Records Management Training for HPE Managers

1 Confidential – For Training Purposes Only

Learning objectives

The objective of this course is to provide HPE Managers an overview of Records Management at HPE – what it is and why it is important.

Your key takeaways will be explaining how records and information are managed at HPE and understanding the records management governance structure and the different roles and responsibilities involved; especially, your responsibilities as an HPE manager.

Records Management Training for HPE Managers

2 Confidential – For Training Purposes Only

Why we need to manage records and information at HPE

Everyone at HPE is responsible for appropriately handling and protecting HPE information assets and adhering to applicable regulatory requirements for records retention, privacy, and security. All HPE-owned records must be declared in the Enterprise Records Management System (ERMS). The HPE Records & Information Management (RIM) program does not include the management of records owned by our clients or other non-HPE entities. Such records and information must be managed in accordance with the contract terms and conditions as established between HPE and the client. Do not enter client records into HPE’s records inventory

tracking system (ERMS).

Records Management Training for HPE Managers

3 Confidential – For Training Purposes Only

Why records management is important

The HPE Records Management policy supports HPE’s corporate value of

Uncompromising Integrity. Being open, honest, and ethical in all our dealings requires maintaining accurate business records.

Records contain information that serves as evidence of HPE business transactions and/or compliance with legal obligations.

Records are retained in order to comply with legal obligations and/or to facilitate our business needs.

A systematic approach to managing records provides HPE and you with key benefits, such as:

Reducing costs and saving time Providing a competitive advantage to HPE Allowing HPE to operate more efficiently and effectively Ensuring and demonstrating compliance Reducing legal, regulatory, and financial risks

NOTE: The average cost to properly manage information is approximately $50 to $150 per gigabyte. Preserving, collecting, and reviewing data for legal proceedings costs approximately $8,000 per gigabyte. How many gigabytes of data are on your PC?

Records Management Training for HPE Managers

4 Confidential – For Training Purposes Only

Records Management Governance structure

*HPE Records Management Policy http://standards.int.hpe.com/policy/docs/hpe010-02.htm

Records Management Training for HPE Managers

5 Confidential – For Training Purposes Only

What information are records?

Records are valuable HPE information assets that are created, received, and maintained as evidence of HPE’s business transactions or kept

in compliance with legal obligations. The evidentiary value of the information is what matters.

Is the information necessary for HPE to demonstrate the completion of a business transaction? Does it establish HPE’s rights, duties,

or obligations? Is there a legal requirement to retain the information?

The evidentiary aspect of the information is a key part of the definition of a “record”. To qualify as a “record”, the information must be necessary to establish the fact or existence of a business transaction (and associated rights and duties) and/or to demonstrate HPE’s

compliance with legal obligations. Only a very small percentage of the information created or handled by HPE qualifies as an HPE “record”.

Here are some examples of Records:

Final, executed contracts Budgetary planning, financial management, and forecasting Shipment of hazardous materials Employee expense reports Tax, payroll, and intercompany accounting Publicly released advertising and marketing collateral Reports submitted to governmental agencies to comply with regulatory requirements Transfer and intercompany pricing Credit applications for customers Financial statements submitted to government agencies, shareholders, and others Strategic and business plans Government/regulatory filings Enrollment and participation in employee benefits programs Meeting minutes of HPE’s Board of Directors

Records Management Training for HPE Managers

6 Confidential – For Training Purposes Only

What information are not records?

Much of what we do in our day-to-day jobs touch records, but very little of the documentation and information created or received actually is an official, company “record”.

If the information is not a record and there is no legal or business purpose for retaining it, it should be destroyed as soon as it is no longer useful.

Documents and files generally not considered records include:

Copies (not originals) of electronic and paper messages and documents

Internal emails leading up to a final business decision

Internal drafts Messages scheduling a meeting or phone call Team meeting agendas and tasks Messages regarding employee activities such

as holiday parties Email from third parties, such as advertisements and news briefings Copies of internal publications and blank forms

Data and documents generated or received in the ordinary course of business may be useful and important to doing your job, but they are not “records” unless there is an evidentiary

value to HPE.

NOTE: If the information is subject to a “legal hold” (ie, relevant to reasonably

anticipated or actual litigation), then the information must be retained for the life

of the legal matter. If you have information relevant to the matter, you will

receive instructions from HPE Legal regarding what, how, and how long to retain

the information.

Records Management Training for HPE Managers

7 Confidential – For Training Purposes Only

Who manages records?

Consider the following criteria to determine if your organization needs to manage the records:

Your department created the record or received it from a third party

It’s described in the Records Retention

Schedule https://legal.int.hpe.com/legal/pages/records/RRSs/RRSs.aspx

It’s an unstructured record (email, file shares,

SharePoint sites, etc.) and it’s not going to

change (it’s the final version – not a draft) It’s in an application: Records that are

created in structured applications (systems of record) and databases are automatically ingested into ERMS. Retention rules and policy are applied automatically – no further action is required for these types of records

NOTE: Internal emails that are records are managed by the author; external emails that are records are managed by the receiver.

Records Management Training for HPE Managers

8 Confidential – For Training Purposes Only

The life cycle of a record

Records have a life cycle, which starts when the record is created and ends when the record’s retention period has expired and the record is destroyed. During this time, records can be:

Active – They are in use, being modified, or added to Inactive – They are no longer in current use and must be retained according to the

Records Retention Schedule https://legal.int.hpe.com/legal/pages/records/RRSs/RRSs.aspx

All company records must be declared in the Enterprise Records Management System (ERMS) regardless of whether the records are in paper or electronic form; retained on-site or sent to an external storage vendor.

Records Management Training for HPE Managers

9 Confidential – For Training Purposes Only

How are records managed?

Records are managed as follows:

Identify: Identify records by reviewing the HPE definition of a record and examples, and determining if you have the actual record and not a copy

Classify: Classify and organize records according to the record series described in HPE’s Records Retention Schedule

http://legal.hp.com/legal/pages/records/RRSs/RRSs.aspx

Preserve: All records must be declared in ERMS and are stored securely in Applications, Email, SharePoint Sites or File Shares, at an HPE site, or at an HPE-preferred off-site storage vendor

Archive: Inactive records (final and no longer in use) and active records not needed for periodic reference are maintained in ERMS. Records created in paper format are maintained at a local vendor approved by RIM to manage the storage of HPE records or at the company location if legally required.

Dispose (Destruction): Inactive records that have met their retention period

NOTE: No company records shall be destroyed without explicit direction from Records and Information Management

Records Management Training for HPE Managers

10 Confidential – For Training Purposes Only

What is ERMS?

ERMS is a globally comprehensive

Enterprise Records Management System

HPE is using for all business units in all

regions to manage HPE records. The

ERMS will:

Manage the life cycle of all paper and electronic records from creation to destruction

Enforce record retention and destruction in accordance with the HPE Records Retention Schedule https://legal.int.hpe.com/legal/pages/records/RRSs/RRSs.aspx

Assist in placing legal holds on responsive records

Provide worldwide functionality to locate, retrieve, and present records when necessary – to the right people with the right permissions at the right time

Records Management Training for HPE Managers

11 Confidential – For Training Purposes Only

Responsibilities at a glance

Appoint a Records Coordinator to facilitate managing your organization’s information and

records If you have a change in your Records

Coordinator, notify your Records and have the new Records Coordinator complete the two required Records Management Training courses: Records Management Training for Records Coordinators and Enterprise Records Management Training (ERMS).

Ensure your Records Coordinator complete the required trainings as outlined in the Records Coordinator Handbook http://legal.hp.com/legal/pages/records/RC/RC.aspx

Ensure your Records Coordinator has the authority to direct others in the organization on what the employees must do to support proper management of records

Add Records Management Compliance to employee’s performance goals Establish ongoing communication with your country Records Analyst

http://teams1.sharepoint.hp.com/teams/grm/Shared%20Documents/RC-Global.xls and Records Officer http://teams1.sharepoint.hp.com/teams/grm/Shared%20Documents/RecordsOfficers.xls

Support the Records Officer with the yearly Records Management Self Assessment http://legal.hp.com/legal/pages/records/audit/audits.aspx for your organization

Ensure the Records Management Processes for your organization are sustainable according to the Records Management Policy

Records Management Training for HPE Managers

12 Confidential – For Training Purposes Only

Records Coordinator's responsibilities

A Records Coordinator is your organization’s

point of contact for managing HPE’s

Information and Records The Records Coordinator should be

knowledgeable about the business processes of the organization

Records Coordinators help the team identify, classify, organize and prepare HPE records to be declared in ERMS

Records Coordinators will send, retrieve, or return records to storage for your organization as needed via ERMS

Records Management Training for HPE Managers

13 Confidential – For Training Purposes Only

Records Officer's responsibilities

Oversee the Records Management program for their organization

Support managers in the organization in the execution of their Records Management responsibilities

Ensure their organization is in compliance with HPE Records Management policies and requirements.

Manage any organization-owned Records Management policies and procedures that are designed to ensure compliance with the HPE Records Management policies and requirements.

Ensure communications regarding the Records Management program are delivered throughout the organization.

Provide quarterly reports to senior management within the organization on the state of the Records Management program

Conduct a yearly Records Management Self Assessment of the organization

Records Management Training for HPE Managers

14 Confidential – For Training Purposes Only

Next steps

Day 1:

1. Review the Records Management Manager’s Handbook

https://legal.int.hpe.com/legal/pages/records/DM/DM.aspx

2. Understand the Records Management Governance Structure

3. Introduce yourself to your organization’s Records Officer

https://legal.int.hpe.com/legal/pages/records/index.aspx

Within 30 days:

1. Appoint Records Coordinator(s)

Within 90 days:

1. Ensure all employees go through the Records Management Training for All Employees.

2. Work with your appointed Records Coordinator(s) and Records Officer to assess your department’s records.

Annually:

1. Participate in the Records Management Self Assessment for your organization which is conducted by the Records Officer.

Records Management Training for HPE Managers

15 Confidential – For Training Purposes Only

Records management resources

Records Management Policy http://standards.int.hpe.com/policy/docs/hpe010-02.htm Global Records Management Website

https://legal.int.hpe.com/legal/pages/records/index.aspx Records Management Handbook for Managers

https://legal.int.hpe.com/legal/pages/records/DM/DM.aspx Records Retention Schedule

https://legal.int.hpe.com/legal/pages/records/RRSs/RRSs.aspx Records Management FAQs

http://ent121.sharepoint.hp.com/teams/grmmigrated/Lists/faqs/Categories.aspx Records Officer List

http://ent244.sharepoint.hpe.com/teams/grm/Shared%20Documents/RecordsOfficers.xls Records Analyst List

http://ent244.sharepoint.hpe.com/teams/grm/Shared%20Documents/RC-Global.xls Records Coordinator List

http://ent244.sharepoint.hpe.com/teams/grm/Shared%20Documents/RC-Global.xls GRM Mailbox records.managementteam@hpe.com

Records Management Training for HPE Managers

16 Confidential – For Training Purposes Only