The thesis if this presentation is that good information management is the key to effective eDiscovery and early case assessment, and that poor information management leads to ineffective and costly discovery efforts. The presentation covers; implementing a comprehensive RIM Framework and why it is the best defense in Discovery, Mitigating risk while maintaining record-keeping compliance, Applying Canadian General Standards Board standards to keep records with integrity.

1. Turning Risks into Rewards:
Developing a Comprehensive Records and
Information Management Framework
Event:
IQPC 2nd Annual eDiscovery Canada
Toronto, Ontario, Canada
March 28-30, 2010
Presented by;
Keith Atteck
Supervisor, Information Management
Vale

2. 
VALE - (NYSE: VALE)
 www.vale.com
 Vale was born in 1942 in Brasil

Vale Canada Limited, a wholly-owned subsidiary of Vale
 Vale's nickel business, formerly known as Inco, has a rich history
dating back more than 100 years in Canada.

What we do
 Worlds largest producer of Iron Ore and one of the worlds largest producers of
Nickel
 Vale also produces copper, manganese, ferroalloys, bauxite, alumina,
aluminum, coal, cobalt, PGMs, fertilizers, steel, and energy
 Vale operates on six continents through its mining operations, mineral research
plants, and commercial offices
 Employ > 100,000 employees, including outsourced workers worldwide
2

3. Topic:
 Turning Risks into Rewards: Developing a
Comprehensive Records and Information
Management Framework
 Implementing a comprehensive RIM Framework and why it
is the best defense in Discovery
 Mitigating risk while maintaining record-keeping
compliance
 Applying Canadian General Standards Board standards to
keep records with integrity
3

4. Disclaimer
The views expressed in this presentation
are those of the author.
4

5. IM is the source for discovery
Poor IM = Hard Discovery
Good IM = Easy Discovery
Source: http://edrm.net/
5
Goal

6. Risk: Information Management (IM)
Now, where
did I put
that
document?
Why must
information be
systematically
managed and
protected?
eRecords on
Servers make
the job more
critical?
6

7. Risk: Information Management (IM)
Source: ARMA Drafting a ‘Dream Team’ to Prevent E-Discovery Nightmares
NOVEMBER/DECEMBER 2010 INFORMATIONMANAGEMENT
7

8. Risk: IM Technology Evolution
1.
Print, Index, Folder, Cabinet, Box, Binder, Stick File, etc.

Electronic File – Name.doc, xls, ppt, pdf, dgn, dwg, etc.
2.
Hard Drive – PC or Laptop, C: Folders
3.
Network Shared Drive, S: I: Folders
E-mail, Personal Folders - Outlook
5.
Present & Past
Paper Record, Blue Print Drawing
4.
Future, Current

Floppy, CD, DVD, PDA, Flash Drives, iPad etc.
6.
Web Sites - Intranet, FTP, Extranet, Portals – SharePoint
7.
Tracking Databases – ERP, etc.
•
Enterprise Content Management (ECM) - Imaging
•
Wikis, Blogs, IM, Web 2.0, Cloud Computing, etc.
8

9. RIM: Solving Business Issues
 Paper to electronic records paradigm shift
Paper the record – electronic the convenience
Paradigm Shift
Electronic the record – Paper the convenience
 Technology Systems Differentiation
Systems of Record – Official Corporate Records
Vs.
Systems of Engagement – Sharing and Messaging
Vs.
Systems of Management – Dynamic Databases
Etc.
9
All
may be
deemed
Records
&
All
may be
Relevant
In
Discovery

10. Risk: IM is Global!
Think Globally and Act Locally
10

11. Risk: Evidence

Canada Evidence Act
 “31.1 Any person seeking to admit an electronic document as evidence has the
Authentication
of electronic
documents
burden of proving its authenticity by evidence capable of supporting a finding that
the electronic document is that which it is purported to be.”
 “31.2 (1) The best evidence rule in respect of an electronic document is satisfied
Application of
best evidence
rule —
electronic
documents
• (a) on proof of the integrity of the electronic documents system by or in
which the electronic document was recorded or stored; or
• (b) if an evidentiary presumption established under section 31.4 applies.”
Standards may
be considered
 “31.5 For the purpose of determining under any rule of law whether an electronic
document is admissible, evidence may be presented in respect of any standard,
procedure, usage or practice concerning the manner in which electronic documents
are to be recorded or stored, having regard to the type of business, enterprise or
endeavour that used, recorded or stored the electronic document and the nature and
purpose of the electronic document.”
Source: Department of Justice - http://laws.justice.gc.ca/eng/StatutesByTitle/C.html
11

12. Best Practice: Evidence
Canada
CAN/CGSB 72.34-2005 - Electronic Records as Documentary
Evidence
“5.2.1 Those who wish to present an electronic record as evidence in
legal proceedings shall be able to prove
a) authenticity of the record;
b) integrity of the Records Management System that a record was
recorded or stored in; and
c) that it is "a record made in the usual and ordinary course of
business" or that it is otherwise exempt from the legal rule barring
hearsay evidence.”
Source: CGSB - http://www.tpsgc-pwgsc.gc.ca/ongc/home/index-e.html
12

13. Best Practices: Standards
International
ISO 15489:2001 – Information and Documentation – Records Management –
Guidelines
United States ANSI/AIIM TR31-2004 – Legal Acceptance of Records Produced by Information
Technology Systems
Canada
CAN/CGSB 72.34-2005 - Electronic Records as Documentary Evidence
United
Kingdom
BIP 0008-2004 – Code of Practice for Legal Admissibility and evidentiary weight
of information stored electronically
Europe
MoReq2 Specification – Model Requirements for the Management of Electronic
Records
Australia
PROS 99/007: Version 2: 2005 Management of Electronic Records - Victorian
Electronic Records Strategy (VERS)
Other
GARP – Generally Accepted Recordkeeping Principles (ARMA)
13

14. Best Practice: ISO15489
 ISO15489-1:2001 – Information and documentation – Records management
 Applies to records, in all formats, created or received by any public or private
organization in the conduct of its activities, or any individual with a duty to create
and maintain records.
 Supports:
• Electronic Records Management (ERM) & Physical Records
• ISO9001
– Quality Management Systems
• ISO14001
– Environmental Management Systems
 Sets principles of Records & Information Management practice
• Organization institute comprehensive program
• Characteristics, Authenticity, and Integrity of a record
• Based on Functional Classification
 Design and implementation of record systems
• Integrity of the system
• Compliance to legal and regulatory environment
• Documenting records transactions
Source: ISO http://www.iso.org/iso/catalogue_detail?csnumber=31908
14

15. Best Practice: GARP


Information Governance with
Generally Accepted
Recordkeeping Principles
(GARP)
8 Principles









GARP Capability Maturity Model
GARP Maturity
Level
1
Sub-standard
2
In Development
3
Essential
4
Proactive
5
Transformational
Principle of Accountability
Principle of Integrity
Principle of Protection
Principle of Compliance
Principle of Availability
Principle of Retention
Principle of Disposition
Principle of Transparency
Source: ARMA http://www.arma.org/garp/index.cfm
15
Colour Status
RED
ORANGE
AMBER
BLUE
GREEN

16. RIM: Vision
Ecosystem of Information

Working in one environment where all records are;
 Created or Captured – once,
 Collaborated Globally – version controlled, and
 Managed – as records.

Being Confident that;
 You can find the original record – every time,
 You know who worked on it – who used it, and
 You know what it was used for – related to activity.

Know that:
 One never has to search any other system,
 One can leverage the collective wisdom and knowledge of the organization, and
 Everyone’s efforts will not be lost or misplaced.
16

17. RIM: Guiding Principles

SINGLE authoritative source of information
 All documents will be filed electronically
 Into one system as a normal course of business
 Everyone depends on the system

Manage only ONE COPY
 File once – use many times - in many ways
 All transacted records made from the document management system

FIRST point of contact principle
 The person who is first point of contact with documentation is
responsible for determining and ensuring that documentation is
appropriately filed
17

18. RIM: Program Framework
Classification
Retention
Metadata
Security
Vital Records
Electronic Messages
Imaging
Legal Hold & Discovery
Technology Change
Organization Change
 Fundamentals of Records &
Information Management
 Uses GARP, ISO15489, CGSB,
ARMA, AIIM Standards, etc.
 Technology agnostic
 Conforms to Laws, Regulations
 All must be developed and in
place to implement ECM
 RIM is the core – the foundation
 Everything else is an output of RIM
 Including eDiscovery
Etc.
18

19. RIM: Program Framework
Record Decision
Record Classification & Retention
19
Business Rules

20. RIM Framework Governs
ECM Technology Deployments
Enterprise Content Management (ECM)
20

21. RIM: Compliance Auditing

General - Benefits of Auditing
 Test the degree of integrity of systems and procedures
 Understanding degree and extent of compliance
 Identifying gaps in procedures and training

Local - Due Diligence Reviews
 Conduct regular reviews of all record classifications & metadata
 Identify change issues of employees and management
 Identifies changes in the business environment and gaps in training

Global - Quality Assurance Reviews
 Critical for demonstrating integrity of systems, tools and procedures
 Management knows if the systems, tools and procedures are working
 Important for Litigation support – Safe Harbour
21

22. Risk Vs. Rewards for Business
 Risk – The Blind















Lack of Governance - ad hoc
IT is in charge??????
Don’t know what are records
Don’t know the custodians
Inability to audit
Number of uncontrolled information
types and sources
Volume of duplication
Lack of information category structure
Too much technology
Can’t find anything easily
Poor basis for business decisions
No idea what is really happening
ECM deployments tend to fail
Etc.
Which version
do you want
to present in
court?
Rewards – Clear Vision















Good governance & transparency
RIM Manager is in charge
Can identify a record and a copy
Can identify record authors, custodians and users
Auditable - demonstrates due diligence
Controlled record types and sources
Avoids uncontrolled repositories
Reduced volume – original records
Global search categories – relevancy
Integration of Knowledge Management
Can find everything quickly and efficiently – better decisions
Controlled technology evolution
Reduced stress to the organization and its personnel
ECM has a solid foundation and can succeed
Etc.
ROI – Risk of Incarceration (reduced)
23

23. RIM Professionals

“RIM professionals can offer a safe harbor of sorts….
 This requires that RIM professionals understand the key legal and IT
issues and for them to collaborate effectively with staff in those
departments to ensure the implementation and management of a solid,
documented, and explainable records management program.
 When a RIM program is in effect and adhered to as it is written – and the
organization can show proof of compliance with the program – the
organization’s attorneys are in a much better position to defend its
ediscovery processes and the information it did – or didn’t produce.”

Resources:
 American Records Management Association (ARMA)
• http://www.arma.org/
• Chapters in Canada
 Association of Imaging and Information Management (AIIM)
• http://www.aiim.org/
• Chapters in Canada
Source: ARMA Drafting a ‘Dream Team’ to Prevent E-Discovery Nightmares
NOVEMBER/DECEMBER 2010 INFORMATIONMANAGEMENT
26

24. IM is the source for discovery
Poor IM = Hard Discovery
Good IM = Easy Discovery
Source: http://edrm.net/
27
Goal

25. Questions ?????
Contact:
Keith Atteck C.Tech. ERMm
Supervisor, Information Management
Vale
Corporate Office Base Metals
2101 Hadwen Road
Mississauga, Ontario, Canada, L5K 2L3
T: 1 (905) 403 3179 F: 1 (905) 403 1098
keith.atteck@vale.com
28

26. Turning Risks into Rewards:
Building a Comprehensive Records and
Information Management Framework
Event:
IQPC 2nd Annual eDiscovery Canada
Toronto, Ontario, Canada
March 28-30, 2010
Presented by;
Keith Atteck
Supervisor, Information Management
Vale