Implanter une Politique de Conservation Documentaire Sans Se Planter


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Développer et implanter une politique de conservation documentaire dans un contexte corporatif:
- Pourquoi une politique
- Définitions de dossiers, documents, informations et données
- Équipe de rédaction et implantation
- Contenu de la politique
- Cadre de celle-ci
- Lignes directrices et jurisprudence
- Normes et standards
- Systèmes de gestion de l'information (dossier, document, connaissance, etc.)
- Trucs et exemples pratiques

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  • Implanter une Politique de Conservation Documentaire Sans Se Planter

    1. 1. Politique de conservation documentaire Implanter sans se planter
    2. 2. Agenda <ul><li>Objectifs </li></ul><ul><li>Lignes directrices </li></ul><ul><ul><ul><li>Jurisprudence </li></ul></ul></ul><ul><ul><ul><li>Principes de Sedona </li></ul></ul></ul><ul><li>Dossier, Document, Donnée, Information </li></ul><ul><li>Classification </li></ul><ul><li>Équipe </li></ul><ul><li>Inclusions </li></ul>
    3. 3. Pourquoi conserver? <ul><li>3 principaux motifs: </li></ul><ul><ul><li>Usage interne et besoins d’affaires </li></ul></ul><ul><ul><li>Conformité </li></ul></ul><ul><ul><li>Litige </li></ul></ul><ul><li>Ne PAS conserver tout pour toujours! </li></ul>
    4. 4. Pourquoi détruire? <ul><li>Coûts monétaires et humains </li></ul><ul><ul><li>Conservation </li></ul></ul><ul><ul><ul><li>Espace </li></ul></ul></ul><ul><ul><ul><li>Maintenance </li></ul></ul></ul><ul><ul><li>Archivage </li></ul></ul><ul><ul><li>Recherche </li></ul></ul><ul><ul><li>Accès </li></ul></ul><ul><ul><ul><li>Migration </li></ul></ul></ul><ul><ul><ul><li>Systèmes patrimoniaux </li></ul></ul></ul><ul><li>Sécurité </li></ul><ul><li>Poursuite et Enquête </li></ul>
    5. 5. Objectifs de la PCD
    6. 6. Lignes directrices <ul><li>Jurisprudence </li></ul>
    7. 7. Arthur Andersen LLP v. United States <ul><li>Document retention policies, which are created in part to keep certain information from getting into the hands of others, including the Government, are common in business … It is, of course, not wrongful, for a manager to instruct his employees to comply with a valid document retention policy under ordinary circumstances. </li></ul><ul><li>- 544 U.S. 696, 704 (2005) </li></ul>
    8. 8. Weber v. Erb and Erb Insurance Brokers Ltd <ul><li>&quot;[93] Ten years later, it is appropriate an adverse inference be drawn as to the failure to produce the documents results from the documents not supporting the plaintiff’s position. [94] Further, the normal retention period for business records has now expired. There is a strong probability the February 1996 records no longer exist. The plaintiff offers no evidence to the contrary. Failure to produce, or even provide an explanation, supports such an inference. I so find. [95] Accordingly, I conclude there is actual prejudice to the defendant. Without these documents, at the very least, there is a substantial risk a fair trial will not be possible. The action is dismissed.&quot; </li></ul><ul><li>- 2006 CanLII 9987 (ON S.C.) </li></ul>
    9. 9. Fareed v. Wood <ul><li>In para 56, the Court writes, &quot;In Sopinka, Lederman and Bryant, “The Law of Evidence”, 2nd. Ed. 1999 Butterworths, at p. 297, the learned authors discuss the inferences that may be drawn where a witness is not produced. The principle is stated as follows: In civil cases, an unfavourable inference can be drawn when, in the absence of an explanation a party litigant does not testify, or fails to provide affidavit evidence on the application, or fails to call a witness who would have knowledge of the facts and would be assumed to be willing to assist the party. In the same vein, an adverse inference may be drawn against a party who does not call a material witness over whom he or she has exclusive control and does not explain it away. Such failure amounts to an implied admission that the evidence of the absent witness would be contrary to the party’s case, or at least would not support it. &quot; (para 56) &quot;Surely Mr. Wood has knowledge of what transpired. In the absence of evidence, the only inference that can be drawn is that he did know assets were being depleted, that such was improper and that he took no steps to prevent it occurring. In fact, he was an active participant by virtue of redeeming or selling investments when there was no obvious need to do so.&quot; (para 60) </li></ul><ul><li>2005 CanLII 22134 (ON S.C.) </li></ul>
    10. 10. 36332 B.C. Ltd. v. Imperial Oil Ltd <ul><li>&quot;The nature of the problem is such that claims are likely to be raised years after the commercial activity. ... that circumstance, combined with the nature of such cases, suggests to me that commercial prudence would dictate the adoption of document retention policies that preserve the means of investigation of claims.&quot; (para 47). </li></ul><ul><li>2002 BCSC 587 (CanLII) </li></ul>
    11. 11. Malcolm v. Transtech Holdings Limited et al . <ul><li>&quot;McKenna testified that all of these documents did exist until shortly before his own examination for discovery conducted in March 1999. The records of the 30 companies involved in the Group were stored in a dead storage warehouse in Surrey, B.C. McKenna remarked at trial, that had plaintiff’s counsel asked, the necessary documents could have been preserved and produced. However he insisted that no such demand or request was made and accordingly, having complied with the retention periods set out in the Limitations Act , the Income Tax Act and the Companies Act, he said the documents were destroyed in late 1998 or early 1999. As of that date, this action had been outstanding for some four years.&quot; (para 38) &quot;I am satisfied that any sophisticated businessman (and that includes McKenna and his co-defendants) would be well aware that any documents bearing on the issues involved in this action ought to have been produced some years earlier. I infer that no documents were ever produced to verify the “tacit agreement” because no such documents exist.&quot; (para 39) </li></ul><ul><li>2000 BCSC 943 (CanLII) </li></ul>
    12. 12. Moezzam Saeed Alvi v. YM Inc. (sales ) <ul><li>... a properly run company should have a documents retention policy requiring retention of files for a reasonable period extending beyond the limitation period for civil cause of action in contract or tort and the limitation period for a reassessment under the Income Tax Act. Failure to do so risks a court making an adverse inference on the absence of evidence. (para 48) </li></ul><ul><li>2003 CanLII 15159 (ON S.C.) </li></ul>
    13. 13. Ontario v. Johnson Controls Ltd. <ul><li>Johnson bears substantial responsibility for any loss of its documents. There is no evidence of any document retention or destruction policy. A policy with a short retention period might offer some justification to dispose of &quot;smoking guns&quot; and other prejudicial evidence. Any such policy that permits destruction within much less than ten years after an event probably fails to take reasonable account of the standard six year limitation period under the Limitations Act for actions in tort or contract, plus some period to allow for a discoverability period, which allows for discovery of the damage and those responsible prior to the commencement of the limitation period. A short retention period would also ignore the extended period under s. 8 of the Act.&quot; (para 50) &quot;The absence of a document retention policy also constitutes a failure to recognize the court's ability to draw an adverse inference in certain circumstances for failure to produce a document and a failure to address the practical need to retain documents once notice of a proceeding has been received. &quot; (para 51) </li></ul><ul><li>2002 CanLII 14053 (ON S.C.) </li></ul>
    14. 14. Stevens v. Toronto Police Services Board <ul><li>[38] In assessing the evidence I have not drawn any adverse inference from the fact that audio recordings of the police radio transmissions relating to these events were destroyed upon the expiry of their standard retention period. I accept the officers' testimony they were not broadcasting transmissions while chasing and apprehending the plaintiff and so I am satisfied the tapes would not have been helpful. Summaries of the radio transmissions were produced and the destruction of the tapes was innocent. </li></ul><ul><li>2003 CanLII 25453 (ON S.C.) </li></ul>
    15. 15. Lignes directrices <ul><li>Principes de Sedona </li></ul>
    16. 16. Best Practice Guidelines & Commentary for Managing Information & Records in the Electronic Age <ul><li>1. An organization should have reasonable policies and procedures for managing its information and records. </li></ul><ul><li>1.c. Defensible policies need not mandate the retention of all information and documents. </li></ul><ul><li>3. An organization need not retain all electronic information ever generated or received. </li></ul><ul><li>3.a. Destruction is an acceptable stage in the information life cycle; an organization may destroy or delete electronic information when there is no continuing value or need to retain it. </li></ul><ul><li>3.b. Systematic deletion of electronic information is not synonymous with evidence spoliation. </li></ul>
    17. 17. Dossier, Document, Information et Donnée
    18. 18. Dossier <ul><li>Information </li></ul><ul><ul><li>Donnée traitée </li></ul></ul><ul><li>Créée ou reçue, et conservée </li></ul><ul><li>Sur tout type de media </li></ul><ul><li>Comme preuve </li></ul><ul><li>Par une organisation ou une personne </li></ul><ul><li>En conformité avec ses obligations juridiques ou dans le cadre de ses affaires. </li></ul><ul><ul><li>ISO 15489 </li></ul></ul><ul><ul><li>International Committee on Archives (ICA) Committee on Electronic Records </li></ul></ul>
    19. 19. Document Papier <ul><li>Qu’est-ce qui a changé? </li></ul>Document Électronique
    20. 20. Papier vs. Document Électronique
    21. 21. Papier vs. Document Électronique
    22. 22. Volume
    23. 23. Volume
    24. 24. Volume
    25. 25. Volume
    26. 26. Volume
    27. 27. Volume
    28. 28. Volume
    29. 29. Volume
    30. 30. Volume
    31. 31. Papier vs. Document Électronique
    32. 32. <ul><ul><li>Disque Dur (bureau, portable, maison, imrpimante, etc.) </li></ul></ul><ul><ul><li>Téléphone cellulaire et Assistants numériques personnels </li></ul></ul><ul><ul><li>Camera digitale </li></ul></ul><ul><ul><li>Lecteur MP3 </li></ul></ul><ul><ul><li>Serveur </li></ul></ul><ul><ul><li>Ordinateur Central </li></ul></ul><ul><ul><li>CD et DVD </li></ul></ul><ul><ul><li>Clé USB </li></ul></ul><ul><ul><li>Boîte vocale </li></ul></ul><ul><ul><li>Collaboration en ligne / Web 2.0 (Blog, Wiki) </li></ul></ul><ul><ul><li>Cassette de sauvegarde </li></ul></ul><ul><ul><li>… </li></ul></ul>Lieux
    33. 33. <ul><ul><li>Suite bureautique: Word, Excel, PowerPoint, etc. </li></ul></ul><ul><ul><li>Courriel </li></ul></ul><ul><ul><li>Messagerie instantannée </li></ul></ul><ul><ul><li>Page Web </li></ul></ul><ul><ul><li>Base de données </li></ul></ul><ul><ul><li>Image </li></ul></ul><ul><ul><li>Vidéo </li></ul></ul><ul><ul><li>Enregistrement audio </li></ul></ul><ul><ul><li>… </li></ul></ul><ul><ul><li>Papier </li></ul></ul>Formats et Supports
    34. 34. Papier vs. Document Électronique
    35. 35. Papier vs. Document Électronique
    36. 36. Papier vs. Document Électronique
    37. 37. <ul><li>Systèmes de gestion </li></ul><ul><ul><li>Des Documents </li></ul></ul><ul><ul><ul><li>Informations objectives </li></ul></ul></ul><ul><ul><li>Des Dossiers </li></ul></ul><ul><ul><ul><li>Informations objectives/subjectives </li></ul></ul></ul><ul><ul><li>Des Connaissances </li></ul></ul><ul><ul><li>Des Ressources Humaines </li></ul></ul>Gérer l’information
    38. 38. <ul><li>Audit </li></ul><ul><ul><li>Groupes / départements </li></ul></ul><ul><ul><ul><li>Processus de Création de Document </li></ul></ul></ul><ul><ul><ul><li>Types de Document et formats </li></ul></ul></ul><ul><ul><ul><li>Usage et Utilité des Documents </li></ul></ul></ul><ul><ul><li>TI </li></ul></ul><ul><ul><ul><li>Infrastructure / Outils </li></ul></ul></ul><ul><ul><ul><ul><li>Réseaux </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Matériel: Serveurs, Ordinateurs, Téléphones </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Logiciels </li></ul></ul></ul></ul><ul><ul><li>Juridique </li></ul></ul><ul><ul><ul><li>Obligations </li></ul></ul></ul>Création du Système
    39. 39. Carte des données <ul><li>Infrastructure TI </li></ul><ul><li>Information conservée </li></ul><ul><ul><li>Quoi? </li></ul></ul><ul><ul><li>Où? </li></ul></ul><ul><ul><li>Comment? </li></ul></ul><ul><ul><li>Qui? </li></ul></ul><ul><li>Difficultés </li></ul><ul><ul><li>Applications et systèmes patrimoniaux </li></ul></ul><ul><ul><li>Redondance </li></ul></ul><ul><ul><li>Nouvelles technologies </li></ul></ul><ul><ul><ul><li>Messagerie instantannée </li></ul></ul></ul><ul><ul><ul><li>Blackberry ™ </li></ul></ul></ul><ul><ul><ul><li>iPods ™ </li></ul></ul></ul><ul><ul><ul><li>Téléphonie Voix sur Protocole internet </li></ul></ul></ul><ul><ul><ul><li>Message vocal </li></ul></ul></ul><ul><ul><ul><li>… </li></ul></ul></ul>
    40. 40. <ul><li>Politiques </li></ul><ul><ul><li>RMS + DMS + HCM = KMS </li></ul></ul><ul><ul><li>Conservation </li></ul></ul><ul><li>Publicité </li></ul><ul><ul><li>Support Haute Administration </li></ul></ul><ul><ul><li>Présentations </li></ul></ul><ul><ul><li>Intra/Extranet </li></ul></ul><ul><ul><li>Courriel </li></ul></ul><ul><ul><li>Papier </li></ul></ul><ul><ul><li>Rappels </li></ul></ul>Implantation <ul><li>Éducation </li></ul><ul><ul><li>Création </li></ul></ul><ul><ul><ul><li>Courriels </li></ul></ul></ul><ul><ul><ul><li>Web 2.0 </li></ul></ul></ul><ul><ul><ul><li>IM </li></ul></ul></ul><ul><ul><li>Politiques </li></ul></ul><ul><ul><ul><li>Sanctions </li></ul></ul></ul><ul><li>Conformité </li></ul><ul><ul><li>Audits </li></ul></ul><ul><ul><li>Sanctions </li></ul></ul>
    41. 41. <ul><ul><li>Méthodes des employés </li></ul></ul><ul><ul><ul><li>Hiérarchie (sous-dossiers) </li></ul></ul></ul><ul><ul><ul><ul><li>Thèmes </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Dates </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Personnes </li></ul></ul></ul></ul><ul><ul><ul><li>Outlook </li></ul></ul></ul><ul><ul><ul><li>Partage/ Sécurité </li></ul></ul></ul><ul><ul><ul><li>Accès distant </li></ul></ul></ul><ul><ul><li>Utiliser le système pour éduquer </li></ul></ul><ul><ul><ul><li>Impliquer tout le monde dans </li></ul></ul></ul><ul><ul><ul><ul><li>Création </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Implantation </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Support </li></ul></ul></ul></ul>Qu’est-ce qui fonctionne?
    42. 42. <ul><li>Domaines </li></ul><ul><ul><li>Académique </li></ul></ul><ul><ul><li>Commerciaux </li></ul></ul><ul><ul><li>Comptable </li></ul></ul><ul><ul><li>Corporatif </li></ul></ul><ul><ul><li>Juridique </li></ul></ul><ul><ul><li>Médiatique </li></ul></ul><ul><ul><li>Scientifique </li></ul></ul><ul><ul><li>Technique </li></ul></ul>Types de Documents Généraux <ul><li>Présentation, rapport, graphique </li></ul><ul><li>Agenda </li></ul><ul><li>Correspondance </li></ul><ul><li>Entente </li></ul><ul><li>Formulaire </li></ul><ul><li>Modèle, précédent </li></ul><ul><li>Ordre du jour, Procès verbal </li></ul><ul><li>Politique, Code, Ligne directrice </li></ul>Basés sur les réponses des employés
    43. 43. Types de Documents par Domaine <ul><li>Corporatif </li></ul><ul><ul><li>Prospectus </li></ul></ul><ul><ul><li>Procuration </li></ul></ul><ul><ul><li>Résolution </li></ul></ul><ul><li>Juridique </li></ul><ul><ul><li>Affidavit </li></ul></ul><ul><ul><li>Avis </li></ul></ul><ul><ul><li>Dépôt </li></ul></ul><ul><ul><li>Jugement </li></ul></ul><ul><ul><li>Pièce </li></ul></ul><ul><ul><li>Procédure </li></ul></ul><ul><ul><li>Licenses </li></ul></ul><ul><li>Commercial </li></ul><ul><ul><li>Appel d’offre </li></ul></ul><ul><ul><li>Facture </li></ul></ul><ul><ul><li>Soumission </li></ul></ul>
    44. 44. Qualités <ul><li>Projet vs Final </li></ul><ul><li>Original vs Copie </li></ul><ul><li>Publique vs </li></ul><ul><ul><li>Confidentiel </li></ul></ul><ul><ul><ul><li>Secret </li></ul></ul></ul><ul><ul><ul><li>Privilégié </li></ul></ul></ul><ul><ul><ul><li>Personnel </li></ul></ul></ul><ul><ul><li>Usage interne </li></ul></ul>
    45. 45. Charactéristiques <ul><ul><li>Attributs: </li></ul></ul><ul><ul><ul><li>Lecture seule </li></ul></ul></ul><ul><ul><ul><li>Caché </li></ul></ul></ul><ul><ul><li>Contenu </li></ul></ul><ul><ul><li>Extension </li></ul></ul><ul><ul><ul><li>Type de fichier </li></ul></ul></ul><ul><ul><li>Metadonnées </li></ul></ul><ul><ul><ul><li>Contexte </li></ul></ul></ul><ul><ul><ul><li>Nom </li></ul></ul></ul><ul><ul><ul><ul><li>Choisi par l’auteur </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Assigné automatiquement </li></ul></ul></ul></ul>
    46. 46. Responsabilité <ul><li>Corporation </li></ul><ul><ul><li>Amende </li></ul></ul><ul><ul><li>Poursuite </li></ul></ul><ul><ul><ul><li>Obligation </li></ul></ul></ul><ul><ul><ul><ul><li>Conservation </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Destruction </li></ul></ul></ul></ul><ul><ul><ul><li>Destruction </li></ul></ul></ul><ul><ul><ul><ul><li>Exclusion de preuve/témoignage </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Présomption négative </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Spoliation </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Rejet de l’action </li></ul></ul></ul></ul><ul><li>Employé </li></ul><ul><ul><li>Suspension </li></ul></ul><ul><ul><li>Congédiement </li></ul></ul><ul><ul><li>Poursuite </li></ul></ul><ul><ul><ul><li>Civil </li></ul></ul></ul><ul><ul><ul><li>Criminel </li></ul></ul></ul><ul><ul><ul><li>Réglementaire </li></ul></ul></ul>
    47. 47. L’équipe <ul><li>Communication </li></ul><ul><li>Conformité </li></ul><ul><li>Finance </li></ul><ul><li>Juridique </li></ul><ul><li>Ressource Humaine </li></ul><ul><li>Sécurité </li></ul><ul><li>Technologies de l’Information </li></ul>
    48. 48. Réévaluer l’Équipe <ul><li>Quand? </li></ul><ul><ul><li>Fusion / Acquisition/ Vente </li></ul></ul><ul><ul><li>Réorganisation </li></ul></ul><ul><ul><li>Non-conformité </li></ul></ul><ul><li>Qui? </li></ul><ul><ul><li>Employés </li></ul></ul><ul><ul><ul><li>Promotion </li></ul></ul></ul><ul><ul><ul><li>Licenciement </li></ul></ul></ul><ul><ul><ul><li>Retraite </li></ul></ul></ul>
    49. 49. Étalonnage <ul><li>Corporatif </li></ul><ul><ul><li>Interne </li></ul></ul><ul><ul><ul><li>Avant vs Après </li></ul></ul></ul><ul><ul><ul><li>Annuel </li></ul></ul></ul><ul><ul><li>Externe </li></ul></ul><ul><ul><ul><li>Partenaires </li></ul></ul></ul><ul><ul><ul><li>Entités fusionnées/acquises </li></ul></ul></ul><ul><ul><ul><li>General Counsel Roundtable, etc. </li></ul></ul></ul><ul><li>Résultats </li></ul><ul><ul><li>Nombre de dossiers / documents </li></ul></ul><ul><ul><li>Nombre de Go </li></ul></ul><ul><ul><li>Coûts </li></ul></ul><ul><ul><ul><li>Archivage </li></ul></ul></ul><ul><ul><ul><li>Serveurs </li></ul></ul></ul><ul><ul><li>Productivité et efficacité </li></ul></ul>
    50. 50. Sursis de Destruction
    51. 51. Sursis de Destruction <ul><li>Partie intégrante de la PCD </li></ul><ul><li>Obligation des préserver les documents </li></ul><ul><ul><li>Poursuite raisonnablement appréhendée </li></ul></ul><ul><li>Suplante la PCD </li></ul><ul><li>Sursis des routines de destruction </li></ul><ul><li>Préservation immédiate de l’information </li></ul>
    52. 52. Processus <ul><li>Mémo interne </li></ul><ul><li>À: TI, SI, RM, Témoins clés </li></ul><ul><li>Contenu Explique </li></ul><ul><ul><li>le sursis </li></ul></ul><ul><ul><li>Où et comment chercher </li></ul></ul><ul><li>Visiter le groupe de TI (copie de sauvegarde) </li></ul><ul><li>Rencontre des témoins et de leurs assistantes </li></ul><ul><li>Plus d’une fois </li></ul><ul><li>Surveiller la Conformité </li></ul>
    53. 53. Conclusion <ul><li>Gestion de l’information: Nouvelle priorité </li></ul><ul><li>4 Cs </li></ul><ul><ul><li>Coordination </li></ul></ul><ul><ul><li>Communication </li></ul></ul><ul><ul><li>Conformité </li></ul></ul><ul><ul><li>Coût </li></ul></ul><ul><li>Éviter les présomptions négatives/ spoliation </li></ul><ul><li>Améliorer </li></ul><ul><ul><li>Limiter la création et la conservation de documents </li></ul></ul><ul><ul><li>Auditer et Réviser les politiques et les processus de conservation/destruction et sursis de destruction </li></ul></ul>
    54. 54. Standards et Lignes Directrices <ul><li>ANSI/ARMA 9-2004, Requirements for Managing Electronic Messages as Records </li></ul><ul><li>ANSI/ARMA TR31-2004, Legal Acceptance of Records Produced by the Information Technology Systems </li></ul><ul><li>ANSI/ARMA 8-2005, Retention Management for Records and Information </li></ul><ul><li>DOD5015.2, Functional Requirements for ERM Software </li></ul><ul><li>European Commission (2001), Model Requirements for the Management of Electronic Records </li></ul><ul><li>ISO 15489, Information & Documentation – Records Management </li></ul>
    55. 55. Ressources <ul><li>Standards </li></ul><ul><ul><li>Association of Records Managers and Administrators </li></ul></ul><ul><ul><li>Canadian General Standards Board [CAN/CGSB-72.34 – 2005 Electronic Records as Documentary Evidence] </li></ul></ul><ul><li>Périodes de Conservation </li></ul><ul><ul><li>Législation </li></ul></ul><ul><ul><li>Jurisprudence </li></ul></ul><ul><ul><li>Us et coutumes </li></ul></ul><ul><ul><li>Tolérance au risque </li></ul></ul><ul><li>Administration de la preuve électronique (E-discovery) </li></ul><ul><ul><li>The Sedona Conference </li></ul></ul>
    56. 56. <ul><li>Questions </li></ul><ul><li>Dominic Jaar </li></ul><ul><li>[email_address] </li></ul><ul><li>514.212.9348 </li></ul><ul><li> </li></ul>