The Effective eDocument Retention Program - Policies, Processes and Solutions
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The document discusses the need for effective electronic document (eDocument) retention programs in organizations. It notes that changes to legal discovery rules have prompted companies to rethink their information management strategies. Key drivers for eDocument retention programs include regulatory compliance, industry standards, and mitigating business risks. The challenges include a lack of clear ownership, the perception that storage is cheap so everything can be kept, and that retention is not a high priority initiative. Effective programs require structuring information as assets, creating a records management framework with policies on retention, legal holds, and destruction. Questions are welcomed.
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The Effective eDocument Retention Program - Policies, Processes and Solutions
- 1. The Effective eDocument Retention Program Policies, Processes and Solutions 22 February 2010
- 2. Presenters:
- 3. A Gartner Perspective “ The December 2006 amendments to the Federal Rules of Civil Procedure (FRCP) in the U.S. regarding the discovery of ESI and passing of subsequent similar statutes in other countries, has really spurred market interest in e-discovery. This is prompting many companies to rethink their overall information management strategies, from the policy level to the implementation level.” The three core market catalysts are: Transparency of business performance as aligned to governance, risk & compliance regulations and subsequent organizational reporting. Mitigating IT risk through the use of real-time and continuous controls monitoring for transactions, segregation of duties, application configuration and master data. Preventing business failure through fraud detection, improved user-level and application-level security and corruption. Gartner Research VP Tom Eid, Press Release 16 December 2009 3
- 4. eDocuments? eDocuments Information & Records Decisions Actions Records Media independent Typically Email Structured Unstructured 4
- 5. Considering a Retention Program? The COSO framework involves several key concepts: Internal control is a process. It is a means to an end, not an end in itself. Internal control is affected by people. It’s not merely policy, manuals, and forms, but people at every level of an organization. Internal control can be expected to provide only reasonable assurance, not absolute assurance, to an entity’s management and board. Internal control is geared to the achievement of objectives in one or more separate but overlapping categories. 5
- 8. Primary Challenges Lack of clear Ownership “Why not just keep everything? Storage is cheap!” Not a “sexy” initiative! 8
- 9. Today’s Typical eDocument Landscape Legal MMS SaaS Sharepoint HRMS Network Shared Sales Drives SAP Internet Email Loosely related Policies Multitude of Systems Uncommon Taxonomy PRIVILEGED 9
- 10. Unlocking the Value IT Investment Structured Info Value & Risk Unstructured Unstructured Structured 10
- 11. Do You? Know What Your eDocuments your Organization Has? Know where and how to get them? Know the cost of keeping them? DRAFT - PRIVILEGED 11
- 12. Creating the Structure Information Assets Loosely related Policies Multitude of Systems Uncommon Taxonomy Corporate Records and Information Management Framework Information Policies DRAFT - PRIVILEGED 12
- 13. Information as an Asset Risks Value Information Assets Management Effort and Approaches Corporate Records and Information Management Framework Information Policies 13
- 14. Systematizing Information Complex – DMS EMC Opentext IBM Information Assets Simple – Collaboration Sharepoint Lotus Notes Corporate Records and Information Management Framework Information Policies 14
- 15. Corporate Records and IM Framework Governance Organizational Priority & Visibility Information Assets Culture Employees empowered and involved Infrastructure Corporate Records and Information Linkages between GC, CIO, Management Framework CRO Information Policies 15
- 16. Key Information Policies Retention Defines What, Who, How Long Destruction Information Assets Defines How Legal Hold Defines the means to interrupt and prevent Corporate Records and Information destruction Management Framework Information Policies 16
- 17. Questions? 17