This document discusses how to create an automated information governance (IG) program. It outlines assessing information risk and compliance needs, developing an IG program with key stakeholders and a vision, establishing policies and procedures, monitoring the program, and automating processes with software. The goal is to mitigate risk, automate the information lifecycle from capture to disposition, and ensure adoption and adherence to compliance policies.

1. Automated Compliance:
How to Create an IG Program
that Manages Itself

2. Jim Merrifield
Contact Jim:
jmerrifield@filetrail.com
@IGmode
linkedin.com/in/jmerrifield
www.FileTrail.com
Jim Merrifield is the Director of Information Governance
for FileTrail, Inc. He focuses on educating enterprise
organizations on how to design and implement an
effective records management and information
governance strategy. Prior to joining FileTrail, Jim was the
Records Manager at Finn Dixon & Herling LLP. Jim holds
both industry leading designations, the certified
Information Governance Professional (IGP) and certified
Information Professional (CIP). Jim is co-developer of the
ARMA IGP Course, an AIIM education partner and
President of the ARMA Connecticut Chapter.

3. Learning Objectives
Upon completion of this webinar, participants will
be able to:
1. Mitigate risk associated with compliance and discovery
2. Automate the complete information management lifecycle
3. Utilize a comprehensive plan that drives adoption and
adherence of compliance policies

4. What is Information Governance?
The specification of decision rights and an accountability
framework to ensure appropriate behavior in the valuation,
creation, storage, use, archiving and deletion of information. It
includes the processes, roles and policies, standards and metrics
that ensure the effective and efficient use of information in
enabling an organization to achieve its goals – Gartner 2012

5. IG Key Statistics
» 31% report that poor electronic records-keeping is causing
problems with regulators and auditors. 14% are incurring fines
or bad publicity.
» 14% are already doing auto-classification of electronic
records, 37% are keen to do it.
» Electronic records aren’t being deleted even when retention
periods are set.
- AIIM Industry Watch 2013

6. IG Key Statistics
» For 29% the response to the information deluge is “buy more
discs”.
» 73% include email in their retention policies, but most rely on
manual methods to file them.
» 45% of organizations plan to increase their records
management spend over the next two years.
- AIIM Industry Watch 2013

7. IG Integrates Multiple Perspectives
» According to IDC in 2011, SharePoint still had gaps in key
Content Management areas including Web Content
Management, Document Imaging and Records Management.
e gaps are being removed.
» Microsoft has continued building functionality through the
2013 release of SharePoint

8. Information Management Lifecycle
Figuring out
what
information is
important
Figuring out
how long we
need to keep it
for
Then getting rid
of it when it’s
no longer
needed.

9. ADEM Model
Monitor
Establish
Develop
Assess

10. Assessment of Information Risk &
Compliance

11. Information Risk & Compliance
Every Organization must consider its legal
and regulatory environment along with its
tolerance for risk when determining its
governance framework

12. Information Risk & Compliance
»
»
»
What information is needed to support business processes?
What steps must be taken to be in compliance with governing laws
and regulations?
What information should be destroyed and when?

13. Information Risk & Compliance

14. Develop An IG Program

15. Develop An IG Program
Adopt a Vision
Identify Key
Stakeholders
Analyze
Internal/External
Drivers
SWOT Analysis

16. Adopt a Vision
» What is your goal for the next 3-5 years?
» Define steps to take to meet your
business goals
» And Don’t Give Up!!!

17. Identify Key Stakeholders
» IT, RIM, Legal, Compliance, Audit, Privacy, HR, etc.
» Obtain Executive Sponsorship
» Develop Roles/Responsibilities for your key stakeholders
CREATE OWNERSHIP WITH YOUR STAKEHOLDERS!!!

18. Analyze Internal/External Drivers
Internal Drivers
External Drivers
» Corporate culture
» Current Business Plans
» Financial constraints
» Identify technology trends
» Identify industry best
practices
» Evaluate how you “stack up”
with your competition

19. SWOT Analysis
Strengths – What do we do well when it
comes to IG.
Weaknesses – What do we do poorly or
even at all when it comes to IG.
SWOT
Opportunities – What changes in
technology may help enhance our ability
for good IG.
Threats – Are changes in technology
threating our ability to manage our
information.

20. Establish an IG PROGRAM

21. Policy and Procedure
Clearly define the scope of
your policies and
procedures to ensure all
information is managed
throughout the enterprise
Legal
Hold
Social
Media
Retention
IG
Business
Units
Email
BYOD

22. Communicate Your IG Program
» Consider who will be
impacted by the new
policies and
procedures
» Knowing all parties
that will be affected
helps determine the
means by which you
communicate.
Written
Oral
Face-to-Face
Online
Video

23. MONITOR & AUDIT YOUR PROGRAM

24. Metrics
» Amount of information created v. amount disposed
» Amount of information initially captured for holds v. amount
actually produced to courts
» Records disposition metrics may include % of content
disposed in any given month
» Compliance with end user training

25. Change Management
Regulatory
Industryspecific
Legal
Change

26. IG Program Benefits
»
»
»
»
»
Reduction in existing e-storage space
Eliminate need to purchase MORE e-storage space
Reduction in off-site storage costs
Reduction in e-Discovery costs
Reduction in lost information and time spent locating
information
» Eliminate time for users to perform governance tasks
(declaration, hold management, disposition, etc.)

27. Automate Your IG Program

28. FileTrail’s Governance Solution
Capture
Classify
Manage
Retain
Hold
Archive
Dispose

29. Disposition Review Cycle

30. Retention Dashboard

31. Defensible Deposition Report

32. Defensible Disposition Trends

33. About FileTrail
Founded in 2000
HQ in San Jose, CA
Over 20 years of IG Experience
East Coast:
Washington DC
450 Clients and
20% Annual Growth
North America: 80%
Europe: 20%
APAC & Africa
Information Intelligence
Leader in Management, Asset Tracking and
process improvement
33

34. Jim Merrifield
Contact Jim:
jmerrifield@filetrail.com
@IGmode
linkedin.com/in/jmerrifield
www.FileTrail.com
Jim Merrifield is the Director of Information Governance
for FileTrail, Inc. He focuses on educating enterprise
organizations on how to design and implement an
effective records management and information
governance strategy. Prior to joining FileTrail, Jim was the
Records Manager at Finn Dixon & Herling LLP. Jim holds
both industry leading designations, the certified
Information Governance Professional (IGP) and certified
Information Professional (CIP). Jim is co-developer of the
ARMA IGP Course, an AIIM education partner and
President of the ARMA Connecticut Chapter.