Generally Accepted Recordkeeping

Principles:The Principle of Transparency

Alaska Chapter of ARMA InternationalPresented by: Tara Carey, ARMA Board Member & VPApril 10, 2014

Based on Generally Accepted Recordkeeping Principles ©

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

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.”

…is where you showcase your information governance

and business processes.

The Principle of Transparency

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

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 moneyAvoid potential fines, litigation, or even

prosecution

Examples of DocumentationRecords 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 websitehttp://www.epa.gov/records1/policy/manual/inde

x.htm

Examples of publicly published information governance

documentation http://www.lva.virginia.gov/agencies/records/manuals/vprm

m.pdf https://www.tsl.texas.gov/slrm/recordspubs/rmm.html https://www.kshs.org/p/state-records-management-manual/1

1365 http://www.idahocities.org/DocumentCenter/Home/View/113 http://www.doncio.navy.mil/ContentView.aspx?id=707 http://www.library.ubc.ca/archives/manuals/rm_manual.pdf

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.

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

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

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)

Thank you!Tara Carey, VP

Alaska Chapter of ARMA International

2014