Assess Your Organization's Information
Governance using the Generally Accepted
Recordkeeping® Principles
September, 2012
1
Presenting
Fred Pulzello, CRM
Vice President, Information Governance
Archive Systems, Inc.
Past Treasurer of ARMA International
Co-creator of the Generally Accepted
Recordkeeping Principles®
Fred Pulzello, CRM
Vice President, Information Governance
Archive Systems, Inc.
973-287-1365 (phone)
201-723-5865 (mobile)
fpulzello@archivesystems.com
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.
2
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
3
Principles based
4
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
5
Arthur Anderson
6
Compliance considerations
Government
– NARA
– FOIA
Financial
– Dodd-Frank Act
– SEC
Pharmaceutical
– HIPAA
– FDA 21 CFR Part 11 for electronic records keeping
7
Need to have consistent governance
Policies need to be consistent regardless of
media
8
Where to Start?
 Perform Generally Accepted Recordkeeping Principles®
Assessment
 Current State
 Gap Analysis
 Future State
 Perform Detailed Assessment



People
Process
Technology
 Perform Risk Analysis



9
Identify
Quantify
Prioritize
Generally Accepted Recordkeeping
Principles ®
10
Generally Accepted Recordkeeping Principles®
Objective Standards
Principles used
to support effective
recordkeeping within an
organization.
11
GOOD
BUSINESS
PRACTICES
Generally Accepted Recordkeeping Principles®
 A
accountability
 T
 I
 P
transparency
integrity
protection




compliance
availability
retention
disposition
C
A
R
D
Each principle:
 implies certain rules of
behavior
 dictates certain controls
 carries oversight
requirements
 carries recordkeeping
requirements
 carries audit implications
 carries continuous
improvement implications
Information Governance Maturity Model
Maturity Level
1
Sub-standard
2
In Development
3
Essential
4
Proactive
5
Transformational
13
Color
Status
RED
ORANGE
AMBER
BLUE
GREEN
Detailed Assessment
14
Tools &
Infrastructure Technology Governance
Assessment Process
Streamline Policies
And Procedures
Enhance Current
Tools – Install
New Tools
Setup
Planning
Assess
Current
Policies and
Procedures
Evaluate
against
Requirements
Determine
Future State
Strategic
Roadmap
Generally Accepted Recordkeeping Principles ®
Regulatory Preparedness, Efficient Information Management, and Improved ROI
15
Update
Infrastructure
Deep Dive Analysis
Governance
Policy
Compliance
Organization
Business requirements
Technology
ROI
16
Risk Analysis
17
Risk Analysis
18
Assessment Tool
19
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
20
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
21
Assessment Reporting
22
Baseline and Average Score
23
Average Score by Principle
24
Dashboard Reporting
25
Dashboard Reporting
26
Dashboard Reporting
27
Dashboard Reporting
28
How Archive Systems Can Help
29
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
30
Strategic Consulting: A.A.R.P.
Advisory
Assessment
Remediation
Production
31
Advisory
Discussion with
key stakeholders
Health Check
Records program
assessment
Records
management
strategy
Records
management
governance
Records
management
program
Records
management
technology
Findings and
recommendations
presentation
Gather existing
information
Measure against
best practices to
identify gaps
Assess risk and
prioritize gaps to
be addressed
Develop ROI and
roadmap to reach
desired state
Detailed findings
and
recommendations
documentation
Detailed roadmap
and milestones
Assessment
Assessment Tool
Identify key
stakeholders
Remediation
Production
32
Measure
progress
against
deliverables
Archive Metrics – Main Screen
Archive Metrics – Lifecycle Graphs
Audience Questions?
Thank You!
Fred Pulzello, CRM
Vice President, Information Governance
Archive Systems, Inc.
973-287-1365 (phone)
201-723-5865 (mobile)
fpulzello@archivesystems.com
Slide 35