Automated Compliance: How to Create an IG Program that Manages Itself

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Automated Compliance: How to Create an IG Program that Manages Itself

  1. 1. Automated Compliance: How to Create an IG Program that Manages Itself
  2. 2. Jim Merrifield Contact Jim: jmerrifield@filetrail.com @IGmode linkedin.com/in/jmerrifield www.FileTrail.com Jim Merrifield is the Director of Information Governance for FileTrail, Inc. He focuses on educating enterprise organizations on how to design and implement an effective records management and information governance strategy. Prior to joining FileTrail, Jim was the Records Manager at Finn Dixon & Herling LLP. Jim holds both industry leading designations, the certified Information Governance Professional (IGP) and certified Information Professional (CIP). Jim is co-developer of the ARMA IGP Course, an AIIM education partner and President of the ARMA Connecticut Chapter.
  3. 3. Learning Objectives Upon completion of this webinar, participants will be able to: 1. Mitigate risk associated with compliance and discovery 2. Automate the complete information management lifecycle 3. Utilize a comprehensive plan that drives adoption and adherence of compliance policies
  4. 4. What is Information Governance? The specification of decision rights and an accountability framework to ensure appropriate behavior in the valuation, creation, storage, use, archiving and deletion of information. It includes the processes, roles and policies, standards and metrics that ensure the effective and efficient use of information in enabling an organization to achieve its goals – Gartner 2012
  5. 5. IG Key Statistics » 31% report that poor electronic records-keeping is causing problems with regulators and auditors. 14% are incurring fines or bad publicity. » 14% are already doing auto-classification of electronic records, 37% are keen to do it. » Electronic records aren’t being deleted even when retention periods are set. - AIIM Industry Watch 2013
  6. 6. IG Key Statistics » For 29% the response to the information deluge is “buy more discs”. » 73% include email in their retention policies, but most rely on manual methods to file them. » 45% of organizations plan to increase their records management spend over the next two years. - AIIM Industry Watch 2013
  7. 7. IG Integrates Multiple Perspectives » According to IDC in 2011, SharePoint still had gaps in key Content Management areas including Web Content Management, Document Imaging and Records Management. e gaps are being removed. » Microsoft has continued building functionality through the 2013 release of SharePoint
  8. 8. Information Management Lifecycle Figuring out what information is important Figuring out how long we need to keep it for Then getting rid of it when it’s no longer needed.
  9. 9. ADEM Model Monitor Establish Develop Assess
  10. 10. Assessment of Information Risk & Compliance
  11. 11. Information Risk & Compliance Every Organization must consider its legal and regulatory environment along with its tolerance for risk when determining its governance framework
  12. 12. Information Risk & Compliance » » » What information is needed to support business processes? What steps must be taken to be in compliance with governing laws and regulations? What information should be destroyed and when?
  13. 13. Information Risk & Compliance
  14. 14. Develop An IG Program
  15. 15. Develop An IG Program Adopt a Vision Identify Key Stakeholders Analyze Internal/External Drivers SWOT Analysis
  16. 16. Adopt a Vision » What is your goal for the next 3-5 years? » Define steps to take to meet your business goals » And Don’t Give Up!!!
  17. 17. Identify Key Stakeholders » IT, RIM, Legal, Compliance, Audit, Privacy, HR, etc. » Obtain Executive Sponsorship » Develop Roles/Responsibilities for your key stakeholders CREATE OWNERSHIP WITH YOUR STAKEHOLDERS!!!
  18. 18. Analyze Internal/External Drivers Internal Drivers External Drivers » Corporate culture » Current Business Plans » Financial constraints » Identify technology trends » Identify industry best practices » Evaluate how you “stack up” with your competition
  19. 19. SWOT Analysis Strengths – What do we do well when it comes to IG. Weaknesses – What do we do poorly or even at all when it comes to IG. SWOT Opportunities – What changes in technology may help enhance our ability for good IG. Threats – Are changes in technology threating our ability to manage our information.
  20. 20. Establish an IG PROGRAM
  21. 21. Policy and Procedure Clearly define the scope of your policies and procedures to ensure all information is managed throughout the enterprise Legal Hold Social Media Retention IG Business Units Email BYOD
  22. 22. Communicate Your IG Program » Consider who will be impacted by the new policies and procedures » Knowing all parties that will be affected helps determine the means by which you communicate. Written Oral Face-to-Face Online Video
  23. 23. MONITOR & AUDIT YOUR PROGRAM
  24. 24. Metrics » Amount of information created v. amount disposed » Amount of information initially captured for holds v. amount actually produced to courts » Records disposition metrics may include % of content disposed in any given month » Compliance with end user training
  25. 25. Change Management Regulatory Industryspecific Legal Change
  26. 26. IG Program Benefits » » » » » Reduction in existing e-storage space Eliminate need to purchase MORE e-storage space Reduction in off-site storage costs Reduction in e-Discovery costs Reduction in lost information and time spent locating information » Eliminate time for users to perform governance tasks (declaration, hold management, disposition, etc.)
  27. 27. Automate Your IG Program
  28. 28. FileTrail’s Governance Solution Capture Classify Manage Retain Hold Archive Dispose
  29. 29. Disposition Review Cycle
  30. 30. Retention Dashboard
  31. 31. Defensible Deposition Report
  32. 32. Defensible Disposition Trends
  33. 33. About FileTrail Founded in 2000 HQ in San Jose, CA Over 20 years of IG Experience East Coast: Washington DC 450 Clients and 20% Annual Growth North America: 80% Europe: 20% APAC & Africa Information Intelligence Leader in Management, Asset Tracking and process improvement 33
  34. 34. Jim Merrifield Contact Jim: jmerrifield@filetrail.com @IGmode linkedin.com/in/jmerrifield www.FileTrail.com Jim Merrifield is the Director of Information Governance for FileTrail, Inc. He focuses on educating enterprise organizations on how to design and implement an effective records management and information governance strategy. Prior to joining FileTrail, Jim was the Records Manager at Finn Dixon & Herling LLP. Jim holds both industry leading designations, the certified Information Governance Professional (IGP) and certified Information Professional (CIP). Jim is co-developer of the ARMA IGP Course, an AIIM education partner and President of the ARMA Connecticut Chapter.

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