Course Outline - Introduction to Records Management: Getting Organized - Files and Records


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Course Outline for the program entitled: "Introduction to Records Management: Getting Organized - Files & Records".
2-Day Training Seminar/Workshop presented by Lorson Resources Limited

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Course Outline - Introduction to Records Management: Getting Organized - Files and Records

  1. 1. LORSON RESOURCES LIMITED The Records and Information Management Company of the Caribbean 2-DAY TRAINING COURSES For Governm and Private e nt Learn New Ways Enterprise of Working Manage Corporate Records & Information more Efficiently OPTIMIZE Productivity + MAXIMIZE Cost Effectiveness C O U R S EINTRODUCTION TORECORDS MANAGEMENTGetting Organized – Files & Records Normandie Hotel Primary study modules will include: St. Ann’sEnroll for this 2-day program - LEARN: Port of Spain + Creating Records and Files TRINIDADR I ndustry best practice methodologies + The Records Life Cycle Concept Who Should Attend:R How to develop efficient RM Systems + Correspondence Management Information Management Professionals Chief Information Officers + Email Management Legal Staff, Regulatory StaffR Fundamental legal & compliance + File Management IT/Technical Staff issues Records Managers + Business Systems Analysis Business ManagersR corporate Professionalism in RM + Records Classification Schemes Consultants, Service Providers Implementation Teams + Security Classification of Records Information Architects, Archivists Get Industry Leading Training Administrative Staff from Lorson Resources Limited + Access to Information / Freedom of The Company With Over 12 years Industry Experience Information Course Instructor + Disaster Planning and Vital Records Emerson O. Bryanwebsite: + Retention Schedules Consultant & Information Specialist Bridgetown, BARBADOS For Registration Details Contact: TEL:1.868.671.8173 / 1.868.672.7002 Fax: 1-868-672-7005 Email:
  2. 2. INTRODUCTION TO RECORDS MANAGEMENT - Getting Organized: Files & RecordsCOURSE DESCRIPTIONCourse INTRODUCTION TO RECORDS MANAGEMENTTitle: Getting Organized – Files & RecordsUnit: 1 Introduction to Records Management   1.1 Definition of a Record Definitions of what exactly constitutes a record based on various environments and as defined  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.    1.2 The Records Life Cycle Concept Introduction  to  the  lifecycle  concept  describing  the  various  stages  through  which  information  passes in recorded form.    1.3 The Odyssey of Records Management Overview of the historical background of records management from cave drawings and recorded  messages left by earlier civilizations, and its transition from a perceived low level clerical function  into  an  accepted  discipline  with  its  own  set  of  ethics,  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  increasingly diverse functions and nomenclature that people managing records are now facing,  especially within the electronic environment.   Unit: 2 Active Files Management   This module deals with matters affecting the management of Active Records, and will treat with  the first two (2) stages of the Records Lifecycle, i.e.; creation and maintenance/use.    2.1 Correspondence Management Discussion on some of the types of correspondence used within the organization, with emphasis  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  correspondence received and disseminated by/ throughout the organization.    2.2 Records Centre Operations Illustrations of some of the general services usually delivered by the Records Centre/Unit. Best  practices for the creation of new files, merging of files, closing of files, crossreferencing and the  opening of new file volumes will be shared with the participants. The relationship between the  Records Unit/ Center and other business units will also be  briefly examined.    2.3 Filing Equipment & Control Filing  equipment  selection  for  recordkeeping  will  be  discussed,  as  well  as  demonstration  of  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: ● Website: 1 2
  3. 3. INTRODUCTION TO RECORDS MANAGEMENT - Getting Organized: Files & Records simple File Monitoring Systems for the tracking of correspondence and records throughout the  organization will be undertaken in this session.    2.4 Business Systems Analysis & Records Classification Development One  of  the  pre‐requisites  to  developing  taxonomies  for  the  management  of  information  is  to  view  the  organization  as  a  system.  This  session  will  discuss  the  dictionary  and  encyclopedic  methods for the sorting and arranging of files and records into a Records Classification Scheme.  Some  emphasis  will  however  be  placed  on the  use  of  the  Master  List  of  Subject  Headings  and  various  ‘coding’  methods,  as  well  as  the  hierarchical  arrangement  of  records  into  primary,  secondary and tertiary blocks for accurate description and classification of information. Unit 3 Management of In‐Active Records   This  module  deals  with  matters  affecting  the  management  of  In‐Active  Records,  and  will  treat  with the last two (2) stages of the Records Lifecycle, i.e.; disposition and destruction.    3.1 The Records Inventory Exercise Conduction  of  a  Records  Inventory  Exercise  as  the  foundation  for  a  Records  Management  Programme, as well as the importance of stocktaking to determine the informational assets of  the  organization,  as  well  as  the  identification  and  elimination  of  non‐records  will  be  discussed  during this session.    3.2 Records Retention & Disposition Consideration of the concepts of appraisal and disposal, and the importance of appraisal policies,  followed  by  a  review  of  some  of  the  key  steps  involved  in  carrying  out  records  appraisal  and  disposal  activities,  including:  identifying  responsibilities,  documenting  processes,  conducting  research,  carrying  out  an  assessment,  confirming  appraisal  assessment  and  implementing  appraisal and disposal decisions will be covered during this session.    3.3 Disposal of Records Disposition is the final determination of whether to store in‐active records that may be required  for  further  use  by  the  organization  in  a  Records  Storage  Centre  or  an  Archive,  or  the  secure  destruction  of  records  that  are  no  longer  needed  by  the  organization.  Some  best  practices  for  the ‘disposal’ of records will therefore be highlighted during this session. 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  international best practices.    4.1 Legal Requirements for Records Keeping During this session the participants will be taught how to conduct a Legal Research Exercise in  order  to determine  the  specific  recordkeeping,  industry and  legislative  requirements that  their  organization must comply with.    4.2 Electronic Records Management A  discussion  of  the  benefits  of  electronic  records  management,  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,  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: ● Website: 2 3
  4. 4. INTRODUCTION TO RECORDS MANAGEMENT - Getting Organized: Files & Records concerns about reliability and authenticity, security and privacy issues, maintenance costs and    the development of individual approaches to records creation and care.    4.3 Metadata A brief discussion of the benefits of reliable descriptive information, and the role that metadata  plays in the recordkeeping process.    4.4 Standards for Recordkeeping An  examination  of  the  technological  features  that  surround  recordkeeping,  including:  consideration of the components of electronic information systems, the place of records in those  information  systems,  the  concept  of  information  architecture,  the  changing  software  environment, the role of technological standards to support electronic record keeping, and the  importance of being aware of changing technological issues and developments. Unit 5 Information Security & Protection   This  module  deals  with  protecting  records  and  information  from  both  natural  and  manmade  threats.    5.1 Security of Records & Information The  use  of  various  classification  protocols  to  prevent  the  lost,  theft  or  malicious  damage  of  information via an information security awareness sub‐programme as a necessary component of  the overall records management programme.    5.2 Access to Information/ Freedom of Information The impact of Freedom of Information legislation on the records management programme will  be  discussed  in  this  session,  so  that  participants  who  operate  within  organizations  affected  by  this  type  of  law  will  be  able  to  organize  their  records  management  programme  with  the  full  consideration  of  the  associated  legal  and  evidential  requirements  for  this  type  of  law.  Recognizing that FOI is now being enacted across the Caribbean Region, it is necessary to provide  participants  with  an  introductory  session  on  how  this  legislation  may/  will  affect  records  management systems.    5.3 Disaster Planning and Records A discussion on how to protect and prepare records and information from various natural and  man‐made disasters.    5.4 Basic Records Recovery Techniques Following  from  the  previous  session,  some  basic  recovery  techniques  for  the  restoration  of  information  and  documentation  (for  both  electronic  and  paper‐based  records)  following  these  events will be introduced during this session. Unit 6 Planning for the Records Management Programme    This module covers a brief overview of some of the essential steps involved in planning a Records  Management Programme.    6.1 The Records Advisory Committee The establishment, constitution and responsibilities of the Records Management Committee to  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: ● Website: 3 4
  5. 5. INTRODUCTION TO RECORDS MANAGEMENT - Getting Organized: Files & Records guide the records management policies and sub‐programmes across the various areas of the    organization is essential to the continuity of any Records Management Programme and will be  the focus of this session.    6.2 The Records Management Manual The development, introduction and use of a written guideline as an auxiliary support tool for the  continued efficient management of information within the organization will be discussed in this  session.      6.3 Marketing for the Records Management Plan Various methods for getting the necessary ‘buy in’ from Top Management will be discussed as  well  as  some  recommended  approaches  on  how  to  best  articulate  the  proposed  records  management strategy so that it may serve/ meet the information demands of the organization.  Issues such as the size/ ambition of the proposed strategy,  as well as the size and type of organization will be examined in order to support the introduction  of information systems.  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: ● Website: 4 5
  6. 6. Instructor Profile Emerson O. Bryan is an Independent Consultant and Information Specialist currently on assignment at the Office of Trade Negotiations (OTN) of the CARICOM Secretariat, formerly the Caribbean Regional Negotiating Machinery (CRNM). Mr. Bryan was prior to this, the Research Assistant/ Junior Consultant in the United Nations Department for Economic and Social Affairs’ (UNDESA) Caribbean Technical and Advisory Support Facility (TASF) on eGovernment based at the Caribbean Centre for Development Administration (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:  Bryan, E.“The Proposed Access to Information Legislation – Part 1” ACARM Newsletter. 31(2002): 16-19. ISSN 0258-2163 See:  Bryan, E.“The Proposed Access to Information Legislation – Part 2” ACARM Newsletter. 32 (2002): 17-21. ISSN 0258-2163 See:  Bryan, E.“The Possible Future of the Records and Information Management Profession – The view from within the Jamaican Public Service.” ACARM Newsletter. 33 (2003): 10-17. ISSN 0258-2163 See:  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” ACARM Newsletter 40 (2007): 6-9. ISSN 0258-2163 URL:  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: 6
  7. 7.  Bryan, E. “Issues of Privacy and Data Protection Legislation within the Networked Environment – The Caribbean Experience” (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.” Barbados Association for Records and Information Management (BARIM) 2nd Regular Meeting, Cable & Wireless Board Room, Bridgetown, Barbados. 27 Feb. 2008. See:  Bryan, E. & W. Tyson. “Presentation: Managing Risks – Information Matters.” Caribbean Regional Compliance Association Annual Conference (CRCA). Hilton Nassau Colonial Hotel, Nassau, The Bahamas. 21 Nov. 2007. See: < >  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. Michael, Barbados. 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 Public Sector Reform, Bridgetown, Barbados. 2-3 Dec. 2008.  Principal Facilitator: Records & Information Management Workshop for the Caribbean Centre for Development Administration (CARICAD), Bridgetown, Barbados. 11 Sep. 2006.  Principal Facilitator: Records & Information Management Workshop for the Organization of Eastern Caribbean States (OECS) Secretariat, Castries Room, Morné Fortune, St. Lucia. 13 July 2006.  Principal Facilitator: Developing a Records & Information Management Strategy for the Eastern Caribbean Telecommunications Authority (ECTEL) Directorate, Board Room, Castries, St. Lucia. 7
  8. 8. REGISTRATION FORMCourse 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: P.O. Box 2235, 40 Northey Lane Telephone: 868-671-8173/672-7002 Longdenville, Chaguanas Fax: 868-672-7005 TRINIDAD, W.I. Email: 7 8
  9. 9. REGISTRATION AND PAYMENT TERMS & INSTRUCTIONS: 1. Please ensure registration forms are properly filled out and more importantly authorization/approval for registration 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 invoice from 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. Substitution requests 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 POLICY Lorson Resources Limited reserves the right to cancel courses, programs, workshops or seminars at any time for any reason. The decision to cancel is at the sole discretion of Lorson Resources Limited. In the event Lorson Resources Limited cancels a program, trainees will be sent a full refund. Consequently, Lorson Resources Limited assumes no responsibility or liability for any transportation, travel, or penalty costs incurred 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 of replacement goods, business interruption and loss or damage arising out of registration for any of Lorson Resources Limiteds courses, programs, workshops or seminars. ALL CANCELLATION REQUESTS MUST BE MADE IN WRITING AND MAILED/EMAILED TO: Lorson Resources Limited PO 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 a refund less a cancellation fee of 50% of course cost. ALL COURSES, PROGRAMS, WORKSHOPS, OR SEMINARS 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, Chaguanas Trinidad, West Indies TEL: 868-671-8173 or 868-672-7002 FAX: 868-672-7005 Email: P.O. Box 2235, 40 Northey Lane Telephone: 868-671-8173/672-7002 Longdenville, Chaguanas Fax: 868-672-7005 TRINIDAD, W.I. Email: 8 9