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Assess Your Organization's Information Governance using the Generally Accepted

Recordkeeping® PrinciplesSeptember, 2012

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PresentingFred Pulzello, CRM Vice President, Information

GovernanceArchive Systems, Inc.

Past Treasurer of ARMA InternationalCo-creator of the Generally Accepted

Recordkeeping Principles®

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 can be found at www.arma.org/garp.

Fred Pulzello, CRM Vice President, Information Governance Archive Systems, Inc. 973-287-1365 (phone) 201-723-5865 (mobile) fpulzello@archivesystems.com

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Principles

“As to methods there may be a million and then some, but principles are few. The man who grasps principles can successfully select his own methods. The man who tries methods, ignoring principles, is sure to have trouble.”

Ralph Waldo Emerson

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Principles based

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Failures of Compliance

“There have been a lot of emphasis on compliant record keeping systems over the years, with the emphasis perhaps on those organizations who have failed, rather than those who do have a compliant system.”

Information Overload Issue 6: Information Management Compliant Records Management System, Feb 2003

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Arthur Anderson

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Compliance considerations

Government – NARA– FOIA

Financial– Dodd-Frank Act– SEC

Pharmaceutical– HIPAA– FDA 21 CFR Part 11 for electronic records keeping

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Need to have consistent governancePolicies need to be consistent regardless of

media

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Where to Start?

Perform Generally Accepted Recordkeeping Principles® Assessment

Current State Gap Analysis Future State

Perform Detailed Assessment People Process Technology

Perform Risk Analysis Identify Quantify Prioritize

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Generally Accepted Recordkeeping Principles ®

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Generally Accepted Recordkeeping Principles®

COMPLIANCE

AVAILABILITYINTEGRITYTRANSPARENCY RETENTIONPR

OTEC

TION GOOD

BUSINESS PRACTICES

ACCOUNTABILITY DISPOSITION

Objective Standards

Principles used to support effective

recordkeeping within an organization.

A

T I P

C A R D

accountability transparency integrity protection compliance availability retention disposition

Each principle: implies certain rules of

behavior dictates certain controls carries oversight

requirements carries recordkeeping

requirements carries audit

implications carries continuous

improvement implications

Generally Accepted Recordkeeping Principles®

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Information Governance Maturity Model

Maturity Level

Color Status

1Sub-standard RED

2In Development ORANGE

3Essential AMBER

4Proactive BLUE

5Transformational GREEN

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Detailed Assessment

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Assessment ProcessG

over

nanc

e

Streamline PoliciesAnd Procedures

Setup Planning

Assess Current Policies

and Procedure

s

Evaluate against

Requirements

Determine Future State

Strategic Roadmap

Generally Accepted Recordkeeping Principles ®

Tool

s &

Te

chno

logy

Enhance CurrentTools – Install

New Tools

Infr

astr

uctu

re

UpdateInfrastructure

Regulatory Preparedness, Efficient Information Management, and Improved ROI

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Deep Dive Analysis

GovernancePolicyComplianceOrganizationBusiness requirementsTechnologyROI

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Risk Analysis

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Risk Analysis

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Assessment Tool

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Assessment-Basic Basic Package:

1 organizational assessment 1-5 respondents Access to your data for one year, renewable each

year Compare against your previous organizational

assessments with each purchase Assessment reports provide your GARP® score by

principle, overall GARP® score, and individual responses

Ideal for: Small organizations Assessing an individual department, location, or

division Proving program needs to management

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Assessment - PremiumPremium Package:

Unlimited organizational assessments per year Unlimited respondents in multiple configurations

based on your needs Compare against your previous organizational

assessments Ongoing access to your reports while your one-year

subscription is active Assessment reports provide your GARP® score by

principle, overall GARP® score, and individual responses

Industry baseline data (Coming Soon!)Ideal for:

Large organizations Organizations needing flexible deployment options Continual assessment to show program improvement

and ROI

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Assessment Reporting

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Baseline and Average Score

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Average Score by Principle

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Dashboard Reporting

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Dashboard Reporting

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Dashboard Reporting

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Dashboard Reporting

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How Archive Systems Can Help

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Holistic Approach to Records ManagementChanging the way the world manages

documentsBuilding the bridge between paper and

electronic recordsCompliant solutions at all stages of the

information lifecycleModular consulting approach

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Strategic Consulting: A.A.R.P.AdvisoryAssessmentRemediationProduction

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Advisory

Health CheckRecords

management program

Records management

strategy

Findings and recommendations

presentation

Discussion with key stakeholders

Records program assessment

Records management technology

Records management governance

Detailed findings and

recommendations documentation

Measure against best practices to

identify gaps

Gather existing information

Identify key stakeholders

Detailed roadmap and milestones

Measure progress against

deliverables

Develop ROI and roadmap to reach

desired state

Assess risk and prioritize gaps to

be addressed Assessment Tool

Assessment

Remediation

Production

Archive Metrics – Main Screen

Archive Metrics – Lifecycle Graphs

Audience Questions?

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Thank You!Fred Pulzello, CRM Vice President, Information Governance Archive Systems, Inc. 973-287-1365 (phone) 201-723-5865 (mobile) fpulzello@archivesystems.com