Implementing Records Management in a Multinational Company
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Transcript of Implementing Records Management in a Multinational Company
Global Records Management & Archiving Global Records Management & Archiving
Implementing RM In A Implementing RM In A Multinational CompanyMultinational Company
Jürg HagmannECM-ILM-RM, April 2006, Baden
Disclaimer:This document contains official Novartis policies. Do not distribute or copy this presentation.
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Novartis @ A GlanceNovartis @ A Glance
• 360 independent affiliates, > 81’000 employees• Located in 140 countries• 3 Divisions
Novartis Pharma• General Medicine• Special Medicine
Sandoz• Generics
Novartis Consumer Health• OTC (Over-the Counter)• Animal Health• Medical Nutrition• Infant & Baby• Ciba Vision
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Background: Why Global RM&ABackground: 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
Global competence center responsible for records management and archiving under consideration of all aspects:
Business
Organizational
AspectsLegal Regulatory
Security
Technical
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Group Records Management PolicyGroup Records Management PolicyThe 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 Records Management Program ComponentsComponents
• Normative frameworkpolicy, standards, guidelines, procedures
• Records schedulerecords inventories catalogue of legal requirementsclassification of recordsrecords ownershipretention schedules
• Naming and indexing conventions• Records management processes
Preservation and destruction of records• Hold management• Global tools• Enforcement
Monitoring and auditing
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Global RM&A Organization & Roles
Global RM&AStrategy & Program
Global RM&A Organization & Roles
Communication, & Liaison Mgmt
Education, Training,Consulting & Support
Service & AccountManagement
RM&A Coordinatorsin Countries & Functions
Business Architecture & Technical Mgmt
Index & MetadataManagement
Records Management Normative Framework
Head Global Quality Operations
Head Pharma DivisionGroup Legal Counsel
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ObjectivesCompliance
Business ContinuityEvidence in Investigations
Risk ControlAccountability / Efficiency
ObjectivesCompliance
Business ContinuityEvidence in Investigations
Risk ControlAccountability / Efficiency
Areas to Be Addressed• 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 Services
Services & Tools
Services & Tools
Normative FrameworkNormative Framework
Competence Center
Competence Center
Strategies/Solution Definition
Strategies/Solution Definition
Awareness/Training
Awareness/Training
Project SupportProject Support
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Global RM&A Network Managed by Global RM&A
Country 1
Legal Entity 1 Legal Entity 2 Legal Entity n
Bus. Func. 1
Bus.Func. 2
Bus.Func. n
Bus. Func. 1
Bus.Func. 2
Bus.Func. n
Bus. Func. 1
Bus.Func. 2
Bus.Func. n
Country RMCountry n
Company RM
Function RM(global & local)Operational RM(local)
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Records Management Organization
Group levelGlobal RM&A• Corporate RM Program• Normative framework• Global RM solutions
Country Level
Country/Company Records Managers• Country specific requirementsFunctional Records Managers• Functional requirementsOperational Records Managers• Responsible for operational activities
Steering GroupLegal, Regulatory, Compliance, Security, IT
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Responsibilities for RM Work ProductsResponsibilities for RM Work ProductsPolicy
Standards(Manual Modules)
ImplementationGuidelines
Services & Tools
Global RM&A
How records are captured and kept
File Plans
When can records be eliminated?
Records Schedule
Why records are kept?Requirements Catalogue
What records exist?Records Inventory Country/Company/
Functional/OperationalRecords ManagersGlobal RM&A providesTools & templates
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Education & Training Strategy
AwarenessSessions
Impl
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tatio
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vel /
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Roll-
out p
hase
1Ro
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Followed by a specific training unit
How to prepare a Records Schedule (1h)
Inst
ruct
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AwarenessSessions
CBT: RM Overview
Specific training modules
CBT‘s: - Guidance for records scheduling
- Records inventory- Requirements catalog- Records schedule- File plan
Instructor-led training
Instructor-led trainingon demand
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ChallengesChallengesOrganizational Structure• Large enterprise – cross-divisional, cross-country• Global vs Local – harmonization, synergies• Country-specific legislation – local requirementsImplementationBusiness• Awareness/Training• Resources with the right expertise• EnforcementIT• Global/cross-functional strategy & solutions -harmonization,
synergies• IT Support for Records Management• Cross-functional charge-out of services
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BenefitsEnterprise• Consistency → Transparency and operational
efficiency• Compliance → Efficiency in business, regulatory and
legal proceedings• Synergies → Cost savings, efficient global operation• Optimized Risk Control
Personal• Improved working environment
Transparency and order: No time wasted looking for recordsNo piles on the floor or in file cabinets and less stress for everybody