d223ee4f3f8b90f398eb19db8b511316.ppt
- Количество слайдов: 12
Corporate Administration Don’t Forget the Objective The Importance of Records Management Goals Marcel A. Bryar Vice President and Deputy General Counsel November 12, 2008
Agenda l l l l l Why emphasize goals? Follow the Powell Doctrine The Risk of a Quagmire is Real How to Think about your Goals Think Broad But Stay Focused Potential Goals Get Buy-Off Don’t Put on a Straightjacket Questions? 1
Why emphasize goals? l Launching a records management program is dangerous n n l Every enterprise has many records and much information to manage You can easily get bogged down trying to get your arms around that mass Before diving in, therefore, you want to ask yourself, and think hard about, why n n The answer to that question will help you decide which records and what information you want to manage Rather than trying to boil the ocean, you can focus your efforts and have a better chance of success 2
Follow the Powell Doctrine l "We owe it to the men and women who go in harm's way to make sure that … [we have clear] purposes. " "We must not, for example, send military forces into a crisis with an unclear mission they cannot accomplish …” Powell, 1992 Records management is not war, but it shares some key features with war n n It’s complex, requiring you to get many players to perform a multitude of individual tasks in a manner that achieves a common goal And, as in war, you’re always in danger of mission creep 3
The Risk of a Quagmire is Real l ARMA’s 2008 survey show a disconnect between results and effort n n n 74% of respondents have policies for electronic documents, 59% for e-mail (which is low to begin with) But 72% don’t think they have e-mail management under control 68% worry about e-discovery 4
How to Think about your Goals l l The right question to ask is “why, ” not “what” Every compliance program requires you to ask and answer 3 questions n n n l l Why – Why am I doing this? The answer to this question will give your goals What – What am I going to do to achieve my goals? The answer to this question will tell you what you want people to do, i. e. , it will tell your policies How – How am I going make sure people follow my policies? The answer to this question will tell you how to implement your policies Before launching any compliance program, you want to make sure you know why it’s necessary If you start by wondering what you’re going to do, you’re asking the wrong question 5
Think Broad l Records management is an information management problem n n l The volume of paper and electronic data you have obviously is relevant to your business But your most important goals will relate to the information on those records Integrate your program with your data management program Or create a data management program if you don’t already have one – and then merge the two Don’t limit yourself to compliance goals – records management can serve business goals as well n n Storage, of course, costs money More important, making information accessible increases productivity 6
But Stay Focused l Set realistic goals n n n l l l Even if it would be a good thing, ask yourself if you can do it Even if you can do it, ask yourself if the investment will be worth it You may discover your success depends on other programs Shuttle back and forth between implementation requirements and goal setting Talk with regulators to get clarity about their requirements Remember to keep asking yourself “Why do I care? ” 7
Potential Goals l A few examples n n n l Managing litigation and regulatory holds Complying with retention requirements Making information available Minimizing storage costs Destroying records that you don’t need to run the business The first three are retention goals; the last two are risk and cost mitigation goals n n Identifying these goals helps ensure that you can manage the obvious tension between them Failing to identify them can cause grave error – see what happened to Arthur Andersen 8
Get Buy-Off l Don’t develop your goals in a vacuum n n l Review the goals with executive management and get their sign-off n n l l This is not an academic exercise Your goals will drive every decision you make thereafter Executive support is critical for success – you’re going to be making lots of demands on the business and you need management to back you up Being able to relate specific elements of your program back to approved goals will help sell your implementation plans Review the program with your regulator Whatever you do, to the extent you can, don’t lock yourself in 9
Don’t Put on a Straightjacket l Be ready to re-assess your goals when you develop your implementation plans and go to implement n n n l When you sit down to think about implementation, or when you’re monitoring and evaluating your program, be open to rethinking your goals You may discover that you don’t have the resources or time to achieve your goals You may discover that no one can reasonably achieve those goals You may need to prioritize n n Tackle retention first, to avoid losing necessary records Then go after cost and risk mitigation 10
Questions? Q&A 11
d223ee4f3f8b90f398eb19db8b511316.ppt