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CRM ESQ.

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Agenda

1. Information Governance Foundations

2. How NV Energy Overcame Inertia

3. Triggers & Action Items

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Foundations of an Information Governance

Program

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3 Key Components

Records Retention Schedule

Governance Policies & Plans

Legal Hold Process IG

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Retention Schedule Structure

Classification & management

Total retention periods

Legal validation

Inventory

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Generic Retention Schedule

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Governance Policies & Plans

• File Plans

• Use Policies

• Privacy & Security

• Governance Policies

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Legal Hold Process

Legal holds are a systematic response to the preservation duty.

Legal Holds “trump” retention policies

Poor hold management can result in fines or worse

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Understanding “Why”

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http://www.youtube.com/watch?feature=endscreen&NR=1&v=2j_6mAg_zso

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It’s about Business Strategy

And RISK

Compliance

Operational

Planning

Legal

RISK

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Information is an important business asset

Companies must find out what they have and where it is

Then keep what’s necessary

And dispose of what’s not

Business Strategy

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Why Quick Fixes Don’t Work

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Same Problem, Different Box

Archive Cloud Backup .PST Off-line

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How NV Energy Overcame Inertia

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“Sailing in Dangerous Waters”

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The Audit

Retention Schedule? Training?

Privacy Policy? Periodic Review?

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The Drivers

• SOX

• Zubulake

• FRCP

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The Process

Executive SponsorMandateLeadershipResources

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The Process

StaffingMulti-disciplinary CommitteeAuthority Responsibility

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The Process

ElementsRecords RetentionLegal Hold ProcessTrainingMonitoring

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Challenges

• Working together

• Moving targets

• Keeping the momentum

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In a Perfect World…

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Retention Schedule

File Plan

Legal Hold Process

InventoryRecords Manager

Training$$$

Policies

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Triggers• New IT system or service

• New email archive or ECM

• Corporate move

• Workforce event

• New rules or regulations

• Sanctions or orders

• Compliance deadlines

• Chronic pain becomes acute

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Supporting Technology

Existing RIM, ECM,and archiving tools

Legal hold and

retention management

software

Targeted search and retrieval software

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The Path Starts Now

Find your

internal champion

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The plan does not need to be perfect.

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You can start small…

by department

by division

by data repository

by “pain” source

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Build on what works.

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Highlight successes

to motivate change.

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Engage internal and external support.

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Thank you!

Brandon BarkhuffAssistant General Counsel702.402.5791bbarkhuff@nvenergy.com

Deborah Juhnke, CRM®

Director of Information Management Consulting816-983-8803deborah.juhnke@huschblackwell.com