Global Records Management & Archiving
Implementing RM In A Multinational Company J端rg Hagmann ECM-ILM-RM, April 2006, Baden Disclaimer: This document contains official Novartis policies. Do not distribute or copy this presentation.
Novartis @ A Glance
Global RM&A
• 360 independent affiliates, > 81’000 employees • Located in 140 countries • 3 Divisions Ö Novartis Pharma • General Medicine • Special Medicine Ö Sandoz • Generics Ö Novartis Consumer Health • OTC (Over-the Counter) • Animal Health • Medical Nutrition • Infant & Baby • Ciba Vision
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Background: Why Global RM&A • • • •
Assist in continuing conduct of business Meet legal & regulatory requirements (compliance) Prevent risk in litigations and criminal investigations Provide necessary accountability: e.g. SOX
Ö Global competence center responsible for records management and archiving under consideration of all aspects:
Global RM&A
Business Legal
Regulatory Aspects
Security
Organizational Technical
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Group Records Management Policy
Global RM&A
The Charter of Global RM&A
• Manage/coordinate corporate records management strategy • Develop, publicize, maintain standards, guidelines and training material for records management • Promote awareness and requirements of good practices • Coordinate with Group companies as required for the development and implementation of local records management programs
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Records Management Program Components • Normative framework Ö policy, standards, guidelines, procedures
• Records schedule
Global RM&A
Ö Ö Ö Ö Ö
records inventories catalogue of legal requirements classification of records records ownership retention schedules
• Naming and indexing conventions • Records management processes Ö Preservation and destruction of records
• Hold management • Global tools • Enforcement Ö Monitoring and auditing
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Global RM&A Organization & Roles Head Pharma Division
Group Legal Counsel
Head Global Quality Operations
RM&A Coordinators in Countries & Functions
Global RM&A
Strategy & Program
Service & Account Management
Global RM&A
Education, Training, Consulting & Support Business Architecture & Technical Mgmt
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Records Management Normative Framework Index & Metadata Management Communication, & Liaison Mgmt
Objectives Objectives
Compliance Compliance Business BusinessContinuity Continuity Evidence Evidencein inInvestigations Investigations Risk RiskControl Control Accountability Accountability//Efficiency Efficiency
Services
Global RM&A
Normative Normative Framework Framework
7
Strategies/ Strategies/ Solution Solution Definition Definition
Services Services & & Tools Tools
Areas to Be Addressed • • • • • • • • • • •
J.Hagmann, Baden, April 2006
Definition of Records? Records Inventory Ownership Retention Requirements Records Schedule Access of Records Records Life-cycle Management Integrity & Authenticity Legal Discovery Disposition Process Hold Management
Services Competence Competence Center Center
Awareness/ Awareness/ Training Training
Project Project Support Support
Global RM&A Network Managed by Global RM&A
Global RM&A
Country 1
Country n
Country RM
Legal Entity 1
Legal Entity 2
Legal Entity n
Company RM
Bus. Func. 1
Bus. Func. 1
Bus. Func. 1
Function RM
Bus. Func. 2
Bus. Func. 2
Bus. Func. 2
Operational RM
Bus. Func. n
Bus. Func. n
Bus. Func. n
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(global & local) (local)
Records Management Organization Steering Group Legal, Regulatory, Compliance, Security, IT
Group level
Global RM&A • • •
Corporate RM Program Normative framework Global RM solutions
Global RM&A
Country/Company Records Managers
Country Level
•
Country specific requirements
•
Functional requirements
•
Responsible for operational activities
Functional Records Managers Operational Records Managers
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Responsibilities for RM Work Products Policy Standards (Manual Modules) Implementation Guidelines
Global RM&A
Global RM&A
Services & Tools Records Inventory
What records exist?
Requirements Catalogue
Why records are kept?
Records Schedule
When can records be eliminated?
File Plans
How records are captured and kept
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Country/Company/ Functional/Operational Records Managers Global RM&A provides Tools & templates
How to prepare a Records Schedule (1h)
Awareness Sessions
CBT: RM Overview
Specific training modules
Instructor-led training CBT‘s: - Guidance for records scheduling - Records inventory - Requirements catalog - Records schedule - File plan Instructor-led training on demand
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Implementation level / time
Followed by a specific training unit
Instructor-led learning
Awareness Sessions
Blended learning
Roll-out phase 2
Global RM&A
Roll-out phase 1
Education & Training Strategy
Challenges Organizational Structure • Large enterprise – cross-divisional, cross-country • Global vs Local – harmonization, synergies • Country-specific legislation – local requirements
Global RM&A
Implementation Business • Awareness/Training • Resources with the right expertise • Enforcement IT • Global/cross-functional strategy & solutions -harmonization, synergies • IT Support for Records Management • Cross-functional charge-out of services
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Benefits Enterprise • Consistency → Transparency and operational efficiency • Compliance → Efficiency in business, regulatory and legal proceedings • Synergies → Cost savings, efficient global operation
Global RM&A
• Optimized Risk Control Personal • Improved working environment
Ö Transparency and order: No time wasted looking for records Ö No piles on the floor or in file cabinets and less stress for everybody
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Your documents of today are the assets of tomorrow! Do not neglect them! Thanks for your attention!