the presentation I gave to the Barbados Community College, as part of the Library & Information Technicians Programme.

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    • 1. Introduction to Records & Information Management Library & Information Technicians Certificate Programme Emerson O. St. G. Bryan [email_address] Information & Document Management Officer Caribbean Regional Negotiating Machinery (CRNM)
    • 2. An Independent Consultant and Information Specialist currently on assignment at the Caribbean Regional Negotiating Machinery (CRNM ) in Barbados. Over fifteen (15) years of experience in information management and begun his career as a member of the Jamaican Foreign Service, where he worked as a Records Officer in the Ministry of Foreign Affairs and Foreign Trade, during this time, he was seconded from the Foreign Ministry, for a year, as the Records and Information Manager of the Ministry of Land and Environment (Office of the Prime Minister). Has worked with several organizations across the Caribbean and is an Associate Consultant/ Trainer with the Trinidad and Tobago-based Lorson Resources Limited. About Me…
    • 3. Seminar Modules
      • 1000 : Overview of Records & Information Management
      • 2000 : Governance & Records Management
      • 3000 : Legal Aspects of Records Management
      • 4000 : Information Security & Protection
      • 5000 : Relationship with the Records Unit
    • 4. Interested in Managing Information? Interested in Managing Information?
    • 5.
          • Module 1000
          • Overview of Records & Information Management
    • 6. 1001 (1) What is a Record?
      • Can be defined as "Information created, received and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business". (ISO 15489-1, 2001)
      • All recorded information, regardless of media or physical characteristics, made or received and maintained by an organization or institution in pursuance of its legal obligations or in the transaction of its business . (International Council on Archives General International Standard Archival Description (ISAD(G): 1993)
    • 7. 1001 (2) What is a Record? Records are recorded information giving evidence, and serving some kind of purpose , regardless of medium or characteristics .
    • 8. 1001 (3) What is a Record?
      • Anatomy
      • of
      • a
      • Record
      Content Context Structure
    • 9. 1002 (1) The Records Life Cycle Concept Diagram illustrating the Records Life Cycle
    • 10. 1003 (1) The Profession of Records Management “ field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records” Responsibility of management Sense of order Full lifecycle Records disposed of Evidence needs to be credible Records
    • 11. 1003 (2) The Profession of Records Management RM-related ‘acts’ on the Big/ Small screen
    • 12. 1003 (3) The Profession of Records Management
      • Records management has come a long way from a low-level function to attaining full managerial status, with its own body of discipline, theories and academic recognition. Some important landmarks in RM history were:
        • The discovery by paleontologists of representation on cave walls by early Cave Men of specific and special events in pictorial, graphical and hieroglyphic in Germany’s famous Neander Valley;
    • 13. 1003 (4) The Profession of Records Management
        • The introduction of script, which replaced hieroglyphics between the late 4th and 5th millennium B. C. made it easier to represent these early events;
        • The use of papyrus as a format to record information by both the Ancient Sumerians and Ancient Egyptians around 4000 B. C.;
        • The invention and use of printing presses in Germany around 1440 A. D. to mass produce books and documents;
    • 14. 1003 (5) The Profession of Records Management
        • The introduction of Records Centres and the Registry System, which came out of Ancient Imperial Rome, which build in 79 B. C. the Tabularium , which literally mean “house of tablets” which is the prelude to our present-day records centres;
        • The invention and use of the typewriter at the end of the 19th century, as a business tool;
        • The introduction of WordStar the first commercial electronic word processor in 1979 by Micropro International the business workplace environment;
    • 15. 1003 (6) The Profession of Records Management
        • The establishment of records and information management as a bona fide profession and discipline with the offering of advanced professional courses and degrees in the Records and Information Management field by recognized universities, colleges and other training institutions;
        • The invention of the computer and the development of software/ hardware specifically designed for the management of information, and for the records and information field;
        • The birth of the World Wide Web/ Internet and its electronic mailing, and instant messaging service and its information sharing potentials and challenges; and
    • 16.
      • Documents and records involving: military strategies and tactics, political and foreign affairs, espionage/ intelligence gathering, military concept weapons, and other sensitive matters.
      • This created the environment for a proper management system for information, and specifically military information.
      • If there’s war, information destruction is certainly a priority for all parties involved in conflict.
      • And so, the discipline has ironically benefited from this manner of treating information with importance.
      1003 (7) The Profession of Records Management WAR!
    • 17. 1003 (8) The Profession of Records Management
      • War cont’d….
      • Certain RM requirements as a result of military activity, e.g. standards on use of the Internet, email management, electronic records management (ERM), and information security.
      • Also, since the 9/11 Terrorist Attacks in the US, there have been numerous information-specific legislation monitoring from the types of books you used at a library to passenger and immigration data e.g.; ( Public Law 107-56 ) commonly known as the US Patriot Act 2002.
        • Monitoring of information used within libraries, emails, IMs exchange, personal documents etc.
        • Personal Information within databases;
        • Content being exchanged over networks etc;
        • New data storage and processing devices, etc. biometrics in passports, driver’s licenses, etc.
      • Also, the standard on ERMS software: US:DoD: 5015.2 ;
    • 18.
      • Notable examples of information mismanagement:
      • HM Treasury Data Leak (UK)
      • Enron-Arthur Anderson (US)
      • ‘ Cuban Light Bulb Scandal’ & ‘Sandals Whitehouse’ (Jamaica)
      • ABC Highway & ‘Hardwood’ Situations (Barbados)
      • Piarco International Airport (Trinidad & Tobago)
      • Missing Millions Scandal (Belize)
      • FOI legislation (Antigua & Barbuda, Belize, Jamaica, St. Vincent & the Grenadines, and Trinidad & Tobago)
    • 19.
      • The International Organization for Standardization (ISO), officially launched the International Standard on Records Management, ISO 15489 , on October 2001. This Standard, which is based significantly on the previous de facto international standard, the groundbreaking Australian Standard: AS 4390-1996: Records Management promulgates international best practice records management.
      • ISO 15489 comprises of two parts:
      • ISO 15489.1 Records Management –
      • Part 1:General, and
        • ISO 15489.2 Records Management –
        • Part 2:Guidelines.
      1003 (10) The Profession of Records Management International Records Management Standard – ISO15489
    • 20.
      • Responsible for the effective and appropriate management of information produced in and received by organizations, irrespective of the medium in which it exists.
      • The role is developing in scope due to increased understanding of the value of effective knowledge and information management, particularly within the public sector.
      1003 (11) The Profession of Records Management The Records Manager
    • 21. 1003 (12) The Profession of Records Management RM Professional Associations International Associations ARMA AIIM IRMT ACARM RMS RMAA ICA Regional Associations CarBICA (Regional), ACURIL (Regional), RIMATT (Trinidad & Tobago), BARIM (Barbados), JARMA (Jamaica), LIAJA (Jamaica)
    • 22.
      • Where next..?
      • No one knows…technology is moving at a very rapid pace.
      1003 (13) The Profession of Records Management
    • 23. Questions
    • 24.
          • Module 2000
          • Governance & Records Management
    • 25.
      • “ Records management and recordkeeping has to be seen as part of the broader Public Sector Reform agenda, and should not be treated as a separate entity.”
      • Sahr Kpundeh (2002)
      • Governance and Anti-corruption Specialist
      • World Bank Institute
      2001 (1) Records Management & Accountability
    • 26. 2001 (2) Records Management & Accountability
      • Benefits of a Records Management Program
      • -Only the right information is created in the first place
      • -Information is kept as long as is necessary and no longer
      • -Information can be retrieved in a controlled and timely manner
      • -Information is secure
      • Source: ISO 15489-1 Part 1: 4
    • 27. 2001 (3) Records Management & Accountability
      • “ Information is critical in governance. It is through it that the government relates with the public. It is thus a bridge between the government and the people.”
      • Charles Nandain (2006)
      • Head, ICT, Library and Coordinator of Makerere University
      • Kenya
    • 28. 2001 (4) Records Management & Accountability
      • Information as ‘Power’ to the citizenry
      • Access to information via publishing of government information builds accountability and inclusiveness
      • State monitoring of Information
      • PAC Sittings, Commissions of Enquiry etc.
      • MIS as an Administrative tool in Government
      • Used to monitor routine functions and processes to determine performance and forecasting
      • Integrity Legislation
      • FOI, Declaration of Assets, & Data Protection
    • 29. 2002 ( 1 ) Correspondence Management
      • What is Correspondence Management?
      • The management of the creation, receipt and distribution of documents, as an important element in the RIM programme. Note that although the definition above implies control of written communication, that it also ensures that:
          • Only necessary correspondence are created within the organization as a means to reduce paper-based records and documents;
          • All correspondence is created and dispatched in a consistent and professional manner;
          • All incoming correspondence is dealt with by the most appropriate person in a timely manner;
          • Correspondence cost is reduced to realize savings for the organization.
    • 30.
      • Correspondence/Secretarial Manual
      • Include policies and procedures governing correspondence
      • and indications such as:
        • The number and the kind of copies required to be made, including their distribution and purpose(s) ;
        • Standards for the use of company letterhead(s), memoranda, forms and envelopes, standards for simplicity and uniformity of correspondence emanating from the organization;
        • Identification of correspondent and office or author of the correspondence;
        • Procedures for folding and insertion of correspondence in envelopes, as well as the instructions for addressing envelopes;
        • Illustrations of letter-styles, letterhead(s), and other correspondence used within the organization, as well as envelopes, should be included in this manual as well
    • 31. 2002 (3) Correspondence Management
      • Mail Management
      • The receipt, processing, and delivery of mail to their intended recipient(s).
      • This area of Records Management traditionally deals with the processing of the following:
        • Regular Incoming External Mail
        • Registered mail or unregistered mail with cash or valuables inside (and also electronic mail e-mail etiquette);
        • Cables and Facsimile Transmissions
        • Inter-departmental mail/ correspondence;
        • Parcel/ Courier Pouches/ Packages
        • Telex documents and cablegrams.
    • 32.
      • This involves analysis of the arrangement and sorting of records series in order to achieve control of records systems.
          • Material or documents to be filed
          • Arrangement techniques
          • Maintenance of media
          • Equipment and Supplies
      Files Management & Document Analysis 2003 (1) Active Files Management
    • 33.
      • A records inventory is a stocktaking of all the records held by a business section, regardless of the format of those records. It provides the next level of detail down from a filing scheme
      • This is the first step towards establishing a Records Management Programme.
      2004 (1) Managing In-Active Records What is a Records Inventory?
    • 34. 2004 (2) Managing In-Active Records
      • Records Centre or Archive?
      • The difference between a Records Centre and an Archives is that a Records Centre is a building specially designed for low-cost storage and maintenance of semi-current records pending their ultimate destruction or transfer to an archive repository.
      • An Archive may be either a collective of records, usually but not necessarily non-current records of continuing value selected for permanent preservation or a building housing such a repository .
    • 35.
      • Records Centers
      • The Purpose and Functions of the Records Center is to ensure that correspondence are properly arranged and stored, so that they can be located easily and promptly.
      • To achieve this objective, it perform the following functions:
        • receiving and dispatching of correspondence;
        • classifying, numbering, docketing and filing correspondence;
        • monitoring the movement of files;
        • reviewing of files;
        • shelving and maintenance of files;
        • maintaining index/ indices to files .
      2004 (3) Managing In-Active Records
    • 36.
      • Archives
      • Unlike a records center, an archive may perform the following specific processes:
      • The Appraisal Process , where records are assessed and then designated as either temporary or permanent records. NB. As an archive will usually only accept records that have been passed as permanent.
      • The Accessioning Process , this is where the transferring of the legal and physical custody of archival records from their Offices of Origin to the archival facility; also the creation of records documenting receipt, and the acceptance of the records into the archives.
      • The Preservation Process , this is where the specific steps undertake to maintain, repair, restore, or otherwise conserve archival records in the appropriate facilities and with the specialized equipment that can facilitate: lamination, encapsulation, and microfilming of documents and records in order to preserve them.
      2004 (4) Managing In-Active Records
    • 37. 2004 (5) Managing In-Active Records Picture of: Barbados Archives (2008)
    • 38. 2004 (6) Managing In-Active Records Picture of: Inside the Jamaica Government Records Centre (JARD), 2006
    • 39.
      • So which? Archives or Records Centre?
      • This depends on the Records Retention & Disposition Schedule…
      • If the decision made after disposition is to manage and preserve inactive records, then these records must be adequately stored to prevent physical damage and also to minimize the physical deterioration of the records.
      • Records appraised as requiring long term retention (archival) should be stored in a cool, dry and dust-free environment with stable and controlled temperature and humidity
      2004 (7) Managing In-Active Records
    • 40. Questions
    • 41.
          • Module 3000
          • Legal Aspects of Records Management
    • 42.
      • Metadata is “ data about data ” or “data concerning data characteristics and relationships” (Rob and Coronel, 1995)
      • Metadata is a relatively new notion for the archival and records profession. Interest in metadata stems from the realisation that electronic records do not contain enough contextual information to enable future users to fully understand the record. Metadata is an attempt to capture this information in a systematic and structured manner that can be stored in electronic format and easily migrated with the record over time.
      3001 (1) Importance of Metadata
    • 43.
      • Most of today’s records start out in electronic form
        • Letters
        • E-mails
        • Faxes
        • Web transactions
        • Other transactions
        • etc...
      3001 (2) Importance of Metadata
    • 44.
      • Metadata may be categorized as:
      • Descriptive : information describing the content
      • Structural : information that ties items, such as pages in a book, or documents in case folder
      • Administrative : information used to manage and control access
      3001 (3) Importance of Metadata
    • 45. An example of Metadata: 3001 (4) Importance of Metadata
    • 46. An example of Metadata: 3001 (5) Importance of Metadata
    • 47. 3002 (1) Evidence Management
      • A sure way of minimizing or eliminating potential legal threats to one’s company/ organization would be the development of a legal research plan for records along with the organization’s legal representative/ counsel.
      • This can be addressed by doing the following:-
        • Identify what general business activities may be subject to records-keeping statutes and regulations.
    • 48.
        • Identify what products or services that the organization may provide which could be subject to legal records-keeping requirements. (e.g.; in the banking sector/ utilities companies which keep personal data by law).
        • Research the organization’s litigation history and what this history suggests in terms of developing future records retention policies that would better protect that organization’s interests.
        • Examine what future roles the legal counsel may wish to have in the development and operation of the organization’s records retention programme.
        • Consideration for the geographical areas that the organization conducts its business
      3002 (2) Evidence Management
    • 49. 3002 (3) Evidence Management
      • Document the Exercise
      • It is the recommended route to document the results of the legal research because the organization’s attorneys should be provided with complete legal research documentation to enable them to determine whether the law has been reasonably and appropriately applied. Also, it may be necessary to, at some time in the future, provide evidence to regulatory officials or to courts, to demonstrate/ prove that the organizations has done its best to comply fully with all the applicable legal requirements
    • 50.
      • Legal Issues for Recordkeepers:
      • Recordkeeping Integrity (including electronic records);
      • Concepts of propriety ownership of records;
      • Access & obligations re: records (FOI, archival, privacy laws etc.)
      • Contractual relationships (records to enforce a contract);
      • Admissible evidence (laws of evidence). NB. The evidential status of a paper form of an electronic record in Barbados is unclear (Could the migrated form be recognized in lieu of the original?)
      3002 (4) Evidence Management
    • 51. 3003 (1) Retention Schedules
      • A records retention schedule identifies the length of time a records series must be retained in active and inactive storage before its final disposition to permanent storage, archival preservation, or destruction. (Bernal, 1981)
    • 52.
      • Scheduling records?
      • Typical 3 Records Value should be considered
      • For scheduling records….
      • Legal Value
      • Fiscal Value
      • Archival-Evidential Value
      3003 (2) Retention Schedules
    • 53. Questions
    • 54.
          • Module 4000
          • Information Security & Protection
    • 55. 4001 (1) Security Classification of Records
      • Information Security Management
      • Systems and procedures designed to protect an organization’s information assets (throughout their life cycle), from disclosure to any person or entity not authorized to have access to that information, especially information which is considered sensitive, proprietary, confidential or classified, and which protects the integrity of an organization’s information. (ARMA)
    • 56. 4001 (2) Security Classification of Records Information which may be needed to be kept secure may vary from organization to organization depending on the operations/ type of business of the organization.
    • 57. Illustration of some common types of information which are usually protected
    • 58.
      • Some Information Security Threats
        • Malicious intent for the destruction of information
        • Internet worms, viruses, and other invasive destructive software.
        • Inadvertent disclosure of information
        • Allowing access to passwords, documents, memos, information by unauthorized persons.
        • Interception of Communications/ Data
        • Espionage, Phone tapping etc.
        • Enabling access to Information for profit
        • Selling trade information and data for money and other benefits.
        • Loss of passwords, keys, data storage devices etc.
        • Allowing access to information through failure to monitor the above .
      4001 (4) Security Classification of Records
    • 59.
      • These laws are currently within five (5) countries of the Caribbean Region:
          • Freedom of Information Act (2000) - Belize
          • Freedom of Information Act (2000) - Trinidad & Tobago
          • Access to Information (2002) Act – Jamaica
          • Freedom of Information (2003) - St. Vincent & the Grenadines
          • Freedom of Information (2004) – Antigua & Barbuda
      4002 (1) Access to Information
    • 60. Now in bill form, the Barbados Freedom of Information Act specifically covers Cabinet documents, (Part VI, 32). (1) A document is an exempt document if it is – (a) a document that has been submitted to the Cabinet for its consideration or is proposed to be submitted; or (b) an official record of the Cabinet; or (c) a document that is a copy of, or of a part of, a document referred to in paragraph (a) or (b); or (d) a document the disclosure of which would involve disclosure of any deliberation or advice of the Cabinet, other than a document by which a decision of the Cabinet was officially published.   (2) For the purposes of this Act, a certificate signed by the Secretary to the Cabinet or a person performing the duties of the Secretary, certifying that a document is one of a kind referred to in a paragraph of subsection (1), establishes conclusively that it is an exempt document of that kind.
    • 61. How will these types of legislation affect Records Management? 4002 (3) Access to Information
    • 62. 4002 (4) Access to Information
      • General Exemptions…
      • The areas, which usually qualify for exemptions protecting justifiably confidential information under this type of legislation, are:
        • Defence and national security;
        • International relations;
        • Law enforcement and legal proceedings;
        • Management of the national economy;
        • Information given in confidence to the government;
        • Trade relations and trade secrets;
        • Personal privacy;
        • Cabinet deliberations of a ‘ sensitive ’ nature;
        • Internal working documents;
    • 63. 4002 (5) Access to Information
      • Some of the services under a FOI Act that affect people managing information are that they must:-
        • locate and acquire information promptly upon request;
        • select all types of appropriate media to service the information needs of the organization;
        • assist and co-operate with other staff members within the organization who maintain personal or divisional information files or retrieval systems;
        • Last but not least… Have the Records in ORDER
    • 64. NOTE ! Having an emergency response plan and a vital records program enhances recovery, but we must be prepared to react and respond to emergencies that affect different types of records, whether it includes data systems, paper-based records and photographs, magnetic or electronic media, etc. 4003 (1) Disaster Planning and Records
    • 65.
      • Vital records are records of life events kept under governmental authority, including birth certificates, marriage licenses, and death certificates. In some jurisdictions, vital records may also include records of civil unions or domestic partnerships
      • In the Corporate/ business environment a vital record may be the articles of incorporation, contracts/ agreements, records of expenditure etc. anything that will be detrimental to the continuity (or non-continuity) of operation .
      Vital Records? 4003 (2) Disaster Planning and Records
    • 66.
      • Preserving vital records is essential to businesses of all sizes for quick restoration of operations.
      • Determining which records are vital involves:
        • Classifying operations into functional categories (e.g.; finance, admin. etc.) and prioritizing needs
        • Identifying the minimum information needed to perform essential functions ;
        • Identifying the equipment, tools and records needed to access and use information .
      4003 (3) Disaster Planning and Records So where are MY Vital Records?
    • 67. Questions
    • 68.
          • Module 5000
          • Relationship with the Records Unit
    • 69.
      • The Records Management Manual
              • This is a written guideline to the efficient functions of the Records Management system. These manuals are for the users of the Records Management Unit and secondly for the other users in the organization who have to use the records
              • Source: Diamond, 1995
      5001 (1) Role of the Records Unit
    • 70.
      • Generally RM Manuals:
        • Communicate information to users of the system of standards and procedures of the RM programme;
        • Provide continuity in order to maintain the standards within the organization;
        • Assign responsibility to the various players in the system according to their peculiar function(s);
        • Orient/train employees (especially new ones) as to the various procedures to be followed (NB. Applies to both the users and facilitators of the service .
      5001 (2) Role of the Records Unit
    • 71.
      • Records Managers can map the relationship between an organisation’s mission, administrative structure, functions, processes and transactions and the records its generates over time.
      • Records Classification Scheme
      5002 (1) Planning for the Records Management Function Functional Mapping
    • 72.
      • A business classification scheme has three components, or levels:
      • a broad, encompassing category, called a function
      • a narrower subset of the function, called an activity
      • a narrower and more specific subset of the activity, called a transaction .
      5002 (2) Planning for the Records Management Function
    • 73. A file title using this hierarchy would appear as HUMAN RESOURCES - OH&S - INSPECTIONS. This is a typical functional title and the activity taking place, the ‘ inspection of the workplace ’, is classified at the subject level rather than the activity/ functional level 5002 (3) Planning for the Records Management Function Example of Function-Based Classification
    • 74.
      • It may be advisable to establish a Records Advisory Committee to advise, support and guide the Information Resource Manager and serve as a link among the users (both internal and the public-at-large), member of staff working in the records and information unit (service provider), information technology unit, and senior management.
      • Other Strategies:
      • - Internal Records Liaison System
      • - Public Service-Wide Steering Committee for RM
      5002 (4) Planning for the Records Management Function
    • 75. 5002 (4) Planning for the Records Management Function
      • Marketing is one of the most important aspects of a successful records-management programme.
      • As in any other service, developing and implementing a sales program takes active effort.
    • 76.
      • The 6 ‘ P s’ of a Marketing Strategy
      • Products and service – files, documents and delivery of other core RM services;
      • People – both internal/ external and what their individual needs are and segment them;
      • Place (distribution environment) – area must be clean and profession
      • Promotion – take advantage of professional groupings (networking) and their RM activities e.g.; RIM Month, to promote the RM Unit as well building capacity via RM courses, seminars etc.
      • Price – investigate the cost of the services being provided to the organization, especially demonstrate evidence of cost saving and providing real returns to the organization
      • Package – the environment, ergonomics, treatment (customer service).
    • 77. 5002 (6) Planning for the Records Management Function
      • Yes, but show me how…
      • Get a Champion
      • Keep abreast of developments in Records and Information Management
      • Increase your knowledge of the organization’s needs and activates that it is involved with
      • Build capacity ‘evangelize’ the rest of the organization on Records Management
      • Walk the ‘ walk ’ and ‘ talk the talk ’ - make sure you are a good manager of information yourself!
    • 78. Questions
    • 79. Thank You
      • Want to know more
      • About Records?
      • http://www.lorsonresources.com/seminar1.asp
      • Contact :
      • Emerson O. Bryan
      • Alternate Emails:
      • [email_address]
      • [email_address]
      • Tel: +1246 430 1696 Fax: +1246 228 9528

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