The massive amount of electronic data and paper records being created every day poses a huge challenge to any organization, whether a multi-national company or a small government agency. Corporate scandals and new laws concerning personal information privacy and security have brought a heightened awareness of the need to follow good, systematic records retention and disposition policies. Yet while some organizations have such policies, they are often out-dated, inadequate or simply ignored. Changes brought about by the Sarbanes-Oxley Act and other federal and state legislation, and our increasingly litigious society, make it imperative that every organization now must take steps to manage its records and information to be fully compliant with all regulatory and legal requirements.
- The five steps in creating and maintaining a compliant retention program
- How the Sarbanes-Oxley Act of 2002 impacts your record-keeping
- Why your current retention practices may not protect and may actually hurt your organization
- Guidelines to use when implementing and managing your electronic records systems, including optical imaging, document management and e-mail
- The attendee will be able to discuss general guidelines for record destruction.
- The attendee will be able to identify e-mail management tips and best practices.
- The attendee will be able to review legislation that may impact your records program.
8:30 a.m. - 10:00 a.m.
I. Why You Need A Compliant Program
A. Lessons From Enron And The Demise Of Arthur Andersen
B. The Government Strikes Back: The Sarbanes-Oxley Act And What It Means To You
C. Other Legislation That May Impact Your Records Program
D. Why Having Retention Policies Is Not Always Enough
1. The Impact Of Court Decisions Concerning Retention Schedules, Discovery And Spoliation of Evidence
E. Managing 'Bad' Records In Today's Legal Environment
10:00 a.m. - 10:10 a.m.
10:10 a.m. - 12:00 p.m.
II. Electronic Records And Their
A. The Many Challenges Of Electronic Records Management
B. Electronic Record Retention, The Law And What You Need to Know
C. The Pros And Cons Of Optical Imaging And Electronic Document Management Systems
D. E-Mail Management Tips And Best Practices
III. The Fundamentals Of Creating
A. How To Determine Records Retention Periods
B. Sources For Legal And Other Research
C. Creating/Revising Your Retention Schedule
1. Retention Schedule Formats- Record Function vs. Departmental Series Listings
12:00 p.m. - 1:00 p.m.
Lunch (On Your Own)
1:00 p.m. - 2:50 p.m.
III. The Fundamentals of Creating
Records Retentions (Continued)
IV. Developing The Business Case For
A Compliant Program
A. The Differences Between Business/Non-Profit/Government Programs
B. Presentation Material And Techniques To Top Management
V. Creating A Program Policy
A. Setting Your Program's Foundation
1. Defining Terms And Conditions
a. Records vs. Non- Records
b. Program Roles And Responsibilities
VI. Creating A Viable Record Retention
A. Planning A Record Retention Project
1. Defining Project Goals
2. Conducting A Needs Assessment
a. Actions Steps To Take
3. Choosing Between A Record Inventory And A Records Survey Project
4. Creating Your Project Team
a. Using Internal Resources vs. Leased Employees Or Outside Consultants
5. Gaining And Retaining Project Support
2:50 p.m. - 3:00 p.m.
3:00 p.m. - 4:30 p.m.
VII. Record Destruction And Legal Holds
A. General Guidelines For Record Destruction
B. Suspending Destruction Due To Imminent Or Pending Legal Action
1. Implementing 'Legal Hold' Procedures
C. Consequences For Improper Records Destruction
VIII. Implementing Your Program
A. Training Staff
1. Scope Of Training
2. Roles And Responsibilities
3. Training Tools And Job Aids
B. Conducting A Program Audit
1. Monitoring Electronic Record Growth
C. Potential Problems
1. Overcoming Traditions And Bad Habits
D. Maintaining Your Program In Tough Economic Times
IX. Seminar Summary/Questions And