Assess Your Organization's Information Governance using the Generally Accepted Recordkeeping ® Principles September,

Presenting Fred Pulzello, CRM Vice President, Information Governance Archive Systems, Inc. Past Treasurer of ARMA International Co-creator of the Generally Accepted Recordkeeping Principles ® 2 About ARMA International and the Generally Accepted Recordkeeping Principles ® ARMA International ( 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

Principles 3 “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

4 Principles based

Failures of Compliance 5 “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

6 Arthur Anderson

Compliance considerations  Government –NARA –FOIA  Financial –Dodd-Frank Act –SEC  Pharmaceutical –HIPAA –FDA 21 CFR Part 11 for electronic records keeping 7

Need to have consistent governance  Policies need to be consistent regardless of media 8

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 9

10 Generally Accepted Recordkeeping Principles ®

COMPLIANCE AVAILABILITY INTEGRITY TRANSPARENCY RETENTION PROTECTION GOOD BUSINESS PRACTICES ACCOUNTABILITY DISPOSITION Objective Standards Principles used to support effective recordkeeping within an organization. 11

ATIPCARD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 ®

Information Governance Maturity Model Maturity Level Color Status 1 Sub-standard RED 2 In Development ORANGE 3 Essential AMBER 4 Proactive BLUE 5 Transformational GREEN 13

14 Detailed Assessment

Assessment Process Governance Streamline Policies And Procedures Streamline Policies And Procedures Setup Planning Assess Current Policies and Procedures Evaluate against Requirements Determine Future State Strategic Roadmap Generally Accepted Recordkeeping Principles ® Tools & Technology Enhance Current Tools – Install New Tools Enhance Current Tools – Install New Tools Infrastructure Update Infrastructure Update Infrastructure Regulatory Preparedness, Efficient Information Management, and Improved ROI 15

Deep Dive Analysis  Governance  Policy  Compliance  Organization  Business requirements  Technology  ROI 16

17 Risk Analysis

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19 Assessment Tool

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 20

Assessment - Premium  Premium 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 21

Assessment Reporting 22

Baseline and Average Score 23

Average Score by Principle 24

Dashboard Reporting 25

Dashboard Reporting 26

Dashboard Reporting 27

Dashboard Reporting 28

How Archive Systems Can Help 29

Holistic Approach to Records Management  Changing the way the world manages documents  Building the bridge between paper and electronic records  Compliant solutions at all stages of the information lifecycle  Modular consulting approach 30

Strategic Consulting: A.A.R.P.  Advisory  Assessment  Remediation  Production 31

Advisory 32 Assessment Remediation Production

Archive Metrics – Main Screen

Archive Metrics – Lifecycle Graphs

Audience Questions? Slide 35 Thank You!