September 20, 2005
Main Conference
8:00 am - 9:00 am
Registration, Tabletop Exhibit Viewing, and Continental Breakfast
9:00 am - 9:15 am
Welcome and Opening Remarks from Conference Co-Chairs
John McArthur, Group Vice President and General Manager, Information Infrastructure, IDC
Randolph A. Kahn, ESQ., Kahn Consulting, Inc.
9:15 am - 10:00 am
Building the Information Nation Warrior: The Essential Skills Needed to Manage Information
Randolph A. Kahn, ESQ., Kahn Consulting, Inc.
Barclay T. Blair, Director, IT Compliance Practice, Kahn Consulting, Inc.
Organizations today are caught in a battle - a battle with new rules and growing stakes. It is a battle between the way we did things yesterday, and the way that the courts, regulators, boards, shareholders, customers, employees, and partners expect us to do things today. To win this battle, organizations require a new breed of manager - a Warrior armed with the IT, Legal, Business, and Records Management skills necessary to understand and address today's information management compliance challenges. In this dynamic presentation, Mr. Kahn and Mr. Blair introduce attendees to the Information Nation Warrior and explore how information management success today relies on collaboration and cooperation among each part of the business. Attendees will learn to evaluate their own skills; to understand their role in the information management process; and to identify the people and departments they need to work with to win the battle in their own organizations.
10:00 am - 10:45 am
Compliance, Higher Value, Lower Cost Approach
Brenda Zawatsk, Vice President & General Manager, Information Lifecycle Management Solutions, StorageTek
Lee Dittmar, Principal, Deloitte Consulting
Many corporate practices today are undergoing intense scrutiny. Across the board, these practices involve information - how and where it's stored, how secure it is, and how quickly and reliably it can be retrieved. Enterprises create information repositories, or archives, in which to store information that may be subject to regulatory compliance requirements or internal governance standards.
One thing is certain. The amount of information is overwhelming. Enterprises are under increasing pressure to implement archive solutions that are comprehensive, flexible, reliable and affordable while they effectively address concerns about retention management, security, data protection and accessibility.
This session will provide attendees with an innovative solution that consolidates archive management of e-mail, databases, digital images and more, in a single platform. This new approach will enable you to overcome the gaps in current solutions and raise the bar for enterprise archives.
10:45 am - 11:15 am
Networking Break, Tabletop Exhibit Viewing and One-to-One Meetings With Analysts
11:15 am - 12:00 pm
Creating an e-Communications Policy to Protect Business Interests and Meet Legal Obligations
Andrew Gotfried, Vice President, Compliance Director Private Client Group, Raymond James & Associates, Inc.
Today, when the integrity of the financial services industry is under closer scrutiny than ever before, it's critical that organizations take control of their information for both business and legal reasons. Company information must be leveraged as a business asset, while simultaneously being managed and preserved for electronic discovery, production for regulatory bodies, as well as other requirements and legal concerns. This session addresses the need to retain, preserve and produce e-communications and records, and how organizations can meet this challenge through the development of an effective e-communications policy. The discussion focuses on the challenges and solutions involved in supervising, retaining and producing email and instant messages to protect the organization's business interests and legal needs.
12:00 pm - 12:45 pm
Leveraging Compliance Efforts to Achieve Excellence in IT Governance
Ken Williams, Vice President & Area Manager for Canada, CA Technical Services, Computer Associates International
In today's competitive global economy, many regulatory and governance factors have influenced the activities of both the business and IT departments. Regulations such as Sarbanes-Oxley, Basel II, HIPAA and others have created new pillars of accountability and credibility. Many organizations today have gone through the process of selecting and implementing technologies in an attempt to make compliance happen effectively and consistently. Can your organization leverage your compliance efforts to provide valuable benefits to the business process owners within your organization?
This session will brief you on the opportunity beyond today's regulations to build a sustainable, holistic and integrated risk and compliance approach that will leverage your compliance efforts to achieve excellence in IT Governance.
12:45 pm - 2:00 pm
Lunch Roundtable Discussions and One-to-One Meetings with Analysts
The lunch roundtable discussions will address key topics in an interactive format moderated by an industry expert. Attendee participation is strongly encouraged. Sign up sheets will be available at registration on a first-come, first-served basis so please arrive early. Some of the topics to be addressed are:
IT Governance to Optimization
Ken Williams, Vice President & Area Manager for Canada, CA Technical Services, Computer Associates International
At the core of IT Governance to Optimization is a unique opportunity to utilize a maturity model tool to help you determine your current level of IT effectiveness and provide a transition path towards optimized business operations. At the enterprise level there are product solutions; integrated product flows, business solutions or industry leading business solutions to optimize IT processes and IT resources. These solutions are integral to the success of enterprise governance by assuring efficient and effective measurable improvements supported by ITIL and COBIT frameworks. At this lunch discussion you will engage with your peers on understanding your technology and process maturity level and how you can capitalize on opportunities and gain a competitive advantage.
Electronic Discovery: Public Sector Roundtable
Stephen J. Lief, Esquire, Director, Litigation Support - IT, Office of the Corporation Counsel, NYC Law Department
The law regarding electronic discovery has evolved rapidly over the past few years, with important cases like Zubulake v. UBS Warburg creating new e-discovery standards and expectations. This interactive roundtable discussion, led by Stephen J. Lief, a senior counsel with Law Department of the city of New York, will provide you with a valuable opportunity to learn from Mr. Lief and your peers about the latest developments in e-discovery. Facing an e-discovery challenge? Discuss with others in your industry and learn from their real-world experiences. Wondering what you can do to prepare today for e-discovery tomorrow? Bring your questions and your experiences and join in on this unique opportunity to learn more about e-discovery.
Electronic Discovery: Corporate Roundtable
John Gubernat, Director, EMC Corporation
Electronic discovery creates a profound dilemma for companies. On the one hand, companies are facing the costs and risks of piling up massive volumes of information, especially on inaccessible backup tapes. On the other hand, they are facing the consequences of inadvertently destroying information that will later be deemed relevant to a lawsuit or investigation. In this interactive Luncheon Roundtable Discussion, you will engage in dialogue with your peers around e-discovery. Drawing from your own experiences and the expertise of the facilitator you will explore issues such as reducing the risk and costs of e-discovery - as well as questions and experiences that you bring to the table.
2:00 pm - 2:45 pm
Concurrent Special Interest Group Sessions
Group 1
Best Practices for Electronic Record Retention and Access
Stephen Ellis, Senior Vice President, Strategy and Co-Founder, Permabit, Inc. (moderator)
Electronic records are the foundation of many businesses today. All organizations, especially those in heavily-regulated sectors like financial services and healthcare, must be able to reliably store and quickly access electronic records. In fact, strict compliance regulations like Sarbanes-Oxley, SEC 17a-4, NASD 3110 and HIPAA, demand that companies today account for the integrity and authenticity of their electronic records. Moreover, litigation and regulatory audits increasingly put pressure on the IT department to find and produce email and other forms of digital information in a timely and cost-effective manner. In this session, hear real world examples from end-users who have successfully implemented records retention systems and archival storage to meet the requirements of regulatory compliance.
Group 2
Efficiently Managing Information to Reduce the Risks and Costs of e-Discovery
John Gubernat, Director of Compliance and Enterprise Content Management Solutions, EMC Corporation
Electronic discovery creates a profound dilemma for companies. On the one hand, companies are facing the costs and risks of piling up massive volumes of information, especially on inaccessible backup tapes. On the other hand, they are facing the potentially draconian consequences of inadvertently destroying information that will later be deemed relevant to a lawsuit or investigation. To strike the right balance between these competing risks, companies need an IT solution which automates the collection of relevant information, archives it in a way that makes sense and is separate from disaster recovery backup tape solutions. This session will provide a brief overview of the current legal trends in e-discovery, and then will discuss how technology together with ILM enabled processes allow companies to efficiently manage information to reduce risks and costs of e-Discovery, while at the same time improving the company�s information and records management.
3:00 pm - 3:45 pm
Concurrent Special Interest Group Sessions
Group 1
Compliance and Governance: Best Practices in Enterprise Risk Management
Joe Cortale, Senior Vice President of Sales, Vericept
Anna Sherony, Information and Privacy Officer, Sammons Financial Group/Midland Life Insurance
Protecting a company's confidential information is no longer just the responsibility of the IT department. While corporate IT security teams are under increasing pressure to protect all company information from hackers and viruses, compliance officers are held responsible for ensuring a company's compliance with regulations such as the Gramm-Leach-Bliley Act (GLBA) or the Health Insurance Portability and Accountability Act (HIPAA) - both designed to prevent leaks or misuse of client or patient data. At the same time, executives are held accountable to new corporate governance and ethics standards through regulations such as Sarbanes-Oxley requiring comprehensive internal controls not only for ethics but also to identify, prevent and mitigate fraudulent financial reporting or misuse of company assets. This presentation will take a case study approach and discuss the implementation and use of enterprise risk management solutions at a global company. This approach ensures compliance with government regulations while protecting valuable customer information. The company now has a tool to catch misuse and misconduct occurring within its network while providing a process for compliance control.
Group 2
Real Time Communications Monitoring
Ian Black, Managing Director, Aungate
Non-compliant or unauthorized communications can result in costly lawsuits and damaged reputations, as well as lost revenue. Equally significant are breaches of company, partner or customer confidentiality. Most companies are concentrating their efforts on finding non-compliant communications after they have occurred. New technologies enable companies to not only find these communications quickly and easily but also to halt non-compliant emails, instant messages and attachments before they leave the organization. In this session, learn how companies use technology that automatically identifies concepts within emails, instant messages, voice-mails and attachments and stops them in their tracks or sends them to the compliance officer. We will review the criteria needed to adopt this solution and how this approach provides real-time communications monitoring. Through case studies we will show how to convert compliance from a costly bureaucratic overhead to a positive performance benefit.
3:45 pm - 4:15 pm
Networking Break, Tabletop Exhibit Viewing and One-to-One Analyst Meetings
4:15 pm - 5:00 pm
Preparing Today for E-Discovery: It's Not a Question of "If" but "When"
James L. Michalowicz, Litigation Program Manager, Tyco International (US) Inc.
When the regulator comes knocking, or the subpoena arrives in the mail, it is late to come up with an e-discovery strategy - or at least one that will make preserving and producing electronic information a painless and inexpensive experience. Recent court decisions emphasize the critical need for enterprises to take control of digital information before trouble strikes. The hard and soft costs of trying to play catch-up can be devastating, with broad requests for digital information now standard operating procedure for regulators and litigators. Attendees will learn not only the consequences of failure in e-discovery, but more importantly, how to avoid failure in the first place by adopting an approach to information management today that anticipates the future use of digital information in formal proceedings. From the right policies and practices, to technology, training, and standard notice mechanisms, attendees will glean a variety of information applicable to their own organizations.
5:00 pm - 5:30 pm
Effectively Handling Conflicting Compliance Requirements
Jay Cohen, Chief Compliance Officer, Dun & Bradstreet
Simone Seth, Director - IT Governance Program Office, Citigroup Technology Solutions Group
All companies have a need to comply with laws, regulations, standards, and other sources of compliance requirements, but compliance is often not as simple as just following one set of rules. For example, global organizations may face overlapping and even conflicting compliance regimes across their nations they operate within - especially in the context of e-commerce. Large organizations may face regulatory requirements that differ on a division by division basis. Even organizations based in a single state may face a number of local laws and regulations that need to be considered. In this panel discussion, learn practical strategies from Compliance and IT professionals who have experience in identifying, addressing compliance requirements across multiple jurisdictions.
5:30 pm - 6:00 pm
Compliance Forecast: Hot Topics and New Trends in Compliance and Information Management
Randolph A. Kahn, ESQ., Kahn Consulting, Inc.
What will be the next "email" in terms of the potential for technology to create corporate liability and information management struggles? What are the trends to watch in terms of pending legislation, rules, and industry requirements? Where should the organization's focus lie in ensuring their information is managed effectively, not just for today, but into the future? In this session, Randolph Kahn will look to the horizon, offering a fast paced and up to the minute analysis of current and future compliance issues. The latest research and insight on the future impact of developing laws and regulations will provide attendees with a glimpse of how IMC will effect their organization in the coming months and years, as well as how they might best prepare for what will be required in the future.
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