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M12S22 - Closing Keynote - Information Management and the Power of Positive Destruction
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M12S22 - Closing Keynote - Information Management and the Power of Positive Destruction

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Speakers: Hon. Peter A. Flynn, John Jessen, Hon. Craig B. Shaffer, Carol Stainbrook, Kenneth Withers, Esq. …

Speakers: Hon. Peter A. Flynn, John Jessen, Hon. Craig B. Shaffer, Carol Stainbrook, Kenneth Withers, Esq.

How would you rate the effectiveness of the actions your organization takes to destroy eligible electronically stored information - pursuant to its retention schedule?

Is unneeded information being retained, because your organization cannot devise an effective process and obtain authorization to actually delete eligible information?

Are you finding that up-to-date retention schedules and a proactive Legal Hold process are still not enough to actually "get to destruction"?

In the 2011/12 Cohasset / ARMA International Electronic Records Survey of past MER attendees and ARMA members an astounding 66% ranked their effectiveness for "electronically stored information" as "marginal" or "fair". In addition, the highest goal for the next one to three years - with a 64% ranking - is to "Implement the consistent and routine deletion of ESI according to the retention schedules".

Read more: http://www.rimeducation.com/videos/rimondemand.php

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  • 1. Cohasset Associates, Inc. NOTES MER 2012 Session S22:  Closing Keynote Information Management and the Power  of Positive Destruction Hon. Peter A. Flynn, Circuit Court of Cook County, Illinois, Chancery Division  John Jessen, Jessen and Associates, Inc.  Hon. Craig B. Shaffer, U.S. Magistrate Judge, District of Colorado  Carol Stainbrook, Cohasset Associates, Inc.  Kenneth Withers, Esq., The Sedona Conference®  1 Key Components of Defensible Destruction In an environment where your destruction decisions can  be second‐guessed and where you can never be sure that  your decision to destroy information is unassailable, you  must develop, integrate, and adhere to a fundamental set  of destruction “best practices” in order to optimize your  defense of process.  2 Key Components of Defensible Destruction Deletion pursuant to a defined  retention schedule Not in violation of a litigation  or investigation hold order Follows a defined and  repeatable process Advance notification provided  to appropriate stakeholders Proper checks & balances: No  one person makes the decision Ensure that  Delete means Delete When in doubt, stop and  determine appropriate route 32012 Managing Electronic Records Conference 22.1
  • 2. Cohasset Associates, Inc. NOTES Key Components of Defensible Destruction Delete pursuant to a defined  • What does the retention period need to be  retention schedule based upon? Not in violation of a litigation  • Business needs or investigation hold order • Compliance requirements Follows a defined and  • Legal needs (non‐litigation) repeatable process • Historical needs • Should schedules address  Records or all Should schedules address “Records” or all  Advance notification provided  information? to appropriate stakeholders • Definition of the categories: Proper checks & balances: No  • Big buckets one person makes the decision • Business process Ensure that  • Business purpose/function Delete means Delete • Document/form title • Any of the above? When in doubt, stop and  determine appropriate route 4 Key Components of Defensible Destruction Deletion pursuant to a defined  • Does the hold process apply to: retention schedule • Litigation Not in violation of a litigation  • Government Investigation or investigation hold order • External Audit • What does “reasonable anticipation of  Follows a defined and  litigation” mean? repeatable process • Is proportionality a measure for  Advance notification provided  preservation? to appropriate stakeholders • When defining information to preserve,  Proper checks & balances: No  are the following the same? one person makes the decision • Potentially relevant • Reasonably relevant Ensure that  • Proportionally relevant Delete means Delete • One copy or all copies?  When in doubt, stop and  • “Preserve in place” or “collect to preserve”  determine appropriate route or either? 5 Key Components of Defensible Destruction Deletion pursuant to a defined  • What does a “defined and repeatable  retention schedule process” mean? Not in violation of a litigation  • IT departments may  follow a very defined  or investigation hold order process when deleting application data… • …but, users casually delete email, files on  Follows a defined and  network drives, etc.  as part of daily work repeatable process • Does this requirement change if: Advance notification provided  • The content owner and the custodian are  to appropriate stakeholders the same? • The process is: Proper checks & balances: No  • Automated  one person makes the decision • Semi‐automated, or • Manual? Ensure that  • Information is for internal use only? Delete means Delete • Is the consistent application of the  When in doubt, stop and  retention schedule important? determine appropriate route 62012 Managing Electronic Records Conference 22.2
  • 3. Cohasset Associates, Inc. NOTES Key Components of Defensible Destruction Deletion pursuant to a defined  • Is “advanced notification” sufficient or, is  retention schedule “advanced approval” required? Not in violation of a litigation  • How far in advance is enough? or investigation hold order • Does this requirement change if: Follows a defined and  • The content owner and the custodian  repeatable process are the same? • The process is: The process is: Advance notification provided  to appropriate stakeholders • Automated  • Semi‐automated, or Proper checks & balances: No  • Manual? one person makes the decision • Information is for internal use only? Ensure that  Delete means Delete When in doubt, stop and  determine appropriate route 7 Key Components of Defensible Destruction Deletion pursuant to a defined  • If no one person makes the decision, what  retention schedule are the: Not in violation of a litigation  • Checks & balances? or investigation hold order • Resources? • Roles? Follows a defined and  • Does this requirement change if: repeatable process • The content owner and the custodian  Advance notification provided  are the same? are the same? to appropriate stakeholders • The process is: • Automated  Proper checks & balances: No  • Semi‐automated, or one person makes the decision • Manual? Ensure that  • Information is for internal use only? Delete means Delete When in doubt, stop and  determine appropriate route 8 Key Components of Defensible Destruction Deletion pursuant to a defined  • What does “delete” need to mean for your  retention schedule organization? Not in violation of a litigation  • Technically unrecoverable or investigation hold order • All copies on specific media Follows a defined and  • All copies on all accessible media repeatable process • All copies on all media • What are the system resources required to  What are the system resources required to Advance notification provided  accomplish “delete means delete?” to appropriate stakeholders • Does this infer “cleansing” or “sanitizing”  Proper checks & balances: No  the media? one person makes the decision • If so, when? Ensure that  • Does this standard change for: Delete means Delete • Removable v. stationary media? • Write‐once v. rewritable media? When in doubt, stop and  determine appropriate route 92012 Managing Electronic Records Conference 22.3
  • 4. Cohasset Associates, Inc. NOTES Key Components of Defensible Destruction Deletion pursuant to a defined  • Is the deletion pursuant to a defined  retention schedule retention schedule? Not in violation of a litigation  • Is the deletion in violation of a litigation,  or investigation hold order government investigation, or external audit  hold order? Follows a defined and  • Is the deletion part of a defined and  repeatable process repeatable process? Advance notification provided  • Have appropriate stakeholders been  to appropriate stakeholders identified and notified? Proper checks & balances: No  • Are there proper checks and balances in  one person makes the decision place? • Do you understand the content and the  Ensure that  context of the data in question? Delete means Delete • Is an investigation required? When in doubt, stop and  • If so, how much investigation? determine appropriate route 10 Key Components of Defensible Destruction In an environment where your destruction decisions can  be second‐guessed and where you can never be sure that  your decision to destroy information is unassailable, you  must develop, integrate, and adhere to a fundamental set  of destruction “best practices” in order to optimize your  defense of process.  By following such a set of best practice components, you  will best be able to defend your process as being a fair,   consistent, and standard practice and not an ad hoc,  inappropriate  attempt to destroy information.   112012 Managing Electronic Records Conference 22.4

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