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Managing Personnel Records by monkey6


Managing Personnel Records

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									                                 COURSE OVERVIEWS

The courses are designed for public sector institutions. However, the principles advocated
are equally relevant for private sector organizations

Managing Personnel Records
This course will assist public sector staff responsible for the management of personnel records in
developing strategies for organizing and maintaining such records to ensure that they are easily
accessible, accurate and complete. The Department of Public Service and Administration
(DPSA)’s guidelines on managing personnel records as reflected in the Best Practice Model on
the Management of Personnel Records and the National Minimum Information Requirements
(NMIR) will be discussed. Several pieces of legislation with relevance to the management of
personnel records will also be unpacked. These will include amongst others the following, the
Public Service Act (Act no. 103, 1994), the Labour Relations Act (Act no. 66, 1995), the
Promotion of Access to Information (Act no. 2, 2000), the Promotion of Administrative Justice Act
(Act no. 3, 2000), the National Archives and Records Service Act (Act no.43, 1996 as amended).
At the end, we address the prevailing uncertainty amongst practitioners regarding the disposal of
personnel records in public sector institutions.

Basic Records and Registry Management
This is an ideal entry level course in the field of records management. Jokingly referred to as “the
idiot’s guide” to records management, it can be used to capacitate new entrants to the
records/registry environment and/or to lay a foundation to a records management programme.

In this course we introduce delegates to a variety of records management concepts, to the
legislative framework governing records management function, and to standard records
classification systems. The two National Archives-advocated classification systems, the
Functional Subject File Plan and the Schedule of records other than correspondence files are
unpacked, enabling practitioners and users to classify, describe and arrange records according to
best practices. This course is also used to sensitize practitioners about the value of sound

The registry procedure manual is also interrogated in detail ensuring that registry officials can
easily implement these procedures in their registry settings.

Managing Patient Clinical Files and related records
The quality of healthcare services relies on, among other things, sound records management. For
medical professionals to render a quality healthcare service, they need to have easy access to
complete and accurate information.

This course is designed for records management practitioners operating within a health-care
environment (e.g. hospital, health-centre, clinic, surgery etc). The objective thereof being to assist
practitioners in developing and maintaining effective recordkeeping systems for patient files.
Areas of focus include a look a best practices in the classification, description, and arrangement
of patient files. Attention is also reserved for document security domains in the light of a plague of
file losses in the health-care environment. We also offer lessons with regard to how analogue
and/or digital technology can be used to improve the state of paper-based patient records. At the
end just like we do in the case of personnel records, we address uncertainty around the “when
and how of disposing patient files”.

The course also looks at the best method of managing associated patient records such as X-rays,
specimens, drug records and patient registers, cards and forms that may not necessarily be part
of the patient’s case file.
Managing Financial Records
According to Section 36(2) of the Public Finance Management Act (Act No.1, 1999), the
Accounting Officer in a public institution has an obligation “to keep full and proper records of the
financial affairs of the department…in accordance with prescribed norms and standards”. Most
organizations have implemented Integrated Financial Management Solutions which in addition to
managing financial transactions, they also manage related information. However, these systems
also generate paper-based records.

The purpose of this course is to equip records management and financial management
practitioners with the requisite skills to manage financial records in line with these prescribed
norms and standards. This objective is more important if one considers the fact that financial
management practices change with time, consequently affecting the management of relevant

The focus of this course is to look into best practices in the classification, description, and
arrangement of financial records The course also looks into the disposal of financial records in
line with the National Archives’ disposal guidelines.

Advance Records Management
This course is designed specifically for practitioners who have a basic understanding of the
theory and practice of records management. It is not recommended for people who have not
attended a basic course in records management. Like the Basic Records and Registry
Management Course, the Advance chapter is more generic in content. However, at this stage the
key focal point is on the implementation and maintenance of a sustainable records management
programme. We look at aspects such as how to design and execute a records audit/survey, how
to develop and implement important records management documents such as a records
management strategy, records management policy, and a records retention schedule.

At this stage delegates will also undergo lessons about how to adroitly deploy recordkeeping
systems that are aligned to the SANS (ISO) 15489 Records Management Standard and
international records management standards such as ISO 15489 and US DoD 5015.2. Such
systems should also be able to pass quality checks in line with the ISO 9001:2000 standard for
quality management.

The best approaches in the management of electronic records and the implementation of
electronic records management systems also receives attention. This is done without employing
the common practice of treating electronic records as a peculiar type of record that requires
special treatment. We unpack such concepts as the National Archives’ Electronic Document and
Records Management System (EDRMS) and the Enterprise Content Management System

Information Security, Business Continuity and Disaster Planning
This course focuses on all information security domains, namely, Access control, Application
security, Business continuity and disaster recovery planning, Cryptography, Information security
and risk management, Legal, Regulations, Compliance and Investigations, Operations security,
Physical (environmental) security, Security architecture and design, Telecommunications and
network security. Physical controls, administrative controls, and technical controls used to protect
information as well as all other measures used to safeguard information resources are looked at
within the framework of the Minimum Information Security Standards (MISS).

We also assist practitioners in allocating access rights to information resources. Disaster
preparedness and recovery also take centre stage with options such as back-ups and off-site
storage being explored.
Electronic Records Management
This course picks up from the last chapter of the Advance Records Management Course by
unpacking concepts such as the National Archives’ Electronic Document and Records
Management System (EDRMS) and the Enterprise Content Management System (ECM) which
are commonly used within the electronic records management domain.

We look at the SANS 15489 Records Management Standard, the US DoD 5015.2 Design
Criteria Standard for Electronic Records Management Applications and the UK Public
Records Offices' Functional Requirements for Electronic Records Management
Systems all of which are currently endorsed by the National Archives for functional specification
for Integrated Document and Records Management Solutions. According to the National
Archives, “Certification against these standards would ensure that electronic records
management applications have the records management functionality required by the National
Archives and Records Service”.

Messenger Services Workshop
A messenger is an important role player throughout the life-cycle of a record. Messengers serve
as an integral part of document flow within any organization. Yet, in implementing records
management programmes, most managers seem to loose sight of this fact by ignoring
messengers in their capacity building plans. Our view is that any records management
programme that fails to recognize the role of messengers is reductionist in nature and is bound to
fail. Records could be lost, damaged, or lost in transit; meetings could fail to resolve important
issues because of late delivery of records etc.

Metrofile Academy has therefore designed a course specifically for messengers operating in both
the registry and transport section. Focal points include time management, protection and
maintenance of records and the correct use of government-owned or company-owned vehicles.

A 1-hour Top Management workshop & a Half Day Awareness Workshop for Senior Management
A 1-hour awareness session with top management is aimed at ensuring that they understand
their statutory requirements with regard to records management. The session will also make them
aware of the value of sound records management to realizing the Department’s strategic

The half-day session for senior managers is also built along the same pillars as the top
management intervention. But in addition it is aimed at ensuring that senior managers enforce
compliance within their directorates. We therefore add an element of practice the senior
management session to empower managers in enforcing a system they understand.

File Plan(s)/Policy etc Awareness/Implementation
The design and development of a recordkeeping systems, guidelines and procedures is but one
requisite phase in the implementation of a robust and successful records management
programme within organizations. A file plan is an integral part of an organization’s recordkeeping
system. It’s an instrument by which records are arranged, described and classified, making it the
most critical reference document throughout the lifecycle of a record. However, the story does not
end with the development of well-structured file plan.

Systems do not run themselves. The human element is very pivotal in the implementation of a file
plan. There are many instances were good file plans have failed because organizations have
failed to recognize this human element. We have also seen poor file plans succeed because the
human element was emphasized as a success factor during the implementation phase. The
assumption made by many organizations is that once you have trained the owners of the system,
in this case records management practitioners, the implementation of a file plan is guaranteed to
be successful. Our conviction is that a successful implementation of a file plan depends amongst
other things on the buy-in from users. Any implementation process that does not embrace the
users is bound to fail.

This course is designed to assist organizations in the implementation of, or awareness about new
file plans, policies, guidelines and procedures.

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