An ARMA Metro NYC Publication Jan/Feb 2016 www.armanyc.org

Chapter Events Membership Advertise CRM Prep Sponsorship

Similar but Different

The differences

between e-Discovery

and Information

Governance

Disclosure

Disclosing security

breaches to

regulators and what

to expect

AUDIO

Dark Data Room

How shining a

light on your

data can

mitigate risk

VIDEO

Short Take

Does an organization

need to have

Enterprise Content

Management to have

effective IG?

IN WRITING

Relationship

Management

Communicating

appropriately to

stakeholders in an IG

project

About exchange

Exchange is a publication of the ARMA Metropolitan New York City Chapter, Inc. (ARMA Metro NYC), P.O. Box 1462, Grand Central Station, New York, New York 10163. The publication provides a wide range of content. An annual digital subscription to exchange is included as a benefit of membership.

Opinions and suggestions of the authors do not necessarily reflect the opinion or policy of ARMA Metro NYC or ARMA International. Additionally, acceptance of advertising does not constitute official endorsement of the product or service.

For more information about exchange, please contact Editor-in-Chief Jennifer A. Best at jenniferabest@yahoo.com.

About the ARMA Metro NYC Chapter

ARMA Metro NYC is a local Chapter of ARMA International, a not-for-profit Professional association and the authority on managing records and information. The Chapter supports its members through educational seminars, events, an annual educational conference, and its publication exchange. Its members are RIM Professionals, as well as individuals who work in related fields, such as technology and law.

ARMA Metro NYC Chapter Board Members

Bryn Bowen, CRM, President (Schulte Roth & Zabel) | Mary Sherwin, Executive Vice President (CBS) | David Smythe, Secretary (JP Morgan Chase) | Sharon Morris, Treasurer (PwC) | Gene Stakhov, Chief Information Officer (enChoice)| Maribel Rivera, Collaboration and Public Relations (Maribel Rivera Marketing) | Alex Campbell, Sponsorship (Cohen Gresser) | Rudy Moliere, Professional Development (Morgan Lewis) | Stephen Cohen, Webmaster (MetLife) | Derick Arthur (Cooley LLP), Special Events | Lauren Barnes, Membership (Credit Suisse) | Jennifer A. Best, Editor-in-Chief–Newsletter (New York Life), Jason Stearns, Immediate Past President (BlackRock)

Volume 47, Issue #3

Hello Colleagues

We are now back in full work mode after the delightful diversions offered by the holiday season in New York City. The Board and its Committees have been busy, so I have a few updates I would like to share with you.

Our March event planning is in full swing, led by EVP Mary Sherwin and Chapter Secretary David Smythe as joint project managers. Early bird registration is underway, so please take advantage of the discounted admission being offered through mid-February! I’d like to recognize two of our significant sponsors this year: Nuix (Broadway level) and Iron Mountain (Empire State level). Iron Mountain is also sponsoring the networking reception. Sponsorship opportunities are still available!

Our ARMAMetroNYC.org site on the new StarChapter platform has been officially launched and the feedback has been tremendous! Training our VPs to update their sections is underway under the tutelage of Project Manager Anna Lebedeva.

Our traditional January networking event was recently held at the bowling venue Frames and was a resounding success. Who knew that our archivist colleagues had that much game?! It was great to see old friends and meet new ones as well. We will continue our bar raising educational presentations in February, so visit our website for more details.

With President’s Day just around the corner, let’s take a moment to reflect on and appreciate the tireless volunteers, friends and sponsors who help make our efforts to spread the knowledge possible. Fortunately, tickets to our Chapter’s events are available, and I urge our members and friends to continue to take advantage of the experts and insights we’re able to present. Best wishes,

Bryn Bowen, CRM

Feb 11

Evening Meeting Topic: Measuring and Selling Your Pro-gram: IG Metrics and ROI Development

April 26

ARMA@Noon Topic: Emerging Trends in RIM Innovation

Mar 8

Annual Spring Conference Innovation and Inspiration: RIM and IG– The Time is Now

April 13

Evening Meeting Topic: Evolving Role of the IG Prof.: The CIGO Role Revisited One Year Later

Mar 29

ARMA@Noon Topic: Risk/Security/Privacy: Third Party Security Considerations

May 19

Evening Meeting Topic: Evolving Role of the IG Prof.: The eDiscovery IG Professional

May 10

ARMA@Noon Topic: Emerging Trends in RIM Innovation

June 7

Awards Evening Location: TBD

June 21

ARMA@Noon Topic: Emerging Trends in RIM Innovation: Developing RIM and IG Innovations

Expect a Breach– Parts 1-3

Michael Geske, Geske Counsel, LLC

In parts 1-3 of this 9 part series, presenter Michael Geske

explains the benefits of self-reporting breaches to the Department of

Justice and Federal Trade Commission. He also describes the type of

information that is requested in connection with a breach investigation.

Audio

The Difference Between e-Discovery and Information Governance

Sandy Serkes, President and CEO of Valora Technologies

Video

Video

Short Take: Does an organization need to have Enterprise Content Management in order to have effective Information Governance?

Contributors:

Gene Stakhov, CDIA+, enChoice Sandy Serkes, CEO Valora Technologies Alexander Campbell, ERMp, Cohen Gresser Bryn Bowen, CRM, President of ARMA Metro NYC

D ark data is the neglected data accumulated by an organization during regular business activities – the aging information, untouched archives, ancient web log files, and old records of email correspondence. This data is intermingled with highly valuable and sometimes sensitive business information, too. It usually holds little value on its own and for many organizations it is too costly to access, compile, analyze and manage the data’s retention.

For many organizations, it seems easiest to allow the data to amass in the shadowy corner of their IT infrastructure. However, when corporations shine a light on the dark data abyss, unused data can be very illuminating.

At its core, dark data can present significant risk. What if those reports were emailed to a Gmail account, downloaded to a USB drive or uploaded to a website? Also, most legal professionals who have responded to a legal or regulatory action have succumbed to the costly pains of trudging through small percentages of antiquated data amongst huge data stores.

Notwithstanding such significant risks, dark data presents noteworthy opportunity costs for organizations. For example, reports run from accounting systems about company transactions alone may seem like benign business activity. When sources of transactional data like file names, network activity, local computer access, or web history are cross referenced, powerful corollaries can be derived to

Turning on the Lights in a Dark [Data] Room

At breakneck speed, businesses and individuals are amassing huge volumes of disparate and obsolete data – data that has long gone “dark” within an organization.

Meet the Author:

Tom Barce is the Director of Consulting Services for Kroll Ontrack, which provides legal technologies and data recovery products and services.

protect your organization. While this type of intelligence might not lead to an earth shattering money laundering investigation, it does not hurt to double check activity that might seem questionable.

Recognizing how to utilize dark data can allow an organization to prevent, detect and defend against internal and external threats, from spotting internal fraud to harnessing information and gaining an advantage in the market. Growing contingents of businesses are leveraging great information for marketing and sales, but how many are using data to mitigate or detect risk? While some organizations are letting their data gather dust in the dark, others have focused an information governance spotlight on their once-dark data to extrapolate value from overlooked data and uncovering substantial intelligence.

An example of this is monitoring file downloads to USB connected devices to prevent losing sensi-tive data. Conversely, corpora-tions that forgo tapping into unused data may be sacrificing value and risk becoming less efficient and relevant than their

competitors.

Unfortunately, shining the light on dark data is not as simple as flipping a switch. A few steps are essential to capitalize on dark data.

Begin by prioritizing business concerns and risks to establish a starting point for the projects to follow.

Aim for one project per period (quarterly, semi-annually or yearly) to focus on your concerns and the data you can use to manage them.

Leverage people, processes and technology, and know how to profile the data that is useable to create actionable business and legal intelligence.

Identify easy wins when possible, especially if low cost solutions can securely advance high risk objectives.

Document the process should litigation ever loom on the horizon.

There isn’t a single existing technology solution today that can thoroughly illuminate dark data and automatically harvest its value. But with careful forethought and perseverance, corporations can make unwieldy dark data far more comprehendible, less risky and just a little brighter.

This is a fourth in the series of six articles on the importance of project management skills in driving Information Governance (IG) initiatives to successful completion. In the last article we focused on building and managing a project plan and demonstrated how it can assist IG professionals to stay in control of their project.

In this article, we will discuss managing stakeholders and communications and illustrate how these skills can be a key contributor to the project’s success.

Stakeholders are people or organizations that are positively or negatively affected by the IG initiative. Stakeholders may include customers, project sponsor(s), project team members, vendors, etc. Key stakeholders are identified in the project planning phase and their needs and expectations are

analyzed and converted into business requirements.

It is important to document communication needs for each stakeholder group, including communication format, content and level of detail, method, frequency, escalation, and feedback process.

Just because tasks were assigned to resources weeks or months ago does not mean they will remember what they were asked to do and when they were supposed to do it. Following up is one of the most critical communication skills IG professionals should have, and it is both a science and an art.

Following up is a science because there needs to be a system for keeping track of task status, i.e. checking in at mid-point in task duration, and 2 days before it is due.

Insufficient follow up will result in

Managing Stakeholders and Communications in

an IG Project

Meet the Author

Anna Lebedeva Anna is a Director of Records Management at a large regional financial services company.

issues not being surfaced and addressed early. It is an art because it takes interpersonal and organizational skills to bring stakeholders together and make things happen. Following up enables the project manager to perform his/her most important duties, which are to communicate, coordinate, and motivate the project team.

Escalating issues to management is another important element of communica-tions. It is always advisable to first privately inform the manager in charge of the area with issues about the plans to escalate. It is never a good idea to surprise the manager with the “bad news” in front of a wider audience that might include his higher ups.

When done properly, escalations will help the IG professional by engaging the management team to do their jobs: Make tough decisions, remove roadblocks, and provide organizational resources.

Project status reporting is a key to successful communications and needs to be truthful. Beware of Green Shifting – reporting project status in a positive light when there are obvious indications of serious problems.

For example, it is better to report that the email retention implementation initiative is

trending from green to yellow status be-cause of anticipated business resource availability issues, than not saying anything, and later reporting red status suddenly.

If IG professionals choose to do the latter, not only they could be questioned as to why they did

not see it coming, but they would also have lost an opportunity to either set the right expectations or get management’s support to mitigate the situation, preventing the red status.

It is recommended to do formal lessons learned not only at the end of the project, but also after each project phase in order to realize process improvements while the project is still ongoing.

Finally, it is important to talk to stakeholders informally and be open to feedback any time during the life of the IG initiative, as that is the only way to know what is really going on. Following up, escalating, status reporting, and doing lessons learned can be difficult skills to master but they are the necessary ones to be effective as a project manager and can often make or break the project.

In the next article, we will cover another key project management area, managing timeline, risks, and issues, which, if done right, can keep your project afloat and on target to reach its final destination even in the stormiest weather.

About the Contributors Anna Lebedeva, IGP, PMP, is a Director of Records Management at a large regional financial services company. Some of her RIM accomplishments to date are establishing RIM program, developing retention schedule, standing up legal hold process, and working on strategies for electronic records. Anna has over 8 years experience managing large enterprise projects after working in IT field for 9 years as a Software Developer.

Michael Geske serves as Counsel at Cause of Action Institute in Washington, DC. He provides general business and personal litigation and legal advice based on 25 years of experience in high-stakes, high-profile cases in state and federal courts and government agencies around the country. Sandra Serkes is the is the President & CEO of Valora Technologies. She is a dynamic leader with an extensive background spanning over twenty years in software marketing, product management and corporate strategy, particularly in document processing, computer telephony and speech recognition. Tom Barce (thomas.barce@krollontrack.com) is the Director of Consulting Services for Kroll Ontrack. Mr. Barce brings over 18 years of experience in directing information management, electronic discovery, and litigation support initiatives. He is accustomed to delivering strategic vision, consultative services, and project management expertise. He has extensive experience in responding to complex electronic discovery demands in numerous litigation and regulatory matters.