M ANAGING P UBLIC S ECTOR R ECORDS

A Training Programme

An Introduction to The Management of Pu !ic Sector Record" Stud# Programme

INTERNATIONAL COUNCIL ON ARC$I%ES

INTERNATIONAL RECORDS MANAGEMENT TRUST

MANAGING PUBLIC SECTOR RECORDS& A STUD' PROGRAMME

INTRODUCTION TO T$E MANAGEMENT O( PUBLIC SECTOR RECORDS STUD' PROGRAMME

MANAGING PUBLIC SECTOR RECORDS A STUDY PROGRAMME

Genera! Editor) Michae! Ro*er+ Managing Editor) Laura Mi!!ar

INTRODUCTION TO T$E MANAGEMENT O( PUBLIC SECTOR RECORDS STUD' PROGRAMME

INTERNATIONAL RECORDS MANAGEMENT TRUST

INTERNATIONAL COUNCIL ON ARC$I%ES

MANAGING PUBLIC SECTOR RECORDS& A STUD' PROGRAMME

Introduction to the Management of Pu !ic Sector Record" Stud# Programme

, Internationa! Record" Management Tru"t) -.../ Re*roduction in 0ho!e or in *art) 0ithout the e1*re"" 0ritten *ermi""ion of the Internationa! Record" Management Tru"t) i" "trict!# *rohi ited/ Produced # the Internationa! Record" Management Tru"t -2 3ohn Street London 4C-N 2EB U5 Printed in the United 5ingdom/ In6uirie" concerning re*roduction or right" and re6ue"t" for additiona! training materia!" "hou!d e addre""ed to

International Records Management Trust

-2 3ohn Street London 4C-N 2EB U5 Te!& 788 9:; 2: <=>- 8-:(a1& 788 9:; 2: <=>- <8:8 E?mai!& info@irmt/org 4e "ite& htt*&AA000/irmt/org

%er"ion -A-...

MPSR Project Personnel

Project Director Anne Thur"ton ha" een 0orBing to define internationa! "o!ution" for the management of *u !ic "ector record" for near!# three decade"/ Bet0een -.<: and -.=: "he !iCed in 5en#a) initia!!# conducting re"earch and then a" an em*!o#ee of the 5en#a Nationa! ArchiCe"/ She Doined the "taff of the Schoo! of Li rar#) ArchiCe and Information Studie" at UniCer"it# Co!!ege London in -.=:) 0here "he deCe!o*ed the MA cour"e in Record" and ArchiCe" Management 9Internationa!; and a *o"t?graduate re"earch *rogramme/ Bet0een -.=8 and -.== "he undertooB an on"ite "urCe# of record?Bee*ing "#"tem" in the Common0ea!th/ Thi" "tud# !ed to the foundation of the Internationa! Record" Management Tru"t to "u**ort the deCe!o*ment of record" management through technica! and ca*acit#? ui!ding *roDect" and through re"earch and education *roDect"/ General Editor Michae! Ro*er ha" had a 0ide range of e1*erience in the management of record" and archiCe"/ $e "erCed for thirt#?three #ear" in the Pu !ic Record Office of the United 5ingdom) from 0hich he retired a" 5ee*er of Pu !ic Record" in -..2/ $e ha" a!"o taught on the archiCe" cour"e" at UniCer"it# Co!!ege London and the UniCer"it# of Briti"h Co!um ia) Canada/ (rom -.== to -..2 he 0a" Secretar# Genera! of the Internationa! Counci! on ArchiCe" and "ince -..E he ha" een $onorar# Secretar# of the A""ociation of Common0ea!th ArchiCi"t" and Record" Manager" 9ACARM;/ $e ha" undertaBen con"u!tanc# mi""ion" and *artici*ated in the de!iCer# of training *rogramme" in man# countrie" and ha" 0ritten e1ten"iCe!# on a!! a"*ect" of record" and archiCe" management/ Managing Editor Laura Mi!!ar ha" 0orBed e1ten"iCe!# not on!# a" a record" and archiCe" management con"u!tant ut a!"o in *u !i"hing and di"tance education) a" an editor) *roduction manager and in"tructiona! de"igner/ She receiCed her MAS degree in archiCa! "tudie" from the UniCer"it# of Briti"h Co!um ia) Canada) in -.=8 and her PhD in archiCa! "tudie" from the UniCer"it# of London in -..E/ She ha" deCe!o*ed and taught archiCa! education cour"e" oth in Canada and internationa!!#) inc!uding at the UniCer"it# of Briti"h Co!um ia) Simon (ra"er UniCer"it# and the UniCer"it# of A! erta/ She i" the author of a num er of ooB" and artic!e" on Cariou" a"*ect" of archiCa! management) inc!uding A Manual for Small Archives 9-.==;) Archival Gold: Managing and Preserving Publishers Records 9-.=.; and A Handbook for Records Management and College Archives in British Columbia 9-.=.;/

Project Steering Group

Additiona! mem er" of the ProDect Steering Grou* inc!ude A""ociation of Record" Manager" and Admini"trator" 9ARMA Internationa!;& Internationa! Counci! on ArchiCe"& ProDect Management Con"u!tant& UniCer"it# Co!!ege London& %ideo Production Co?ordinator& $e!!a 3ean Barto!o George Mac5enFie Ton# 4i!!iam" E!iFa eth She*herd 3anet Roger"

Educational Advisers
Moi UniCer"it#& UniCer"iti TeBno!ogi Mara& UniCer"it# of Bot"0ana& UniCer"it# of Ghana& UniCer"it# of Ne0 South 4a!e"& UniCer"it# of 4e"t Indie"& 3u"tu" 4amuBo#a Ru"nah 3ohare Nathan MnDama $arr# ABu""ah) Pino ABotia Ann Peder"on %ictoria Lemieu1

Project Managers
Lynn Coleman (1994-6) Laura Millar (1996-7) Elizabeth Box (1997-8) Dawn Routledge (1999)

Production Team
Additiona! mem er" of the *roduction team inc!ude 3ane Co0an NicBi $a!! Greg $o!o off Bar ara Lange 3ennifer LeiDten Leanne Na"h

Donors
The Internationa! Record" Management Tru"t 0ou!d !iBe to acBno0!edge the "u**ort and a""i"tance of the fo!!o0ing& A""ociation of Record" Manager" and Admini"trator" 9ARMA Internationa!; Briti"h Counci! Briti"h $igh Commi""ion Ghana Briti"h $igh Commi""ion 5en#a Cari ean Centre for DeCe!o*ment Admini"tration 9CARICAD; Canadian Internationa! DeCe!o*ment Agenc# 9CIDA; Common0ea!th Secretariat De*artment for Internationa! DeCe!o*ment 9Ea"t Africa; De*artment for Internationa! DeCe!o*ment 9U5; D$L Internationa! 9U5; Limited (oreign and Common0ea!th Office $uman Right" (und $a#" Information Management Internationa! Counci! on ArchiCe" Nuffie!d (oundation Organi"ation of American State" Ro#a! BanB of Scot!and United Nation" DeCe!o*ment Program

INTRODUCTION TO THE MPSR STUDY PROGRAMME

The Management of Pu !ic Sector Record" 9MPSR; Stud# Programme 0a" initiated in -..8 # the Internationa! Record" Management Tru"t 9IRMT;/ The *rogramme "eeB" to define internationa! "o!ution" to the management of oth *a*er and e!ectronic record" "#"tem" and to deCe!o* !oca! mechani"m" to im*!ement the"e "o!ution"/ In -..<) it ecame a Doint enter*ri"e et0een the IRMT and the Internationa! Counci! on ArchiCe" 9ICA;/ The MPSR "tud# modu!e" are intended to addre"" the need" of *eo*!e 0ho ma# not haCe acce"" to training and education in record" and archiCe" management or 0ho haCe !imited acce"" to *u !ication") conference") *rofe""iona! *rogramme" or other educationa! o**ortunitie"/ The goa! ha" een to rai"e the "tandard of record" and archiCe" education and thu" to im*roCe the care of tho"e information re"ource" that com*ri"e e""entia! eCidence of *u !ic accounta i!it# and that he!* "ociet# *re"erCe it" documentar# heritage/ The ProDectG" o DectiCe" inc!ude the deCe!o*ment of an integrated "erie" of educationa! modu!e" on record" and archiCe" management) 0hich ma# e u"ed for "e!f?"tud#) a" *art of a di"tance education *rogramme or a" re"ource too!" for face?to?face or 0orB"ho* teaching the deCe!o*ment of a""ociated training too!") inc!uding ca"e "tudie") manua!" and re"ource Bit" for educator") to enhance the *otentia! u"e of the modu!e" the *roduction of documentar# and in"tructiona! Cideo fi!m" i!!u"trating i""ue" of re!eCance to information and record" management the de!iCer# of "eminar" to rai"e a0arene"" among archiCi"t") "enior manager" and deci"ion maBer" a out the ro!e of information and record" to "u**ort accounta i!it#) tran"*arenc# and efficienc# in goCernment) *rotect the right" and entit!ement" of citiFen" and enhance "ociet#G" cu!tura! memor#/

INTRODUCTION TO T$E MPSR STUD' PROGRAMME -

THE NEED FOR SPECIALISED TRAINING IN RECORD KEEPING

In deCe!o*ing the MPSR Stud# Programme) the aim ha" een to dra0 on g!o a! e"t *ractice ut to ada*t it to the rea!itie" of countrie" that haCe !imited re"ource" to inCe"t in record" management "#"tem"/ The modu!e" haCe een deCe!o*ed 0ith e1ten"iCe internationa! in*ut) initia!!# to addre"" the concern" of record" and archiCe" *er"onne! in Eng!i"h?!anguage countrie") *articu!ar!# Common0ea!th countrie" that haCe emerged from or ado*ted an Eng!i"h common !a0 mode! of goCernmenta! and Dudicia! admini"tration/ $o0eCer) it i" recogni"ed that a c!ear under"tanding of record?Bee*ing conce*t") need" and *ro !em" i" Cita! in a!! *art" of the 0or!d+ therefore) 0orB ha" a!read# egun on the ta"B of ada*ting the materia!" to o*timi"e u"e in other !ingui"tic and cu!tura! enCironment"/ Em*ha"i" i" eing *!aced on tran"!ation and ada*tation to meet the re6uirement" of (rench? and S*ani"h?"*eaBing countrie" a" a fir"t "tage of thi" *roce""/ The MPSR Stud# Programme ha" eCo!Ced to addre"" "*ecific i""ue" "uch a" the re!ation"hi* et0een *oor or co!!a*"ed record?Bee*ing "#"tem" and *o!itica! in"ta i!it#) economic dec!ine) enCironmenta! degradation) *oCert#) human right" Cio!ation" and threat" of graft and corru*tion the a "ence of internationa!!# acce*ted educationa! *rogramme" in record" and archiCe" management the !acB of ade6uate training materia!" and educationa! infra"tructure" for record" and archiCe" management in man# countrie" of the 0or!d/

NATURE OF THE MPSR STUDY PROGRAMME

The organi"er" of the MPSR Stud# Programme recogni"ed from the out"et that no one !earning a**roach 0i!! "uit a!! the countrie" that re6uire training and education in the fie!d of record" and archiCe" management/ Therefore) rather than deCe!o* a com*!e1 educationa! *rogramme that might not e "u"taina !e internationa!!#) it 0a" decided to create a H ui!ding !ocBG *rogramme/ The modu!e" endor"e the mode! of an Hintegrated record" and archiCe" management *rogramme/G Such a *rogramme adCocate" *!anning and managing a continuum of care that en"ure" that record" are created efficient!#) u"ed effectiCe!# and *rotected for oth organi"ationa! and cu!tura! *ur*o"e"/ The modu!e" coCer the mo"t im*ortant *rinci*!e" of record" and archiCe" management "o that u"er" ma# e"ta !i"h a c!ear under"tanding of the "*ectrum of record" i""ue"/ The# then guide u"er" to other Ca!ua !e information) inc!uding reference" to ooB") Dourna!") magaFine" and other educationa! and *rofe""iona! re"ource"/ The inc!u"ion of diCer"e reference" a!!o0"

INTRODUCTION TO T$E MPSR STUD' PROGRAMME 2

u"er" to moCe more ea"i!# e#ond the modu!e" to "eeB out and u"e "u**!ementar# information "uita !e to their o0n "ituation/ The modu!e" are de"igned to e f!e1i !e) "o that the# ma# e u"ed for "e!f?"tud#) in di"tance education) in "hort cour"e" or 0orB"ho*" or in more e1ten"iCe educationa! *rogramme"/ The actua! a**!ication and ada*tation of the modu!e" 0i!! e determined at the nationa! or regiona! !eCe!) taBing into account e1i"ting educationa! o**ortunitie" and the *rofe""iona! need" of the record" and archiCe" communit#/ The MPSR Stud# Programme team ha" 0orBed e1ten"iCe!# 0ith educationa! in"titution" and *rofe""iona!" around the 0or!d to encourage the ado*tion and ada*tation of the educationa! *rogramme to regiona! and !oca! need"/ The modu!e" offer the ground0orB u*on 0hich educator" can deCe!o* ne0 cour"e" and enhance e1i"ting *rogramme"/

AUDIENCE FOR THE MPSR STUDY PROGRAMME

The *rimar# c!ient for the MPSR Stud# ProgrammeG" educationa! too!" I the modu!e") ca"e "tudie") manua!" and a""ociated training materia!" I i" the record?Bee*ing "*ecia!i"t) *articu!ar!# ut not e1c!u"iCe!# the record" manager or archiCi"t 0orBing in the *u !ic "ector/ The materia!" are e"*ecia!!# u"efu! in he!*ing to rai"e the !eCe! of e1*erti"e and com*etence among"t 0orBing *rofe""iona!" 0ho ma# not haCe the o**ortunit# to !eaCe their *o"ition" for e1tended *eriod" of "tud#/ Man# e!ement" in the "tud# *rogramme are a!"o de"igned to e of Ca!ue to officia!" and "enior manager" in centra! and !oca! goCernment 0ho need to under"tand the critica! ro!e record Bee*ing *!a#" in a""uring the 6ua!it# of their o*eration"/ 4hi!e the modu!e" addre"" man# *u !ic "ector record?Bee*ing i""ue") the# "hou!d a!"o e u"efu! for record Bee*er" in the *riCate "ector/

USES OF THE MPSR STUDY PROGRAMME

SELF-STUDY At it" "im*!e"t) the MPSR Training Programme "erCe" a" a "e!f?"tud# *rogramme for an#one intere"ted in !earning a out record" and archiCe" management/ The modu!e" are organi"ed to a!!o0 reCie0 and "e!f?a""e""ment # "tudent"/ Each modu!e inc!ude" a "ection on HMethod of Stud# and A""e""mentG) indicating the num er of !e""on" in the modu!e and the e"timated amount of time the "tudent "hou!d *!an to "*end on each/ Each modu!e a!"o inc!ude" a de"cri*tion of aim" and outcome"/ Thi" "ection indicate" 0hat the modu!e "et" out to teach 9the aim"; and 0hat the "tudent "hou!d e1*ect to
INTRODUCTION TO T$E MPSR STUD' PROGRAMME >

!earn 9the outcome";/ Student" are adCi"ed to reCie0 the"e aim" and outcome" efore eginning and after com*!eting the modu!e) to en"ure the# are achieCing the !earning o DectiCe"/ A!"o inc!uded in the modu!e" are "e!f?a""e""ed actiCitie" that a!!o0 the "tudent to e1amine the idea" in the modu!e in !ight of the rea!itie" of their o0n organi"ation"/ Sugge"ted an"0er" to the actiCitie" or ti*" for the "tudent are inc!uded at the end of each !e""on/ A "erie" of "tud# 6ue"tion" he!* the "tudent focu" on Be# i""ue" in each !e""on and "erCe a" Ca!ua !e too!" for en"uring the information in the !e""on ha" een under"tood/ If "tudent" are fo!!o0ing thi" *rogramme 0ithout forma! "u*erCi"ion) the# ma# enefit from identif#ing a mentor 0ithin their organi"ation& "omeone 0ho can an"0er 6ue"tion") di"cu"" "tud# 6ue"tion" and he!* determine "chedu!e" and dead!ine" for com*!eting modu!e"/ DISTANCE EDUCATION The training modu!e" are idea!!# to e u"ed 0ithin a forma!i"ed and accredited di"tance education *rogramme) offered through a uniCer"it#) co!!ege) in"titute or other educationa! agenc#/ To e u"ed a" a di"tance education *rogramme) the modu!e" 0ou!d e "u**!emented 0ith "uch !oca! materia!" a" e1amination") a""ignment" and regiona!!# a"ed ca"e "tudie") Cideo" or audiota*e"/ Regi"tration) marBing and "u*erCi"ion "#"tem" 0ou!d e re6uired to en"ure the Cia i!it# of "uch a *rogramme at a regiona! or nationa! !eCe!/ The deCe!o*er" of thi" "tud# *rogramme encourage educationa! in"titution" around the 0or!d to con"ider u"ing the"e modu!e" a" *art of a forma!i"ed di"tance education initiatiCe/ FACE-TO-FACE INSTRUCTION The modu!e" ma# a!"o e ada*ted to face?to?face in"truction) either a" *art of a regu!ar uniCer"it# or co!!ege cour"e) or through "hort "eminar" or training "e""ion") "uch a" tho"e offered # *rofe""iona! a""ociation"/ The modu!e" ma# a!"o e u"ed for in?hou"e training 0ithin archiCa! in"titution" or goCernment or cor*orate office"/ REFERENCE TOOLS The modu!e" and re!ated re"ource" 0i!! a!"o e u"efu! reference too!") *articu!ar!# for in"titution" 0ith e"ta !i"hed archiCe" or record" training *rogramme") 0hich can u"e the materia!" to "u**!ement e1i"ting reading" and actiCitie"/

MPSR STUDY PROGRAMME MATERIALS

The MPSR Stud# Programme inc!ude" eighteen "e!f?"tud# modu!e" on record" and archiCe" i""ue") organi"ed to addre"" core) adCanced and "*ecia!i"t to*ic"/ Each of the modu!e" fo!!o0" the "ame "tructure and format) 0ith te1t+ figure") chart" and gra*h"+
INTRODUCTION TO T$E MPSR STUD' PROGRAMME 8

"e!f?a""e""ed actiCitie"+ "e!f?"tud# 6ue"tion"+ and "ummarie"/ In each modu!e) the main te1t i" diCided into !e""on") a"ed on a !ogica! diCi"ion of "u Dect" or i""ue"/ In addition to the modu!e") there are "eCen a""ociated training manua!") a "erie" of >8 ca"e "tudie") a g!o""ar# of term") a guide to additiona! "ource" of information on record" and archiCe" i""ue" and a re"ource too! for educator"/ The com*onent" of the MPSR Stud# Programme are !i"ted e!o0) fo!!o0ed # a rief de"cri*tion of each of the modu!e"/

INTRODUCTION TO T$E MPSR STUD' PROGRAMME J

MODULES The Management of Pu !ic Sector Record"& Princi*!e" and Conte1t Organi"ing and Contro!!ing Current Record" Bui!ding Record" A**rai"a! S#"tem" Managing Record" in Record" Centre" Managing ArchiCe" Pre"erCing Record" Emergenc# P!anning for Record" and ArchiCe" SerCice" DeCe!o*ing Infra"tructure" for Record" and ArchiCe" SerCice" Managing Re"ource" for Record" and ArchiCe" SerCice" Strategic P!anning for Record" and ArchiCe" SerCice" Ana!#"ing Bu"ine"" S#"tem" Under"tanding Com*uter"& An OCerCie0 for Record" and ArchiCe" Staff Automating Record" SerCice" Managing E!ectronic Record" Managing (inancia! Record" Managing $o"*ita! Record" Managing Lega! Record" Managing Per"onne! Record" MANUALS Managing Current Record"& A Procedure" Manua! Re"tructuring Current Record" S#"tem"& A Procedure" Manua! Managing Record" Centre"& A Procedure" Manua! Managing ArchiCe"& A Procedure" Manua! P!anning for Emergencie"& A Procedure" Manua! A Mode! Record" and ArchiCe" La0 A Mode! Scheme of SerCice for a Record" and ArchiCe" C!a"" CASE STUDIES The Management of Pu !ic Sector Record"& Ca"e Studie" 9> Co!ume"; ADDITIONAL RESOURCE TOOLS Introduction to the MPSR Stud# Programme G!o""ar# of Term" Additiona! Re"ource" 4riting Ca"e Studie"& A Manua! Re"ource" for Educator"

INTRODUCTION TO T$E MPSR STUD' PROGRAMME E

MANAGEMENT OF PUBLIC SECTOR RECORDS: PRINCIPLES AND CONTEXT Thi" oCerCie0 modu!e introduce" Be# conce*t" and *rinci*!e" inCo!Ced in effectiCe record Bee*ing/ It *roCide" a a"ic oCerCie0 for the entire MPSR Stud# Programme) out!ining the main conce*t" di"cu""ed in "u "e6uent modu!e"/ The modu!e a!"o e1amine" im*ortant *rinci*!e") "uch a" the !ife c#c!e and continuum conce*t") and guide" u"er" to more e1ten"iCe !iterature in tho"e area"/ In *articu!ar) thi" modu!e con"ider" the fo!!o0ing to*ic"& the nature of record" Be# termino!og#) *rinci*!e" and conce*t" in record" and archiCe" management the im*ortance of managing recorded information a" a "trategic re"ource Be# record?Bee*ing function" the re6uirement" for deCe!o*ing and maintaining an integrated record" management *rogramme the action" re6uired to re"tructure e1i"ting "#"tem" the mean" of "u"taining an integrated record" management *rogramme/

ORGANISING AND CONTROLLING CURRENT RECORDS rganising and Controlling Current Records di"cu""e" the care of record" created a" *art of the current u"ine"" actiCitie" of goCernment office" or regi"trie"/ It addre""e" the rea!it# of deCe!o*ing and managing effectiCe record?Bee*ing "#"tem") *articu!ar!# in organi"ation" a"ed on an Eng!i"h tradition/ It offer" e"t *ractice "o!ution" to "uch i""ue" a" creating) identif#ing) c!a""if#ing) "toring and retrieCing record" in centra!i"ed or decentra!i"ed regime"/ The modu!e di"cu""e" deCe!o*ing a record?Bee*ing *rogramme 0ithin the organi"ation deCe!o*ing inte!!ectua! and *h#"ica! contro!" for record" creating) ca*turing and identif#ing record" hand!ing) *roce""ing) maintaining) moCing and "toring record" deCe!o*ing and managing "#"tem" to regu!ate and admini"ter acce"" to and u"e of record"/

BUILDING RECORDS APPRAISAL SYSTEMS Thi" modu!e out!ine" the *rinci*!e" and *ractice" inCo!Ced 0ith record" a**rai"a!& that i") the *roce"" of identif#ing tho"e record" 0ith enduring Ca!ue to e Be*t a" archiCe") and tho"e record" that ma# e ma# e de"tro#ed once u"ine"" and "tatutor# re6uirement" are "ati"fied/ Recogni"ing that a**rai"a! *roce""e" com*ri"e one of the mo"t com*!e1 a"*ect" of record Bee*ing) the modu!e e1*!ain" the nature of a**rai"a!
INTRODUCTION TO T$E MPSR STUD' PROGRAMME <

and di"cu""e" maDor a**rai"a! theorie"/ It then *re"ent" *ractica! a**rai"a! mode!") 0hich u"er" of the modu!e can con"ider in re!ation to the theorie" and *rinci*!e" *re"ented/ Building Records A!!raisal S"stems inc!ude" di"cu""ion of under"tanding record" a**rai"a! and Be# a**rai"a! theorie" and "trategie" managing a**rai"a! *roce""e" and actiCitie" determining a**rai"a! criteria deCe!o*ing and managing record" retention and di"*o"a! "chedu!e" di"*o"ing of record"/

MANAGING RECORDS IN RECORDS CENTRES Thi" modu!e e1*!ore" the ro!e of record centre" in *roCiding effectiCe) off"ite management for record" no !onger needed regu!ar!# for the conduct of current u"ine"" ut that mu"t e retained tem*orari!# unti! a!! !ega! or admini"tratiCe re6uirement" for retention are "ati"fied/ The modu!e focu"e" on the Be# ca*acitie" and "erCice" *roCided # a record" centre and on 0a#" to o*timi"e it" management a" a !o0?co"t) high?"erCice faci!it#/ S*ecific to*ic" inc!ude under"tanding the characteri"tic" of a functiona! record" centre deCe!o*ing an admini"tratiCe "tructure for "emi?current record" management determining re"ource re6uirement" eCa!uating 6ua!it# and *roductiCit# of record centre "erCice" and o*eration"/

MANAGING ARCHIVES Thi" modu!e di"cu""e" the care of archiCe"& tho"e record" that haCe een identified a" haCing enduring Ca!ue and thu" mu"t e *rotected 0ithin an archiCa! enCironment/ It e1amine" the ro!e of archiCe" in "ociet#) the im*ortance of deCe!o*ing a**ro*riate *o!icie" and *rocedure" and the !ega! re"*on"i i!itie" of archiCa! regime") *articu!ar!# tho"e "erCing the *u !ic "ector/ Offering oth theoretica! ana!#"i" and e"t *ractice e1am*!e") Managing Archives con"ider" the *rinci*!e" and *ractice" inCo!Ced 0ith admini"tering the archiCe" re*o"itor# deCe!o*ing and maintaining an acce""ion" "#"tem arranging and de"cri ing archiCe" *roCiding reference "erCice" deCe!o*ing outreach *rogramme"/

INTRODUCTION TO T$E MPSR STUD' PROGRAMME =

PRESERVING RECORDS Thi" modu!e e1amine" the "te*" re6uired to en"ure that record" and archiCe" are *h#"ica!!# *rotected/ Recogni"ing that the !eCe! of care *roCided for record" Carie" de*ending on their continuing uti!it# and enduring Ca!ue) the modu!e con"ider" the *rinci*!e" of *re"erCation and their a**!ication acro"" the record" continuum/ In *articu!ar) it addre""e" the management concern" inCo!Ced 0ith deCe!o*ing a *re"erCation *rogramme/ Preserving Records e1amine" the cau"e" of deterioration and damage in record" the re6uirement" for "ecurit# and ade6uate *rotection of record" and archiCe" *re"erCation i""ue" re!ated to "*ecific media the com*onent" of a com*rehen"iCe record" *re"erCation *rogramme/

EMERGENCY PLANNING FOR RECORDS AND ARCHIVES SERVICES Thi" modu!e out!ine" the "te*" inCo!Ced in e"ta !i"hing and maintaining emergenc# *!anning *rogramme" and *rotecting Cita! record"/ No organi"ation i" tota!!# immune from emergencie" or di"a"ter") either from natura! cau"e" or human action/ In order to *rotect them"e!Ce" and their a""et") inc!uding record" and archiCe") man# organi"ation" deCe!o* emergenc# *!an"/ Thi" modu!e e1amine" the *roce"" of deCe!o*ing an emergenc# *!an to *rotect *eo*!e and *ro*ert# and en"ure that) in the eCent of an emergenc#) action i" taBen immediate!# to reduce the damage incurred and in"titute recoCer# *rocedure"/ Becau"e not a!! record" can e *rotected e6ua!!# in an emergenc#) thi" modu!e a!"o e1amine" the ta"B of identif#ing Cita! record" I tho"e record" e""entia! to the organi"ationG" u"ine"" I and en"uring tho"e record" are *rotected fir"t/ The modu!e di"cu""e" identif#ing ri"B" to record" and archiCe" *re*aring an emergenc# *!an identif#ing and *rotecting Cita! record"/

DEVELOPING INFRASTRUCTURES FOR RECORDS AND ARCHIVES SERVICES The core modu!e" of the MPSR Stud# Programme de"cri e the *rofe""iona! conce*t" and actiCitie" inCo!Ced in managing record" to fu!fi! the u"ine"") regu!ator# and cu!tura! re"*on"i i!itie" of goCernment/ Thi" modu!e concentrate" on e6ui**ing manager" 0ith the additiona! Bno0!edge and "Bi!!" needed to e"ta !i"h and maintain the !ega!) regu!ator# and o*erationa! frame0orB nece""ar# to *roCide e""entia! record?Bee*ing "erCice"/

INTRODUCTION TO T$E MPSR STUD' PROGRAMME .

#evelo!ing $nfrastructures for Records and Archives Services di"cu""e" the need for com*rehen"iCe and ro u"t "#"tem" to manage *u !ic "ector record" in order to ma1imi"e goCernment "erCice 6ua!it# and de!iCer#) en"ure c!ient "ati"faction and *rotect citiFen"G right") a" 0e!! a" to en"ure accounta i!it# and tran"*arenc# 0ithin the organi"ation the im*ortance of e1amining the !ega!) regu!ator# and organi"ationa! conte1t 0ithin 0hich the organi"ation o*erate") *articu!ar!# 0ith regard to record" care the ta"B of e1amining "taffing "tructure" and en"uring the# are ade6uate to fu!fi! centra! record" and archiCe" management ta"B"/

STRATEGIC PLANNING FOR RECORDS AND ARCHIVES SERVICES Thi" modu!e di"cu""e" the Bno0!edge and "Bi!!" needed # manager" to *!an and maintain the organi"ationG" record" and archiCe" "erCice"/ In *articu!ar) it focu"e" on techni6ue" and *rinci*!e" inCo!Ced 0ith "trategic management and organi"ationa! change/ Strategic Planning for Records and Archives Services e1amine" conce*t" and techni6ue" for *!anning) *articu!ar!# "trategic thinBing and *!anning the *roce"" of *!anning and e"ta !i"hing an integrated record" and archiCe" management *rogramme the ro!e of *roDect management in record Bee*ing the im*ortance of *romoting record" and archiCe" "erCice" 0ithin the goCernment or organi"ation conce*t" and techni6ue" for the eCa!uation of management "#"tem"/

MANAGING RESOURCES FOR RECORDS AND ARCHIVES SERVICES EffectiCe re"ource management i" the acB one of an effectiCe record?Bee*ing "#"tem/ Thi" modu!e di"cu""e" the de"ign and management of re"ource management *rogramme") *articu!ar!# for the *u !ic "ector/ It focu"e" on e6ui**ing manager" 0ith the additiona! Bno0!edge and "Bi!!" needed to identif#) "ecure and de*!o# the re"ource" nece""ar# for "ucce""/ To*ic" di"cu""ed inc!ude managing human re"ource") inc!uding o taining "taff and deCe!o*ing their "Bi!!" and a i!itie" managing financia! re"ource" managing *h#"ica! re"ource"/

INTRODUCTION TO T$E MPSR STUD' PROGRAMME -:

ANALYSING BUSINESS SYSTEMS Bu"ine"" "#"tem" ana!#"i" i" fa"t ecoming a critica! com*onent of effectiCe record" management+ thi" modu!e introduce" Be# conce*t") theorie") too!" and *ractice" of u"ine"" "#"tem" ana!#"i"/ The information *roCided i" a**!ica !e in oth the *u !ic and *riCate "ector/ Anal"sing Business S"stems a!"o e1amine" the "te*" inCo!Ced 0ith ana!#"ing organi"ationa! *ractice" and re"tructuring them to im*roCe efficienc# and accounta i!it#/ In *articu!ar) the modu!e out!ine" the methodo!og# and techni6ue" of u"ine"" "#"tem" ana!#"i" u"ine"" "#"tem management too!" and actiCitie" the a**!ication of u"ine"" "#"tem" ana!#"i" to record?Bee*ing 0orB/

UNDERSTANDING COMPUTERS: AN OVERVIEW FOR RECORDS AND ARCHIVES STAFF The *eo*!e u"ing the MPSR Stud# Programme 0i!! ineCita !# haCe different e1*erience" 0ith automation in their organi"ation"/ Some ma# e high!# fami!iar 0ith com*uteri"ation+ other" ma# not haCe the o**ortunit# to acce"" and u"e com*uter techno!ogie"/ Thi" introductor# modu!e aim" to fami!iari"e u"er" 0ith "ome of the a"ic conce*t" of u"ing com*uter"/ In *articu!ar) it "eeB" to he!* *eo*!e under"tand the t0o other com*uter?re!ated modu!e" in thi" *rogramme& Automating Records Services and Managing %lectronic Records& Thi" oCerCie0 modu!e e1*!ain" the com*onent" of a com*uter "#"tem ho0 com*uter" 0orB the different "torage media that are common!# a""ociated 0ith a com*uter 0a#" in 0hich com*uter" "u**ort organi"ationa! and u"ine"" actiCitie"/

AUTOMATING RECORDS SERVICES Thi" modu!e con"ider" the ro!e com*uter" and information techno!ogie" *!a# in the management of information and record?Bee*ing "#"tem"/ Man# office") regi"trie" and archiCa! in"titution" are com*uteri"ing their admini"tratiCe "#"tem" # automating "uch function" a" record creation) fi!e management and retrieCa!) acce""ioning) de"cri*tion and "o on/ Thi" modu!e addre""e" *o""i !e com*uter a**!ication") fir"t introducing im*ortant *rinci*!e" and *ractice" inCo!Ced 0ith automation/ Automating Records Services di"cu""e" u"ing com*uter" for recorded information "#"tem" management con"idering Be# information techno!og# a**!ication" to enhance record?Bee*ing effectiCene"" identif#ing the deci"ion" and "te*" inCo!Ced 0ith deCe!o*ing an automation *!an

INTRODUCTION TO T$E MPSR STUD' PROGRAMME --

choo"ing or deCe!o*ing a**ro*riate "oft0are and hard0are eCa!uating the effectiCene"" of automated "#"tem" automating or u*grading record" and archiCe" function"/

MANAGING ELECTRONIC RECORDS Thi" modu!e e1amine" the management of record" and archiCe" created u"ing digita! techno!ogie"/ Recogni"ing that the management of e!ectronic record" i" a com*!e1 and ra*id!# changing "u Dect) thi" modu!e focu"e" on core *rinci*!e" and e"t *ractice" and then direct" u"er" to the e1ten"iCe and gro0ing od# of !iterature emerging around the 0or!d on more adCanced e!ectronic record" i""ue"/ Managing %lectronic Records out!ine"& a"ic conce*t" of e!ectronic record Bee*ing the nature of an e!ectronic record" *rogramme i""ue" inCo!Ced 0ith creating) u"ing and *re"erCing e!ectronic record" management and *rogramme?!eCe! i""ue" inCo!Ced 0ith the care of e!ectronic record"/

MANAGING FINANCIAL RECORDS Thi" modu!e out!ine" the conce*t") *roce""e" and too!" u"ed to achieCe effectiCe management of the organi"ationG" financia! record"/ It doe" not re*eat information a out core record" management *ractice" addre""ed in other modu!e"/ Rather) it focu"e" on the "*ecific i""ue" re!ated to Be# record" generated # fi"ca! actiCit#/ 5e# i""ue" coCered inc!ude identif#ing "taBeho!der" in the financia! management *roce"" ana!#"ing financia! management function") *roce""e" and outcome" ana!#"ing financia! management information "#"tem" and record" the conce*t of an integrated financia! management "#"tem/

MANAGING HOSPITAL RECORDS Thi" modu!e focu"e" on the "*ecific" of managing the admini"tratiCe and *atient ca"e fi!e" generated in a ho"*ita! enCironment/ Particu!ar to*ic" addre""ed are under"tanding the nature and Ca!ue of ho"*ita! record" deCe!o*ing a *rogramme for the management of ho"*ita! record" managing admini"tratiCe record" and ca"e fi!e" in ho"*ita!" under"tanding information techno!og# a**!ication" and i""ue" for ho"*ita! record Bee*ing/
INTRODUCTION TO T$E MPSR STUD' PROGRAMME -2

MANAGING LEGAL RECORDS Thi" modu!e con"ider" deCe!o*ing a "#"tem for the effectiCe management of !ega! and Dudicia! record"/ The modu!e e1amine" the "*ecific i""ue" re!ated to !ega! and Dudicia! record" care/ It di"cu""e" Bee*ing record" in a !ega! enCironment deCe!o*ing a !ega!ADudicia! record" management *rogramme managing court) *o!ice and *ro"ecution record" con"idering information techno!og# a**!ication" and i""ue" for !ega! record Bee*ing/

MANAGING PERSONNEL RECORDS Thi" modu!e di"cu""e" the management of *er"onne! record" from creation to di"*o"ition/ It e1amine" under"tanding *er"onne! management u"ine"" *roce""e" and record" identif#ing "taBeho!der" in the *er"onne! management *roce"" managing *er"onne! record" in a manua! form managing *er"onne! record" in a mi1ed *a*erAe!ectronic enCironment/

OTHER ELEMENTS IN THE MPSR STUDY PROGRAMME

MANUALS Accom*an#ing the MPSR Stud# Programme modu!e" are a "erie" of e"t *ractice and training manua!") com*!ete 0ith form") chart" and checB!i"t") de"igned to demon"trate at !ea"t one *ractica! a**!ication of the conce*t") theorie" and *rinci*!e" addre""ed in the modu!e"/ The manua!" 0i!! e *articu!ar!# u"efu! for in?hou"e educationa! *rogramme" in goCernment") 0here ada*tation of the content of the manua!" can "erCe a" *art of the educationa! e1erci"e and re"u!t not on!# in enhanced under"tanding ut a!"o im*roCed "#"tem"/ The fo!!o0ing "*ecific manua!" haCe een deCe!o*ed& Managing Current Record"& A Procedure" Manua! Re"tructuring Current Record" S#"tem"& A Procedure" Manua!
INTRODUCTION TO T$E MPSR STUD' PROGRAMME ->

Managing Record" Centre"& A Procedure" Manua! Managing ArchiCe"& A Procedure" Manua! P!anning for Emergencie"& A Procedure" Manua! A Mode! Record" and ArchiCe" La0 A Mode! Scheme of SerCice for a Record" and ArchiCe" C!a""/

CASE STUDIES The modu!e" in the MPSR Stud# Programme are "u**!emented # a "erie" of ca"e "tudie") intended to i!!u"trate Be# i""ue" of theor# and *ractice through rea!?!ife e1am*!e" from around the 0or!d/ A tota! of >8 ca"e "tudie" haCe een deCe!o*ed) i!!u"trating "ituation" in "uch countrie" a" Au"tra!ia) Canada) (iDi) Ghana) 3amaica) Ma!a#"ia and the United 5ingdom/ The ca"e "tudie" are de"igned to re!ate direct!# to "*ecific modu!e") "o that the# ma# e ea"i!# u"ed a" "u**!ementar# teaching materia!"/ The ca"e "tudie" addre"" re!eCant i""ue") "uch a" automating record" and archiCe" management "#"tem" managing e!ectronic record" 0ith !imited re"ource" migrating e!ectronic record" from o!d or o "o!ete com*uter "#"tem" to current "#"tem" *re*aring di"a"ter *!an" in archiCe" and in office enCironment" managing *re"erCation and re"toration "erCice" in area" 0ith e1treme c!imate" managing centra!i"ed Cer"u" decentra!i"ed record" management reCi"ing archiCe" !egi"!ation to "erCe accounta i!it# and tran"*arenc# in goCernment managing !imited re"ource" effectiCe!# in oth the *u !ic and *riCate "ector managing ho"*ita!) *er"onne! and !ega! ca"e fi!e"/
OF

INTRODUCTION TO THE MANAGEMENT PROGRAMME

PUBLIC SECTOR RECORDS STUDY

Thi" document i" inc!uded 0ith the other MPSR Stud# Programme materia!" to *roCide an oCerCie0 of the *rogramme and indicate 0here *eo*!e ma# go to o tain more information/

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GLOSSARY The Glossar" dra0" u*on the 0orB of the ProDect Grou* on Termino!og# of the Internationa! Counci! on ArchiCe" 9ICAADAT;) 0hich i" *re*aring for *u !ication a com*!ete!# reCi"ed Cer"ion of 4a!ne) Peter 9ed/;/ #ictionar" of Archival 'erminolog"/ ICA $and ooB" Serie" </ 2d ed/) MKnchen) GER& 5G Saur %er!ag/ Thi" g!o""ar# a!"o dra0" on termino!og# deCe!o*ed # the Information and Documentation Termino!og# Su committee of the Internationa! OrganiFation for StandardiFation 9ISOATC8EASC>;) 0hich i" reCi"ing ISO J-2</ Thi" g!o""ar# ha" a!"o taBen account of Au"tra!ian and American termino!ogie" a" found in the "e!ected "ource" identified in the introduction to the Glossar"& ADDITIONAL RESOURCES Thi" re"ource too! !i"t" Ca!ua !e ooB" and Dourna!" on a!! the i""ue" di"cu""ed in the modu!e"/ It a!"o inc!ude" the name" and addre""e" of Be# a""ociation" and grou*" inCo!Ced 0ith record" and archiCe" management) "uch a" *rofe""iona! a""ociation") internationa! organi"ation") nationa! archiCa! in"titution" and regiona! or nationa! grou*"/ The too! a!"o identifie" u"efu! Internet? a"ed information and Cideo *roduction" of intere"t to record" and archiCe" manager"/ WRITING CASE STUDIES: A MANUAL Thi" "hort manua! offer" guidance on ho0 to 0rite u"efu! ca"e "tudie" in record" and archiCe" management/ The manua! e1amine" the "tructure and e!ement" of a ca"e "tud# and the "tructure and e!ement" of the re!ated teaching note"/ It then fo!!o0" the con"truction of a "am*!e ca"e "tud# from eginning to end) *roCiding oth e1am*!e" and commentar# on the nature of the Cariou" e!ement" inc!uded/ A "imi!ar con"truction i" *roCided for the teaching note"/ The manua! conc!ude" 0ith a di"cu""ion of the im*ortance of eCa!uating ca"e "tudie" for their continued re!eCance and "uita i!it#/ RESOURCES FOR EDUCATORS Thi" re"ource too! i" *articu!ar!# de"igned to he!* in"tructor" determine the mo"t a**ro*riate 0a# to u"e the Cariou" too!" in thi" *rogramme/ In"tructor" ma# inc!ude indiCidua!" in educationa! in"titution"+ the# ma# inc!ude re*re"entatiCe" of nationa! in"titution" or organi"ation" 0ho 0i"h to deCe!o* educationa! and training initiatiCe"/ The re"ource too! inc!ude" "am*!e e1erci"e" and a""ignment" and i !iogra*hic and contact information for Ca!ua !e educationa! re"ource"/

INTRODUCTION TO T$E MPSR STUD' PROGRAMME -J

VIDEOS
The MPSR Stud# Programme ha" een enhanced # the deCe!o*ment of a "erie" of Cideo fi!m" aimed at creating a greater a0arene"" of record" and information i""ue"/ The Cideo" high!ight the im*ortance of managing record" and archiCe" a" "trategic information re"ource"/ The# dea! 0ith "uch to*ic" a" the im*ortance of efficient record" management for citiFen"G right") good goCernment) accounta i!it# and the management of record" in the tran"ition to an era of e!ectronic goCernment/ (or more information a out the"e Cideo") contact the Internationa! Record" Management Tru"t/

MPSR STUDY PROGRAMME PERSONNEL

Information and record" *rofe""iona!" from around the 0or!d haCe contri uted to the deCe!o*ment of the Management of Pu !ic Sector Record" Stud# Programme/ Each of the author" and contri utor" i" identified in the *articu!ar modu!e" to 0hich he or "he ha" contri uted/ Partici*ant" in the *rogramme inc!ude internationa!!# recogni"ed archiCa! educator") record" management con"u!tant") former and current nationa! archiCi"t" and "*ecia!i"t" in "*ecific a"*ect" of record" care "uch a" u"ine"" "#"tem" ana!#"i") emergenc# *!anning) financia! record" management and e!ectronic record" management/

OUTCOMES AND FUTURE DIRECTIONS

It i" ho*ed that "tudent" 0i!! deriCe man# enefit" from com*!eting the MPSR Stud# Programme/ The outcome" of their "tudie" 0i!! range from an im*roCed under"tanding of record" and archiCe management i""ue" to an increa"ed *rofe""iona! "tatu" 0ithin their o0n organi"ation/ $o0eCer) in addition to the *er"ona! achieCement" deriCed # "tudent") there are 0ider outcome" eneficia! to the organi"ation and the communit# a" a 0ho!e/ The"e inc!ude a greater under"tanding of record" and archiCe" management *rofe""iona!" im*roCed record" and archiCe" management "#"tem" 0ithin goCernment greater accounta i!it# 0ithin goCernment the integration of information "#"tem" throughout goCernment an increa"ed *rofe""iona! *rofi!e for record" manager" and archiCi"t"/ # record"

It i" ho*ed that) u!timate!#) the im*!ementation of the MPSR Stud# Programme in countrie" around the 0or!d 0i!! !ead to the gro0th and adCancement of the record"
INTRODUCTION TO T$E MPSR STUD' PROGRAMME -E

management *rofe""ion and) con"e6uent!#) the im*roCed care of record") oth *u !ic and *riCate) 0or!d 0ide/

INTRODUCTION TO T$E MPSR STUD' PROGRAMME -<

FOR MORE INFORMATION

The *roduct" and training materia!" of the MPSR Stud# Programme I the modu!e") ca"e "tudie") manua!") Cideo" and a""ociated re"ource" I are aCai!a !e from the Internationa! Record" Management Tru"t/ (or more information on the MPSR Stud# Programme) contact

International Records Management Trust MPSR Stud# Programme ProDect Manager -2 3ohn Street London 4C-N 2EB) U5 Te!& 788 9:; 2: <=>- 8-:(a1& 788 9:; 2: <=>- <8:8 E?mai!& info@irmt/org 4e "ite& htt*&AA000/irmt/org

INTRODUCTION TO T$E MPSR STUD' PROGRAMME -=