1. Information Governance Part 1
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Information Governance Part 1
The Information Processing Management Association (IPMA)
16 October 2007

2. Information Governance, Part 1:
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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

3. Information Governance, Part 2:
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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

4. Information Governance
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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

5. Recordkeeping Responsibilities
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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

6. Recordkeeping Responsibilities
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Recordkeeping Responsibilities
Head of government agencies?
CEOs and Presidents?
Records Managers?
Every employee?
February 24, [Information Management] Copyright © 2007 CA

7. Recordkeeping Responsibilities - Corporate
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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

8. Recordkeeping Responsibilities - Corporate
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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

9. Recordkeeping Responsibilities - Corporate
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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

10. Recordkeeping Responsibilities - Corporate
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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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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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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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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

14. Health Insurance Portability and Accountability Act
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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

15. Recordkeeping Requirements - Government
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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

16. Washington State Government Agencies
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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

17. Washington State Government Agencies
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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

18. What Records Are Public?
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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

19. Definition Of Public Records
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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

20. Public Record Category 1
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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

21. Public Record Category 2
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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

22. Formats of Records Writings Recordings Pictures Electronic
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Formats of Records
Writings
Recordings
Pictures
Electronic
Magnetic Tapes s
February 24, [Information Management] Copyright © 2007 CA

23. Formats of Records Paper Recordings Pictures Electronic Magnetic Tapes
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Formats of Records
Paper
Recordings
Pictures
Electronic
Magnetic Tapes s
February 24, [Information Management] Copyright © 2007 CA

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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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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

26. How do you protect your company? How do you avoid fines and penalties?
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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

27. The Solution Records Management Program RM Policies and Procedures
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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

28. Records Management Program
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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

29. Records Management Program
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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

30. Records Management Program
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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

31. Records Retention Program
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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

32. Desktop Records Management
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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

33. Desktop Records Management
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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

34. Senior Compliance Strategist CA Information Governance
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Bill Manago, CRM
Senior Compliance Strategist
CA Information Governance
Mobile:
February 24, [Information Management] Copyright © 2007 CA