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.

Glo

bal R

M&A

2J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

3J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

4J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

5J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

6J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

7J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

8J.Hagmann, Baden, April 2006

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)

Glo

bal R

M&A

9J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

10J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

11J.Hagmann, Baden, April 2006

Education & Training Strategy

AwarenessSessions

Impl

emen

tatio

n le

vel /

tim

e

Roll-

out p

hase

1Ro

ll-ou

t pha

se 2

Followed by a specific training unit

How to prepare a Records Schedule (1h)

Inst

ruct

or-le

d le

arni

ngBl

ende

d le

arni

ng

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

Glo

bal R

M&A

12J.Hagmann, Baden, April 2006

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

Glo

bal R

M&A

13J.Hagmann, Baden, April 2006

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

Your documents of today are the assets

of tomorrow!Do not neglect them!

Thanks for your attention!Thanks for your attention!