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Information Governance Part 1
Page based on Title Slide from Slide Layout palette. Design is cacorp 2006. Title text for Title or Divider pages should be either 40 pt for short titles /28 pt for subtitles or 32 pts for longer titles /24 pt for subtitles. DATE text box is not on master and can be deleted. The date should always be 20 pts. Information Governance Part 1 The Information Processing Management Association (IPMA) 16 October 2007
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Information Governance, Part 1:
Page based on Title and 2-column Text from Slide Layout palette. Design is cacorp 2006. Today’s Topic Information Governance, Part 1: Your organization’s legal, regulatory, and business obligations to capture and maintain records that document official business activities, transactions, and decisions. February 24, [Information Management] Copyright © 2007 CA
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Information Governance, Part 2:
Page based on Title and 2-column Text from Slide Layout palette. Design is cacorp 2006. Today’s Topic Information Governance, Part 2: Ways to enforce and to monitor the implementation of your organization’s records management policies. February 24, [Information Management] Copyright © 2007 CA
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Information Governance
Page based on Title and 2-column Text from Slide Layout palette. Design is cacorp 2006. Information Governance Ensures appropriate controls for accurate access and availability of information at the right time and by the right people to make critical business decisions Facilitates the proactive reduction of risk and increased preparedness for discovery while lowering costs, improving returns and promoting business agility. February 24, [Information Management] Copyright © 2007 CA
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Recordkeeping Responsibilities
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Recordkeeping Responsibilities A key component of Information Governance Who is responsible for records and information management in your organization? February 24, [Information Management] Copyright © 2007 CA
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Recordkeeping Responsibilities
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Recordkeeping Responsibilities Head of government agencies? CEOs and Presidents? Records Managers? Every employee? February 24, [Information Management] Copyright © 2007 CA
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Recordkeeping Responsibilities - Corporate
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Recordkeeping Responsibilities - Corporate Organizations must follow recordkeeping requirements for documenting its activities Federal, state and local governments entities have an interest in your organization’s activities Accounting, sales, and taxes records are needed to determine the amount of tax due February 24, [Information Management] Copyright © 2007 CA
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Recordkeeping Responsibilities - Corporate
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Recordkeeping Responsibilities - Corporate Employment and personnel records are also important to government entities Government has enacted laws to protect employees Ensure payment of wages Protect health and safety of employees Eliminate discrimination Protect privacy February 24, [Information Management] Copyright © 2007 CA
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Recordkeeping Responsibilities - Corporate
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Recordkeeping Responsibilities - Corporate Some government regulations are industry specific and are designed to Safeguard public health, FDA Fraudulent business practices, SEC Dangerous products, OHSA Air and land pollution, EPA Security exchanges, lending practices, SEC Insurance, mail order transactions Foreign trade, immigration February 24, [Information Management] Copyright © 2007 CA
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Recordkeeping Responsibilities - Corporate
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Recordkeeping Responsibilities - Corporate Doing business is regarded as a privilege rather than as a right In order to transact business, the government requires that organization follow its rules Some of those rules pertain to recordkeeping requirements Failure to follow those requirements may subject you to fines, penalties, and other adverse consequences, such as losing the privilege to transact business February 24, [Information Management] Copyright © 2007 CA
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Page based on Title and Text from Slide Layout palette
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Sarbanes-Oxley Act of 2002 Public Company Accounting Reform and Investor Protection Act of 2002 and commonly called SOX in response to a number of major corporate and accounting scandals including those affecting Enron, Tyco International, Peregrine Systems and WorldCom Established new or enhanced standards for all U.S. public company boards, management, and public accounting firms Contains 11 titles, or sections, ranging from additional Corporate Board responsibilities to criminal penalties February 24, [Information Management] Copyright © 2007 CA
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Page based on Title and Text from Slide Layout palette
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Sarbanes-Oxley Act of 2002 Title III mandates that senior executives take individual responsibility for the accuracy and completeness of corporate financial reports Describes specific forfeitures of benefits and civil penalties for non-compliance. Section 802 of SOX addresses the destruction or fabrication of evidence and the preservation of "financial and audit records States that records must be retained for seven years February 24, [Information Management] Copyright © 2007 CA
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Page based on Title and Text from Slide Layout palette
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Sarbanes-Oxley Act of 2002 Whoever knowingly alters, destroys, mutilates, conceals, covers up, falsifies, or makes a false entry in any record, document, or tangible object with the intent to impede, obstruct, or influence the investigation or proper administration of any matter within the jurisdiction of any department or agency of the United States or any case filed under title 11, or in relation to or contemplation of any such matter or case, shall be fined under this title, imprisoned not more than 20 years, or both February 24, [Information Management] Copyright © 2007 CA
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Health Insurance Portability and Accountability Act
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Health Insurance Portability and Accountability Act HIPAA was enacted by the U.S. Congress in 1996 Established national standards for electronic health care transactions and national identifiers for providers, health insurance plans, and employers Address the security and privacy of health data Title II of HIPAA defines numerous offenses relating to health care and sets civil and criminal penalties for them February 24, [Information Management] Copyright © 2007 CA
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Recordkeeping Requirements - Government
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Recordkeeping Requirements - Government Title 36, CFR, Parts 1220 through 1238 includes regulations that affect the records management program of Federal agencies E-Government Act of 2002 calls for increased use of electronic records management systems to provide improved citizen-centered government services, espcially web sites Title 18, U.S.C. § 2071 establishes criminal penalties for the unlawful concealment, removal, or destruction of Federal records February 24, [Information Management] Copyright © 2007 CA
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Washington State Government Agencies
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Washington State Government Agencies RCW All public records shall be and remain the property of the state of Washington. They shall be delivered by outgoing officials and employees to their successors and shall be preserved, stored, transferred, destroyed or disposed of, and otherwise managed, only in accordance with the provisions of this chapter. February 24, [Information Management] Copyright © 2007 CA
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Washington State Government Agencies
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Washington State Government Agencies RCRCW Each department or other agency of the state government shall designate a records officer to supervise its records program and to represent the office in all contacts with the records committee, hereinafter created, and the division of archives and records management The records officer shall: Coordinate all aspects of the records management program. Inventory, or manage the inventory, of all public records for disposition scheduling and transfer action February 24, [Information Management] Copyright © 2007 CA
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What Records Are Public?
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. What Records Are Public? A public record is any state or local record relating to: The conduct of government; or The performance of a governmental function And which is: Prepared; Used; or Retained by any state or local agency. February 24, [Information Management] Copyright © 2007 CA
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Definition Of Public Records
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Definition Of Public Records “Public Records" shall include any paper, correspondence, completed form, bound record book, photograph, film, sound recording, map drawing, machine-readable material, compact disc meeting current industry ISO specifications, or other document, regardless of physical form or characteristics, and including such copies thereof, that have been made by or received by any agency of the state of Washington in connection with the transaction of public business, and legislative records as described in RCW February 24, [Information Management] Copyright © 2007 CA
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Public Record Category 1
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Public Record Category 1 Official public records shall include all original vouchers, receipts, and other documents necessary to isolate and prove the validity of every transaction relating to the receipt, use, and disposition of all public property and public income from all sources whatsoever; all agreements and contracts to which the state of Washington or any agency thereof may be a party; all fidelity, surety, and performance bonds; all claims filed against the state of Washington or any agency thereof; all records or documents required by law to be filed with or kept by any agency of the state of Washington; and all legislative records. February 24, [Information Management] Copyright © 2007 CA
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Public Record Category 2
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Public Record Category 2 Office files and memoranda include such records as correspondence, exhibits, drawings, maps, completed forms, or documents not above defined and classified as official public records; duplicate copies of official public records filed with any agency of the state of Washington; documents and reports made for the internal administration of the office to which they pertain but not required by law to be filed or kept with such agency; and other documents or records as determined by the records committee to be office files and memoranda February 24, [Information Management] Copyright © 2007 CA
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Formats of Records Writings Recordings Pictures Electronic
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Formats of Records Writings Recordings Pictures Electronic Magnetic Tapes s February 24, [Information Management] Copyright © 2007 CA
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Formats of Records Paper Recordings Pictures Electronic Magnetic Tapes
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Formats of Records Paper Recordings Pictures Electronic Magnetic Tapes s February 24, [Information Management] Copyright © 2007 CA
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Page based on Title and Text from Slide Layout palette
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Electronic Records More public records are electronically created and maintained than ever before What do you do with them all? Do you have policies and procedures to preserve and protect your agency records? Do you keep all agency records? Can you delete them? Can you provide access and authenticate those records if called upon to produce them? February 24, [Information Management] Copyright © 2007 CA
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Page based on Title and Text from Slide Layout palette
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Spoliation The intentional destruction of a document or an alteration of it that destroys its value as evidence Failure to retain information that may be needed or is expected to be needed in a suit, investigation, or audit Applies to all retrievable information in computer storage as well as paper records Rambus v. Infineon Technologies, court ruled that if a company reasonably anticipated or ought to anticipate litigation, it cannot simply carry out an RRP, it must first save documents that might be relevant to the litigation February 24, [Information Management] Copyright © 2007 CA
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How do you protect your company? How do you avoid fines and penalties?
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. What is the solution? How do you protect your company? How do you avoid fines and penalties? How do you avoid possible jail time? February 24, [Information Management] Copyright © 2007 CA
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The Solution Records Management Program RM Policies and Procedures
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. The Solution Records Management Program RM Policies and Procedures Electronic Recordkeeping System Records Retention Program Records Management Training February 24, [Information Management] Copyright © 2007 CA
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Records Management Program
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Records Management Program Is the systematic planning, controlling, directing, organizing, training, promoting, and other managerial activities involved in records creation, maintenance and use, and disposition in order to achieve adequate and proper documentation of the policies and transactions of an organization and effective and economical management of the organization’s operations. February 24, [Information Management] Copyright © 2007 CA
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Records Management Program
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Records Management Program Records management addresses the life cycle of records, i.e., the period of time that records are in the custody of Federal agencies. The life cycle usually consists of three stages: Creation or receipt Maintenance and use Disposition February 24, [Information Management] Copyright © 2007 CA
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Records Management Program
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Records Management Program Tools for maintaining and using records include File plans Indexes Controlled vocabularies, taxonomies Data dictionaries Access controls and security procedures The main tool used to manage the disposition of records is the records retention schedule. February 24, [Information Management] Copyright © 2007 CA
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Records Retention Program
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Records Retention Program Period of time that records have operational, legal, fiscal, or historical value Period of time records are considered active and must be maintained in active filing areas Point of time when records can be reasonably transferred to a secondary storage facility Method of disposal Procedures for complying with regulatory requirements Procedures for applying a legal hold February 24, [Information Management] Copyright © 2007 CA
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Desktop Records Management
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Desktop Records Management Employees are responsible for making and keeping records of their work Employees decide if it is a record Employee decide where to file records Employees indirectly effect the disposition of records The accuracy and effectiveness of your records management program depends on employees February 24, [Information Management] Copyright © 2007 CA
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Desktop Records Management
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Desktop Records Management How do you ensure that employees carry out their records management responsibilities? Responsibly? Accurately? Consistently? That is the heart of Information Governance The solution – stay tuned for Part 2 February 24, [Information Management] Copyright © 2007 CA
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Senior Compliance Strategist CA Information Governance
Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Bill Manago, CRM Senior Compliance Strategist CA Information Governance Mobile: February 24, [Information Management] Copyright © 2007 CA
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