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ITS 833 – INFORMATION GOVERNANCEChapter 3 – Information Gove.docx
- 1. ITS 833 – INFORMATION GOVERNANCE Chapter 3 – Information Governance Principles Dr. Omar Mohamed Copyright Omar Mohamed 2019 1 CHAPTER GOALS AND OBJECTIVES Know the 10 key principles of IG What are the Generally Accepted Recordkeeping Principles® What is the difference between disposition and destruction Who should be involved in the information governance development process Know the 8 GAR principle Know the 5 GAR Principle Levels Know which of the four area(s) of improvement each of the 8 GAR principles map to Copyright Omar Mohamed 2019 2 10 key principles for the IG approach
- 2. Executive Sponsorship Information Policy Development and Communication Information Integrity Information Organization and Classification Information Security Information Accessibility Information Control Information Governance Monitoring and Auditing Stakeholder Consultation Continuous Improvement Copyright Omar Mohamed 2019 3 3 The Key to Information Governance Accountability Copyright Omar Mohamed 2019 4 Often the root of many problems is that no one is held accountable RECORDING KEEPING PRINCIPLES® Formal Business records account for about 9% of all information in an organization Formal record keeping allows the organization to demonstrate legal compliance, and applicable standards Generally Accepted Recordkeeping Principles® were developed in 2009 by ARMA International to foster awareness of good recordkeeping practices
- 3. Copyright Omar Mohamed 2019 5 5 Generally Accepted Recordkeeping Principles® Accountability Transparency Integrity Protection Compliance Availability Retention Disposition Copyright Omar Mohamed 2019 6 6 GAR Principles Levels Used to define the characteristics of evolving and maturing Records Management Programs 1. Standard – whether recordkeeping concerns are being addressed 2. In Development – developing recognition that recordkeeping has an impact and benefit from more defined IG program 3. Essential – where defined policies and procedures exist that address minimum legal and regulatory requirements but more action is required to improve recordkeeping 4. Proactive – where information governance issues are
- 4. integrated into business decisions with organization consistently meeting its legal and regulatory obligations 5. Transformational – Integrated IG into corporate infrastructure and business processes to such an extent that compliance is routine Copyright Omar Mohamed 2019 7 7 RM responsibility at the senior level of executive authority Understanding of regulatory and legal framework Responsibility for ensuring that processes, procedures and governance structures and documentation are developed Development of organization wide audit process for all aspects of RM Reinforce compliance and require accountability GAR PRINCIPLE 1: ACCOUNTABILITY Copyright Omar Mohamed 2019 8 Practices that document processes and promote an understanding of the roles and responsibilities of the stakeholders Policies are formalized and integrated into business processes Must be recognized by senior management Employees must have access to the policies and procedures of RM Employee training Documentation in the form of policies, procedures, guidelines, instructions, diagrams, flowcharts, system documentation, user manuals, etc.
- 5. GAR PRINCIPLE 2: TRANSPARENCY Copyright Omar Mohamed 2019 9 “Record Integrity”: The records are complete and protected from being altered Record generating systems and repositories are required to be assessed to determine record keeping capabilities. Here a formalized process is required to be in place for acquiring or developing new systems, required for lifecycle management of records. Record integrity is confirmed by ensuring that records are created by competent authority based upon established principles GAR PRINCIPLE 3:INTEGRITY Copyright Omar Mohamed 2019 10 This is where organizations ensure that the records are unaltered through loss, tampering or corruption Applies to both physical and electronic records GAR PRINCIPLE 4: PROTECTION Copyright Omar Mohamed 2019 11 There should be a process for development and training of the fundamentals of compliance monitoring Compliance monitoring involves reviewing and inspecting different facets or records management Compliance monitoring is carried out by audits, whether that be internal audits, external organizations or by records
- 6. management and must be performed routinely GAR PRINCIPLE 5: COMPLIANCE Copyright Omar Mohamed 2019 12 Process of evaluating how effectively and efficiently records and information are stored and retrieved using existing equipment, networks and software of the organization Intended to identify current and future requirements and recommendations for new systems where appropriate GAR PRINCIPLE 6: AVAILABILITY Copyright Omar Mohamed 2019 13 This is the function of preserving and maintaining records for continuing use A retention schedule is created to identify actions needed to fulfill requirements for retention and disposal of records and to identify and establish authority for employees who will be responsible for retention, destruction and transfer of records Must identify the scope of the different jurisdictions that impose control over record in each location where the company does business Includes “records appraisal” – process of assessing the value and risk of records to determine their retention and destruction requirements-part of records retention schedule Record retention period – length of time that records should be retained and actions taken for them to be destroyed or preserved Document research performed to identify jurisdictional and legal requirements for record retention GAR PRINCIPLE 7: RETENTION Copyright Omar Mohamed 2019
- 7. 14 Disposition is the last stage in the life cycle of records When records are required to be retained permanently or on a long term basis they should be “archived” for preservation Should be part of record retention schedule When destroyed, destruction must be in a controlled and secure manner in accordance with disposal instructions Document destruction of record Maintain an audit trail of the destruction of records Must have someone designated to oversee destruction of records GAR PRINCIPLE 8: DISPOSITION Copyright Omar Mohamed 2019 15 Disposition of records is not the same as destruction of records. Destruction may be one of the disposal options Methods of Disposition Discard-Standard for non-confidential records Shred – Confidential and sensitive records Archive – For records retained permanently or for long-term periods Imaging – Conversion from a physical record to digital images prior to destruction of paper records Purge – This involves the removal of material based upon specific criteria. Generally applicable to structured database records and applications Copyright Omar Mohamed 2019 16 16
- 8. Generally Accepted Recordkeeping Principles® maturity model is used to identify a company’s areas in need of improvement. Principles are mapped to four (4) improvement areas: Roles and responsibilities Policies and Procedure Communication and Training Systems and automation Copyright Omar Mohamed 2019 17 17 MAPPING OF IMPROVEMENT AREAS FOR GENERALLY ACCEPTED RECORDKEEPING PRINCIPELS® Copyright Omar Mohamed 2019 18Improvement Area AccountabilityTransparencyIntegrityProtectionComplianceAvail
- 9. 18 WHO SHOULD DETERMINE THE IG POLICIES? Steering Committee or Board Headed by executive sponsor Include cross-functional groups Key business units IT Finance Risk Compliance Records Management Legal Training is essential Review the Sample Assessment Report and Road Map in Table 3.3, Page 36 and 37 of text book Copyright Omar Mohamed 2019 19
- 10. The End Copyright Omar Mohamed 2019 20 20