Module Details

The information contained in this module specification was correct at the time of publication but may be subject to change, either during the session because of unforeseen circumstances, or following review of the module at the end of the session. Queries about the module should be directed to the member of staff with responsibility for the module.
Title COMPLIANCE AND THE REGULATORY ENVIRONMENT
Code RIMB014
Coordinator Ms MR Procter
History
Year CATS Level Semester CATS Value
Session 2009-10 Level One Whole Session 15

Aims

The overall aim of this module is to enable students to understand and implement legal and regulatory requirements relating to the management of records and information.


Learning Outcomes

When you have completed this module you will be able to:

  1. Identify, understand and comply with relevant legal and regulatory requirements relating to records and information management (RIM) in the workplace.
  2. minimise the risk exposure associated with legal and regulatory requirements relating to RIM
  3. use compliance requirements to enhance the effectiveness of a RIM programme
  4. understand some of the particular issues relating to compliance in the e-environment.

Syllabus

None  
  • Date Protection, Freedom of Information provisions and their impact on records management practice; privacy v. access issues
  • the wider regulatory environment; other information-related legislation; international/national/European standards, codes of best practice, codes of conduct and ethics
  • the role of the records manager in ensuring organisational compliance and accountabilty
  • legal issues within the life-cycle framework
  • ethical issues
  • legal admissibility; information security developing technologies and their impact on the admisibility of records and records systems
  • sources of information and sector-specific guidance

Teaching and Learning Strategies

It is compulsory for all Certificate and Diploma students to attend a Study Skills Day, prior to commencing the first module of the programme. The aim of the Study Skills Day is to:

  • Prepare students for studying at a distance.
  • Introduce students to the theory and practice of learning.
  • Provide an opportunity for students to develop skills to support studyign at a distance, such as time managment, using the learning materials, finding and using information, preparing for assessment.
  • Identify the roles and responsibilities of learners, tutors and support staff.

The Study Skills Day also provides the opportunity to meet with the tutors, administrators and, when possible, a current or past student.

Each module begins with a 1 day short course to introduce the module. The distance learning materials and the module assignment are issued during the session. < /p>

The module tutor is available to discuss issues with students over the phone, via email, fax or letter. In addition students are allocated a personal tutor who is available to discuss the student's progress through the programme.

The student's line manager will also be involved in the programme where appropriate as the student's mentor. The mentor will be aware of what the student is doing and will be in a position to contribute to his/her successful progress. Where a line manager is not able to participate, the Director of Studies will assign a mentor through the Association of Departmental Record Officers. This may be a more senior or experienced colleague.

The module assignment assesses whether the learning objectives of this module have been met.

The assignement will be applicable to the work placeand as far as possible the student will have a choice of topic or scenario which will be directly relevant to their own situation. 60;  

The assignment will be marked and moderated by internal markers and a selection submitted to an external examiner.

Candidates will either fail, pass, or achieve a distinction on the basis of the following marks: 0-39 = fail; 40-69 = pass; 70-100 = distinction.

Assessment criteria set out what percentage of marks can be gained for each element of that question. 

To achieve the pass mark, candidates must present work that is competent and thorough, showing knowledge and practical skills, and indicating critical ability.  To achievea distinction, candidates must present work of originality, demonstrating command of the subject along with a grasp of the wider perspective. 

In effect marking is done within a relatively narrow range of marks and any mark over 50% can be considered good. A mark of 70%+ is uncommon and only achieved for excellent pieces of work.

Feedback is provid ed for the student in the form of a constructive commentary on the strengths and weaknesses of the work submitted with, where appropriate, suggestions for improvement in future assessments.


Teaching Schedule

  Lectures Seminars Tutorials Lab Practicals Fieldwork Placement Other TOTAL
Study Hours           6
1 day short course to introduce the module.
6
Timetable (if known)           Introduction provided during short course contact teaching
1 day short course to introduce the module.
 
 
Private Study 144
TOTAL HOURS 150

Assessment

EXAM Duration Timing
(Semester)
% of
final
mark
Resit/resubmission
opportunity
Penalty for late
submission
Notes
             
CONTINUOUS Duration Timing
(Semester)
% of
final
mark
Resit/resubmission
opportunity
Penalty for late
submission
Notes
Module Assignment  10 weeks  Whole session  Pass/Fail  Yes  Standard University Policy applies - see Department/School handbook for details.   

Recommended Texts

It can be difficult to access records and information management textbooks, but you will need to buy or have ready access to at least a couple one of the books listed below.  Shepherd and Yeo is a comprehensive textbook and Smith is relevant for the UK government and wider public sector.  Although both are now out of print,    you are recommended to locate either the book by Hare & McLeod or by Parker, especially if you are new to the discipline. Your mentor may be able to help you find a copy or use library provision (see Student Handbook).

SHEPHERD, E AND YEO, G.  2003. Managing records: a handbook of principles and practice.  London: Facet Publishing.

 HARE, C. and McLEOD, J. 1997. Developing a records management programme. London: Aslib 

PARKER, E. 1999. Managing your organizationR 17;s records.  London: Library Association Publishing.

SMITH, Kelvin. 2007. Public Sector Records Management. Ashgate

Kennedy, J. andSchauder, C. 1998. Records management: a guide to corporate record keeping. 2nd ed. South Melbourne: Longman.

 Penn, I.A., Pennix, G.B., Coulson, J.1994. Records management handbook. 2nd ed. Aldershot, England; Brookfield, Vt: Gower. 

 Robek, M.F., Brown, G.F., Stephens, D.O. 1996. Information and records management: document-based information systems. New York: McGraw-Hill.

Wherever possible TNA and other government publications will be referenced; with very few exceptions, these are all available online.   Copyright restrictions permitting,  we will also make other readings or texts available v ia VITAL.