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Cours donné en novembre 2012 dans le cadre de l'executive MBA à TUNIS organisé par l'IACE et l'ICHEC

Cours donné en novembre 2012 dans le cadre de l'executive MBA à TUNIS organisé par l'IACE et l'ICHEC

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  • ERM Certificate Program Copyright AIIM
  • ERM Certificate Program Copyright AIIM
  • ERM Certificate Program Copyright AIIM
  • ERM Certificate Program Copyright AIIM
  • ERM Certificate Program Copyright AIIM
  • ERM CO06 Access 06/11/2005 10:52:27
  • ERM CO06 Access 06/11/2005 10:52:27
  • National Archives and Records Administration This slide has a background graphic of Sedona, Arizona.
  • National Archives and Records Administration
  • National Archives and Records Administration
  • National Archives and Records Administration
  • National Archives and Records Administration
  • National Archives and Records Administration
  • National Archives and Records Administration

Transcript

  • 1. e-discoveryJacques FolonPartner Edge ConsultingChargé de cours ICHECMaître De conférences Université de LiègeProfesseur invité Université de Metz 1
  • 2. http://aliaz.com/jacques-folon
  • 3. Cette présentation est surwww.slideshare.net/folonelle est à votre disposition
  • 4. Qui est certain que sonorganisation estparfaitement en règle etpeut à tout momentidentifier et présenter lesdocuments nécessaires à sedéfendre en justice et estprêt à parier?
  • 5. La présentation est en ligne surwww.slideshare.net/folon
  • 6. Table des matières1. Situation actuelle2. Un prérequis ECM3. Ediscovery4. Sedona principles 6
  • 7. La situation actuelle:1/de nombreuses « machines » 7
  • 8. 2/ trop d’informations mène à l’infobésité… 8
  • 9. Le contrôle
  • 10. Quelles informations ?• Electronically stored information (ESI)• Documents scannés, fax• Textes (word, pages, et des anciennes versions), tableurs, calendriers,• Emails entrants et sortant• Databases, sites web, blogs,…• Disques (centraux, locaux, pc, disques externes, clés USB, …)• CRM, CMS• GSM et PDA• Time sheet, comptabilité• Messagerie instantanée• Voice mail• GPS navigation systems• Archivage externe• Metadata• Réseaux sociaux (privés et professionnels) 10
  • 11. 11
  • 12. 2. Un prérequis:electronic content management 12
  • 13. www.aiim.org/training
  • 14. Source : https://www.britestream.com/difference.html .
  • 15. The importance of records • Most of today’s records start out in electronic form – Letters – Emails – Faxes – Web transactions – Other transactions Source: What is ERM www.aiim.org/trainingCopyright © AIIM | All rights reserved
  • 16. Electronic records management Question: Is ERM• The electronic management of paper records?• The management of electronic records? Answer: Both Source: What is ERM www.aiim.org/training
  • 17. Content types and how well managedFor each type of content, evaluate the degree of control that exists in yourorganization in managing it. All respondents (462) Source: What is ERM www.aiim.org/training
  • 18. What are the main business drivers? ss Ef e fic iv en ie ct n cy Effe ERM Co ity m ti nu pl on ia nc C e Source: What is ERM www.aiim.org/trainingCopyright © AIIM | All rights reserved
  • 19. Driver: Compliance • Laws • Regulations • Policies • Standards • Good practiceCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 20. Driver: Effectiveness • Not losing records • Sharing records • Finding records easily • Getting the complete pictureCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 21. Driver: Efficiency • Accessing records quickly • Space savings • Reduced handling costs • Other examples – Archival costs – Disposal of furniture – ConsumablesCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 22. Driver: Continuity • Records are vulnerable to loss • Businesses tend to fail if they lose their records • Electronic storage may speed recovery from a disasterCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 23. The records lifecycle Source: NARACopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 24. Fundamental principles • Records are created, received, and used in the conduct of organisational activities • Organisations should create and maintain authentic, reliable, and usable recordsCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 25. Access and usage principles • Records should be accessible to authorised users • Users should be able to search and access records in usable formats • Records should be organised to support access and managementCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 26. Retention principles • Records must be managed through their lifecycle • Records should be kept as long as required – Statutory requirements – Legal requirements – Business or operational needs • Retaining records longer than required may increase organisational liabilityCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 27. Disposition principles • Disposition is an accepted phase of the records lifecycle – Transfer/accession – Destruction • Records should be disposed of at the end of the lifecycleCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 28. What is ‘Capture’ Capture ERM System Source: What is ERM www.aiim.org/training Copyright © AIIM | All rights reserved
  • 29. The purpose of capturing recordsEstablish a relationship between the record and its contextPlace the record into a controlled environmentLink the record to other related recordsAllow the record to be managed effectively Source: What is ERM www.aiim.org/training Copyright © AIIM | All rights reserved
  • 30. Why not capture everything? • Hard cost of storage • Volume of non-records to sift through – Operationally – For legal or audit requirements • Increased liability for disclosing too muchCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 31. So, what is metadata? • Metadata = “Data about data” – For a document or record this means data such as its author, its title, the issue date, and other information which can usefully be associated with it • Nothing new or unique • Defined in terms of units called “Elements” or “Fields.” – Some support “sub-elements” or “attributes”Copyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 32. Perspectives on metadata • Entering metadata is often called “indexing” • Different users of an ERM system will have different views of what metadata can do for them, and what metadata is required – Business perspective – Records management perspective – User perspectiveCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 33. Why is access controlnecessary? • Ensure ‘systematic control’ and ‘credible evidence’ • Ensure authoritative records • Protect commercially sensitive information • Protect personal information • Limit access to protectively marked informationCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 34. The objects of user access rights• Provide or limit access to specific classes, files or records• Provide or limit access to features• Provide or limit access by security classification – ‘Need to know’Copyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 35. Retention periods - 1 • Capturing a record implies need for retention • A record may be retained in different ways – ERM system – Software application – Separate electronic media – PaperCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 36. Retention periods - 2 • Records will vary in their intrinsic nature • Some records may need to be retained for very long periods of time • Other records will need to be retained for shorter periodsCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 37. The benefits of destroying records • Keeping everything forever is expensive – Storage costs – Search and retrieval – Discovery • Courts have held that there is no requirement to keep everything forever • Destroying records reduces risk – When it is done consistently and in accordance with the records programCopyright © AIIM | All rights reserved Source: What is ERM www.aiim.org/training
  • 38. 3. Après ERM => ediscovery 38
  • 39. Définition et contexte • L’électronique discovery, appelé aussi e-discovery ou ediscovery constitue le procédé par lequel une donnée électronique est recherchée, localisée, sécurisée, identifiée afin qu’elle serve de preuve à charge ou à décharge dans un litige civil ou pénal. • Laccès rapide aux informations contenues dans les documents est indispensable pour élaborer des stratégies gagnantes dans le cadre de contentieux juridiques. • Il est souvent impossible ou il faut trop de temps pour accéder efficacement aux informations pertinentes dès le début du processus de découverte. • De plus, les entreprises sont tenues de conserver et parfois de divulguer des données qui nexistent que dans des langues étrangères. • Avoir les bonnes données au bon moment est critique. • Les entreprises ont donc besoin de solution pour trouver très rapidement les documents requis quelle que soit leur langue.Source www.systran.fr 39
  • 40. Ediscovery modelSource for the next 9 slides: http://edrm.net 40
  • 41. 1/information mgt 41
  • 42. 2/ identification 42
  • 43. 3/ préservation 43
  • 44. 4/ collecteCollection is the acquisition of potentially relevant electronically stored information(ESI) as defined in the identification phase of the electronic discovery process. Theexigencies of litigation, governmental inquiries, and internal investigations generallyrequire that ESI and its associated metadata should be collected in a manner that islegally defensible, proportionate, efficient, auditable, and targeted. 44
  • 45. 5/ processing 45
  • 46. 6/ review 46
  • 47. 7/ Analyse 47
  • 48. 8/ Production 48
  • 49. 9/ Présentation 49
  • 50. 4/ The Sedona Principles:Best Practices Recommendations & Principles for Addressing Electronic Document Production (Second edition, June 2007) The Sedona Guidelines: Best Practices Guidelines & Commentary for Managing Information and Records in the Electronic Age (Sept. 2005) GSA IT Quarterly 50
  • 51. The Sedona Guidelines – Second work product of working group – Draft published in September 2004 for public comment; published in September 2005. – They are: • Important background and roadmap of issues • Link between RIM, IT and Legal Perspectives • Flexible, Scalable and Reasonable – They are not: • Standards or minimum requirements • Unchangeable 51
  • 52. The Sedona Guidelines• 1. An organization should have reasonable policies and procedures for managing its information and records. 52
  • 53. The Sedona Guidelines• 2. An organization’s information and records management policies and procedures should be realistic, practical and tailored to the circumstances of the organization. 53
  • 54. The Sedona Guidelines• 3. An organization need not retain all electronic information ever generated or received. 54
  • 55. The Sedona Guidelines • 4. An organization adopting an information and records management policy should consider including procedures that address the creation, identification, retention, retrieval and ultimate disposition or destruction of information and records. 55
  • 56. The Sedona Guidelines• 5. An organization’s policies and procedures must mandate the suspension of ordinary destruction practices and procedures as necessary to comply with preservation obligations related to actual or reasonably anticipated litigation, governmental investigation or audit. 56
  • 57. 5. Conclusion 57
  • 58. RÖLE DU RESPONSABLE DE SECURITE
  • 59. Sommes nous prêts à nous défendre? 61
  • 60. Jacques FolonJacques.folon@ichec.be
  • 61. Je suis prêt à répondre à vos questions