ProspenAfrica | Training and Consulting Services Provider

Pragmatic Approach To Managing Records

From The Manual Filing Systems to Electronic Records Management Systems

5 Day Training

Dates: 04-08 Mar / 10-14 Jun 2024
Locations: Johannesburg, South Africa
Platform: Available In-Class / Online

Price: Available on request

This is a Non-accredited Course

Course Introduction

Information Technology is the foundation of doing business in the 21st century. Communication and transactions in organizations have become electronic and so has relationships between organizations and their clients. To this end, an increasing number of records are born digital. These new ways of doing business necessitate that organizations should implement compatible electronic systems to capture, maintain, use, and eventually disposed these records. However, electronic systems can also be overwhelming


Our observation as Prospen Africa, is that many organizations have rushed into implementing electronic recordkeeping systems without proper planning. They have implemented electronic recordkeeping systems which are either underutilized or not utilized at all. It is our view that decision-makers in organizations should be in a position to make the right decisions regarding the selection and implementation of electronic recordkeeping systems. Poor choices may lead to waste of valuable time, resources, and capital. A successful electronic records management system hinges more on an effective manual filing system. This Course sets out an effective and practical approach for the management of paper records as well as the implementation of electronic records management solutions. It is aimed at empowering practitioners to manage this transition from a predominantly paper environment to a digital one with ease.

Course Objectives

After attending this course delegates will be able-

  • to distinguish between a record and a document

  • to distinguish between different types of records

  • manage a registry

  • develop and implement a file plan

  • to define the concepts of appraisal and disposal

  • Understand the legislative framework for records disposal

  • to understand the record lifecycle concept

  • to apply for a disposal authority

  • to appraise records

  • to develop a records retention schedule

  • to develop a records inventory

  • to systematically dispose records in line with the law

  • Implement an electronic records management system

Who should attend?

  • Records management practitioners

  • Work study/organizational development officers

  • Registry clerks

  • Officer administrators

  • Security specialists

  • Archivists

  • Legal officers

  • IT specialists

  • Monitoring and evaluation specialists

  • Auditors

Training methodology

Training Methodology

Our diverse instructional approaches ensure effective learning:

– Lectures & Presentations: Engage with expert-driven, stimulating content.
– Course Material: Access well-crafted supporting resources.
– Group Work: Collaborate on discussions and case studies for practical insights.
– Workshops & Role-Play: Participate in immersive, scenario-based activities.
– Practical Application: Focus on applying theoretical knowledge in real situations.
– Post-Training Support: Receive extensive support after training for skill implementation.

Training Outline


Introducing records management

  • What is a record?

  • Differences between a record and a document

  • Differences between records management, information management, and knowledge management

  • The lifecycle of a record

  • Different categories of records

  • Records management terminology

  • The benefits of sound records management

The Regulatory Framework for Records Management

  • The Municipal Finance Management Act (Act No. 56 of 2003)

  • The Public Finance Management Act (Act No. 1 of 1999)

  • The National Archives and Records Services Act (NARS)

  • The Promotion of Access to Information Act (PAIA)

  • The Electronic Communications and Transactions Act (ECTA)

  • The Protection of Personal Information Act (POPI)

  • The Promotion of Administrative Justice Act (PAJA)

  • The Protection of Personal Information (POPI) Act (No. 4 of 2013)

Introduction to a ­file plan

  • Origin of a File Plan

  • Composition of a File Plan

  • Attributes of an Effective File Plan

Designing, implementing, and maintaining a fi­le plan

  • Basic Requirements of a Good File Plan

  • Necessity of an Effective File Plan

  • NARS Standards


Using a file plan to manage correspondence records

  • Differences between a subject filing system and a case filing system

  • Using a file plan to classify records

  • Using a file plan to describe records

  • Using a file plan to arrange records

Managing an effective Registry system

  • Registry: to centralize or not to centralize

  • Physical location of a registry

  • Lay-out of a registry

  • Services rendered by the Registry

  • The duties of different registry officials

Registry Procedures

  • Receipt of post, parcels, and remittance/transferable items

  • Filing of post

  • Circulation of and search of files

  • Processing of outgoing post

  • Movement of files

  • Closure and termination of files and “other records”

  • Maintenance of control registers

  • Use of daily files

Prerequisites for the implementation of a file plan:

  • Determining the Management Model

  • Developing supporting policies and procedures

  • Developing records standards

  • Securing resources

  • Circulating the procedures, standards, and the

  • file plan

  • Conducting a change management and training programme

  • Gaining control of your terminated records

Managing an office-based _ling systems (PAs, Office Managers/Administrators, Secretaries):

  • Classifying your records

  • Creating File Categories

  • Subcategorizing

  • Colour Coding

  • Label Making

  • Filling Your Drawer

  • Archiving your records

Control registers and a good ­ling system

  • Types of control registers

  • The benefits of control registers

  • Formats of control registers

DAY 3 PROGRAMME Records Management Systems

Introduction to Electronic Document and Records Management Systems

  • What is Electronic Document Management System (EDMS)

  • What is Electronic Records Management System (ERMS)

  • What is Electronic Records Management System (EDRMS)

  • What is Enterprise Content Management (ECM) System?

  • Electronic documents and records management systems

  • The advantages of managing records electronically

  • The risks associated with managing records electronically

International Records Management Standards and Electronic Records

  • ISO 15489-1:2001

  • S. Department of Defence standard 5015.2

  • The National Archives in the UK’s functional

  • requirements for electronic records management software market (1999 and 2002)

  • The European Commission’s “MoReq,” the

  • Model Requirements for Electronic Records and Document Management in 2001.

  • The National Archives of Australia (NAA)’s Functional Specifications for Electronic Records Management Systems Software (ERMS).

  • Archives New Zealand’s ‘discretionary best practice’

  • Electronic Recordkeeping Systems Standard (Standard 5)

Types of Electronic Records

  • Data sets

  • Text based documents

  • Multimedia documents

  • Multidimensional documents

The Requisite Infrastructure for Electronic Records Management Systems

  • Dedicated server

  • Power supply

  • Bandwidth

  • Technical support

  • Back-up facilities

Approaches to implementing Electronic Records Management Systems

  • On-premises software

  • Software as a service (SaaS)

  • Hybrid solution



Metadata management and Electronic Records Management Systems

  • What is metadata

  • Why metadata management

Proprietary Software and Free Open-Source Software

  • What is proprietary software?

  • Advantages and disadvantages of proprietary software

  • Popular proprietary software brands

  • What is free open-source software?

Model Requirements (MoReq) for Electronic Records and Document Management A:

  • Dedicated server

  • Document classification

  • Built-in File Plan

  • Digital signatures

  • Rendition

  • Quality management

  • Paper records Management

Model Requirements (MoReq) for Electronic Records and Document Management B:

  • Retrieval/search

  • Web-site management

  • E-mail management

  • Metadata management

  • Authenticity

  • Audit trail

Model Requirements (MoReq) for Electronic Records and Document Management C:

  • Version control

  • Scanning and imaging

  • Back-up and recovery

  • Long-term format

  • Archiving

  • Disposal of records

ECM Technologies:

  • Managing technologies

  • Storing technologies

  • Preserving technologies

  • Capturing technologies

  • Delivering technologies

ECM application types explained:

  • Simple document management

  • Basic document management

  • Complex document management



Tender 398 in context

  • Class A solutions

  • Class B solutions

  • Class C solutions

Best approach for the implementation of an Electronic Document and Records Management System:

  • Complementary assets

  • Records Management Policy Framework

  • Conducting a survey

  • Developing a Business Case

  • Determining Business requirements

  • Determining Functional requirements

  • Selecting a system

  • Configuring a system

  • Monitoring a system

Information Security for Electronic Records

  • What is information security

  • Why information Security

  • Risks associated with electronic records

  • Security measures for electronic records

Counter Disaster Planning for Records

  • What is Disaster preparedness

  • What is Business Continuity

  • What is Disaster Recovery

  • Developing and implementing a practical Counter Disaster Strategy

Appraisal and disposal of Records:

  • When to appraise records?

  • Who should appraise records?

  • When to dispose records

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