records retention schedule refresh project. contents: i. introduction ii. planning iii. data...
TRANSCRIPT
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Records Retention Schedule Refresh Project
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Contents:
I. IntroductionII. PlanningIII. Data Gathering/Engaging the LOB’sIV. Consultant and Legal ResearchV. Control Committees ReviewsVI. Rollout/Training
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I. Introduction - RRS
Functional Schedule
246 Record Classes (Record Series)
Format: Intranet, Interactive
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I. Introduction - RRS
Each RRS entry includes:
Record Class Code Record Class Name Business Function Description Official Retention Period Retention Event Record Type Example
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II. Planning
What changes are needed and how do we know? Operational Needs Legal/Regulatory Requirements
What are our internal Capabilities within Timeframe? Internal – Operational Adjustments Consultant Partner - Regulatory Research Collaborate – Combining the two and drafting schedules.
How do we engage PNC staff to determine operational Needs? Records Coordinators
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III. Information and Data Gathering
Operational Adjustments
CRM-Originated ACT in Retention Code Similar Record Classes to be Combined Duplicate Record Type Examples Misc
LOB Originated (Records Coordinators) Use/Usability Survey Broadcast Email: Request for needed
adjustments
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III. Information and Data Gathering
Determined for each CRM-originated potential adjustment the LOB Records Coordinator whose are of responsibility that record class fell under.
Record Coordinator Roster of functional areas covered.
RRS Business Function Index
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III. Information and Data Gathering
Operational Adjustments
LOB-Originated Engage Records Coordinators
Use/Usability SurveyBroadcast Email: Request for needed
adjustments Regular inquiries
..
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III. Information and Data Gathering
Operational Adjustments
Met with each Records Coordinator re: the potential adjustments of record classes in their area, CRM-originated and LOB-originated.
Often the Records Coordinators brought the record owners were into the discussion
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III. Information and Data Gathering
Operational Adjustments Document
Drafts per Record Coordinator were prepared and reviewed by the record Coordinator and any record owners who had been part of the discussion.
When all approvals were complete, all of the adjustments were assembled into one Operational Adjustments Document.
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III. Information and Data Gathering
Operational Adjustments
Record Classes Considered for Adjustment
117
Proposed New Record Classes
21
Proposed Discontinued 9
ACT / IND
ACT Identified 92
ACT Addressed 88
IND Identified 18
IND Addressed 13
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IV. Consultant and Legal Research
Consultant Partner: Iron Mountain Consulting Services
1. Manage Legal Research Donald Skupsky/Information Requirements Clearinghouse – US Federal
and States Baker & McKenzie – Canada, UK, Germany Convert the raw research into reports, matrix
2. Prepare Draft RRS Prepare proposed retention periods from legal research Work with us to overlay the Legal research onto the Operational
Adjustment to develop draft RRS’s for review Assist in answering reviewers questions if needed
3. Additional Prepare two guidelines reports Record Class Consolidation Recommendations Collaborate on long range planning for the RRS
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IV. Consultant and Legal Research
Summary of Changes to the RRS
New Record Classes 9
Discontinued Record Classes 11
ACT or IND Eliminated (Changed to a Number) 44
ACT – 2nd Record Class Created (Active & Inactive) 28
Retention Period Changed – Other 18
Changes to Verbiage Only (No Retention Change) 72
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V. RC & Control Committee Reviews
Records Coordinators – Public Comment
Records Steering Committee.
Operational Risk Committee.
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VI. Rollout/Training
Roll-Out
Communication Channel Audience
Group Email Record Coordinators
Quarterly Work Group Call Record Coordinators
Corporate Communications via established Communications Procedure
All Staff
Announcement in the RDA All authorized users
Updated RRS file in Excel via Email
Records Storage Vendors
Posting on the CRM Intraweb page All Staff
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VI. Rollout/Training
2014: In-person and remote live training.
2015: In-person and remote live training Computer-based training
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Questions?