An effective records management program has seven key attributes:
1. It creates only necessary records and destroys obsolete records.
2. It safely stores records, especially archival records.
3. It allows quick retrieval of records through efficient systems.
4. It uses appropriate information technology to manage records.
5. It promotes public use of archival records as a community resource.
6. It ensures records management is integrated into all organizational policies and procedures.
7. It recognizes that records management is a responsibility of all staff.
Introduction to Records Management @ UNC-Chapel HillUNCrecman
This training module covers the basics of records management at UNC-Chapel Hill. It was created for records management liaisons and any other University employees who are interested in records management.
lecture presented by Fe Angela M. Verzosa at the AKLATAN 2016:
a regional conference on the Art of Librarianship held at Centennial Hall, Malolos Resort Club Royale, Malolos, Bulacan, on 31 August 2016
Part 1 of a Training Course on Establishing An Institutional Records Management and Archival Collection Development Program for RVM Schools (held at the RVM Regional House, Singalong, Paco, Manila on 2002 Dec. 11-2 , at the RVM Regional House, Cebu on 2003 Jan. 24-25, at the RVM Regional House, Davao City on 2003 Feb. 28-March 1, and at the RVM Regional House, Cagayan de Oro City. on 2003 March 7-8
Introduction to Records Management @ UNC-Chapel HillUNCrecman
This training module covers the basics of records management at UNC-Chapel Hill. It was created for records management liaisons and any other University employees who are interested in records management.
lecture presented by Fe Angela M. Verzosa at the AKLATAN 2016:
a regional conference on the Art of Librarianship held at Centennial Hall, Malolos Resort Club Royale, Malolos, Bulacan, on 31 August 2016
Part 1 of a Training Course on Establishing An Institutional Records Management and Archival Collection Development Program for RVM Schools (held at the RVM Regional House, Singalong, Paco, Manila on 2002 Dec. 11-2 , at the RVM Regional House, Cebu on 2003 Jan. 24-25, at the RVM Regional House, Davao City on 2003 Feb. 28-March 1, and at the RVM Regional House, Cagayan de Oro City. on 2003 March 7-8
Understanding records management print and electronicFe Angela Verzosa
lecture presented by Fe Angela M. Verzosa at the Seminar Workshop sponsored by De La Salle University- Dasmarinas, on 4 December 2014 at Luis Aguado Viewing Room, Aklatang Emilio Aguinaldo, DLSU-Dasmarinas, Cavite
This presentation is about the importance of records management. It also has the different types of records with also a video and a chart showing data.
A 3-day training program developed for the seminar-workshop on Archival Management, sponsored by South Manila Inter-Institutional Consortium Committee of Librarians, held on March 26-28, 2008.
This presentation provides you with an overview of Electronic Records Management (ERM). The slides are from the AIIM ERM Certificate Program covering technologies and global best practices for managing electronic records.
Understanding records management print and electronicFe Angela Verzosa
lecture presented by Fe Angela M. Verzosa at the Seminar Workshop sponsored by De La Salle University- Dasmarinas, on 4 December 2014 at Luis Aguado Viewing Room, Aklatang Emilio Aguinaldo, DLSU-Dasmarinas, Cavite
This presentation is about the importance of records management. It also has the different types of records with also a video and a chart showing data.
A 3-day training program developed for the seminar-workshop on Archival Management, sponsored by South Manila Inter-Institutional Consortium Committee of Librarians, held on March 26-28, 2008.
This presentation provides you with an overview of Electronic Records Management (ERM). The slides are from the AIIM ERM Certificate Program covering technologies and global best practices for managing electronic records.
DATA & RECORDS MANAGEMENT COURSE ISO RECORDS MANAGEMENT CONTROLStpmasekwa
This course focuses on how to develop best practice record and data management. Efficient record and data management systems are essential for any organisation. Administrators, Office Managers and Personal Assistants all need to develop and improve their record and data management techniques and systems. This course covers all aspects of record and data management related to understanding the processes involved, the guidelines that apply, the steps that need to be taken, best practice examples and easy reference templates for use, storage and retrieval of data training course with practical and hands on case studies and workshops will help you to learn about cyber security, protection of data, reducing organisation risk, meeting global compliance standards, as well as privacy protection requirements and using ISO records management and ISO Information security management to deliver solutions. This training course seeks to provide you with the latest skills and case studies such as how to manage information, audit controls, manage legal regulations and standards, work more safely in an online world and how to protect sensitive and personal information. By applying these skills to the tasks and challenges you face in your work, you will deliver stronger and more compliant solutions to managing cyber related risks and applying information governance roles and responsibilities.
Course Duration: 2 DaysDownload course outline→
UPON COMPLETION OF THIS COURSE, THE PARTICIPANTS SHOULD KNOW THE FOLLOWING:
Record and data management systems and the related processes
Overview of the guidelines that relate to record and data management
Record and data management: data, storage and retrieval aspects
Planning a storage and retrieval system
Implementing and maintaining a filing system
Guidelines for retention and disposal of records
Archiving and disposal of records
Practical tips and templates for use at work
Practical application to own work environment and related types of data that are worked with
Good administrative practices and processes
Using technology effectively for data management
Quality Management Systems
Guidebook To Long-Term Retention Part 1: Challenges And Effective ApproachesIron Mountain
What constitutes a long-term record? How should organizations manage records with long retention periods, and assure such records are accessible many years into the future? This white paper, the first in a four-part series, focuses on the definition and basic challenges of long-term record retention and introduces the topics discussed in the following papers.
CHAPTER 8
INFORMATION GOVERNANCE
Information Governance & Legal Functions
ITS 833
Dr. Mia Simmons
Chapter Overview
■ This chapter will cover pages 115-145 in
your book.
■ This chapter covers how Legal functions
play a major role into IG.
2
2006 FRCP Procedure
■ Federal Rules of Civil Procedure (FRCP)
– Governed the discovery of evidence in
lawsuits and other civil cases.
– Apply to US district courts
– Amended in 2006 – organizations must
proactively manage the e-discovery process
to avoid sanctions
– Electronically stored Information (ESI) –
digital stored format for data.
3
Revised
FRCP
Rules
4
FRCP 1—Scope and Purpose. This rule is simple
and clear; its aim is to “secure the just, speedy,
and inexpensive determination of every action.
FRCP 16—Pretrial Conferences; Scheduling;
Management . This rule provides guidelines for
preparing for and managing the e-discovery
process; the court expects IT and network literacy
on both sides, so that pretrial conferences
regarding discoverable evidence are productive
FRCP 33—Interrogatories to Parties . This rule
provides a definition of business es records that
are discoverable and the right of opposing parties
to request and access them
E-Discovery Reference Model
5
Create and retain ESI
according to an
enforceable electronic
records retention policy
and electronic records
management (ERM)
program. Enforce the
policy, and monitor
compliance with it and
the ERM program.
Identify the relevant
ESI, preserve any so it
cannot be altered or
destroyed, and collect
all ESI for further
review.
Process and filter the
ESI to remove the
excess and duplicates.
You reduce costs by
reducing the volume of
ESI that moves to the
next stage in the e-
discovery process.
Review and analyze the
filtered ESI for privilege
because privileged ESI
is not discoverable,
unless some exception
kicks in.
Produce the remaining
ESI, after filtering out
what’s irrelevant,
duplicated, or
privileged. Producing
ESI in native format is
common.
Clawback the ESI that
you disclosed to the
opposing party that you
should have filtered
out, but did not.
Clawback is not
unusual, but you have
to work at getting
clawback approved,
and the court may deny
it.
Present at trial if your
case hasn’t settled.
Judges have little to no
patience with lawyers
who appear before
them not understanding
e-discovery and the ESI
of their clients or the
opposing side.
6
E-Discovery Reference Model
E-Discovery Reference Model
■ Model is a planning tool that presents key e-discovery process steps.
■ Guidelines
– Implement an IG program
– Inventory your ESI
– Create & implement a comprehensive records retention policy, and
also include an e-mail retention policy and retention schedules for
major ESI areas.
– As an extension of your retention policy, implement a legal bold
policy that is enforceable, auditable, and legally defensive ...
Records Governance, Part 1: Preserve the Value of Your InformationEverteam
Records governance isn’t a nice to have, it’s critical to ensure the integrity and accuracy of your records. If your company is ever involved in legal action, your records will provide key evidence. Those records have to be authentic and reliable.
The Team Member and Guest Experience - Lead and Take Care of your restaurant team. They are the people closest to and delivering Hospitality to your paying Guests!
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Foodservice Consulting + Design
Artificial intelligence (AI) offers new opportunities to radically reinvent the way we do business. This study explores how CEOs and top decision makers around the world are responding to the transformative potential of AI.
Senior Project and Engineering Leader Jim Smith.pdfJim Smith
I am a Project and Engineering Leader with extensive experience as a Business Operations Leader, Technical Project Manager, Engineering Manager and Operations Experience for Domestic and International companies such as Electrolux, Carrier, and Deutz. I have developed new products using Stage Gate development/MS Project/JIRA, for the pro-duction of Medical Equipment, Large Commercial Refrigeration Systems, Appliances, HVAC, and Diesel engines.
My experience includes:
Managed customized engineered refrigeration system projects with high voltage power panels from quote to ship, coordinating actions between electrical engineering, mechanical design and application engineering, purchasing, production, test, quality assurance and field installation. Managed projects $25k to $1M per project; 4-8 per month. (Hussmann refrigeration)
Successfully developed the $15-20M yearly corporate capital strategy for manufacturing, with the Executive Team and key stakeholders. Created project scope and specifications, business case, ROI, managed project plans with key personnel for nine consumer product manufacturing and distribution sites; to support the company’s strategic sales plan.
Over 15 years of experience managing and developing cost improvement projects with key Stakeholders, site Manufacturing Engineers, Mechanical Engineers, Maintenance, and facility support personnel to optimize pro-duction operations, safety, EHS, and new product development. (BioLab, Deutz, Caire)
Experience working as a Technical Manager developing new products with chemical engineers and packaging engineers to enhance and reduce the cost of retail products. I have led the activities of multiple engineering groups with diverse backgrounds.
Great experience managing the product development of products which utilize complex electrical controls, high voltage power panels, product testing, and commissioning.
Created project scope, business case, ROI for multiple capital projects to support electrotechnical assembly and CPG goods. Identified project cost, risk, success criteria, and performed equipment qualifications. (Carrier, Electrolux, Biolab, Price, Hussmann)
Created detailed projects plans using MS Project, Gant charts in excel, and updated new product development in Jira for stakeholders and project team members including critical path.
Great knowledge of ISO9001, NFPA, OSHA regulations.
User level knowledge of MRP/SAP, MS Project, Powerpoint, Visio, Mastercontrol, JIRA, Power BI and Tableau.
I appreciate your consideration, and look forward to discussing this role with you, and how I can lead your company’s growth and profitability. I can be contacted via LinkedIn via phone or E Mail.
Jim Smith
678-993-7195
jimsmith30024@gmail.com
The case study discusses the potential of drone delivery and the challenges that need to be addressed before it becomes widespread.
Key takeaways:
Drone delivery is in its early stages: Amazon's trial in the UK demonstrates the potential for faster deliveries, but it's still limited by regulations and technology.
Regulations are a major hurdle: Safety concerns around drone collisions with airplanes and people have led to restrictions on flight height and location.
Other challenges exist: Who will use drone delivery the most? Is it cost-effective compared to traditional delivery trucks?
Discussion questions:
Managerial challenges: Integrating drones requires planning for new infrastructure, training staff, and navigating regulations. There are also marketing and recruitment considerations specific to this technology.
External forces vary by country: Regulations, consumer acceptance, and infrastructure all differ between countries.
Demographics matter: Younger generations might be more receptive to drone delivery, while older populations might have concerns.
Stakeholders for Amazon: Customers, regulators, aviation authorities, and competitors are all stakeholders. Regulators likely hold the greatest influence as they determine the feasibility of drone delivery.
Oprah Winfrey: A Leader in Media, Philanthropy, and Empowerment | CIO Women M...CIOWomenMagazine
This person is none other than Oprah Winfrey, a highly influential figure whose impact extends beyond television. This article will delve into the remarkable life and lasting legacy of Oprah. Her story serves as a reminder of the importance of perseverance, compassion, and firm determination.
3. Records should be created when there is a need
to remember the details of an event, decision or
action such that anyone needing recourse to the
facts.
Records should be created to:
Provide evidence of policy
Provide evidence of decisions
Provide evidence of actions/activity
3
4. Provide evidence of compliance with rules,
regulations and legislation appropriate to the
organisational context
Comply with relevant rules, regulations and
legislation
Inform colleagues of what has been done or
decided (and serve as a reminder later)
Act as a reminder of how something has been
done
Track progress of a project or process
4
5. Records are sometimes created unnecessarily.
This happens when:
◦ There is no need for evidence that something has been
done
◦ A record duplicates evidence or information in one or
more other records
◦ A redundant duplicate of a record is created (for example
via a multiple part form-receipt)
5
6. ◦ Record audits, workflow analyses and functional
appraisals can all assist in identifying unnecessary and
redundant records.
◦ Forms and other routine documentation should also be
checked to make sure that all the information is needed
for a complete and accurate record and it is not
duplicated anywhere.
6
7. Each organisation or authority must decide for
itself what records need to be created and
maintained depending on the legal and regulatory
environment and the precise nature of its
business.
7
8. The physical act of writing, or of printing out a
paper record, creates and fixes the information.
With most electronic records you normally have to
save your documents in order to capture them - e-
mails, though, have to be transmitted to the
intended recipient to create a record as otherwise
they remain in draft form.
8
9. However, creating a record is not enough unless the
record is then captured or filed into a filing or business
classification system created and managed by the
organisation.
Record creators file records because they need to see
and use them in context together with other records
relating to the same matter.
They are also filed because they need to be kept
somewhere, particularly if records are to be shared
with colleagues.
9
10. With paper records the act of filing physically
associates records of a related activity or
transactions within a container (usually a manila
folder or binder), which is then stored and
managed subsequently as a physical aggregation.
10
11. In the digital domain electronic records are
captured by classifying them into a corporate file-
plan or business classification scheme.
This normally associates the electronic record with
an electronic folder, which provides the key
metadata, needed to locate and control the
records placed within it.
11
12. Records captured or filed in a corporate filing
system will possess some of the necessary
characteristics to be regarded as authentic and
reliable.
Whatever the format of the records, they should
be saved into a proper records management
system. This includes emails. Where emails
document significant transactions they should be
treated and managed as corporate records.
12
14. However, most email applications are not good
recordkeeping systems as the emails are normally
held in personal mailboxes and hence are not
accessible to anyone else.
The adoption of Electronic Document and Record
Management (EDRM) systems can provide an
effective solution here.
14
15. Note that whilst a record can consist of a single
document, it may also be an aggregation of
records, for example a file or even a register,
which is built up over time.
For all records, regardless of format, creation
consists of both compiling the necessary facts or
details and assigning its place in the system by
means of a reference, file title or tagging (which
can be automated for electronic records
15
16. Some of the facts and details will be in the content
of the record, others can be captured in the
system.
These other details are called metadata. Metadata
is additional information about the record that is
needed to validate and understand the it and its
context.
16
17. In some instances organisations may require the
use of authenticating mechanisms such as
signatures, stamps, seals or initials. With physical
records these are directly visible on examining the
record as they form part of the physical record.
17
18. However, use of digital signatures or watermarks
can be problematic because if an electronic record
is to be held for some time it may not be possible
to maintain access to the digital signature for the
required period and the record may then become
unreadable and consequently unusable.
18
20. The filing system or record plan has a major role
to play in active records management. The main
reasons for this are:
1. The authenticity of the record depends on the
record keeping system in which it was created
and/or captured
2. The fact that your records are created as part
of your business processes and filed or captured
into the filing system will contribute to the records’
reliability
20
21. 3. As with any system, a filing system helps ensure
that repetitive tasks are carried out accurately and
consistently
21
22. The benefits of an effective classification or filing
system are:
faster assignment of records to files
faster retrieval of information and records
greater security and protection of records
Such systems must be in place prior to or at the
very latest in parallel with record creation or
capture.
22
23. Records are a basic tool of government
administration.
Records provide information for planning and
decision making, form the foundation for
government accountability, and are often subject
to specific legal requirements
23
24. Records are essential for effective and efficient
administration, but if poorly managed they can
become a liability, hampering operations and
draining resources.
24
25. An effective records management program helps
an organization get the most out of its records. It
also helps limit costs and the risks that can come
with poorly managed records.
25
26. An effective records management program has
certain characteristics or attributes;
The New York State Archives has identified seven
such attributes of an effective records
management program.
Records managers can assess the effectiveness
of their programs by the presence or absence of
these attributes.
26
27. A government office has an effective records
management program when the office
◦ creates the records it needs, and none that it
doesn’t. Records are efficiently created in the normal
course of business for all functions sufficient to satisfy
legal, fiscal, administrative, and other recordkeeping
requirements.
27
28. retains the records needed as essential
evidence and gets rid of obsolete records.
Records are retained and usable for as long as
required for legal or business purposes, and then
efficiently disposed of or preserved as archives to
support secondary uses.
28
29. stores its records—especially archival
records—safely and securely.
Records are stored and maintained in a safe,
secure, cost-effective fashion to support retention,
access, and archival preservation where
applicable.
29
30. retrieves information quickly through
efficient access and retrieval systems.
Records systems provide effective and efficient
retrieval and access to records, to support use by
the creating organization and by the public as
appropriate under law.
30
31. uses the right information technology for
the right reasons. Appropriate uses are made
of information technology to store, retrieve, make
available, and use records.
31
32. promotes and supports the use of archival
records as a community resource.
Appropriate secondary use of records by public
and other entities is supported and promoted.
32
33. recognizes through policy and procedure
that records management is everyone’s
job.
Ongoing records management goals and priorities
are integrated through the organization and its
operations as part of the normal course of
business.
33
34. Many records management programs manage
existing records well. Unfortunately, records
management often is not effective during the time that
records are being created.
This can lead to redundant records, lack of clearly
identified official copies, and insufficient records for
audits or litigation. An effective records management
program is one that creates all the records it
needs, and none that it
does not need.
34
35. Here are some indications of effective records
creation:
◦ Records are sufficient for audits.
◦ Unneeded records and copies are kept to a minimum.
◦ Official copies of records are identified.
◦ Records are available for litigation.
◦ Archives guidelines and other professional standards are
used in records creation.
35
36. is key to an effective records management program. It
ensures that records are present when needed for
litigation, audits, day-to-day business purposes, or
historical research, but that unneeded records do not
take up costly storage space.
Regular and systematic disposition of records
according to a State Archives retention schedule
provides evidence that records which no longer exist
were not destroyed to avoid their use as evidence in
court or to evade Freedom of Information requests.
36
37. Some indications that a good retention program is
in place include:
◦ Archival records are identified early in their life cycle.
◦ Retention schedules are adopted and used in the normal
course of business.
◦ Office retention schedules are developed and used.
◦ Records are systematically disposed of.
37
38. Electronic records are retained and disposed of
according to retention schedules.
Plans are in place to ensure that electronic
records continue to be accessible following
technology changes.
Disposition is routinely documented.
38
39. One sure sign that an organization has an
effective records management program in place is
that it stores and maintains its records securely
and efficiently.
Cost-effective, secure storage systems that
provide quick and rapid retrieval will help ensure
the ready availability of records in case of litigation
and audits, as well as for future reference use.
39
40. Some indications that a good storage program is
in place include:
◦ Inactive records are stored off-site in an in-house or
contracted records center.
◦ Proper shelving is used to store records.
◦ Electronic data backup procedures are in place and are
routinely followed.
◦ Disaster preparedness plans are in place.
◦ Micrographics standards are followed.
40
41. ◦ Microfilm masters and computer backups are stored
securely offsite.
◦ Fire prevention systems are in place in storage areas.
◦ Adequate environmental controls exist in storage areas.
◦ Security rules and procedures are in place and followed.
◦ Recording format standards are complied with.
41
43. Organizations create, retain, and preserve records
so that they can be used. If a user cannot locate a
document, it might as well not exist.
As such, an effective records management
program should have in place systems—manual
or automated—that can locate and retrieve
records in a reliable and timely fashion to meet the
needs of users.
43
44. Some signs that a program possesses this
attribute include:
◦ Satisfactory filing and locator systems with documented
policies and procedures.
◦ Finding aids, such as indexes, are prepared and used.
44
45. ◦ Subject matter lists to meet Freedom of Information Law
(FOIL) requirements are prepared and used.
◦ Policies and procedures regarding access restrictions
are developed and in use.
◦ Filing equipment is used appropriately.
◦ Local area network (LAN) policies and procedures are
developed and in use.
45
46. The opportunities afforded by technology to
support records management are growing rapidly.
We now have at our disposal a remarkable range
of technologies for creating, using, and managing
records: traditional paper filing systems,
micrographics, databases, optical imaging, etc.
46
47. With such a variety of tools available, it becomes
critical that we choose the right ones for the right
occasions and not be swayed in selection
decisions either by fear of new technologies or by
the desire to have the newest and brightest
technology “toys
47
48. Ways of telling that a records management
program has struck this balance include the
following:
◦ Business requirements are identified through needs
assessments.
◦ The capacity to support technology is identified through
feasibility studies.
◦ Business process analysis is part of technology planning
and implementation.
◦ Recordkeeping requirements are taken into account in
technology implementation.
48
49. Industry and government standards for acquiring
and implementing technology are complied with.
Adequate technical support is available internally
or via contract.
Formal electronic filing structures and policies for
electronic recordkeeping are in place.
49
50. Cooperation exists between records management
and information technology services departments.
Adequate training is offered for staff in the use of
technology
50
51. An important sign of an effective records management
program is the preservation of archival records and
the promotion of their appropriate use by the public.
Most records lose all value when the purpose for
which they were created has been realized. However,
a small percentage hold value beyond their original
purpose—for historical or genealogical research,
exhibits, publications, teaching aids, long-term legal
documentation, or other activities.
51
52. These archival records can be useful to the public,
other governments or agencies, teachers, writers,
and other people or groups that require
documentation in their work or avocations.
52
53. Some indications that this component of records
management is in place include:
Public outreach programs exist.
Records reference use areas are available for the
public.
Policies and procedures are in place for use of
records by the public.
53
54. Information sharing with other governments or
organizations is done to develop and distribute
finding aids so access to archival records is
improved.
Records are used for exhibits and education.
54
55. The Internet is made available for public access to
and actual use of records.
Marketing strategies are in place to encourage
public access to and use of records.
55
56. It exists when:-
Records management policies and procedures are
in place and are updated regularly.
Records management is integrated into all policies
where applicable.
Records policies and procedures are routinely and
consistently communicated to staff.
A disaster preparedness plan is in place and is
reviewed regularly.
56
57. A records management advisory council is
appointed and active.
Local records management legislation is in effect.
Records management activities receive regular
and adequate funding beyond grants.
A records management plan is in place and is
followed.
57
58. Records management staff are hired and retained.
Staff frequently attend workshops, professional
conferences, and other educational events.
A records management officer is appointed at the
appropriate level in the organization.
58