On the heels of introducing breakthrough Artificial Intelligence, Internet of Things, and "Fintech" initiatives into the enterprise, Farmers recognized a need to modernize its records and information management strategy to support and protect these new capabilities. The organization invested in talent, research, eDiscovery tools and policy development to solve some of the highly-regulated industry's most complicated challenges including email retention, legal hold defensibility and records compliance.

1. CASE STUDY
HOW THE COMPLIANCE DEPARTMENT AT
FARMERS INSURANCE ENABLED CUTTING
EDGE INITIATIVESRafael Moscatel, CRM, IGP - Friday, April 12, 2018 @ 5:05 PM

2. WE ARE FARMERS!
In business since 1928…
Serving more than 10 Million
households across all 50 states…
Through the efforts of 50,000
Exclusive and Independent Agents…
And almost 24,000 Employees!
THOMAS LEAVEY & JOHN C. TYLER
FOUNDED BY

3. A HOLISTIC APPROACH TO IG
LESS IS MORE
GAPS ARE OPPORTUNITIES
Help reshape the optics around a
problem by encouraging colleagues to
help build a better future state instead
of harping on old pain points and finger
pointing.
RELATIONSHIPS MATTER
Focus on facilitating environments and
spirited organic discussions that support
IG dialogue and help determine
consensus.
An effective Information Governance
framework must aim to mitigate risks
related to records retention, legal holds,
privacy and other challenges with clear,
digestible policies and well defined
initiatives.

4. OUR MISSION
RETENTION
GUIDANCE
LITIGATION
SUPPORT
RECORDS
COMPLIANCE
TRAINING
& AWARENESS
Farmers’ Information Governance program is responsible for administering the company’s retention
schedule, ensuring compliance with records management policies and providing the guidance,
tools, resources and litigation support required for that mission.

5. ABOUT OUR TOOLSET
VIRGO
IGS’s Virgo is used by Farmers’ to
manage its Retention Schedule
and supports compliance efforts
with legal and regulatory guidance
for our business records.
LEGAL HOLD PRO
From one intuitive system,
Farmers can initiate legal holds,
track custodian compliance,
preserve data in place and trigger
automated data collections.
BOX GOVERNANCE
Documents subject to legal holds
can be searched, audited and held
indefinitely in Box, an integral part
of Farmers’ eDiscovery ecosystem
and governance process.

6. PROGRAM CADENCE
ASSESSMENT &
PLAN
2015
NEW TEAM
EXPERTISE
2016
UPDATED POLICY
& GOVERNANCE
2017
NEW
TECHNOLOGY
2017 -
• Analysis and Roadmap
• Realignment
• Roadshow
• InfoGov Committee
• Compliance Manager
• Litigation Support Manager
• Records Analysts
• Business Partners
• Records Coordinators
• Updated Retention Policy
• Updated Retention Schedule
• Training and Awareness
• Compliance Review
• Virgo
• Legal Hold Pro
• Box Governance
• Discovery Accelerator
• Enterprise Vault

7. LESS IS MORE
“It is not important to make many pictures, but that I have one picture right.”
-Piet Mondrian
When employees are
bombarded with information
in both their professional and
personal lives, less is often a
more effective strategy…

8. 12 BIG BUCKETS
The Big Bucket strategy is used by Farmers to simplify retention challenges while meeting
business, compliance and legal obligations.
Agency Claims
Common
Records
Finance
Government
& Community
Relations
Human
Resources
Information
Technology
Legal &
Compliance
Marketing Operations Product Underwriting

9. GAPS ARE OPPORTUNITIES
“A funny thing happened on the road to Albuquerque.”
After WWI, a young GI
hopped a train to Boston
from California. He never
made it, but he did make…
a fortune.

10. VIRGO RETENTION
COMPLIANCE
Farmers contracted with Information
Governance Solutions to update and
publish its records retention schedule using
Virgo, a cloud based software matching
company records with relevant legal and
regulatory citations.
Each year, Farmers conducts a review of
Records Retention Compliance using
Virgo to help document our findings. Results
are shared with a Farmers Compliance
Leadership Team to assist with identifying
areas of record-keeping risks and
remediation.

11. LEGAL HOLD PRO
Farmers partnered with Zapproved to
implement Legal Hold Pro, replacing an
antiquated SharePoint system.
Farmers also used Legal Hold Pro in
combination with Box Governance to tie
Action Requests in Legal Hold Pro to
eDiscovery collections.

12. BOX
GOVERNANCE
ü Manage document retention
ü Support eDiscovery collections through a
special API integration developed by
Farmers, Box and Zapproved
ü Create audit logs for legal holds
ü Address email retention challenges
Farmers leverages Box’s Governance
module to:

13. RELATIONSHIPS MATTER
“Lessons from the 1952 Seattle Chieftains”
It’s a shame the fabled
sportswriter, Jack Gordon, isn’t
around anymore to tell his tale
about the ‘52 Seattle
Chieftains…

14. INFORMATION
GOVERNANCE
Information Governance programs
enable organizations to leverage their
best minds and resources to make
effective decisions, mitigate significant
risks and protect vital assets. But this
relatively new cross-functional
discipline is built on relationships and
communication.

15. OUR BUSINESS PARTNERS
INTERNAL AUDIT
COMPLIANCE
FINANCE / TAX
INFORMATION TECHNOLOGY
SERVICE OPERATIONS
OFFICE OF THE GC
COMMUNICATIONS
PROJECT MANAGEMENT

16. In 2017 Rafael and his team at Farmers were honored with an
industry top honor for Records Management and Information
Governance, “Excellence for an Organization,” by ARMA
International.
CONTACT ME
TWITTER.COM/RAFAEL_MOSCATEL
WWW.RAFAELMOSCATEL.COM
818 993-5216