1. Information Governance Part 2
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Information Governance Part 2
The Information Processing Management Association (IPMA)
16 October 2007

2. Information Governance, Part 1:
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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, [Information Management] Copyright © 2007 CA

3. Information Governance, Part 2:
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Today’s Topic
Information Governance, Part 2:
Ways to enforce and to monitor the implementation of your organization’s records management policies.
April 18, [Information Management] Copyright © 2007 CA

4. Information Governance
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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, [Information Management] Copyright © 2007 CA

5. Essence of Information Government
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Essence of Information Government
Implementing and managing common policies and controls across the enterprise regarding the organization’s information assets.
April 18, [Information Management] Copyright © 2007 CA

6. IG Has Three Core Objectives
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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, [Information Management] Copyright © 2007 CA

7. IG Has Three Interrelated Concepts
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IG Has Three Interrelated Concepts
IG is comprised of three interrelated concepts:
• Corporate Governance,
• Compliance and
• Federated Records Management.
April 18, [Information Management] Copyright © 2007 CA

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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, [Information Management] Copyright © 2007 CA

9. Records Management Policies
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Records Management Policies
Managing Business Records
Managing Personal Records
Managing Non-Records
Managing s
Records Destruction and Approval Process
Legal Hold Process
Duties and Responsibilities
Records Management Training
April 18, [Information Management] Copyright © 2007 CA

10. Compliance The obligation to meet outside regulatory requirements
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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, [Information Management] Copyright © 2007 CA

11. Federated Records Management
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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, [Information Management] Copyright © 2007 CA

12. Tools Required for IG Electronic Recordkeeping System
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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, [Information Management] Copyright © 2007 CA

13. Electronically Stored Information
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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, [Information Management] Copyright © 2007 CA

14. IT Department Responsibilities
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IT Department Responsibilities
Tie it all together
Record repositories
repositories
File system repositories
Off-line repositories
Search, Retrieve, Hold
April 18, [Information Management] Copyright © 2007 CA

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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, [Information Management] Copyright © 2007 CA

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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, [Information Management] Copyright © 2007 CA

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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, [Information Management] Copyright © 2007 CA

18. Summary Your IG program should provide an accurate map of:
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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, [Information Management] Copyright © 2007 CA

19. Contact Local CA Sales Rep
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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, [Information Management] Copyright © 2007 CA

20. Senior Compliance Strategist CA Information Governance
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For More Information
Bill Manago, CRM
Senior Compliance Strategist
CA Information Governance
Mobile:
April 18, [Information Management] Copyright © 2007 CA