Pragmatic Approach To Managing Records

MODULE 1

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

MODULE 2

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

MODULE 3

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

MODULE 4

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

MODULE 5

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