Information Governance Part 2 Page based on Title Slide from Slide Layout palette. Design is cacorp 2006. Title text for Title or Divider pages should be either 40 pt for short titles /28 pt for subtitles or 32 pts for longer titles /24 pt for subtitles. DATE text box is not on master and can be deleted. The date should always be 20 pts. Information Governance Part 2 The Information Processing Management Association (IPMA) 16 October 2007

Information Governance, Part 1: Page based on Title and 2-column Text from Slide Layout palette. Design is cacorp 2006. Today’s Topic Information Governance, Part 1: Your organization’s legal, regulatory, and business obligations to capture and maintain records that document official business activities, transactions, and decisions. April 18, 2019 [Information Management] Copyright © 2007 CA

Information Governance, Part 2: Page based on Title and 2-column Text from Slide Layout palette. Design is cacorp 2006. Today’s Topic Information Governance, Part 2: Ways to enforce and to monitor the implementation of your organization’s records management policies. April 18, 2019 [Information Management] Copyright © 2007 CA

Information Governance Page based on Title and 2-column Text from Slide Layout palette. Design is cacorp 2006. Information Governance Is not a project Is an ongoing process Requires management commitment Requires resources Requires discipline It is policy enforcement It is policy monitoring April 18, 2019 [Information Management] Copyright © 2007 CA

Essence of Information Government Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Essence of Information Government Implementing and managing common policies and controls across the enterprise regarding the organization’s information assets. April 18, 2019 [Information Management] Copyright © 2007 CA

IG Has Three Core Objectives Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. IG Has Three Core Objectives Providing more transparency and better information management visibility – thereby achieving higher operational performance and better overall governance. Achieving consistency in information compliance – across today’s large, complex enterprises which span many regulatory environments and geographies. Producing an ongoing record of the organization’s information management processes – documentary evidence of how well the information was managed over time. April 18, 2019 [Information Management] Copyright © 2007 CA

IG Has Three Interrelated Concepts Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. IG Has Three Interrelated Concepts IG is comprised of three interrelated concepts: • Corporate Governance, • Compliance and • Federated Records Management. April 18, 2019 [Information Management] Copyright © 2007 CA

Page based on Title and Text from Slide Layout palette Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Corporate Governance Corporate governance is the use of systematic methods for monitoring the performance of an organization on a continuing basis. Compliance is just a part of the overall governance focus. Governance succeeds best when the various functions are supported by accessible, high quality records and information. Accordingly, corporate governance is the foundation of IG – providing an enterprise approach to accountability, and thereby, the rationale for auditing information based processes. April 18, 2019 [Information Management] Copyright © 2007 CA

Records Management Policies Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Records Management Policies Managing Business Records Managing Personal Records Managing Non-Records Managing Emails Records Destruction and Approval Process Legal Hold Process Duties and Responsibilities Records Management Training April 18, 2019 [Information Management] Copyright © 2007 CA

Compliance The obligation to meet outside regulatory requirements Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Compliance The obligation to meet outside regulatory requirements The obligation to follow internal policies and procedures Measures taken to enforce policies Record clean up days Examines employee adherence to internal policies and best practices Monitoring programs April 18, 2019 [Information Management] Copyright © 2007 CA

Federated Records Management Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Federated Records Management Manages the processing of information across an organization The purpose of FRM is threefold: a) to maintain consistency, efficiency, and transparency across all disparate information systems throughout the organization b) to provide appropriate access to the information c) to enforce the designated information lifecycle April 18, 2019 [Information Management] Copyright © 2007 CA

Tools Required for IG Electronic Recordkeeping System Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Tools Required for IG Electronic Recordkeeping System Organizational File Plan Well Trained Employees Retention Schedules Access Controls Preservation Methodologies Map of where all electronic information is stored (ESI) April 18, 2019 [Information Management] Copyright © 2007 CA

Electronically Stored Information Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Electronically Stored Information What information is being retained Where that information is stored Ways for retrieving and producing that information in a timely manner Ways to prevent destruction of information needed for e-discovery, audits, and investigations April 18, 2019 [Information Management] Copyright © 2007 CA

IT Department Responsibilities Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. IT Department Responsibilities Tie it all together Record repositories Email repositories File system repositories Off-line repositories Search, Retrieve, Hold April 18, 2019 [Information Management] Copyright © 2007 CA

Page based on Title and Text from Slide Layout palette Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Summary No matter the size of your organization or the type of business conducted, there are social as well regulatory recordkeeping responsibilities and requirements Your IG program should cover all information, records, non-records, whether paper or electronic, and all copies April 18, 2019 [Information Management] Copyright © 2007 CA

Page based on Title and Text from Slide Layout palette Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Summary Your IG program should identify appropriate procedures to obtain written approval to destroy records and other information Your IG program should apply legal holds to information needed for litigation, audits and investigations April 18, 2019 [Information Management] Copyright © 2007 CA

Page based on Title and Text from Slide Layout palette Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Summary Your IG program should enforce compliance with organizational information management policies and procedures Your IG program should monitor employee compliance with records management duties and responsibilities April 18, 2019 [Information Management] Copyright © 2007 CA

Summary Your IG program should provide an accurate map of: Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Summary Your IG program should provide an accurate map of: What information is being retained Where information is stored How to retrieve and produce information when needed April 18, 2019 [Information Management] Copyright © 2007 CA

Contact Local CA Sales Rep Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. Contact Local CA Sales Rep Don’t have a records management program? Need help to write records management policies and procedures? Don’t have an electronic recordkeeping system? Need help to create a records retention schedule? Need records management training? Need help with any component of Information Governance? April 18, 2019 [Information Management] Copyright © 2007 CA

Senior Compliance Strategist CA Information Governance Page based on Title and Text from Slide Layout palette. Design is cacorp 2006. For More Information Bill Manago, CRM Senior Compliance Strategist CA Information Governance Mobile: +1-201-519-4249 William.Manago@ca.com April 18, 2019 [Information Management] Copyright © 2007 CA