2011 Canadian Institute - Records Retention - The Indispensable Nitty Gritty of Retention Policy.pdf
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This presentation covers the essential components that should be included in your operational program documents: Developing business rules to guide - All employees - who are creating and capturing ...

This presentation covers the essential components that should be included in your operational program documents: Developing business rules to guide - All employees - who are creating and capturing documents, “Records Managers” involved in the records management process, the integration of the records management system into other programs, and the IT Department - who deploy and support the tools.

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2011 Canadian Institute - Records Retention - The Indispensable Nitty Gritty of Retention Policy.pdf Presentation Transcript

  • 1. The Indispensable Nitty Gritty of Retention Policy Implementation: The Operational Side Event: Canadian Institute – Records Retention Intensive Course Toronto, Ontario, Canada April, 2012 Presented by; Keith Atteck ARMA Toronto Chapter – Member of the Year 2011 April 3, 2012 ARMA Toronto Chapter
  • 2. Agenda The essential components that should be included in your operational program documents: • Developing business rules to guide: All employees - who are creating and capturing documents “Records Managers” involved in the records management process The integration of the records management system into other programs The IT Department - who deploy and support the tools Take-Aways: Participants will be shown examples of operational guidelines and documents April 3, 2012 ARMA Toronto Chapter
  • 3. Disclaimer The views expressed in this presentation are those of the author. April 3, 2012 ARMA Toronto Chapter
  • 4. The essential components that should be included in your operational policy documents April 3, 2012 ARMA Toronto Chapter
  • 5. Shipping, Receiving and Storage Management Requests for Physical Records Management Physical Records Management Records Centre Operations Management Imaging Program Management Global RIM Program Response to Organizational Change Response to Technology Change Change Management RM Support for Technology Selection and Implementation Enterprise Content Management (ECM) Business Rules and Configuration Management April 3, 2012 ARMA Toronto Chapter
  • 6. New RIM Program: Framework Framework RIM Policy Comprehensive documentation Guides and Procedures April 3, 2012 ARMA Toronto Chapter Organization Change Technology Change Imaging Legal Hold Electronic Messages Vital Records Security Metadata Retention Classification RIM Program Manual Fundamentals of Records Management Technology agnostic Applied to all Tools and Systems
  • 7. RIM: Need to set the Vision early Ecosystem of Information Working in one environment where all records are; Created or Captured – once, Collaborated Globally – version controlled, and Managed – as records. Being Confident that; You can find the original record – every time, You know who worked on it – who used it, and You know what it was used for – related to activity. Know that: One never has to search any other system, One can leverage the collective wisdom and knowledge of the organization, and Everyone’s efforts will not be lost or misplaced. April 3, 2012 ARMA Toronto Chapter
  • 8. RIM: What are your Guiding Principles? SINGLE authoritative source of information All documents will be filed electronically Into one system as a normal course of business Everyone depends on the system Manage only ONE COPY File once – use many times - in many ways All transacted records made from the document management system FIRST point of contact principle The person who is first point of contact with documentation is responsible for determining and ensuring that documentation is appropriately filed April 3, 2012 ARMA Toronto Chapter
  • 9. RIM Program Manual: A Guide to Records and Information Management Introduction: (Employees) Why Manage Records and Information? RIM Fundamentals Roles and Responsibilities Tools and Resources April 3, 2012 ARMA Toronto Chapter
  • 10. RIM Program Manual: A Guide to Records and Information Management Part 1: Managing Records and Information (Employees) Records Life Cycle Create or Capture Classify and Collaborate Commit, Store and Retrieve Retain and Dispose Controlled Security and Access April 3, 2012 ARMA Toronto Chapter
  • 11. RIM Program Manual: A Guide to Records and Information Management Part 2: Managing the Program (Employees) RIM Program Roles and Responsibilities Maintaining the Classification Scheme Building and Maintaining the Retention Schedule RIM Program Documentation Managing Vital Records Maintaining the Records Metadata Element Set Ensuring Knowledge of and Compliance With Program Principles and Guidelines Auditing and Quality Assurance April 3, 2012 ARMA Toronto Chapter
  • 12. RIM Program Manual: A Guide to Records and Information Management Part 3: Managing Responses to Events (RIM Manager & Support Team) Organizational Change Technology Change Legal Holds and Other Preservation Orders Records Clean-up Days April 3, 2012 ARMA Toronto Chapter
  • 13. RIM Program Manual: A Guide to Records and Information Management Part 4: Using and Managing Supporting Tools (RIM Manager & Support Team) Process Tools Technology Tools April 3, 2012 ARMA Toronto Chapter
  • 14. RIM Program Manual: A Guide to Records and Information Management Glossary of Terms April 3, 2012 ARMA Toronto Chapter
  • 15. Archives Introduction This addresses the identification, acquisition, arrangement, description, preservation, use, and promotion of the Company's archival records. The archival records of an organization are those that are of continuing value because they document the Company's history, organization, structure, and functions. Archival records serve as the Company's long-term memory by providing for: continuity, evidence of continuing rights and obligations, access to past experience, expertise and knowledge, and an historical perspective. An organization's archives also serve a broader value in that they constitute a part of the cultural heritage of society. Scope and Definitions This policy applies to all records created or received by the Company in the course of its business that are identified as archival in the Records Retention Schedule and in the process of archival appraisal. Archival records potentially include selected records in all Company departments and at all plants and facilities, the records of any organizations that are controlled by the Company, and Company records in the custody of third parties contracted by the Company. Archival records may be in any media format (e.g. paper, electronic, audio, microform, video, etc.), and include any related metadata. April 3, 2012 ARMA Toronto Chapter
  • 16. Imaging The following factors are necessary for the establishment of a credible image management system: Written authority from senior management to establish the image management program; Documentation that stipulates the image management program is an integral part of the companies ordinary course of business; Written authority to dispose of source records/data within a reasonable period of time following the image capture; Complete and accurate documentation of the system’s processes and procedures; A quality assurance process and supporting documentation to ensure the integrity of image capture; An appropriate storage mechanism and contingency plan that ensures access to the images for the total retention period required under the Retention Schedules; and Conformity with industry accepted standards as they relate to the technology. April 3, 2012 ARMA Toronto Chapter
  • 17. Access Control Model It is essential that an organisation have formal guidelines regulating who is permitted access to its records and information, and under what circumstances. The Company recognizes the importance of restricting access to records to protect: personal information and privacy, professional confidentiality, security of property (physical, financial and intellectual), and legal and other professional privileges. Equally important are legally enforceable rights of access embodied in corporate governance, freedom of information, privacy protection, and archival and legal process law. At the same time, practices must be designed so as not to restrict access to the records and information employees need to do their jobs. April 3, 2012 ARMA Toronto Chapter
  • 18. Electronic Messaging Electronic messaging records will be managed throughout their life cycles according to the requirements of the Records and Information Management Program (RIM Program), which will exercise control over the classification, retention, storage, retrieval, protection, preservation and final disposition of all electronic messaging records, as required by this standards document and by related procedures and guidelines. Employees will not store or transfer Company electronic messaging records outside of company-approved electronic messaging or record keeping systems, or to unauthorized storage repositories. To ensure that electronic messaging records are properly managed, adequately described and readily accessible, they must be classified and declared in the Company’s electronic document management system (EDMS), or electronic records management system (ERMS). Where employees, contractors, or other parties do not have ready access to the Company’s EDMS or ERMS, electronic messaging records must be forwarded or copied to an authorized user of the EDMS or ERMS to be classified and declared. It is ultimately the responsibility of the author to ensure that the record is appropriately filed. Note: A printed message record is considered to be a duplicate or information copy, and is to be disposed of when no longer required. April 3, 2012 ARMA Toronto Chapter
  • 19. Knowledge Management Knowledge Management, is a business process that supports the management of an organization’s intellectual assets. There are two types of Knowledge: • Explicit knowledge – is public and documented knowledge; structured, fixed content, externalized, and conscious. • Implicit knowledge – is that which is not directly expressed; that is, where the meaning is inferred from the context and, therefore, relies on existing knowledge. In an EDMS knowledge is captured explicitly in the information contained in documents as artifacts, but also in the way the information was used information in context - a form of capture of implicit knowledge. Knowledge Management, to be effective, recognizes that an artifact’s greatest information value develops as a result of its relationship with other artifacts, and application of the combined result in a different context. It is important to emphasize the relationship between sources of information and knowledge, and to ensure that participants in the knowledge management process (knowledge managers, consumers and contributors) are able to move fluidly across these relationships. April 3, 2012 ARMA Toronto Chapter
  • 20. RIM Feeds Enterprise Content Management (ECM) April 3, 2012 ARMA Toronto Chapter
  • 21. RIM: Compliance Auditing General - Benefits of Auditing Test the degree of integrity of systems and procedures Understanding degree and extent of compliance Identifying gaps in procedures and training Local - Due Diligence Reviews Conduct regular reviews of all record classifications & metadata Identify change issues of employees and management Identifies changes in the business environment Global - Quality Assurance Reviews Critical for demonstrating integrity of systems, tools and procedures Management knows if the systems, tools and procedures are working Important for Litigation support – Safe Harbour April 3, 2012 ARMA Toronto Chapter
  • 22. RIM: Addresses Evidence Risk Canada Evidence Act “31.1 Any person seeking to admit an electronic document as evidence has the burden of Authentication of electronic documents proving its authenticity by evidence capable of supporting a finding that the electronic document is that which it is purported to be.” “31.2 (1) The best evidence rule in respect of an electronic document is satisfied Application of best evidence rule — electronic documents • (a) on proof of the integrity of the electronic documents system by or in which the electronic document was recorded or stored; or • (b) if an evidentiary presumption established under section 31.4 applies.” “31.5 For the purpose of determining under any rule of law whether an electronic document Standards may be considered is admissible, evidence may be presented in respect of any standard, procedure, usage or practice concerning the manner in which electronic documents are to be recorded or stored, having regard to the type of business, enterprise or endeavour that used, recorded or stored the electronic document and the nature and purpose of the electronic document.” Source: Department of Justice - http://laws.justice.gc.ca/eng/StatutesByTitle/C.html April 3, 2012 ARMA Toronto Chapter
  • 23. RIM: Evidence Best Practice Canada CAN/CGSB 72.34-2005 - Electronic Records as Documentary Evidence “5.2.1 Those who wish to present an electronic record as evidence in legal proceedings shall be able to prove a) authenticity of the record; b) integrity of the Records Management System that a record was recorded or stored in; and c) that it is "a record made in the usual and ordinary course of business" or that it is otherwise exempt from the legal rule barring hearsay evidence.” Source: CGSB - http://www.tpsgc-pwgsc.gc.ca/ongc/home/index-e.html April 3, 2012 ARMA Toronto Chapter
  • 24. RIM: ISO15489 Best Practice ISO15489-1:2001 – Information and documentation – Records management Applies to records, in all formats, created or received by any public or private organization in the conduct of its activities, or any individual with a duty to create and maintain records. Supports: • Electronic Records Management (ERM) & Physical Records • ISO9001 – Quality Management Systems • ISO14001 – Environmental Management Systems Sets principles of Records & Information Management practice • Organization institute comprehensive program • Characteristics, Authenticity, and Integrity of a record • Based on Functional Classification Design and implementation of record systems • Integrity of the system • Compliance to legal and regulatory environment • Documenting records transactions Source: ISO http://www.iso.org/iso/catalogue_detail?csnumber=31908 April 3, 2012 ARMA Toronto Chapter
  • 25. RIM: Best Practice GARP GARP Capability Maturity Model Information Governance with Generally Accepted Recordkeeping Principles (GARP) 8 Principles Accountability Integrity Protection Compliance Availability Retention Disposition Transparency GARP Maturity Level Colour Status 1 Sub-standard RED 2 In Development ORANGE 3 Essential AMBER 4 Proactive BLUE 5 Transformational GREEN Source: ARMA http://www.arma.org/garp/index.cfm April 3, 2012 ARMA Toronto Chapter
  • 26. RIM: Integrate to Other Programs Safety or Sustainability have become the culture of most organizations It is the first item addressed in meetings It is measured and reported on RIM Practice must become the culture of our business, a part of day-to-day work Supporting safety or sustainability Measured and reported on April 3, 2012 ARMA Toronto Chapter
  • 27. Keep the goal in mind April 3, 2012 ARMA Toronto Chapter
  • 28. Risk Vs. Rewards for Business Which version do you want to present in court? Rewards – Clear Vision Risk – The Blind Good governance & transparency Lack of Governance - ad hoc RIM Manager is in charge IT is in charge?????? Can identify a record and a copy Don’t know what are records Can identify record authors, custodians and users Don’t know the custodians Auditable - demonstrates due diligence Inability to audit Controlled record types and sources Number of uncontrolled information types and sources Avoids uncontrolled repositories Volume of duplication Reduced volume – original records Lack of information category Global search categories – relevancy structure Integration of Knowledge Management Too much technology Can find everything quickly and efficiently – better Can’t find anything easily decisions Poor basis for business decisions Controlled technology evolution No idea what is really happening Reduced stress to the organization and its personnel ECM deployments tend to fail ECM has a solid foundation and can succeed Etc. Etc. ROI – Risk of Incarceration (reduced) (reduced) April 3, 2012 ARMA Toronto Chapter
  • 29. Who do you hire? When you have a financial or accounting problem, who do you turn to, or hire? When you have a technology or computing problem, who do you turn to, or hire? When you need legal advice or have a legal problem, who do you turn to, or hire? When you have an records or information management problem, who do you turn to, or hire? April 3, 2012 ARMA Toronto Chapter
  • 30. Hire a RIM Professional RIM Professionals are trained to develop and manage records and information “RIM professionals can offer a safe harbor of sorts…. RIM professionals understand how information and records support the business and interact with employees on a day-to-day basis on the creation, development, issuance, and management of business records. RIM professionals understand the key legal and IT issues and must collaborate effectively with staff in those departments to ensure the implementation and management of a solid, documented, and explainable records management program. When a RIM program is in effect and adhered to as it is written – and the organization can show proof of compliance with the program – the organization’s attorneys are in a much better position to defend its ediscovery processes and the information it did – or didn’t produce.” Resources: American Records Management Association (ARMA) • http://www.arma.org/ • Chapters in Canada April 3, 2012 ARMA Toronto Chapter
  • 31. Lessons Learned Collect stories about records and information failures Have a clear vision of what is required and how it will work Connect the business case and practice to operations Senior management sponsorship hard to get and keep Get the best experts to advise on program development Develop a complete eco-system for information Pick the easy targets, the others will see the results In-house IT technical support is critical But watch out for IT practices and initiatives that conflict with RIM The training program will make or break the deployment Develop and integrate auditing of the program Network, tell your story, be involved Plant seeds April 3, 2012 ARMA Toronto Chapter
  • 32. Questions ????? Contact: Keith Atteck C.Tech. ERMm ARMA Toronto Chapter katteck@cogeco.ca April 3, 2012 ARMA Toronto Chapter