1. How a Large Company Used the Principles to Establish its Corporate Information Governance Program @therecordsguru Robin Woolen, MBA, IGP President / Principal Consultant Guru@TheRecordsGuru.com Robert O’Connor, CRM Enterprise Records Information Manager OppenheimerFunds

2. Learning Objectives Leverage The Principles to establish the core competency of the records management program with Management. Utilize The Principles Assessment process as a basis for strategic planning and chart progress. Outline your core objectives for your RIM program. Apply the Generally Accepted Recordkeeping Principles to your business process

3. International Engineering, Construction and Mining company in the United States 100+ Years old 70+ Offices across United States, Canada and Australia Mainly through merger and acquisition 10,000 + Employees No enterprise-wide Records Management program Steering Committee pushed to have one established Records Manager hired to create program from scratch The Premise

4. The Principles refer to the Generally Accepted Recordkeeping Principles® established by ARMA International to set forth the characteristics of an effective recordkeeping program, while allowing flexibility based upon the unique circumstances of an organization’s size, sophistication, legal environment, or resources. What are The Principles? Hint: Use the ARMA reputation as the International Standard for Records Management programs with Executives to establish authority and gain acceptance.

6. The The Principles: Your Sword & Shield

7. Evaluate Analyze Strategic Planning Implement Validate The Process

8. Tools ARMA International Maturity Model for Information Governance The Principles Checkup New from ARMA Focused from the Records Manager perspective Records Manager may not have all the info The Process: Evaluate Get out and talk to people!

9. Tools ARMA International Maturity Model for Information Governance The Principles Checkup New from ARMA Focused from the Records Manager perspective Records Manager may not have all the info Process Meet with stakeholders to gain complete picture of current situation Management IT Operational Staff Evaluate each functional area and office individually The Process: Evaluate Get out and talk to people!

10. ARMA International Maturity Model for Information Governance Used as scorecard 40 is a perfect score The Process: Evaluate

11. Accountability Is there someone of authority actively involved in ensuring the RIM program is being followed? The Process: Evaluate

12. Accountability Is there someone of authority actively involved in ensuring the RIM program is being followed? Transparency Is the RIM program documented and easily available for reference by everyone involved? Are established information lifecycle processes open and verifiable? The Process: Evaluate

13. Accountability Is there someone of authority actively involved in ensuring the RIM program is being followed? Transparency Is the RIM program documented and easily available for reference by everyone involved? Are established information lifecycle processes open and verifiable? Integrity Is the RIM program designed to promote a reasonable expectation that what is available is the one version of truth? Has metadata been preserved? The Process: Evaluate

14. Accountability Is there someone of authority actively involved in ensuring the RIM program is being followed? Transparency Is the RIM program documented and easily available for reference by everyone involved? Are established information lifecycle processes open and verifiable? Integrity Is the RIM program designed to promote a reasonable expectation that what is available is the one version of truth? Has metadata been preserved? Protection Is the RIM program designed to ensure the appropriate security of information based on regulatory or operational needs? The Process: Evaluate

15. Compliance Is the RIM program designed to comply with all legal and regulatory needs? The Process: Evaluate

16. Compliance Is the RIM program designed to comply with all legal and regulatory needs? Availability Is the information easily and quickly accessible? The Process: Evaluate

17. Compliance Is the RIM program designed to comply with all legal and regulatory needs? Availability Is the information easily and quickly accessible? Retention Is there a documented retention schedule that meets all legal, regulatory and operational needs? The Process: Evaluate

18. Compliance Is the RIM program designed to comply with all legal and regulatory needs? Availability Is the information easily and quickly accessible? Retention Is there a documented retention schedule that meets all legal, regulatory and operational needs? Disposition Is the retention schedule followed and documented? The Process: Evaluate

19. Review results with Stakeholder(s) What’s the score? ARMA International Maturity Model for Information Governance The Principles Checkup Find the gaps Use the tools to highlight target areas. Risk analysis Which target area(s) are the most critical? ROI analysis Which target area(s) offer the best return for available budget? Create list of target area(s) based on analysis The Process: Analyze

20. Use list to create a strategic plan with Stakeholders (Steering Committee) Short term What is the cheapest/easiest/quickest to implement from the list? Generally process changes Go for the “Low-hanging Fruit” to get a “Quick Win” Build reputation and awareness Work your way up the list The Process: Strategic Planning

21. Use list to create a strategic plan with Stakeholders (Steering Committee) Short term What is the cheapest/easiest/quickest to implement from the list? Generally process changes Go for the “Low-hanging Fruit” to get a “Quick Win” Build reputation and awareness Work your way up the list Long term More expensive changes Electronic Document Management Systems Records Center development/moves Use phased approach over time The Process: Strategic Planning

22. Follow standard methodology Budgetary Process Staffing Plan Point person in each functional area Key Stakeholders IT - Early integration with Key IT Leadership critical Legal - Find your Legal sponsor ASAP Compliance - Should be one of biggest supporters Operations - Business support is essential Schedule/Project Plan Communication/Change Management Plan Training Plan Curriculum Materials Support Plan The Process: Implement

23. Tools ARMA International Maturity Model for Information Governance Documented Annual training Continual Communication Survey Metrics Process Regular Staff Assist Visits Include as part of annual audit Meet with stakeholders to gain complete picture of current situation Evaluate each functional area and office individually Compare to last result to show trend and identify deficiencies The Process: Validate

24. Final Project Result An EDMS was identified for all business processes Automated processes were established for archiving and disposal. A centrally managed Record’s repository was established on premise. Central oversight control established for all physical records. The Results: Short/Long Term

25. Final Project Result An EDMS was identified for all business processes Automated processes were established for archiving and disposal. A centrally managed Record’s repository was established on premise. Central oversight control established for all physical records. Unforeseen Awareness Items Reduced Executive support for RIM Program Lesson learned - Must continually engage with Management to maintain relevance in the budgetary/political process of the company. The Results: Short/Long Term

26. ARMA International Generally Accepted Recordkeeping Principles University of Oregon: Applied Information Management Records Management Best Practices Guide The Records Guru® References

27. Questions? @therecordsguru Robin Woolen, MBA, IGP President / Principal Consultant Guru@TheRecordsGuru.com Robert O’Connor, CRM Enterprise Records Information Manager Oppenheimer Funds Compliance Dept.