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22 February 2010
The Effective eDocument RetentionProgram
Policies, Processes and Solutions
Presenters:
A Gartner Perspective“ The December 2006 amendments to the Federal Rules of Civil
Procedure (FRCP) in the U.S. regarding the discovery of ESI and passing of subsequent similar statutes in other countries, has really spurred market interest in e-discovery. This is prompting many companies to rethink their overall information management strategies, from the policy level to the implementation level.”
The three core market catalysts are: Transparency of business performance as aligned to governance, risk &
compliance regulations and subsequent organizational reporting. Mitigating IT risk through the use of real-time and continuous controls
monitoring for transactions, segregation of duties, application configuration and master data.
Preventing business failure through fraud detection, improved user-level and application-level security and corruption.
Gartner Research VP Tom Eid, Press Release 16 December 2009
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eDocuments?eDocuments
Information & Records
Decisions
Actions
Records
Media independentTypically
Structured
Unstructured
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Considering a Retention Program?
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The COSO framework involves several key concepts:
Internal control is a process. It is a means to an end, not an end in itself. Internal control is affected by people. It’s not merely policy, manuals, and forms, but people at every level of an organization. Internal control can be expected to provide only reasonable assurance, not absolute assurance, to an entity’s management and board. Internal control is geared to the achievement of objectives in one or more separate but overlapping categories.
Key Drivers
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Regulatory
Industry
Business Need
Key PlayersRisk Management
Legal
IT
Business
Financial
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Primary ChallengesLack of clear Ownership
“Why not just keep everything? Storage is cheap!”
Not a “sexy” initiative!
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Today’s Typical eDocument Landscape
PRIVILEGED 9
Loosely related PoliciesMultitude of SystemsUncommon Taxonomy
SAP
Network Shared Drives
Sharepoint
Legal MMS
Sales
SaaSHRMS
Internet
Unlocking the Value IT Investment
Structured
Unstructured
Info Value & Risk
UnstructuredStructured
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Know What Your eDocuments your Organization Has?
Know where and how to get them?
Know the cost of keeping them?
11DRAFT - PRIVILEGED
Do You?
DRAFT - PRIVILEGED 12
Loosely related Policies
Multitude of SystemsUncommon Taxonomy
Creating the Structure
Information Assets
Corporate Records and Information Management Framework
Information Policies
Information as an AssetRisks
Value
Management Effort and Approaches
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Information Assets
Corporate Records and Information Management Framework
Information Policies
Systematizing InformationComplex – DMS
EMC OpentextIBM
Simple – CollaborationSharepointLotus Notes
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Information Assets
Corporate Records and Information Management Framework
Information Policies
Corporate Records and IM Framework
GovernanceOrganizational Priority & Visibility
CultureEmployees empowered and involved
InfrastructureLinkages between GC, CIO, CRO
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Information Assets
Corporate Records and Information Management Framework
Information Policies
Key Information PoliciesRetention
Defines What, Who, How Long
DestructionDefines How
Legal HoldDefines the means to interrupt and prevent destruction
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Information Assets
Corporate Records and Information Management Framework
Information Policies
Questions?
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