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Various Dimensions of the Management of Information

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Texas CPAs November 2010

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Various Dimensions of the Management of Information

  1. 1. Various Dimensions of the Management of Information Christian Liipfert Christian Liipfert Consulting, LLC November 5, 2010 Creative Commons US Attribution Non-Commercial Share Alike License 3.0 Unported
  2. 2. Overview <ul><li>Information? </li></ul><ul><li>Information lifecycle? </li></ul><ul><li>Legal, compliance, security and risk mitigation dimensions </li></ul>Christian Liipfert Consulting, LLC
  3. 3. Information Management Documents Records eMail eDocuments Structured data Voice mail Copies psts SharePoint Photographs Video Twitter Text messages Models Backup tapes Off-site storage Privileged Confidential Trade secrets Personal HR stuff Network shares External media IMs Blogs Wikis Facebook LinkedIn Smart phones Data warehouses Home computer Thumb drives CCTV Building access records Microfiche PDFs Dumpster Recycle bin DVDs CDs Gmail Hotmail Legacy stuff Metadata Operations data Conversations Financials Projects Tax Maintenance records Post-Its™ Contracts Vendors Customers Drafts Lunch invites Calendars Notional volumes and types Invoices Payroll Corporate Notes Calendars Cloud
  4. 4. Information Lifecycle Christian Liipfert Consulting, LLC Receive Record Create Change Categorize Transfer Share Store Search Collect Print Post Review Reuse Distill Dispose
  5. 5. Compliance Dimensions <ul><li>Criminal v. civil </li></ul><ul><li>Sarbanes Oxley </li></ul><ul><ul><li>18 USC §1512 – corruptly; official proceedings </li></ul></ul><ul><ul><li>18 USC §1519 – knowingly; intent to … influence proper administration … any matter within jurisdiction … any department or agency --- or in relation to or in contemplation of any such matter </li></ul></ul><ul><li>FCPA books and records </li></ul><ul><li>Risk-based analysis? </li></ul>Christian Liipfert Consulting, LLC
  6. 6. Legal Dimensions <ul><li>Regulatory compliance </li></ul><ul><ul><li>SEC, IRS, DOT, EPA, OSHA, CFTC, FERC, etc. </li></ul></ul><ul><ul><li>Privacy </li></ul></ul><ul><ul><ul><li>HIPAA, Gramm Leach Bliley </li></ul></ul></ul><ul><ul><ul><li>State law; EU Privacy, etc </li></ul></ul></ul><ul><li>Copyright infringement </li></ul><ul><li>Contract compliance </li></ul><ul><li>Company policy compliance </li></ul><ul><li>Legal holds, discovery costs and sanctions </li></ul>Christian Liipfert Consulting, LLC
  7. 7. Security Dimensions <ul><li>Confidentiality </li></ul><ul><li>Integrity </li></ul><ul><li>Availability </li></ul><ul><li>COBIT and COSO </li></ul><ul><li>Homeland Security </li></ul>Christian Liipfert Consulting, LLC
  8. 8. Risk Management Dimensions <ul><li>Compliance v. other dimensions </li></ul><ul><li>Federal Sentencing Guidelines </li></ul><ul><li>Operational risks </li></ul><ul><ul><li>Safety </li></ul></ul><ul><ul><li>Reputation </li></ul></ul><ul><ul><li>Relationships with regulators </li></ul></ul><ul><ul><li>Loss of intellectual property, business opportunity </li></ul></ul><ul><ul><li>Loss of privilege </li></ul></ul><ul><ul><li>Storage and search costs </li></ul></ul>Christian Liipfert Consulting, LLC
  9. 9. Questions? <ul><li>[email_address] </li></ul>Christian Liipfert Consulting, LLC

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