1. Generally Accepted Recordkeeping Principles: The Principle of Transparency Alaska Chapter of ARMA International Presented by: Tara Carey, ARMA Board Member & VP April 10, 2014 Based on Generally Accepted Recordkeeping Principles ©

2. Principles we have covered  Accountability - senior executive oversight and delegation of information governance  Integrity- guarantee of authenticity and reliability of information governance  Protection - reasonable level of protection of records and information that need it  Compliance - synergy of applicable laws, organization policies and other binding authorities for information governance  Availability - timely, efficient and accurate retrieval of needed information  Retention - maintenance of records for appropriate time  Disposition - secure and appropriate disposition of records and information no longer needed

3. The Principle of Transparency  As defined by ARMA International:  “ An organization ’ s business processes and activities, including its information governance program, shall be documented in an open and verifiable manner, and that documentation shall be available to all personnel and appropriate interested parties. ”

4. … is where you showcase your information governance and business processes. The Principle of Transparency

5. It should be evident, and in your organization’s best interest, to ensure that: ｷ Activities are conducted in a lawful and appropriate manner ｷ Records and information management system accurately and completely records its activities ｷ Records and information management system is structured in a lawful and appropriate manner ｷ Records and information management program activities are conducted in a lawful and appropriate manner

6. I see transparency as the “ show me the money ” principle If you have the proper documentation of your business practices and information governance systems and they are appropriately accessible you may save your organization money  Avoid potential fines, litigation, or even prosecution

7. Examples of Documentation  Records management processes  Records Manual, Policies &Procedure’s, Employee handbook, Work Instructions, Retention Schedules, Disposition Tracking  Some organizations publish their information governance program on a public or internal website  http://www.epa.gov/records1/policy/manual/index. htm http://www.epa.gov/records1/policy/manual/index. htm

8. Examples of publicly published information governance documentation  http://www.lva.virginia.gov/agencies/records/manuals/vprmm.pd f http://www.lva.virginia.gov/agencies/records/manuals/vprmm.pd f  https://www.tsl.texas.gov/slrm/recordspubs/rmm.html https://www.tsl.texas.gov/slrm/recordspubs/rmm.html  https://www.kshs.org/p/state-records-management-manual/11365 https://www.kshs.org/p/state-records-management-manual/11365  http://www.idahocities.org/DocumentCenter/Home/View/113 http://www.idahocities.org/DocumentCenter/Home/View/113  http://www.doncio.navy.mil/ContentView.aspx?id=707 http://www.doncio.navy.mil/ContentView.aspx?id=707  http://www.library.ubc.ca/archives/manuals/rm_manual.pdf http://www.library.ubc.ca/archives/manuals/rm_manual.pdf

9. What determines the level of availability needed?  An organization that is subject to open records laws may need to make all records available to any person upon request.  Other organizations may have a legitimate need to protect confidential or proprietary information, and they may therefore reasonably put in place procedures designed to control access to information.

10. Complexity of Documentation  If your records system is small or simple the detail describing that system may be minimal  If you have and intricate and complex records system that should be appropriately reflected in the documentation

11. What does transparency ensure?  The confidence of interested parties  Many parties have a legitimate interest in understanding the program activities and processes that govern an organization ’ s records and information.  the organization itself and its personnel  government authorities  auditors and investigators  litigants  for some organizations, the general public

12. The Principle of Transparency  “ Every organization must therefore create and manage the records documenting its records and information management program and program activities to ensure that its structure, processes, and activities are apparent, understandable, and reasonably available to legitimately interested parties. ” (Generally Accepted Recordkeeping Principles)

13. Thank you! Tara Carey, VP Alaska Chapter of ARMA International 2014