Records Management and Retention Training Course

Participants can establish governance roles, decision rights and escalation routes for records management.

• Governance model connecting executive sponsorship, business ownership and records accountability
• RACI matrices for classification, retention, access, transfer and disposal decisions
• Records manager responsibilities compared with legal, IT, privacy and compliance roles
• Policy hierarchy covering records policy, standards, procedures and local work instructions
• Escalation routes for disputed retention decisions and unmanaged information risks
• Terms of reference for records steering groups and governance committees

Participants can conduct a structured inventory of records, repositories, owners and risks.

• Records inventory fields covering series, owner, format, location and retention
• Repository mapping for paper stores, shared drives, email and business systems
• Interviews with process owners to identify records created and received
• Data-flow diagrams tracing records between business units, suppliers and systems
• Record series boundaries defined by business function, activity and transaction
• Risk ratings based on sensitivity, regulatory value, volume and retrieval difficulty

Participants can design a functional classification scheme and usable file plan.

• Functional classification distinguishes enduring business activities from organisational structures
• Business classification scheme built from functions, activities and transaction series
• File-plan levels structured for consistent browsing, filing and retention assignment
• Controlled vocabulary rules for titles, abbreviations, dates and version identifiers
• Naming conventions applied to folders, files, cases and record containers
• Cross-references and aliases managed without duplicating authoritative records

Participants can specify metadata and capture controls that preserve record context and integrity.

• ISO 23081 metadata concepts for identity, context, relationships and management
• Mandatory metadata fields for creator, date, classification, status and retention
• Record declaration triggers for approvals, transactions, decisions and commitments
• Capture rules for email, attachments, messaging and collaborative workspace content
• Version control distinguishes drafts, superseded documents and final authoritative records
• Audit trails preserve evidence of creation, access, amendment and disposal

Participants can set controls for records held across paper, digital and hybrid environments.

• Paper file controls for registration, movement tracking, storage and return
• Digitisation quality checks for completeness, legibility, indexing and image integrity
• Scanning decisions based on source value, evidential needs and disposal authority
• Shared-drive controls using approved folders, permissions and retention labels
• Email management rules separating transitory messages from business records
• Hybrid record links maintain relationships between physical files and digital copies

Participants can determine retention periods using defensible triggers and documented rationale.

• Retention periods derived from legal, regulatory, fiscal and operational requirements
• Trigger events identify when retention clocks start for each record series
• Event-based retention applied to contracts, cases, employees and customer relationships
• Minimum retention distinguished from maximum retention and review requirements
• Retention rationale documented with source authority, interpretation and accountable owner
• Conflicting retention obligations resolved through documented risk-based decision criteria

Participants can build and maintain a retention schedule linked to record series and disposal actions.

• Retention schedule fields specify series, trigger, period, action and authority
• Record series mapped from inventory entries into retention schedule categories
• Disposition actions distinguish destruction, transfer, review and permanent preservation
• Schedule citations record legislation, regulation, contract terms and policy sources
• Business owners validate retention rules against operational and audit needs
• Change-control procedures maintain schedule currency after legal or process changes

Participants can manage preservation requirements without disrupting routine records controls.

• Legal hold process identifies custodians, sources, scope and preservation actions
• Hold notices communicate suspension requirements, acknowledgements and escalation contacts
• Retention disposal freezes documented for litigation, investigations and regulatory inquiries
• Information request searches use defined scope, repositories, keywords and timeframes
• Chain-of-custody records support defensible collection, review and production processes
• Hold release authorisation restarts retention processing after preservation obligations end

Participants can align records access controls with security classification and privacy obligations.

• Access classifications distinguish public, internal, confidential and restricted records
• Role-based access controls assign permissions using documented business need
• Privacy retention principles limit personal-data storage to justified periods
• Sensitive records handling covers redaction, secure transfer and restricted storage
• Access logs monitored for unusual retrieval, copying and permission changes
• Third-party access agreements specify custody, return and destruction obligations

Participants can select storage and preservation controls appropriate to record value and risk.

• Storage assessments examine capacity, environmental conditions, security and retrieval performance
• Vital records protection identifies essential evidence for service continuity
• Digital preservation risks include format obsolescence, corruption and platform dependency
• Fixity checks detect unauthorised changes and digital file degradation
• Migration planning preserves records through system replacement and format conversion
• Business continuity plans prioritise recovery of high-value records and indexes

Participants can operate authorised disposal processes with complete evidence and safeguards.

• Disposal workflows verify retention expiry, holds, approvals and record completeness
• Destruction methods selected for paper, digital media and confidential information
• Destruction certificates record series, dates, authority, method and responsible parties
• Sampling checks confirm approved disposal lists match actual record holdings
• Transfer procedures prepare archival records with metadata, packaging and custody documentation
• Disposal exceptions recorded when operational, legal or historical value remains

Participants can draft practical records documentation and targeted staff guidance.

• Records policy statements define purpose, scope, principles and mandatory responsibilities
• Procedures translate policy requirements into filing, retrieval and disposal steps
• Role-based guidance addresses executives, record creators, managers and system administrators
• Quick-reference guides explain naming, classification, capture and retention actions
• Training needs analysis identifies capability gaps by role and repository
• Policy exceptions managed through documented approval, expiry and periodic review

Participants can measure records control performance and plan corrective action from audit findings.

• Compliance audits test classification, metadata, access, retention and disposal controls
• Audit sampling plans select record series, locations, dates and transaction types
• Key performance indicators measure retrieval, classification accuracy and disposal completion
• Maturity assessments benchmark governance, processes, technology and staff capability
• Root-cause analysis distinguishes training failures, process defects and system limitations
• Corrective action registers assign owners, deadlines, evidence and closure criteria

Participants can define records management requirements and prepare a phased implementation plan.

• Functional requirements cover classification, metadata, retention, holds and audit trails
• ISO 16175 requirements inform digital records system capability assessments
• Repository gap analysis compares current controls against target recordkeeping requirements
• Implementation roadmaps sequence governance, cleanup, configuration, migration and training
• Change impact assessments identify affected roles, processes, repositories and controls
• Benefits measures track risk reduction, retrieval improvement and disposal progress

Participants can build, review and present a complete records management and retention programme for a defined business area.

• Programme scope defines business functions, repositories, stakeholders and priority record series
• Records inventory synthesises sources, owners, formats, risks and control gaps
• Classification and file plan demonstrate consistent organisation of selected record series
• Retention schedule assigns triggers, periods, authorities and disposal actions
• Governance model allocates accountability, escalation routes, measures and review cycles
• Implementation plan presents priorities, milestones, dependencies, resources and risk treatments