1. Minimizing Risk, Maximizing Compliance Information Governance On A Global Scale Christian LiipfertIQPC Houston, December 2010 Creative Commons US Attribution Non-Commercial Share Alike License 3.0 Unported

2. The opinions expressed herein are solely mine, and not those of my former employer or its affiliates and subsidiaries 12/09/2010 Christian Liipfert Consulting, LLC 2 Disclaimer

3. Identify opportunities to improve productivity, enable high-quality decisions and mitigate risk Determine organisational requirements for effectively governing information on a global scale Attack on multiple fronts: policies, roles & responsibilities, processes, technology Deal with multiple stakeholders – business, legal, IT, etc 12/09/2010 Christian Liipfert Consulting, LLC 3 Program description

4. Words, numbers and figures on paper Electronic documents and files, including e-mail, instant messages, and databases Knowledge in people’s heads Conversations Proprietary v. public 12/09/2010 Christian Liipfert Consulting, LLC 4 What is Information?

5. Business case – Cost and Risk Cost Improve productivity, efficiency Higher quality, quicker decisions Safety Risk Compliance risks Operational risks 12/09/2010 Christian Liipfert Consulting, LLC 5 Why?

6. Sarbanes-Oxley (2) FCPA Spoliation in light of litigation or investigation Privacy Local law Company policy Copyright, patent or trademark infringement Price fixing Group boycott Harassment Export control/boycott Breach of contract Commercial disparagement Libel/defamation 12/09/2010 Christian Liipfert Consulting, LLC 6 Compliance risks

7. Decision quality and timeliness Accuracy and availability Safety and health risks Other Business continuity Knowledge preservation, maintenance, location and reuse Efficiency v. duplication, reinvention Loss of corporate opportunity Leakage of proprietary information Damage to reputation Relationships with regulators Loss of privilege Storage and search costs Discovery costs Admissions 12/09/2010 Christian Liipfert Consulting, LLC 7 Operational risks

8. Documented system of controls To manage all the corporation’s proprietary information From creation or receipt through disposal Consistent with value of the information 12/09/2010 Christian Liipfert Consulting, LLC 8 How?

9. Policy(ies) People Corporate owner (not just sponsor) Steering committee of stakeholders Team leaders and first-line supervisors Users Processes and procedures Establishing Training Monitoring Technologies Move to the center Archive and search 12/09/2010 Christian Liipfert Consulting, LLC 9 Organizational controls

10. 12/09/2010 Christian Liipfert Consulting, LLC 10 Control v. volume Control Volume

11. Legal IT Finance Audit Compliance HR Business operations Security HSE Purchasing Records management Document control Knowledge management Others? 12/09/2010 Christian Liipfert Consulting, LLC 11 Who are the stakeholders?

12. Federal Sentencing Guidelines model Ownership and knowledge Authority, resources and access Simple policy & procedures Personnel Training & communication Users, including contractors Management Monitoring and enforcement Incentives Continuous improvement Individual and group accountability Line ownership Integrated into workflow 12/09/2010 Christian Liipfert Consulting, LLC 12 Maximizing compliance

13. Local compliance requirements Local legal requirements Privacy Contracts under seal Government documents US discovery? Nomenclature Operational risks Leakage? Benefit of consistency across groups 12/09/2010 Christian Liipfert Consulting, LLC 13 Unique considerations when going Global

14. Identify opportunities to improve productivity, enable high-quality decisions and mitigate risk Determine organisational requirements for effectively governing information on a global scale Attack on multiple fronts: policies, roles & responsibilities, processes, technology Deal with multiple stakeholders – business, legal, IT, etc 12/09/2010 Christian Liipfert Consulting, LLC 14 Program description

15. Christian@LiipfertConsulting.com 12/09/2010 Christian Liipfert Consulting, LLC 15 Questions?

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