Introduction to Records Management - Getting Organized - Files & Records - Seminar - March 21, 2011

INTRODUCTION TO RECORDS MANAGEMENT - Getting Organized: Files & Records

COURSE DESCRIPTION
Course INTRODUCTION TO RECORDS MANAGEMENT
Title: Getting Organized – Files & Records

Unit: 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: info@lorsonresources.com ● Website: www.lorsonresources.com
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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,

Telephone: 1-868-671-8173 / 1-868-672-7002 ● Fax: 1-868-672-7005
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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

Telephone: 1-868-671-8173 / 1-868-672-7002 ● Fax: 1-868-672-7005
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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.

Telephone: 1-868-671-8173 / 1-868-672-7002 ● Fax: 1-868-672-7005
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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 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).

Mr. Bryan has worked with several organizations across the Caribbean and is an Associate Consultant/Trainer with the
Trinidad 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 & Information
Management (BARIM), a former member of the Library & Information Association of Jamaica (LIAJA), the Jamaica Defence
Force Coast Guard (National Reserves), and is active in several professional organizations, and charity organizations.

PUBLICATIONS & SEMINARS:

ARTICLES:
 Bryan, E. “The Proposed Access to Information Legislation.” Caribbean Journal of Public Sector
Management. 3:1, (2002): 16-29. ISSN 0799-0847 See:
http://www.mind.edu.jm/Templates/ReadNews.jsp?newsindex=64

 Bryan, E.“The Proposed Access to Information Legislation – Part 1” ACARM Newsletter. 31(2002): 16-19. ISSN
0258-2163 See: http://www.acarm.org/documents/issue31/emmerson1.pdf

 Bryan, E.“The Proposed Access to Information Legislation – Part 2” ACARM Newsletter. 32 (2002): 17-21. ISSN
0258-2163 See: http://www.acarm.org/documents/issue32/emmerson.pdf

 Bryan, E.“The Possible Future of the Records and Information Management Profession – The view from within the
Jamaican Public Service.” ACARM Newsletter. 33 (2003): 10-17. ISSN 0258-2163
See: http://www.acarm.org/documents/issue33/Emmerson.pdf

 Bryan, E. “The Possible Future of the Records and Information Management Profession.” LIAJA Bulletin 2003/
2004. (2004): 35-39. ISSN 0799-1207

 Bryan, E. “An Analysis of Content and Information as Drivers for Electronic Government” ACARM
Newsletter 40 (2007): 6-9. ISSN 0258-2163 URL: http://www.acarm.org/documents/issue40/Autumn%2007.1.pdf

 Bryan, E. “Governance Legal: Information Management Matters”, Nation Newspaper [Barbados] 9 April 2008: 38A.

 Bryan, E. “Information Security Management: Protecting your Assets” ACARM Newsletter 43 (2008): 13-15. ISSN
025-2163 URL: http://www.acarm.org/documents

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 Bryan, E. “Issues of Privacy and Data Protection Legislation within the Networked Environment – The 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:
http://uk.groups.yahoo.com/group/barim2004/files

 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: < http://www.crcaconference.com/2007/SpeakerProfile.htm >

 Bryan, E. “Information Management Visioning Exercise.” Caribbean Regional Fisheries Mechanism
(CRFM) Secretariat, Belize City, Belize. June 2006.

 Bryan, E. “An Introduction to Records & Information Management” Barbados Community College, St. 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.

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REGISTRATION FORM

Course title:

Location & Date of course:

Name of participant:

Position/responsibilities:

Organisation:

Telephone: Mobile: Fax:

E-mail:

Postal address:

What kind of background in records work do you have?:

How did you find out about the course?:

I have read and agreed to the conditions for training course registration outlined above.

Signature: Date:

Authorising officer:

Name: Position:

Telephone: Fax:

E-mail:

Signature: Date:

P.O. Box 2235, 40 Northey Lane Telephone: 868-671-8173/672-7002
Longdenville, Chaguanas Fax: 868-672-7005
TRINIDAD, W.I. Email: info@lorsonresources.com 7

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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 Limited's 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: info@lorsonresources.com

P.O. Box 2235, 40 Northey Lane Telephone: 868-671-8173/672-7002
Longdenville, Chaguanas Fax: 868-672-7005
TRINIDAD, W.I. Email: info@lorsonresources.com 8

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Introduction to Records Management - Getting Organized - Files & Records - Seminar - March 21, 2011

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Introduction to Records Management - Getting Organized - Files & Records - Seminar - March 21, 2011