Document Control and Records Management Fundamentals

Introduction:

The planet is awash with information, and many organizations struggle to identify their information, understand why they need it, determine how long it should be kept, and assess whether it holds any significance. Additionally, evolving legal requirements demand stricter controls on contract documentation, necessitating improved management of human resources and contract records.

Electronic attacks can lead to the loss of private data, making this information vulnerable. Therefore, each institution must develop an all-inclusive record-keeping program that includes robust document control methods to identify, preserve, and protect crucial information.

This course on Document Control and Records Management provides practical steps for developing effective systems tailored to the needs of an organization. By the end of the course, participants will have a clear action plan and the essential skills needed to develop and implement a program that efficiently manages their organization’s documents, records, and information.

Objectives:

Upon completion of this Document Control and Records Management course, participants will be able to:

• Develop a records management program that enhances organizational value while reducing risk and cost.
• Implement document controls to effectively identify, preserve, protect, or destroy critical documents.
• Ensure compliance with relevant regulations and standards governing the handling of information.
• Minimize costs associated with fines due to inadequate records management.
• Establish an Information Asset Register (IAR) for locating and managing vital organizational information.

Training Methodology:

• Lectures by experts
• Interactive case studies
• Group discussions
• Real-world simulations
• Peer reviews and feedback sessions
• Software demonstrations and training

Course Outline:

Unit 1: The Principles of Managing Information

• How your organization currently handles information
• Definitions: Understanding key terms
• Document control versus records management
• Identifying organizational information needs
• Staffing considerations for information management
• Setting and meeting organizational information objectives

Unit 2: Document Control and Records Management Program Development Process

• Developing a business case
• Defining the program's purpose
• Key components to include
• Objectives of the program
• Specifics of document control and records management
• Records review and identification
• Managing critical documents, records, and information
• Handling electronic and physical formats
• Storing records effectively

Unit 3: Characteristics of a Document Control and Records Management Program

• Developing file plans
• Addressing challenges and problems
• Categorization of records
• Retention and disposition processes
• Compliance with information laws, regulations, and standards
• Establishing a retention schedule
• Ensuring privacy, protection, transparency, integrity, and security
• Preserving business, historical, and archive records

Unit 4: People, Responsibilities, and Information Awareness

• The psychology of filing
• Accountability and communication
• Collaboration and knowledge transfer
• Developing the message of information management
• Presentation and education package development
• Gaining sponsorship and leadership from senior managers

Unit 5: Planning and Action (P&A)

• Developing an information management strategy
• Creating a plan to manage documents and records
• Writing policy and guidance
• Establishing an information asset register
• Developing a document control process plan
• Implementing change management
• Planning for risk, recovery, disaster prevention, and continuity
• Creating an actionable plan