Records Retention Schedule Refresh Project

Contents: I. Introduction II. Planning III. Data Gathering/Engaging the LOB’s IV. Consultant and Legal Research V. Control Committees Reviews VI. Rollout/Training

I. Introduction - RRS  Functional Schedule  246 Record Classes (Record Series)  Format: Intranet, Interactive

I. Introduction - RRS Each RRS entry includes:  Record Class Code  Record Class Name  Business Function  Description  Official Retention Period  Retention Event  Record Type Example

II. Planning  What changes are needed and how do we know?  Operational Needs  Legal/Regulatory Requirements  What are our internal Capabilities within Timeframe?  Internal – Operational Adjustments  Consultant Partner - Regulatory Research  Collaborate – Combining the two and drafting schedules.  How do we engage PNC staff to determine operational Needs?  Records Coordinators

III. Information and Data Gathering Operational Adjustments  CRM-Originated  ACT in Retention Code  Similar Record Classes to be Combined  Duplicate Record Type Examples  Misc  LOB Originated (Records Coordinators)  Use/Usability Survey  Broadcast Request for needed adjustments

III. Information and Data Gathering Determined for each CRM-originated potential adjustment the LOB Records Coordinator whose are of responsibility that record class fell under.  Record Coordinator Roster of functional areas covered.  RRS Business Function Index

III. Information and Data Gathering Operational Adjustments  LOB-Originated  Engage Records Coordinators Use/Usability Survey Broadcast Request for needed adjustments  Regular inquiries..

III. Information and Data Gathering Operational Adjustments Met with each Records Coordinator re: the potential adjustments of record classes in their area, CRM- originated and LOB-originated. Often the Records Coordinators brought the record owners were into the discussion

III. Information and Data Gathering Operational Adjustments Document  Drafts per Record Coordinator were prepared and reviewed by the record Coordinator and any record owners who had been part of the discussion.  When all approvals were complete, all of the adjustments were assembled into one Operational Adjustments Document.

III. Information and Data Gathering Operational Adjustments Record Classes Considered for Adjustment 117 Proposed New Record Classes21 Proposed Discontinued9 ACT / IND ACT Identified92 ACT Addressed88 IND Identified18 IND Addressed13

IV. Consultant and Legal Research Consultant Partner : Iron Mountain Consulting Services 1. Manage Legal Research  Donald Skupsky/Information Requirements Clearinghouse – US Federal and States  Baker & McKenzie – Canada, UK, Germany  Convert the raw research into reports, matrix 2. Prepare Draft RRS  Prepare proposed retention periods from legal research  Work with us to overlay the Legal research onto the Operational Adjustment to develop draft RRS’s for review  Assist in answering reviewers questions if needed 3. Additional  Prepare two guidelines reports  Record Class Consolidation Recommendations  Collaborate on long range planning for the RRS

IV. Consultant and Legal Research Summary of Changes to the RRS New Record Classes9 Discontinued Record Classes11 ACT or IND Eliminated (Changed to a Number)44 ACT – 2 nd Record Class Created (Active & Inactive)28 Retention Period Changed – Other18 Changes to Verbiage Only (No Retention Change)72

V. RC & Control Committee Reviews  Records Coordinators – Public Comment  Records Steering Committee.  Operational Risk Committee.

VI. Rollout/Training Roll-Out Communication ChannelAudience Group Record Coordinators Quarterly Work Group CallRecord Coordinators Corporate Communications via established Communications Procedure All Staff Announcement in the RDAAll authorized users Updated RRS file in Excel via Records Storage Vendors Posting on the CRM Intraweb pageAll Staff

VI. Rollout/Training 2014: In-person and remote live training. 2015: In-person and remote live training Computer-based training

Questions?