September, 2012

1. Assess Your Organization's Information Governance using the Generally Accepted Recordkeeping® Principles September, 2012

2. Presenting Fred Pulzello, CRMVice President, Information Governance Archive Systems, Inc. Past Treasurer of ARMA International Co-creator of the Generally Accepted Recordkeeping Principles® About ARMA International and the Generally Accepted Recordkeeping Principles ®ARMA International (www.arma.org) is a not-for-profit professional association and the authority on managing records and information. Formed in 1955, ARMA International is the oldest and largest association for the information management profession with a current international membership of more than 10,000. It provides education, publications, and information on the efficient maintenance, retrieval, and preservation of vital information created in public and private organizations in all sectors of the economy. It also publishes Information Management magazine, and the Generally Accepted Recordkeeping Principles ® More information can be found at www.arma.org/garp.

3. Principles “As to methods there may be a million and then some, but principles are few. The man who grasps principles can successfully select his own methods. The man who tries methods, ignoring principles, is sure to have trouble.” • Ralph Waldo Emerson

4. Principles based

5. Failures of Compliance “There have been a lot of emphasis on compliant record keeping systems over the years, with the emphasis perhaps on those organizations who have failed, rather than those who do have a compliant system.” Information Overload Issue 6: Information Management Compliant Records Management System, Feb 2003

6. Arthur Anderson

7. Compliance considerations • Government • NARA • FOIA • Financial • Dodd-Frank Act • SEC • Pharmaceutical • HIPAA • FDA 21 CFR Part 11 for electronic records keeping

8. Need to have consistent governance • Policies need to be consistent regardless of media

9. Where to Start? • Perform Generally Accepted Recordkeeping Principles® Assessment • Current State • Gap Analysis • Future State • Perform Detailed Assessment • People • Process • Technology • Perform Risk Analysis • Identify • Quantify • Prioritize

10. Generally Accepted Recordkeeping Principles ®

11. Generally Accepted Recordkeeping Principles® Objective Standards DISPOSITION ACCOUNTABILITY TRANSPARENCY RETENTION AVAILABILITY INTEGRITY GOOD BUSINESS PRACTICES COMPLIANCE PROTECTION Principles used to support effective recordkeeping within an organization.

12. Generally Accepted Recordkeeping Principles® accountability transparency integrity protection compliance availability retention disposition Each principle: • implies certain rules of behavior • dictates certain controls • carries oversight requirements • carries recordkeeping requirements • carries audit implications • carries continuous improvement implications • A • T • I • P • C • A • R • D

13. Information Governance Maturity Model

14. Detailed Assessment

15. Assessment Process Streamline Policies And Procedures Governance Enhance Current Tools – Install New Tools Tools & Technology Update Infrastructure Infrastructure Generally Accepted Recordkeeping Principles ® Regulatory Preparedness, Efficient Information Management, and Improved ROI

16. Deep Dive Analysis • Governance • Policy • Compliance • Organization • Business requirements • Technology • ROI

17. Risk Analysis

18. Risk Analysis

19. Assessment Tool

20. Assessment-Basic • Basic Package: • 1 organizational assessment • 1-5 respondents • Access to your data for one year, renewable each year • Compare against your previous organizational assessments with each purchase • Assessment reports provide your GARP® score by principle, overall GARP® score, and individual responses • Ideal for: • Small organizations • Assessing an individual department, location, or division • Proving program needs to management

21. Assessment - Premium • Premium Package: • Unlimited organizational assessments per year • Unlimited respondents in multiple configurations based on your needs • Compare against your previous organizational assessments • Ongoing access to your reports while your one-year subscription is active • Assessment reports provide your GARP® score by principle, overall GARP® score, and individual responses • Industry baseline data (Coming Soon!) • Ideal for: • Large organizations • Organizations needing flexible deployment options • Continual assessment to show program improvement and ROI

22. Assessment Reporting

23. Baseline and Average Score

24. Average Score by Principle

25. Dashboard Reporting

26. Dashboard Reporting

27. Dashboard Reporting

28. Dashboard Reporting

29. How Archive Systems Can Help

30. Holistic Approach to Records Management • Changing the way the world manages documents • Building the bridge between paper and electronic records • Compliant solutions at all stages of the information lifecycle • Modular consulting approach

31. Strategic Consulting: A.A.R.P. • Advisory • Assessment • Remediation • Production

32. Advisory Assessment Remediation Production

33. Archive Metrics – Main Screen

34. Archive Metrics – Lifecycle Graphs

35. Audience Questions? Thank You!