ESTABLISHING A RECORDS MANAGEMENT PROGRAM POLICIES & PROCEDURES

Transcription

1 ELECTRONIC RECORDS MANAGEMENT & ARCHIVING COURSE Establishing A Records Management Program Policies & Procedures Information Life-Cycle Management File /Record Tracking Records Survey Mail Management Management Of The Registry Records Appraisal & Retention Scheduling Retention Scheduling Records Centre Operation Digital Archiving And Curation Safety And Security Of Electronic Records Creating E-Records File Structure Management Taxonomy Metadata Development & Use Records Management Technologies Practicum With Agilent Cerity (view below for more detail) Business Managers, IT Managers, Compliance Officers, Archivists, Librarians, Risk Managers, Records Managers, Information officers & staff As well as solution providers, sales consultants, project managers, PA s and Administrative Secretaries and technical staff.

2 Training Structure DAY 1: ESTABLISHING A RECORDS MANAGEMENT PROGRAM POLICIES & PROCEDURES Provide foundational / background understanding to records management Impress upon the participants on the need to have a records management policy to entrench records management function in the organization administrative Programs To enable the participant initiate a Records Management Program (RMP) in their organization To foster economy, efficiency and effectiveness in the management of records of the organization What is records management? What is a record What Recordkeeping encompasses Benefits of Good Records Management Results of Good Electronic Records Management Establishing a Records management policy o Aims of the policy o Planning the policy o Scope of the policy o Rationale for corporate policy The principle of 3E s Records Management function Records Management program INFORMATION LIFE-CYCLE MANAGEMENT To introduce the idea of Information Life Cycle to the participants To gain understanding in the nature / characteristics of records at different stages of the life cycle To introduce acceptable/ standard operational practices in the management of records at various stages of life cycle

3 What is information and what is the Information Management Life Cycle (IML)? Why develop & implement an IML Approach to developing an IML Documents, Records and Systems Indexing, Classification & Taxonomies Standards & Policies FILE /RECORD TRACKING To give guidance on electronic file tracking systems including use of RFIDs and barcoding systems Show the importance of file tracking Show the components of tracking system Enable the trainee to initiate /or adopt a file tracking scheme in their organizations where none exists or are inappropriate Need for a records tracking scheme Records tracking system: who s responsible? How to track records Components of a tracking system Periodic checks/censuses on records tracking? File census:-how it works File Tracking Software Systems o Scope and application o Advantages RECORDS SURVEY By the end of this session the trainee should be able to: Explain the relevant terms associated with records inventory in their own words Describe the goals of and reasons for carrying out a records inventory. Explain the importance of undertaking a records inventory as part of a records management programme. Understand and implement applicable activities and methods related to the three major phases when undertaking a records inventory, namely:- o Planning o Carrying out a records inventory o Compiling the inventory report

4 Records Survey: Definition Types of Surveys Survey goal Undertaking A Records Inventory Planning The Records Inventory Carrying out the inventory Compiling the inventory MAIL MANAGEMENT By the end of this session the trainee should be able to: Understand meaning of mail management and differentiate different types of mail Understand the procedures followed in processing incoming and outgoing mail Understand and appreciate the use of folio numbers in filing. Understand the procedure followed in filing. What mail management is Incoming Mail Processing Incoming Mail Circulation Of In-coming Mail Procedures of Closing A File Weeding Out-going Mail MANAGEMENT OF THE REGISTRY By the end of this session the trainee should be able To bring into focus the set up and operation of manual and electronic registry7 To enable the trainee to adopt or initiate a registry system in his/her own organisation To show the responsibilities of various registry personnel To suggest ways of improving performance of registries Discuss the registry of the future (electronic registry) Forms of registry systems Functions of a registry Registry responsibilities Setting up a registry The ideal registry

5 Indicators of poor registry management Registry personnel Duties of a records manager Registry and action officers Performance improvement DAY 2: RECORDS APPRAISAL & RETENTION SCHEDULING By the end of this session the trainee should be able To understand what appraisal is To appreciate the importance of records appraisal in a RMP To understand the various criteria used in appraisal To examine the appraisal criteria for electronic records Appraisal: definition Values of records o Primary values o Secondary values Appraisal problems Disposal definition Rational for disposal Records transfer Benefits of records disposal Legal implications of disposal Methods of disposal Records destruction RETENTION SCHEDULING By the end of this session, participants should be able to: Explain the terms, records retention, disposal and records protection Explain the importance of a records retention programme focusing on the economic and legal benefits of establishing a programme Understand the principles and steps involved in the development of records retention schedules for their implementation.

6 Rationale for retention scheduling Role of Retention Schedule Uses of a Retention Schedule Benefits of the Retention Schedule Legal Retention Requirements Who Determines Retention Period Features of a Records Retention Schedule Developing a Records Retention Schedule RECORDS CENTRE OPERATION By the end of the topic the trainee would be able: to manage the transition of semi-active and inactive records to manage semi-active and inactive e-records (digital content) to migrate semi-active and inactive e-records to intermediary storage areas either within the organisation or in an outsourced centre understand the role of SANs (Storage Architecture Networks) and cloud computing in handling intermediary content Closing Files Custody of Closed Files Disposal Schedules Destruction of Records Held by Records Offices Transferring Files to the Records Centre Retrieving Files from the Records Centre Consulting Records in the Records Centre Action Date and Review Procedures Destruction of Records Held by the Records Centre DIGITAL ARCHIVING AND CURATION By the end of this session the trainee should be able Describe the records life cycle in respect to digital storage devices Understand several digital content archiving procedures Discuss general issues to consider before embarking on reformatting project Examine the two main forms of reformatting practical for most organisations Describe scenarios in which either, both, or neither type of reformatting is appropriate

7 Introduction to digital curation The life-cycle model Curating s Curating Web Sites and web-based records Curating Databases Microform or Digitize: Which is Right For You? Record Reformatting What you need to know: Microfilm Legal Issues and Records Retention What You Need to Know: Digitization Content Management Systems DoD RM standard Scenarios examination /study SAFETY AND SECURITY OF ELECTRONIC RECORDS By the end of the session participants will be able to:- Understand and appreciate the need for security precautions Understand methods of ensuring that security is maintained Understand the agents of destruction Understand the impact of loss of records to organizations. Physical Precautions Collection Security Records security classification Storage of Classified Material Circulation of classified mail CREATING E-RECORDS FILE STRUCTURE To make clear the role of e-filing structure and its application To construct and test an e-file structure To implement an e-file structure Enable the learner to maintain an e-file structure once in operation To use viable naming conventions for e-files/ folders Physical records vs e-records

8 Role of electronic filing structure Goals of electronic filing structure Assumptions Tools Who to involve Implementation Filing Method Naming Conventions for Electronic Folders and Records Drafting a Filing Structure Work-in-Progress Documents Security of Sensitive Information Disposing of Documents and Records Testing the Draft Filing Structure Ongoing maintenance DAY 3: MANAGEMENT By the end of this session the trainee should be able To identify common challenges to organizations To discover ways of solving problems caused by s To configure an system in a way that will be viable in managing s To apply records management principles in managing s Identifying and gathering requirements for management Implementing the solution Long-term preservation of messages, attachments, metadata and discovery Instant messaging Blogs, wikis, and RSS feeds as alternatives to Web-based commercial Advantages of effective e-records management Legal framework for a sound records management programme Elements of a sound records management programme Managing electronic records Practical Suggestions for Keeping Are messages records?

9 & Accountability s: what to keep s: How should I keep them s: managing the messages categories DOCUMENTARY: THE SMARTEST GUY IN THE ROOM : To get a real picture of the extent to which e-records can impact an organization To appreciate the legal implication of disregarding e-records management TAXONOMY To design a manual taxonomy for a particular category of records in his/her organization To carry out autocategorization of records To use different classification models Records Classification Benefits of Records Classification Purpose of Records Classification Autocategorisation Organisational taxonomies Classification Models Designing a Taxonomy Naming conventions

10 METADATA DEVELOPMENT & USE To use different types of metadata in classifying collection Evaluate collection metadata in terms of quality and usage Create metadata for collection using Dublin Core Introduction to metadata Types of metadata Essence of metadata Functions of metadata Creating metadata Principle of good metadata Metadata quality control RECORDS MANAGEMENT TECHNOLOGIES To manage content in his/ her organization in respect to Creation; Use; Maintenance; and Disposition To manage knowledge held in shared, local drives and in manual systems ECM definitions Basic Content Services Shared Drive Issues Local file storage issues Impact of ECM PRACTICUM WITH AGILENT CERITY To depict use of a Records Management Software solution in managing content of an organisation