The Principles: IntegrityA recordkeeping program shall be constructed so    the records and information generated or   man...
Two components:●   Integrity of a record is directly related to the    ability to prove that a record is authentic and    ...
Integrity means:●   Correctness of and adherence to the policies    and procedures of the organization●   Reliability of t...
How:●   Embodied in policies and procedures.●   Training of employees in proper adherence to    said policies and procedur...
Why:●   Reliable and authentic records lie at the heart    of the purpose for a recordkeeping program:    ●   Business dec...
Who:●   Company executives are ultimately responsible    for records as business assets.●   Investors and regulators expec...
When:●   The principle applies broadly to any    recordkeeping program.    ●   It is especially important during the creat...
Where:●   Any organization maintaining records, but    probably most especially those subject to legal    and regulatory o...
A word on the Maturity Model●   Level 1: Sub-standard: No defined policies or procedures for    ensuring authenticity of r...
Citation●   GenerallyAccepted Recordkeeping Principles ®, from ARMA International.●   Information Governance Maturity Mode...
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Integrity

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Integrity

  1. 1. The Principles: IntegrityA recordkeeping program shall be constructed so the records and information generated or managed by or for the organization have areasonable and suitable guarantee of authenticity and reliability.
  2. 2. Two components:● Integrity of a record is directly related to the ability to prove that a record is authentic and unaltered.● Authenticity requires proof that a document comes from the person, organization, or other legal entity claiming to be its author or authorizing authority.
  3. 3. Integrity means:● Correctness of and adherence to the policies and procedures of the organization● Reliability of the information management training and direction given to the employees who interact with all systems● Reliability of the records created● An acceptable audit trail● Reliability of the systems that control the recordkeeping including hardware, network infrastructure, and software
  4. 4. How:● Embodied in policies and procedures.● Training of employees in proper adherence to said policies and procedures.● Consistent practices throughout records lifecycle.● Proper audit and QA processes.● Maintenance of reliable systems.
  5. 5. Why:● Reliable and authentic records lie at the heart of the purpose for a recordkeeping program: ● Business decisions, regulatory, and legal all figure here. ● Without appropriate processes, you cant trust the records you keep.
  6. 6. Who:● Company executives are ultimately responsible for records as business assets.● Investors and regulators expect integrity.● Employees/record creators share responsibility for integrity of records they create.
  7. 7. When:● The principle applies broadly to any recordkeeping program. ● It is especially important during the creation and management of records, as well as in auditing and QA processes.
  8. 8. Where:● Any organization maintaining records, but probably most especially those subject to legal and regulatory oversight by third parties.
  9. 9. A word on the Maturity Model● Level 1: Sub-standard: No defined policies or procedures for ensuring authenticity of records.● Level 2: In development: Some records are kept with respective metadata, but no formal process for metadata storage.● Level 3: Essential: Formal processes, metadata standards, and goals for integrity of records in place.● Level 4: Proactive: Clear definition for metadata standards for all records, metadata standards address security, chain of custody requirements.● Level 5: Transformational: Formal standards in place for introduction of new record-generating systems, controls and audits in place, initial goals have been met and are mechanism devised for regular review/revision.
  10. 10. Citation● GenerallyAccepted Recordkeeping Principles ®, from ARMA International.● Information Governance Maturity Model © 2010, ARMA International.● About ARMA International and the Generally Accepted Recordkeeping Principles ®: ● ARMA International (www.arma.org) is a not-for-profit professional association and the authority on managing records and information. Formed in 1955, ARMA International is the oldest and largest association for the information management profession with a current international membership of more than 10,000. It provides education, publications, and information on the efficient maintenance, retrieval, and preservation of vital information created in public and private organizations in all sectors of the economy. It also publishes Information Management magazine, and the Generally Accepted Recordkeeping Principles®. More information about the Principles can be found at www.arma.org/principles.

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