Introduction

Maintaining proper documentation and record-keeping is vital for organizational efficiency, regulatory compliance, and risk management. This program provides a comprehensive understanding of the principles, practices, and technologies required to establish and manage compliant document and records systems. Participants will learn about compliance requirements, best practices for records management, and strategies to ensure audit readiness.

Target Audience

• Compliance officers and managers

• Records and document controllers

• Administrative professionals

• Legal and regulatory staff

• IT personnel involved in records management

Objectives

By the end of this training, participants will:

1. Understand regulatory and legal requirements for document and records compliance.

2. Learn best practices for managing physical and digital records.

3. Develop strategies to implement and maintain an effective records management system.

4. Explore tools and technologies for secure document handling and retrieval.

5. Enhance their readiness for audits and inspections.

Outlines

Day 1:

Foundations of Document and Records Compliance

• Introduction to records management and compliance

• Overview of legal and regulatory frameworks (e.g., GDPR, ISO 15489)

• Types of records: physical vs. digital

• Importance of compliance in business continuity

Day 2:

Records Management Policies and Procedures

• Developing a records management policy

• Establishing document retention schedules

• Classification and categorization of records

• Disposal and destruction of obsolete records

Day 3:

Technologies for Document and Records Management

• Introduction to electronic document and records management systems (EDRMS)

• Selecting and implementing the right EDRMS

• Data security and access control measures

• Integration of records systems with organizational processes

Day 4:

Ensuring Audit and Inspection Readiness

• Preparing records for regulatory audits

• Maintaining audit trails and version control

• Best practices for managing document requests during audits

• Case studies: Successful audit outcomes

Day 5:

Advanced Strategies and Future Trends

• Records management in the era of AI and automation

• Addressing challenges in cloud-based records systems

• Emerging technologies for compliance and security

• Developing a culture of compliance within the organization