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10.12012 Managing Electronic Records Conference
Session 10Session 10
Navigating Navigating Change: ARM your GPS Change: ARM your GPS (GARP®) to Drive Successful (GARP®) to Drive Successful Information GovernanceInformation Governance
BTuesday, May 08, 2012 9:00 am
Like a GPS, ARMA’s GARP® Principles provide a standard measurement of where you are.
Cohasset’s Assured Records Management (ARM) helps you plot
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g ( ) p y pyour course and provides the wheels to move you forward.
"If you don't know where you're going, you'll wind up somewhere else."
Yogi Berra
Goals
Explore how GARP and ARM can be used to navigate change and drive successful
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Information Governance
Ensure the all important management evidence that proves Good Faith Effort on your journey
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NOTES
10.22012 Managing Electronic Records Conference
Our Road Trip
A quick look at GARP and ARMOur Mileposts
Why do we need to navigate change?How can ARM help us drive?pHow do we use the GARP GPS?What does successful course look like? How do we start this Journey?
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Throughout, we will consider YOUR leadership opportunities
What is GARP®?
In order to achieve recognition at the regulator, business and associate level, ARMA
i l h d l d ll d
Generally Accepted Recordkeeping Principles
International has developed Generally Accepted Recordkeeping Principles (GARP) so as to allow organizations to adhere to and measure objective records and information governance standards
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GARP® Principles
AccountabilityTransparencyIntegrity
GARP®
Maturity Level
Color Status
5 GREEN
http://www.arma.org/garp
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ProtectionComplianceAvailabilityRetentionDisposition
4 BLUE
3 AMBER
2 ORANGE
1 RED
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NOTES
10.32012 Managing Electronic Records Conference
What is Assured Records Management?
Assured Records Management (ARM) is an evolving methodology designed to help organizations establish and sustain Information Governance that results in
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Applying appropriate performance standardsAligning with business priorities and cultureTo ‘Get it right where it matters most’ and provide credible evidence of good faith.
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Aligned with Business PrioritiesBusiness drivers, culture, and strategyRisk-based continuous improvementClear information governance processes
The ARM Approach
Using models and techniques
that simplify concepts and
t b i Clear information governance processes
ARM Performance StandardsOrganizational commitmentLifecycle control of records and systems
in promote buy-in
Good Faith Effort
And the evidence to prove it
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Milestone 1Milestone 1
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NOTES
10.42012 Managing Electronic Records Conference
Today, the Core Paradigm is CHANGE
Historically, the core paradigm of records management was materials management.
We relied on a very structured set of standards and best practices
Today, the core paradigm is information governance (IG) and risk mitigation.
Governance is a process that accommodates changeSuccessful IG identifies ERM hazards, and guides organizations on the safest ERM journey
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Why Information Governance?
Users Business
IT
Because the RM landscape is rapidly evolving
1. Sheer volume2. Changing technology3. Legal landscape4. Business changes, C-Scrutiny
IT
Case Law
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Change Number 1IG Includes EVERYTHING
Retain Official Records as evidence of
business activities
Hold for litigation or regulatory mattersLegal Hold
150
200
250
300
CONTENT PROFILE
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Dispose of records when no longer
needed
Official Records: Retain as evidence for the full retention periodAncillary Records: Dispose at any time, and as soon as possibleLegal Hold: Suspend deletion as required by Legal
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0
50
100
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NOTES
10.52012 Managing Electronic Records Conference
Changes in Technology
Cloud computingSocial mediaMobile devices
Who is responsible for the information asset?What is the Official
Security and privacyData proliferation and growth
Record?How do we collect and preserve information?Securing information assets based on their classManagement and disposition of information
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Legal LandscapeEvolution of the ‘Trusted Environment’
Record was managed independent of the userP f i l t d hi
User stewardshipIT stewardshipN t h l iProfessional stewardship
Established policies and proceduresDerived from checks and balances in Finance
New technologiesNew legal perspectivesNew testability practicesImportance of good faith and reasonableness
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C-Level Scrutiny
Remember when we used to complain that senior management didn’t pay any attention?Well, those days are overThe C-Suite responds to InformationThe C Suite responds to Information Governance
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Beware the rude gaze of management
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Cohasset Associates, Inc.
NOTES
10.62012 Managing Electronic Records Conference
What Does the C-suite expect?
“Understand our business”“Do something to help us succeed”
Cost, efficiency, reputation, risk“Be specific”Be specificDoes the C-suite understand ERM?
Not so much
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Remember, the higher you go, the shorter the attention
span
Milestone 2Milestone 2
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What is Information Governance?
Governance covers all information in all formatsGartner defines Information Governance (IG) as the specification of decision rights and an accountability framework to ensure appropriate behavior in the valuation, creation, storage, use, archiving, and deletion of information
Remember: the purpose of governance is to help you meet your business goals!
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What Does Success Look Like?How do you know if you’ve achieved it?
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NOTES
10.72012 Managing Electronic Records Conference
The Essential Elements of Governance
Formal grants of authorityWho gets to decide?
“Laws” - Rules of the RoadRules make everyone saferRules make everyone safer
Continuous improvement and oversightSpecific goals and metricsWhat corrective actions are needed?
Processes for changeHow do you change rules or grant of authority?
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Governance Challenges
Resistance – we don’t do this for anything else!Organizational alignment
CultureGovernance models, processes, and roles, p ,
Gaining buy-in and support Management, IT, user
Training, communication, and awarenessGovernance support resourcesCommitment to continuous improvement
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Align Governance with Business Culture
Wandering CatsRule-followers
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Knowledge workers
Must use the ‘latest thing’
Consensus
Process workers
Conservative technology
Command and control
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Cohasset Associates, Inc.
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10.82012 Managing Electronic Records Conference
What Does Success Look Like?
YOU CAN’T DO EVERYTHING!No organization puts an equal emphasis on everything at onceGovernance knowing what you are trying to achieve and mapping a reasonable path to get there while balancing:mapping a reasonable path to get there while balancing:
BenefitCostRiskTimingFeasibility…..
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Consider the C-Level’s ‘Baby’
Regulation
Litigation
LOW HIGH
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Privacy
Cost Control
Outsourcing
Intellectual Property
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Milestone 3Milestone 3
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Cohasset Associates, Inc.
NOTES
10.92012 Managing Electronic Records Conference
Risk/ Value Assessment and
Improvement Goals
Plotting the Course:Commit to an Ongoing Process
PLAN
WDSLL!
Execute Improvement
Plan
Measure and Report Results
Management Review and
ActionDO
CHECK
ACT
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Using Your GPS
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GARP® Assessment
The GARP® Assessment is an evaluation of more than 100 attributes of information governance an organization can deploy to determine how it measures up against the GARP® Principles. The Assessment is organized by each GARP® PrincipleThe Assessment is organized by each GARP® Principle to help determine the organization’s individual principle scores, leading to an overall GARP® Assessment Score.
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NOTES
10.102012 Managing Electronic Records Conference
GARP® Assessment
Measurable OutcomesQuantify Program NeedsProve Qualitative ROIBenchmark Progress
Results Provides benchmarksDirects to resourcesHistorical comparisons
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Experience to Date…
Milestone 4Milestone 4
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Cohasset Associates, Inc.
NOTES
10.112012 Managing Electronic Records Conference
What Does Success Look Like?
Improving Governance processes?If so – How? Roles? Awareness? Accountability?
Cleaning up unneeded data?Cleaning up unneeded data?If so- What data? Where? How much? When?
Improving management of Official Records?If so- Which records? How well do they need to be managed?
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Target the Right Level of Information Life Cycle Control Lifecycle control requirements vary
Ancillary Records : higher volume, but generally less controlOfficial Records: some require very tight lifecycle controls
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Ancillary RecordsOfficial Records
Greater Lifecycle Control
Hig
her
Vol
ume
Routine Collaboration Regulated Records
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ARM Maturity Levels Simplify Concepts for Business Folks
ARM Maturity Description
4 Assured Absolutely nailed down by technology
GARP® Maturity
5 GREEN
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technology
3 Reasonable Pretty good; some technology control
2 Manual Some manual/ process control
1 Ad hoc Absent (or individual)
4 BLUE
3 AMBER
2 ORANGE
1 RED
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Cohasset Associates, Inc.
NOTES
10.122012 Managing Electronic Records Conference
ARM Standards
ARM Maturity
Records Life Cycle Elements
Create Retain Store Access Readability Dispose
Digital SEC IRS DigitalAssuredg
Image Copies
FDA SEC WORM
IRS DigitalCopy DOD
Reasonable UPA SEC UPA Time/Speed
IRS Film Copy
Anderson
Manual INS IRS Paper Copy
Ad Hoc
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Align With Your Business Priorities
ConsiderSources
StandardsRegulationsBest Practices
Elements of life cycleMaturity level for your organization
Reflected in your policies and procedures
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These are YOUR operating standards
Management Evidence
Policies - WHAT
Procedures – HOW
Inspections/Audits – WHO/WHEN/WHERE
Continuous process improvement
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Management Evidence
Good faithReasonability
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NOTES
10.132012 Managing Electronic Records Conference
Milestone 5Milestone 5
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Get Started and KEEP GOING
Identify stakeholdersAlign with culture
Establish governance process
Identify business priorities / strategyId if d l l
Keep It Simple!
Identify near term and long term goalsBE SPECIFICBE MEASURABLEDO WHAT MATTERS
Define ROI/ specific benefits, gain buy-in and fundingMeasure and reportThen do it again!
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Low hanging fruit makes a refreshing salad!
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Start Simply to Target Areas for Improvement
Types of Records
1 = Ad hoc2 = Manual
3 = Reasonable4 = Assured
Business Value / Risk
Current Control
Desired Control
Gap
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Product Testing Records 1 4 3 HFinance Records 3 4 1 H
Accounting Records 3 4 1 HManufacturing Records 1 4 3 HDesign Idea Records 1 3 2 H
Software Development Records 1 3 2 MEmployee Records 2 3 1 M
Toddler Focus Group Records 3 3 0 MReal Estate Records 2 2 0 L
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NOTES
10.142012 Managing Electronic Records Conference
Drill Down to Identify Actions
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Leadership is a Team Sport
You don’t have to figure this out yourselfTake advantage of ARMA and GARPConsult with experienced practitioners
(e.g., Cohasset and ARM)
T k d f MER ki lkTake advantage of MER networking to talk to your colleagues
Ask what has worked and what doesn’tGather good ideasExchange business cards
Assemble your internal teamWho else winsWho’s buy in do you need
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Keep your friends close and your enemies closer.Michael Corleone
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“One’s destination is never a place, but a
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pnew way of seeing things.”
Henry Miller
Cohasset Associates, Inc.
NOTES
10.152012 Managing Electronic Records Conference
Questions?Questions?
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