Information and Documentation Compliance Essentials

Introduction:

This Information and Documentation Compliance course offers advanced strategies, tools, and techniques to capture, categorize, manage, store, preserve, and deliver critical information to meet compliance requirements.

The training is aligned with internationally recognized ISO standards, including ISO 9001 (Quality Management), ISO 15489 (Records Management), and ISO 27001 (Information Security), helping participants understand industry-standard requirements for compliance.

In today’s digital age, businesses and institutions face the challenge of managing an ever-growing volume of documents, many of which are exclusively electronic. Effective data management, compliance documentation, and security have therefore become critical components of a robust Enterprise Content Management (ECM) system.

The legal, audit, and compliance requirements associated with documentation are complex, as companies manage an explosion of essential papers and records. Contracts, financial records, project details, and traditional signed paper documents all contribute to an expanding repository of business records that must be managed efficiently and securely.

Training Methodology:

• Interactive presentations
• Case-based learning
• Group activities
• Compliance checklists exercises
• Scenario analysis
• Role-playing
• Case study discussions
• Knowledge assessments

Objectives:

By the end of this module on Information and Documentation Compliance, students will be able to:

• Comprehend the meaning and importance of information/documentation compliance.
• Navigate regulations on compliance documentation.
• Develop comprehensive information documentation policies and procedures.
• Establish strong information security standards.
• Create an organization-wide information/documentation action plan.
• Apply best practices learned from case studies.
• Gain in-depth knowledge of managing compliance documents.
• Assess industry-leading solutions and vendors in the marketplace.
• Utilize business classification schemes, metadata, and taxonomies to establish a retention program.
• Implement relevant statutory laws, policies, and regulations effectively.
• Develop top-notch policies and procedures for compliance.
• Set up access controls and security protocols.
• Create storage models, audit trails, and employ appropriate storage technologies.

Course Outline:

Unit 1: Strategy and Understanding Key Elements

• Introduction to Information and Documentation Management
• Examination of Standards: ISO 9001, ISO 27001, and ISO 15489
• Conducting Information and Documentation Audits
• Development of File Plans, Metadata Plans, Retention Schedules, and other Information Controls

Unit 2: Concepts and Set-up Components

• Understanding Compliance, Control of Documented Information, and Security
• Legislation, Standards, and Regulation
• Business Classification Schemes and Taxonomy
• The Fundamentals of Document Control
• Key Aspects of Security and Compliance

Unit 3: IT Process and Delivery

• Evaluation of IT Information and Documentation Management Systems
• Scanning, Storage, and Archiving Systems for Compliance
• Legalities associated with Scanning
• Document Compliance with Archiving and Retention Requirements
• Digital Signatures and Digital Rights Management

Unit 4: Implementation Planning

• Crafting an Implementation Plan
• Action Planning for Information and Documentation Compliance
• Developing Policies and Procedures
• Formulating a Comprehensive Action Plan

Unit 5: Data Management Compliance and Security

• The Role of Data as an Essential Asset of the Enterprise
• Effective Data Architecture Management
• Master/Reference Data Management
• Data Quality Control and Maintenance
• Metadata Administration Techniques
• Data Security and Warehousing Management