Information management dysfunction and poor data governance not only creates corporate inefficiencies, it creates vulnerabilities that increase intellectual property (IP) risk, especially to trade secrets. It may also violate Sarbanes-Oxley’s Section 404 internal controls requirements. Today, the majority of a company’s information-based intangible assets exceed its tangible assets. Intangible assets vary in their value and market capitalization representation, but among them, trade secrets can be the most exposed while representing the greatest portion of a company’s IP. A trade secret requires establishment and maintenance and continual effort to maintain---through secrecy and secured documentation. Protecting trade secrets by locking them away from external and internal thieves is no longer enough, and has not always been that effective, particularly if litigation is involved. Failure to safeguard and properly document those efforts can negate trade secrets’ protected status.

1. Optimizing Trade Secret Asset
Management through Audits and
Information Management
A Doculabs Risk and Compliance REDReview Program

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2Introductions: About Doculabs
Doculabs is a strategy consulting firm; our clients rely on us to help them
improve the way they mitigate risk, address regulations, and manage
information. We provide services such as creating strategic roadmaps and
business cases, risk assessments, compliance health‐checks, enhanced due
diligence and investigations, and program development.
Our Global Risk and Compliance consultants are experts in helping clients
address the right issues to improve operations, lower costs, increase revenue,
and reduce risk.
Differentiators
• Big 4 experience with small consulting approach
• Viewing risks from the lens of protector,
prosecutor, and penetrator
• Expertise with global high‐risk assessments
• Objective recommendations
• Niche provider of information management and
governance guidance in a combined approach
Quick Facts
• Founded in 1993, with a history of over 20
years of strategic innovation
• Headquartered in Chicago
• Privately held
• Delivered more than 1,000 engagements to
more than 550 customers

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3
• Global institutions have 100’s if not
thousands of high value IP content assets
that are accessed daily.
• There is a growing need to
simultaneously use, share, and protect
content across multiple channels.
• Misuse and loss affects competitiveness,
corporate fiscal health, and compliance.
Intellectual Property Digital Use and Protection 3
Research, Products,
Descriptions, Approval
Requests, Q&A, Charts,
Forms, ToDo’s, Disclosures,
Media, Collaboration,
Infographics
@
www
Current State Access and Use or Misuse

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4Industry View
In Doculabs’ Risk and Compliance opinion, industries lag in terms of its
overall discipline and maturity for IP asset management, in particular, Trade
Secrets:
• No end‐to‐end process view of IP lifecycle development, maintenance,
access, use, transfers, and protection
• Challenges in content ownership responsibility vs. use and fulfillment
responsibility across multiple teams
• Content re‐use creates inadvertent disclosure
Enhancing your information architecture is key to proper use and
protection of high value IP content effectively
4

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5Symptoms of an IP Information Architecture Problem
Multiple copies of Trade
Secret IP in different
locations
Difficult to find
information unless you
already know where it is
Different folder
hierarchies and schemas
on multiple systems
Orphaned or missing
objects and documents
with changing access
Lack of standard file
naming conventions and
metadata
5
No review/expiration
dates for the disposition
of regulated content
Inappropriate system
access and
authorization rights to
employees
Inadvertent integration
of systems that create
backdoor use
Unrestricted third party
system controls, access,
and use

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6Doculabs’ Deliverables: From Trade Secret Audit to Asset Management 6
Based on core business processes , use cases , misuse or theft , and litigation,
Doculabs analyses, makes recommendations, and creates deliverables and
strategic roadmaps to address Trade Secret Auditing and Asset Management:
Site and folder
structures – understand
what you have and
where it is located
Content Model –
how content is organized
and who has access for use
and maintenance
Object and document
identification –
how types, parent/child
relationships, how many levels
deep you have content that
needs asset identification and
protection controls?
Discovery – what metadata
allows you to find and
protect, as well as
understand vulnerabilities
Object and document
classification – what
standards can be used
across systems to classify
documentation for
appropriate handling and
asset valuation /
identification
File name Field 1 Field 2 Field 3
Xxxxxxx xxxxx xxxxx xxxxx
Xxxxxxx xxxxx xxxxx xxxxx
Xxxxxxx xxxxx xxxxx xxxxx
Xxxxxxx xxxxx xxxxx xxxxx
Xxxxxxx xxxxx xxxxx xxxxx
Xxxxxxx xxxxx xxxxx xxxxx
Trade Secret Auditor ‐
business method tool
automates the processes of a
trade secret audit, reducing
costs with a proven
methodology.

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7Content Model – Do you know where your Trade Secrets wandered?
The Periodic Table of Content Elements

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8Doculabs’ Methodology for Trade Secret Asset Management
Active Facilitation
Proven
Communication
and Security
Artifacts
Repeatable
Process
TSAM
Active facilitation of working
sessions with business
participations is critical to
achieving the best outcomes (and
making the process “less painful”
then a “taxonomy”)
Trade Secret Asset Management Program Framework
Governance and
Operations
Information ArchitectureTechnology
Trade Secret Asset Mgmt
Program Strategy
Communications and
Training
Process Design and
Implementation

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9Doculabs’ Trade Secret Asset Management Program Framework 9
Category Description
Industry
Maturity Level*
Content
Management
Program Strategy
The overall strategy and direction for managing digital content to support
business objectives
3
Governance and
Operations
The program structure, roles, responsibilities, and resources to ensure
proper governance over digital content 2
Process Design
and
Implementation
The operational policies, processes, and guidelines for content authoring,
publishing, and maintenance.
3.5
Technology The platforms and toolsets used to mange digital content throughout its
lifecycle of creation, consumption, reuse, maintenance, and expiration 3.5
Information
Architecture
The organizational hierarchy and taxonomy for digital content (including
metadata) 2
Communications
and Training
The program and mechanisms for communicating the digital content
management program and for training users involved in content
management processes
3
*we score on a scale of 1 to 5,
where 3 is average and 5 is best in class.

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10Doculabs Summary
• Who else in your organization is likely to be concerned with
these challenges?
• What additional background or materials can we provide to
introduce Doculabs’ Risk and Compliance Trade Secret
assistance to your organization?
• Thank you for your time!
10

11. Thank You
Scott Swanson, CFE, CFCI
Practice Leader, Global Risk
and Compliance
(312)‐659‐3000 (Direct)
sswanson@doculabs.com