Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?

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Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
American Society of Access Professionals

                    National Training Conference
                              July 22-24, 2019
                     Renaissance Capital View Hotel
                             Arlington, Virginia

Do You Have Perfect FOIA 2020 Vision? What are the
New and Emerging Government Recordkeeping and
 access Issues Likely to Arise over the Next Decade?
                           By Jason R. Baron
                             Drinker Biddle

    “With permission to reprint from Spring 2019 edition of InfoGov World”.
Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
INFORMATION
    GOVERNANCE WORLD           GDPR ONE YEAR     OZ ALASHE ON ANALYTICS
                           LATER W/ RICHARD HOGG    & CYBERSECURITY

                                                              ADVICE FROM
                                                             LEADING IG EXPERTS

                                                                 JASON R.
                                                                   BARON
                                                                   ON RIM’S
                                                               MAJOR THREAT

                                                                NICOLAS
                                                              ECONOMOU
                                                                 AI’S ROLE IN
                                                                E-DISCOVERY

                                                             SONIA LUNA
                                                              ON COSO & RISK
                                                                MANAGEMENT

                                                              NATHANIEL
                                                                PALMER
                                                             IG & INTELLIGENT
                                                                  AUTOMATION

HEIDI
                                                              JOHN ISAZA
                                                              ON GLOBAL RIM
                                                                COMPLIANCE

MAHER
HER VISION FOR
CGOC + IG &
DATA PRIVACY
BENCHMARKS

VOL 1 • ISSUE 3
SUMMER 2019
INFOGOVWORLD.COM
YOUR GLOBAL IG RESOURCE®
Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
PUBLISHER’S LETTER

      W
                            e are proud and pleased to bring

                                                                                                                                    PHOTO BY LILLI GARCIA
                            you another spectacular issue! It is
                            chocked full of engrossing content
                            and keen insights from IG leaders.
                            Our cover feature is an interview with
     CGOC’s Executive Director, attorney Heidi Maher. Her
     story of her childhood in Iran, then immigrating to the
     US is intriguing; her rise to working in the Texas Attorney
     General’s office and then becoming a leading tech attorney
     is inspiring. And the story of how her parents met is quaint!
         We also feature two interviews from across the pond
     with keynote speakers at the annual MER Conference in
     Chicago. Oz Alashe, MBE, served as a leader in the British
     military and now applies his skills in leading a cybersecurity
     firm that leverages analytics and AI to prevent and detect
     threats. He offers some insights on looming cyber threats
     that you won’t want to miss. Nicolas Economou, the
     son of a diplomat who has traveled extensively, offers his
     discernments on AI governance and AI use in e-Discovery.
         Noted attorney and e-discovery expert Jason R. Baron
     provides a detailed look at ephemeral messaging and its
     threat to RIM. John Isaza, a leading attorney in the IG space,
     talks about his immigration from Columbia to Southern
     California, and his close friendship with fellow attorney
     and co-author John Jablonski. He then provides insights on
     global RIM compliance. Former ARMA President Fred Diers
     also contributed a provocative piece on RIM programs that
     every records management professional should read.
         We focus on data privacy heavily, especially in this
     issue. Richard Hogg, a leader in global privacy, gives us
     a look at GDPR a year after it went into effect, and our
     own Mark Driskill offers what he has uncovered about              Metcalf, PhD, gives us a preview of the book he wrote
     GDPR as well. Also, Scott Allbert writes about what               with several colleagues on blockchain in healthcare.
     financial institutions may not know about the impending              Enjoy and learn! And please don’t forget to send us
     California Consumer Privacy Act.                                  your topic ideas, opinions, and feedback – this is the IG
         Business process expert Nathaniel Palmer provides us          community’s magazine and we strive to improve with
     with a clear view of the intersection of intelligent automation   each issue.
     and IG. We also interviewed my friend Sonia Luna, CPA,
     who gives us expert insights on the COSO risk management                                                                                               For more information about becoming
     framework, cannabis compliance, and living in L.A.                                                                                                     a Certified Records Manager or
         My longtime colleague at IMERGE Consulting,                                                                                                        Certified Records Analyst
     Jim Just, and content analytics expert Brian Tuemmler,                                                                                                 contact (518) 463-8644 or
                                                                         Robert Smallwood
     provide us with two viewpoints on cleaning up shared                CEO & Publisher                                                                    visit www.icrm.org
     drives with some very good advice.
         Again in this issue, data governance expert Merrill
     Albert gives us lessons on running a good DG program,
     and we are hoping the IG community picks up some
     of her tips. Tom Motzel writes about the rise of the                             Please send your comments, suggestions, and
     CDO and potential conflicts with the CISO; and David                          story ideas to me at Robert@infogovworld.com

4   INFOGOVWORLD.COM                                                                                                                                                           INFORMATION GOVERNANCE WORLD   5
Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
CONTENTS
                                                                                                                                                                            INFORMATION

                                                                                                                                                                                                                                      YOUR GLOBAL IG RESOURCE®
                                                                                                                                                                            GOVERNANCE WORLD

                                                                                                                                                                                                                                          infogovworld.com
      INFORMATION GOVERNANCE                  REGULATORY COMPLIANCE                        EMERGING TECHNOLOGY
                                                                                                                                                                                                                     VOLUME #1
      IN SOCIETY                              44 Law & Order: Interview with 		            64 Driving AI
                                                                                                                                                                                                                      ISSUE #3
      10 ARMA Metro NYC Annual 		                John Isaza, Esq.                          65 AI Used to Transcribe Content
          Spring Conference                   47 High Standards: Interview with 		         65 Future of Defense is AI                                                                                               SPRING 2019
      11 The Annual AIIM Conference              Sonia Luna, CEO and President
                                                 at Aviva Spectrum                         INFORMATION GOVERNANCE
      INFORMATION GOVERNANCE                                                               HEALTHCARE
      BEST PRACTICES                          LEGAL & EDISCOVERY                           66 Blockchain in Healthcare –
      12 Mission Impossible 			               50 A.I. Governance: Interview 		                Empowering Patients and
         by Jason R. Baron                       with Nicolas Economou                        Professionals by David Metcalf, PhD
                                                                                           67 Medical Bills Are Killing Americans
      INFORMATION PRIVACY                     RECORDS & INFORMATION                        67 IG Leaders in Healthcare
      16 GDPR One Year Later 			              MANAGEMENT                                   68 Harvesting Computing Brainpower
         by Richard Hogg                      52 Creating a Sustainable 			                   to Improve Healthcare                                                        CEO & PUBLISHER
      19 Facebook Always Watching                RIM Program – Fact or Fiction? 		         69 Artificial Intelligence in Healthcare                                        Robert Smallwood
      20 Cali Privacy Act to Hit 			             by Fred Diers, CRM, FAI                   70 Six Strategies to Consider When
         Financial Services Firms 		                                                          Implementing IG by Rita Bowen 		                                    CHIEF OPERATING OFFICER
         the Hardest? by Scott Allbert        DATA GOVERNANCE                                 and Erin Head                                                                 Baird Brueseke
      22 GDPR’s First Birthday 			            56 Data Governance: Insights from
         by Mark Driskill                        the Field By Merrill Albert               72 INFORMATION GOVERNANCE                                                   CREATIVE DIRECTOR
                                              57 What is Master Data Management?           TRADE SHOWS                                                                       Kenny Boyer
      INFORMATION SECURITY
      24 An Interview with Cybersecurity 		   CONTENT SERVICES                             74 INFORMATION GOVERNANCE                                                        SENIOR EDITOR
         Leader Oz Alashe, MBE                58 Intelligent Automation & IG:The 		        EVENTS                                                                            Dan O’Brien
      28 CSA’s Cloud Controls Matrix 		          Critical Path to Digital Transformation
         Maps to Leading Frameworks 		           by Nathaniel Palmer
                                                                                                                                                                    CONTRIBUTING EDITORS
         by Baird Brueseke                    60 The Rise Of The CDO:
      30 CIS Releases New Mobile Controls        Conflicts Emerge With CISO Role?
                                                                                                                                                         Mark Driskill, Martin Keen, Andrew Ysasi
         by Baird Brueseke                       by Tom Motzel
                                                                                                                                                                    CONTRIBUTING WRITERS
      COVER STORY                             ARCHIVING & LONG-TERM 		                                                                                  Merrill Albert, Scott Allbert, Jason Baron
      32 The Visionary: Interview with 		     DIGITAL PRESERVATION                                                                                      Rita Bowen, Baird Brueseke, Fred Diers
         Heidi Maher by Robert Smallwood      62 Newer Cloud-based 			                                                                                     Erin Head, Richard Hogg, Jim Just                                              Check us out online
                                                  Approaches Simplify 			                                                                             David Metcalf, Tom Motzel, Nathaniel Palmer                                        and sign up today for a
      ANALYTICS & INFONOMICS                      Digital Preservation                                                                                    Robert Smallwood, Brian Tuemmler
      40 Clean-up content with Content 		                                                                                                                                                                                             free digital subscription to
         Analytics Technologies by Jim Just
      42 Kick Start Your IG Program with
                                                                                                                                                              CONTRIBUTING PHOTOGRAPHERS
                                                                                                                                                                Nikki Acosta, Lilli Garcia
                                                                                                                                                                                                                                        Information Governance
         Content Cleanup by Brian Tuemmler                                                                                                             Nate Kieser, Robert Smallwood, Christian Yi                                          World magazine.
                                                                                                                                                            SPECIAL THANKS TO INTERVIEWEES:                                             Print subscriptions for
                                                                                                                                                               Heidi Maher, Nicolas Econmou
                                                                                                                                                              Sonia Luna, John Isaza, Oz Alashe                                         the quarterly mag are
                                                                                                                                                                                                                                        $49/year, or $195 for
                                                                                                                                                                                                                                         five team members.

                                                                                                             ON THE COVER: Heidi Maher,
                                                                                                           Executive Director, Compliance,
                                                                                                                  Governance & Oversight
                                                                                                                                              2358 University Ave # 488,
                                                                                                                                              San Diego, CA 92104
                                                                                                                                                                                                                 infogovworld.com
                                                                                                                                                                                                                    1.888.325.5914           888-325-5914
                                                                                                            Council. Photo by Nikki Acosta,
                                                                                                             Magnetic Focus Photography.                              © 2019 InfoGov World Media LLC
                                                                                                                                                              INFORMATION GOVERNANCE EDUCATION, NEWS & EVENTS:                       subscribe.infogovworld.com
                                                                                                                                                                   YOUR GLOBAL IG RESOURCE®
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Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
OPERATIONALIZE
     Information Governance:                                                                                                                                                                                       YOUR PRIVACY
                                                                                                                                                                                                                      PROGRAM
     A PRIMER                                                                                                                                                                           O                                                    AUTOMATE GDPR

     A
                       ccording to the Sedona Conference,
                                                                                                                                                                                                                                             RECORD KEEPING
                       Information Governance (IG) is about
                       minimizing information risks and costs while
                       maximizing information value. This is a compact
                       way to convey the key aims of IG programs.
                            The definition of IG can be distilled
      further. An even more succinct “elevator pitch” definition

                                                                         “
      of IG is, “security, control, and optimization” of information.
          This is a short definition that anyone can remember. It is a                                                                          READINESS &                        PIA, DPIA & PbD                      DATA MAPPING                  COOKIE CONSENT &
      useful one for communicating the basics of IG to executives.
          To go into more detail: This definition means that
                                                                                An even more succinct                                       ACCOUNTABILITY TOOL                     AUTOMATION                          AUTOMATION                    WEBSITE SCANNING

      information—particularly confidential, personal, or other
      sensitive information—is kept secure.
                                                                         “elevator pitch” definition of IG is,                               Benchmark organizational
                                                                                                                                              readiness and provide
                                                                                                                                                                                Choose from pre-defined
                                                                                                                                                                               screening questionnaires to
                                                                                                                                                                                                                      Populate the data flow
                                                                                                                                                                                                                        inventory through
                                                                                                                                                                                                                                                    Conduct ongoing scans of
                                                                                                                                                                                                                                                   websites and generate cookie

          It means that your organizational IG processes control         “security, control, and optimization”                              executive-level visibility with
                                                                                                                                                 detailed reports.
                                                                                                                                                                               generate appropriate record
                                                                                                                                                                                  keeping requirements.
                                                                                                                                                                                                                     questionnaires, scanning
                                                                                                                                                                                                                          technologies or
                                                                                                                                                                                                                                                      banners and notices.

                                                                         of information.”
      who has access to which information, and when.                                                                                                                                                                   through bulk import.
          And it means that information that no longer
                                                                                                                                                   GDPR Articles 5 & 24            GDPR Articles 25, 35 & 36            GDPR Articles 6, 30 & 32             GDPR Articles 7 & 21
      has business value is destroyed and the most valuable                                                                                                                                                                                           ePrivacy Directive Draft Regulation

      information is leveraged to provide new insights and value.
      In other words, it is optimized.
                                                                             DG includes data modeling and data security, and
      IG PROGRAMS REQUIRE CROSS FUNCTIONAL                               also utilizes data cleansing (or data scrubbing) to strip
      COLLABORATION                                                      out corrupted, inaccurate, or extraneous data and de-
      IG involves coordination between data privacy, information         duplication, to eliminate redundant occurrences of data.
      security, IT, legal and litigation/e-discovery, risk                   Data Governance focuses on data quality from the                    SUBJECT ACCESS                 UNIVERSAL CONSENT &                     VENDOR RISK                  INCIDENT & BREACH
                                                                                                                                                 RIGHTS PORTAL                PREFERENCE MANAGEMENT                     MANAGEMENT                     MANAGEMENT
      management, business records management functions and              ground up at the lowest or root level, so that subsequent
      more. It is a complex amalgamated discipline as it is made         clinical assessments, reports, analyses, and conclusions are
                                                                                                                                           Capture and fulfill data subject   Embed consent management                Conduct vendor risk           Build a systematic process
      up of multiple sub-disciplines.                                    based on clean, reliable, trusted data in database tables.
                                                                                                                                            requests based on regulation         directly on website with            assessments, audit and         to document incidents and
          IG must be driven from the top down by a strong executive                                                                            specific requirements            standardized transaction             manage data transfers            determine necessity for
      sponsor, with day-to-day management by an IG Lead, which is        THE CHALLENGE: MANAGING UNSTRUCTURED                                                                            workflow.                       to third parties.                 notifications.
      a person who could come from one of the major sub-disciplines      INFORMATION
      of IG. The IG lead could come from IT, cyber-security, privacy,    Unstructured information is the vast majority of information
                                                                                                                                                   GDPR Articles 12 - 21                GDPR Article 7                    GDPR Articles 28(1),              GDPR Articles 33 & 34
      RIM, analytics, legal, operations or related disciplines.          that organizations struggle to manage. Unstructured                                                                                                24(1), 29, 46(1)

                                                                         information generally lacks detailed metadata and includes
      THE KEY DIFFERENCES BETWEEN DATA                                   and scanned images, email messages, word processing
      GOVERNANCE & INFORMATION GOVERNANCE                                documents, PDF documents, presentation slides,
        Data Governance (DG) and Information Governance                  spreadsheets, audio recordings, video files, and the like.
      (IG) are often confused.                                               Unstructured information is more challenging to
          They are distinct disciplines, but DG is a subset of IG,       manage than structured information in databases, and is
      and should be a part of an overall IG program. DG is the
      most rudimentary level to implement IG, and often DG
                                                                         the primary focus of IG programs.
                                                                             IG is much more broad and far-reaching than DG. IG
                                                                                                                                                                                                               FREE GDPR WORKSHOP
      programs provide the springboard for IG programs.
          Data governance entails maintaining clean, unique
                                                                         programs include the overarching polices and processes
                                                                         to optimize and leverage information as an asset across
                                                                                                                                                                                                                        4.5 CPE Credit Hours
      (non-duplicate), structured data (in databases). Structured        functional silos while keeping it secure and meeting legal and   Details and Registration Available                                   For privacy professionals focused on tools and
      data is typically about 10%-20% of the total amount of             privacy obligations. These IG program aims should always be           at PrivacyConnect.com                                            best practices to operationalize compliance.
      information stored in an organization.                             in alignment with stated organizational business objectives.

8   INFOGOVWORLD.COM
Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
INFORMATION GOVERNANCE
     SOCIETY
ARMA Metro NYC Annual                                                                                                                             The Annual AIIM
Spring Conference                                                                                                                                 Conference
On March 5, the ARMA Metro NYC Chapter held their annual Spring                                                                                   The annual AIIM Conference took place
Conference in Manhattan to a crowd of over 220+ attendees. The group                                                                              March 26-28 in San Diego. Approximately
was hosted by ARMA NYC Chapter President Gene Stakhov. Privacy was                                                                                600 attendees enjoyed excellent keynote
a major focus of the day, with presentations by Jo Ann Davaris, CPO at                                                                            presentations and educational sessions,
Mercer; David Peach, CISO at The Economist Group; Wayne Matus, Chief                                                                              as well as social networking events. And                                                                                    Smiling networker with
                                                                                                                                                                                                                                                                              a humorous shirt
Compliance Officer at Sageguard√gdpr; Richard Hogg of IBM; attorneys                                                                              the weather was spectacular!
John Isaza and Leigh Issacs, and more. Afterward, a networking
reception was held and many enjoyed conversing with colleagues.                       ARMA Metro NYC Board
                                                                                                                                                  CONTRIBUTED PHOTOS
                                                                                      Members
CONTRIBUTED PHOTOS
                                                                                                                            John Isaza presents
                                                                                                                            a case study

                                                                                                                                                                                                                                                                              Iron Mountain’s Tom
                                                                                                                                                  Mary Arnold, USAA                               AIIM held its conference at the San Diego grand Hyatt                       Motzel makes a point

Josseline Corniel & Veronika Golberg of                                  Karla Farley of Microfocus and
Vdiscovery flank Michael Landau of Veritas                               raffle winner John Attanasio

                                                                                                                                                  Longtime AIIM Fellow Priscilla Emery       Iron Mountain’s Arlette Walls chatting up the table                 SD/LA AIIM Social attendees enjoying drinks
                                                                                               Many good connections were
                                                                                               made during lunch

 (Left to right) Keynote speaker group: Wayne Matus (SafeGuard
 GDPR), Jo Ann Davaris (Mercer), Gene Stakhov (enChoice), David
 Peach (The Economist Group) and Michael Potters (Glenmont Group)                              A standing room only crowd                         Boshia Smith and Georgina                       A pensive Alan Pelz-Sharp                               Ryan Zilm rocks karaoke

10   INFOGOVWORLD.COM                                                                                                                                                                                                                                                          INFORMATION GOVERNANCE WORLD    11
Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
INFORMATION GOVERNANCE
     BEST PRACTICES                                                            (With the consent of its editors, the following is an abridged
                                                                              version of an article that appeared in the Winter 2019 issue of
                                                                                    “Ethical Boardroom” magazine, a UK publication.)

 M I S S I O N
    IMPOS      S I B L E ?
     HOW TO SAVE RECORDS MANAGEMENT FROM THE
     THREAT POSED BY SELF-DESTRUCTING MESSAGES
     BY JASON R. BARON / PORTRAITS BY NATE KIESER

     E
            very month more than four billion people send 560         alleging that presidential staff were using communications
            billion SMS text messages worldwide—a 7,700%              platforms such as WhatsApp, Confide, and Signal, that allow
            monthly increase over the past decade. Instant            for self-deletion, while failing to put into place an adequate
            message (IM) traffic on apps such as Facebook             archiving scheme responsible for the capture of such messages
            Messenger, WeChat, WhatsApp, Viber, and Line,             (either by automated means or by staff copying messages
            top 60 billion texts daily.1 As of 2018, cloud-based      manually).4 The lawsuit was dismissed on the grounds that
     collaboration tool Slack says it has eight million daily         under existing precedent the court did not consider itself
     active users and three million paid users.2                      to have jurisdiction to interfere with Presidential records
         According to one recent survey, nearly 78% of                management practices. But on its merits, the allegations
     people would like to have a text conversation with a             in the complaint painted a picture of potential widespread
     business, and 80% of professionals currently use texting         noncompliance with recordkeeping policies that simply are
     for business purposes. Interestingly, more than half             not keeping up with the pace of technological change.
     of professionals claim that they cannot stand even 10                And so, at the end of the second decade of the
     minutes without responding to a text.3                           21st century, we face what might be considered an
         Coupled with the emergence of messaging generally            existential threat to recordkeeping as we know it. This is
     are self-destructing messaging services beyond the popular       to the extent that business-related communications are
     Snapchat and Telegram platforms, such as Bleep, Confide,         increasingly conducted by employees of enterprises via
     Cover MeHash, Signal, SpeakOn, VaporStream, Wickr, and           these types of messaging channels, either on company-
     a host of others. Unadorned use of these messaging apps          owned or employee-owned devices. Shall we give up?
     means there may, in fact, be no “record” in any sense that can   Shall we try to rigidly enforce prohibitions on the use of
     be captured by any actor or institution subject to regulatory    these services? Or, as an intermediate position, shall we
     oversight or compliance obligations. Although, admittedly,       ask what data controls are reasonable to contemplate as
     such applications are less prevalent amongst business people     a matter of governance, compliance and oversight? The
     than they are with the under 18 set, they nevertheless are       question is of an urgent nature, given the accelerating
     available to any potential interested party as a means of        proliferation and use of such applications.
     conducting business—for time-saving efficiency by many,              Taking a step back, it may first be best to review the
     and for possible dubious “off-the-books” uses by some.           bidding on how we got here, including key milestones
         In 2017, a Washington, D.C.—based public interest            and earlier warning signals along the way. Armed with
     group filed a lawsuit against the current White House,           that knowledge, we can take a stab at sketching out a                                        Jason R. Baron

12   INFOGOVWORLD.COM                                                                                                                           INFORMATION GOVERNANCE WORLD   13
Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
INFORMATION GOVERNANCE | BEST PRACTICES
                                                                   of communications technologies really started to take             considerations to perform a risk analysis with respect to                                workarounds, especially on their personally-owned devices.
                                                                   off, with the introduction of the Google search engine,           the pros and cons of continuing allowance of ephemeral                                       Second, corporate record retention policies and device
                                                                   coupled with platforms represented by Gmail, Yahoo, and           messaging as a matter of corporate policy. Arguably, there are                           use policies should be updated to explicitly include
                                                                   other providers. For the first time, employees had realistic,     substantial financial benefits in mitigating potential exposure                          recognition of the fact that business records may be created
                                                                   easy-to-use alternatives to sole reliance on corporate            to fines, through clear corporate guidance prohibiting the use                           on messaging applications, and that such messages need to
                                                                   e-mail networks -- which in many cases have been subject          of ephemeral messaging apps for the conduct of corporate                                 be managed. While there is no iron-clad, general duty to
                                                                   to slow-downs, connection issues, and glitches of all             business. On the other hand, ephemeral messaging decreases                               preserve all business-related communications, under certain
                                                                   types. In this same time period, there was an explosion           overall corporate risks in at least three ways: first, by reducing                       circumstances legal holds may need to be put into effect
                                                                   of laptops, mobile devices, personal digital assistants, and      the volume of retained messages that may be subject to                                   that cover relevant communications on ephemeral apps.
                                                                   most of all, smart phones, with the capability not only           cybersecurity threats; second, by controlling over-retention                             Accordingly, encouragement should be given to employees
                                                                   of accessing e-mail networks (corporate and private), but         with corresponding litigation exposure due to the inadvertent                            in the first instance to use stable forms of communications
                                                                   also downloading a wide variety of apps.                          or default retention of messages with negative consequences;                             (as defined under corporate policies), that reasonably
                                                                        It was therefore entirely foreseeable that employees –       and third, as a matter of compliance with emerging General                               comply with existing record retention practices and which
                                                                   including some of the most senior level officials -- would        Data Protection Regulation (GDPR) policies aimed at                                      allow for legal holds to be put into effect. Absent an
                                                                   gravitate to using alternative means to communicate               reducing long-term preservation of records containing                                    outright prohibition of ephemeral messaging, companies
     path to better compliance from both the perspective of        in the course of carrying out various types of business           personal data on individuals, including sensitive personal data.                         should at a minimum make clear what is permissible and
     technology and information governance policy.                 activities. Just as inevitably, in the last half decade or        This same risk factor balancing ideally should be considered by                          what is expected of employees using either corporate or
         In 1986, employees of the National Security Council       so, controversies over the use of commercial networks             all companies, not just those affected by FCPA policies.                                 personal devices, and should provide notice if the company
     were informed in a White House guidance manual that           and apps to communicate about official business have                   Corporate policies prohibiting employee use of                                      wishes to perform some kind of audit of those devices.
     e-mail should not be used to convey official records          blossomed. The controversy over Secretary of State                applications are certainly more easily enforceable on company-                               And third, as a matter of setting expectations in a

                                                                                                                                                                                                                              “
     information. That written policy prohibition went             Hillary Clinton’s use of a private email server is the            owned devices, although some kind of software auditing
     unheeded by Lt. Col. Oliver North, John Poindexter, and       most prominent example of this phenomenon, but                    program – automated or manual – would still need to be put
     others, who sent to each other thousands of emails (in
     the form of “PROFS notes”) about high-level, sensitive
                                                                   she by no means has been alone: many high-level state
                                                                   and federal officials, as well as political leaders in such
                                                                                                                                     into place. However, a substantial portion of the corporate
                                                                                                                                     world has adopted some form of BYOD (bring your own
                                                                                                                                                                                                                                    ...we face what might be
     matters of government, including pertaining to the            countries as Australia and Canada, also have used private         device) policies, allowing for employees to opt to carry out
                                                                                                                                                                                                                              considered an existential threat to
                                                                                                                                                                                                                              “recordkeeping” as we know it. ”
     infamous Iran-Contra affair. Such messages were seized        communications channels to discuss government business.           corporate business on their personally owned devices. In such
     as part of an Independent Counsel investigation, and               From a lawmaking perspective, the federal government         cases, although there are ways to embed software auditing for
     subsequently were caught up in decade-long litigation         has been out in front by enacting into law in 2014 provisions     particular devices and apps on a voluntary basis, there would
     over the record status of e-mail messages residing on         that require officials who conduct government business by         appear to be wide open compliance issues given the ease in
     backup tapes. The government eventually lost the              means of “electronic messaging” on a private commercial           which individual employees may opt to install messaging apps                             given corporate culture, if senior officials show that
     argument that only e-mail communications that had been        network to take reasonable steps to forward or copy the           that essentially can go undetected by their employers for some                           they are adhering to using more traditional channels
     printed out were true government records. Subsequently,       messages into an official recordkeeping system (with a “.gov”     period of time.                                                                          for communication, mid-level supervisors and their
     the Clinton White House agreed to restore e-mails             address).7 Notably, the statute does not prohibit the use of           In view of the fast-changing world of ephemeral and                                 employees may be more ready to toe the line. The counter
     from backup tapes, including with certain metadata, for       commercial services, but instead provides conditions on use.      self-destructing messaging, here are some practical steps                                example of the head of an enterprise being known to
     placement in government archives, and also agreed to put      The statute also includes a provision for agencies initiating     company officers should consider taking as part of a robust                              use private channels as a means to communicate about
     into place a system for e-mail archiving going forward.5      disciplinary measures against employees who fail to adhere to     information governance program.                                                          company business only incentivizes more widespread
         In the intervening decades, e-mail became the lingua      these legal requirements.                                              First, C-suite executives should make every effort                                  noncompliance with corporate policies.
     franca of office communications, whereby virtually all             More recently, the Department of Justice (DOJ) has           to understand the IT environment that exists in their                                        The genie is out of the bottle: there are a seemingly
     public and private organizations comprising more than a       focused on ephemeral messaging in connection with its             workplace, including on corporate devices as well as                                     endless amount of easy ways that we as individuals are all
     few employees have instituted e-mail as a communications      corporate enforcement policy pursuant to the Federal              on devices owned by employees but used for company                                       now able to communicate with each other. New forms of
     channel at least in-house. As history repeatedly has shown,   Corrupt Practices Act (FCPA). To that end, under its recent       business. What kinds of communications apps are being                                    technologies pop into existence with each passing year. A
     however, institutional policies that enable end-users with    Corporate Enforcement policy (USAM 9-47-120), DOJ                 used, by whom, and for what purposes? Executives should                                  corporate strategy that embraces change in acknowledging
     access to new types of communications technologies            has put into place a presumption that companies will receive      consider taking reasonable steps to attempt to control                                   these new ways of doing business, while providing clear,
     (as e-mail was in the 1980s), coupled at the same time        a “declination,” i.e., full remediation credit towards what       communications, via investing in archiving tools for                                     up-to date-guidance (and notice) to everyone on staff on
     with policy guidance informing those users that they          otherwise would be a substantial monetary sanction, only          social media that capture communications on designated                                   what is and is not permissible, is a sensible path forward in
     should not use the technology for “official” or “business”    if the company satisfies certain conditions, one of which         apps. As necessary or desirable, companies may consider                                  the brave new workplace of our future.
     communications, have proven to be a recipe for failure        involves the company “prohibiting employees from using            imposing software blocking the use of certain well-known
     from a compliance perspective.                                software that generates but does not appropriately retain         apps to restrain employees from engaging in ephemeral
                                                                                                                                                                                                                              JASON R. BARON SERVES AS OF COUNSEL IN THE IG AND EDISCOVERY GROUP AT DRINKER,
          In 1995, the introduction of the Netscape browser        business records or communications.” This phrasing clearly        communications. A caveat here is in order, however: such                                 BIDDLE & REATH LLP, AND IS CO-CHAIR OF THE INFORMATION GOVERNANCE INITIATIVE.
     led to a period of information inflation, in which the        was intended to include ephemeral messaging, although in          efforts may only encourage users to find less-well known                                 HE MAY BE CONTACTED AT JASON.BARON@DBR.COM.
     number of websites grew from less than a hundred to over      its scope it may potentially also sweep in very short retention
     100,000 in very short order.6 This, in turn, heralded in      times on e-mail messaging as well (where automatic deletion       REFERENCE: [1] https://medium.com/bsg-sms/50-texting-statistics-that-can-quench-everyones-curiosity-even-mine-7591b61031f5; [2] https://www.businessinsider.
     an era where end-users could, in theory, access a world       is set to days, rather than months or years).                     com/slack-8-million-daily-active-users-wants-500-million-2018-11; [3] https://skipio.com/154-reasons-why-texting-is-the-future-of-business-to-customer-
                                                                                                                                     communication/: [4] See Citizens for Responsibility and Ethics in Washington et al. v. The Hon. Donald J. Trump and the Executive Office of the President, 302 F.Supp.3d 127
     of online connections from their workplace desktops.               At a minimum, it is now in the interest of C-suite           (D.D.C. 2018) (appeal filed); [5] See Armstrong v. Executive Office of the President, 1 F.3d 1273 (D.C. Cir. 1993); [6] G.Paul & J.R.Baron, “Information Inflation: Can
     That said, it was only in the post-2000 era that the world    executives in enterprises that might be affected by FCPA          the Legal System Adapt?,” http://law.richmond.edu/jolt/v13i3/article10.pdf; [7] See 44 U.S. Code § 2911 (2019).

14   INFOGOVWORLD.COM                                                                                                                                                                                                                                                               INFORMATION GOVERNANCE WORLD   15
Do You Have Perfect FOIA 2020 Vision? What are the New and Emerging Government Recordkeeping and access Issues Likely to Arise over the Next Decade?
INFORMATION PRIVACY
                                                                                                                                                                Richard Hogg

     GDPR       ONE      YEAR       LATER
     BY RICHARD HOGG | PHOTO BY LILLI GARCIA (LILLIPOPART.COM)

     P
               sst… have a private moment? It has been a year since       catch businesses off guard as they realize that GDPR
               the EU General Data Protection Regulation (GDPR)           applies to some (or all) of their global business. As defined
               went live, and the world is still spinning. Let’s take a   in the GDPR, it applies to all Personal Data (in any
               look at what transpired in the first year of GDPR.         media or format, electronic and physical) of any living,
         GDPR went live May 25, 2018 and it aimed to                      natural persons In Europe. If you’re not living—sorry—
     standardize Personal Data (PD) privacy and protection                then GDPR doesn’t apply to your personal data (but there
     duties, obligations, and rights across all 28 member                 may be other regulations that do). If you’re in Europe––
     countries in the EU. The new privacy regulation updates              regardless of being a citizen, legal resident, temporary
     and expands the previous EU privacy directive which had              alien or just passing through an EU airport for an hour––
     been in place for decades. With the historical reality of            GDPR likely applies to your personal data.
     human rights incidents and multiple dictatorships, Europe                “Natural persons” refers to GDPR applying to the
     continues to ramp-up its focus on privacy.                           personal data of all living people in Europe, but not to
         People in the EU are ever more aware of the                      other legal entities, like corporations, who might claim
     importance of data privacy and protection, and their                 personal business data. It still does apply to all businesses,
     newly-defined rights under GDPR. They are now                        and applies anywhere in the world they are collecting,
     exercising these rights, including their Data Subject Rights         storing, or processing the personal data of anyone IN
     around Rights to Enquire, Correct, Erasure, and Data                 Europe. It doesn’t mean GDPR only applies to legal
     Portability. So, across the whole of Europe— (except                 entities or businesses based in Europe––or only on data
     for five member countries who have still yet to adopt                centers with data In Europe. It means anywhere.
     GDPR into their national legislation), a consistent privacy
     framework is in place.                                               IS ‘PERSONAL DATA’ JUST PII?
         As 2019 began, the Executive EU Commission reported              “Personal Data” is just PII, right? Pedantically, Personal
     more than 95,000 complaints1 were filed across Europe                Data (PD) is the focus of GDPR. Of any direct or indirect
     under GDPR so far. The first of those complaints filed was           identifiers across a wide (and often surprising) range of
     just six minutes into GDPR Day by None Of Your Business2             categories and types of Personal Data that can identify a
     (NOYB.eu ), a nonprofit that is laser-focused on all things          natural living person in Europe. If you’re talking GDPR,
     privacy and protection, founded by Max Schrems, privacy              PII is merely a subset of Personal Data.
     activist and attorney.                                                 But definitions vary. For example, under the U.S.
         Then Google was hit with a 50 Million Euro fine                  National Institute of Standards & Technology (NIST.
     (about $56M dollars)— the largest fine to date—as of                 gov) definition, a network TCP/IP address isn’t considered
     early 2019. It was levied by the French Privacy Regulator            personal, whereas under GDPR (and most other privacy
     (CNIL) under GDPR for transparency and lawfulness                    regulations) it most definitely is personal.
     issues (think opt-in and consent). A 50M fine may sound
     like a big number, but it is a mere speeding ticket for              WHAT DID IT MEAN TO BE GDPR READY?
     Google––a warning, if you will. The fines will get larger if         My point of view is it “just” meant a focus and action for
     Google (and others) do not comply.                                   getting and sustaining readiness across three activities and
         As conveyed from the central EU data protection                  outcomes:
     supervisor Buttarell,7 along with many industry analysts             1. Compliance
     (Iannopoll8) from late 2018, we’ve only just begun to see               All the organizational change management activities
     fines and sanctions hit major corporations for GDPR                     around people, policy, process, and education to raise
     violations. Surely, some Eye-poppng ones are to come!                   internal awareness of privacy and protection. Ensuring
                                                                             everyone is educated and practices with transparency and
     EXACTLY WHICH “PEOPLE” ARE COVERED                                      accountability—that there are policies in place and they
     UNDER GDPR?                                                             have audited proof of being followed. Plus, via contractual
     Citizens of the EU, right? Be careful, this is one of those             and other terms, ensuring your global supply chain
     many areas where terminology (and assumptions) still                    sustains readiness for you.

16   INFOGOVWORLD.COM                                                                                                                      INFORMATION GOVERNANCE WORLD   17
INFORMATION PRIVACY

      “
                                                                                                                           California CCPA and Brazil’s LGPD.
                                                                                                                                                                                                                                                                                                         News
            Let’s hope we can get to some                                                                                  A few months ago, Thailand issued
                                                                                                                           their privacy regulation which will                    FACEBOOK:
                                                                                                                           go live later in 2020. And Brexit, if
                                                                                                                                                                                  ALWAYS
      meaningful federal level privacy                                                                                     it’s been resolved by now, adds to the
                                                                                                                           complexity.
                                                                                                                                                                                  WATCHING                              ATTORNEY GENERAL BECERRA, SENATOR JACKSON
      regulation to make it a level playing
                                                                                                                                Other countries already have
                                                                                                                           some or most of a GDPR-like
                                                                                                                                                                                  Let’s be honest. Most of us use
                                                                                                                                                                                                                        INTRODUCE LEGISLATION TO STRENGTHEN,
                                                                                                                           regulation in place, but often without
                                                                                                                                                                                                                        CLARIFY CALI CONSUMER PRIVACY ACT
      field across the country.”
                                                                                                                                                                                  our phones for much more than
                                                                                                                           the teeth of the large potential
                                                                                                                                                                                  making calls, checking social
                                                                                                                           penalties under GDPR so far (up                        media, and texting friends and        SB 561 CLARIFIES ATTORNEY GENERAL’S ADVISORY
                                                                                                                           to 4% of annual revenue). Many                         family. We use dozens of apps         ROLE, ADDS PRIVATE RIGHT OF ACTION, AND
                                                                                                                           countries are updating and expanding                   to do everything from figuring        ELIMINATES SO-CALLED “RIGHT TO CURE”
                                                                                                                           their regulation, not only to protect                  out “who that actress is on that
                                                                                                                           consumers, but also, if we are honest,                 show” to checking out weather         SACRAMENTO – California Attorney General Xavier Becerra and Senator Hannah-Beth Jackson in
      2. Data Protection                                        and reduce risks and costs (e.g. of a                      to clawback some revenue from                          forecasts and mortgage rates.         February unveiled SB 561, legislation to strengthen and clarify the California Consumer Privacy
          All the cybersecurity actions and                     central privacy catalog and ROPA)?                         dominant American tech companies.                      And unfortunately, this data is       Act (CCPA). The CCPA is landmark legislation passed in 2018 that provides groundbreaking
          outcomes around encryption,                           For IBM, their examples are shared                              And in the U.S.? We’re seeing                     being shared with Facebook.           protections for consumers in their ability to control the use of their personal data. California is the
          access controls and monitoring,                       in the public GDPR journey e-book,                         at least 11 different states looking                       Given recent privacy concerns,    first in the nation to pass a law giving consumers this right. SB 561 helps improve the workability
                                                                                                                                                                                  it comes as no surprise that the      of the law by clarifying the Attorney General’s advisory role in providing general guidance on the
          data loss prevention, and incident                    available at www.ibm.com/gdpr.                             to clone or copy most of what
                                                                                                                                                                                  tech giant aggressively collects      law, ensuring a level playing field for businesses that play by the rules, and giving consumers the
          breach readiness and reporting.                                                                                  California has in place with the
                                                                                                                                                                                  data even if a user doesn’t have      ability to enforce their new rights under the CCPA in court.
      3. Personal Data                                          MOST WERE NOT READY                                        CCPA. Even some cities, like                                                                     “California, the nation’s hub for innovation, has long led the way to protect consumers in the
                                                                                                                                                                                  Facebook connected on their
          Ensuring you have a good                              As ongoing media reports and studies                       Chicago, have enacted local data                       device. Perhaps most concerning       digital age. And as we work to strengthen data privacy law, the world is watching. It’s essen-
          understanding of what is Personal                     have shown, most businesses were                           ordinances as they await whatever                      is that dozens of popular apps        tial that we get this right,” said Attorney General Becerra. “We thank Senator Jackson for her
          Data across the business, by                          able to do just enough to be initially                     actions their state may take.                          share your personal data without                                                                 commitment to data privacy and for
          category and type, down to each                       ready. But they now realize far more                            Worst case, in the short term, the                your clear consent.                                                                              introducing SB 561, a critical measure to
          main data source or system and                        extensive revisions across the three                       U.S. may have 50 different privacy                         Are we really dumfounded by                                                                  strengthen and clarify the CCPA. We will
          its location. Document and                            outcome areas are needed. We’ve                            regulations to meet, a very complex                    such a revelation at this point?                                                                 continue to work together to protect all
          maintain a Records of Processing                      only just begun. Some industries and                       web for any multi-jurisdictional                           Governments around the                                                                       Californians and their constitutional right
          Activity (ROPA) of not only what                      those with far more customer-centric                       business to operate in and sustain.                    world have set their sights on                                                                   to privacy.”
          is Personal Data, but for what                        practices have seen a spike in data                        Let’s hope we can get to some                          Facebook, Google, Amazon, and                                                                       “Our constitutional right to privacy
          business process and lawful basis                     subject requests and have struggled                        meaningful federal level privacy                       others, but fines alone have not                                                                 continues to face unprecedented assault.
          you are collecting and using it for.                  to complete these within the GDPR                          regulation to make it a level playing                  slowed down the runaway train                                                                    Our locations, relationships, and interests
          And readiness to respond to the                       deadlines of one month per request                         field across the country. Getting there                that is unfettered data collection.                                                              are being tracked, bought and sold by
                                                                                                                                                                                  Some might be thinking, “Well,                                                                   corporate interests for their own economic
          deadlines for handling any data                       (businesses have one month to                              in the political short-term may be
                                                                                                                                                                                  I don’t even have a Facebook          gain and in order to manipulate us,” said Senator Hannah-Beth Jackson. “With the passage of
          subject requests (e.g. Right of                       comply and complete each request,                          hard, although the focus, priority,                    account.” That should provide         the California Consumer Privacy Act last year, California took an important first step in protecting
          Erasure) in sync with a global IG                     not just reply). These organizations                       and volume of attention and hearings                   some level of protection, but         our fundamental right to privacy. SB 561 will ensure that the most significant privacy protections
          and cybersecurity program.                            have documented leveraging the                             around these issues continues in                       a recent Wall Street Journal          in the nation are robustly enforced.”
                                                                optional regulatory extensions to                          Congress, plus business lobbying,                      investigation revealed an                 SB 561 removes requirements that the Office of the Attorney General provide, at taxpayers’
      Larger organizations then executed                        these deadlines. Request volumes                           various draft proposals, as well as the                unsettling reality: Facebook was      expense, businesses and private parties with individual legal counsel on CCPA compliance;
      readiness plans and put in place                          are still in the early stages for many                     NIST Privacy Framework RFI9 that                       collecting data even in instances     removes language that allows companies a free pass to cure CCPA violations before enforcement
      sustaining ownership and activities                       countries and industries and have                          is ongoing.                                            where someone doesn’t have a          can occur; and adds a private right of action, allowing consumers the opportunity to seek legal
      around these three outcome areas,                         been shown to spike whenever                                    At the end of the day, it’s all about             Facebook account.                     remedies for themselves under the act.
      via different formal privacy program                      unfortunate data breaches occur.                           you and me, and our Personal Data.                         And despite tech giants
      plans, policies, and processes.                                                                                                                                             offering up boilerplate               Background:
      These often included dedicated                            WHAT’S NEXT?                                                                                                      statements about requiring            The CCPA was enacted in 2018, and grants consumers new rights with respect to the collection
      workstreams such as where they are                        For now, it’s an ever-increasing                                             RICHARD HOGG IS GLOBAL DIRECTOR OF   disclosure for apps, they don’t       and use of their personal information. As part of the law, businesses are prohibited from discrim-
                                                                                                                                             INFORMATION GOVERNANCE AT THE LAW    require that apps disclose all
      acting as a Controller or a Processor.                    complex set of privacy and protection                                        FIRM OF WHITE & CASEM. HE CAN BE
                                                                                                                                                                                                                        inating against consumers for exercising their rights under the CCPA. As required by the CCPA,
                                                                                                                                                                                  the partners with whom the data       the Attorney General must adopt certain regulations on or before July 1, 2020. Effective January 1,
      What common services do we                                regulations being refreshed and                                              REACHED AT RICHARD.HOGG@PM.ME
                                                                                                                                                                                  is being shared. So, Facebook’s       2020, businesses must comply with the CCPA’s key requirements:
      need to stand up and run across                           enacted, with momentum around the                                                                                 lack of concern for user privacy
      the business to ensure consistency                        world. Coming in 2020 is both the                                                                                 continues unabated—until                  • Businesses must disclose data collection and sharing practices to consumers;
                                                                                                                                                                                  perhaps GDPR and CCPA                     • Consumers have a right to request their data be deleted;
      REFERENCE: [1] https://phys.org/news/2019-01-complaints-eu-countries-law.html; [2] https://noyb.eu/faqs/; [7] https://techcrunch.com/2018/10/03/                            regulatory enforcement hits full          • Consumers have a right to opt out of the sale or sharing of their personal information; and
      europe-is-drawing-fresh-battle-lines-around-the-ethics-of-big-data/; [8] https://go.forrester.com/blogs/gdpr-fines-are-coming-but-they-wont-be-your-biggest-                stride. —Staff
      loss/; [9] https://www.nist.gov/privacy-framework                                                                                                                                                                     • Businesses are prohibited from selling personal information of consumers under the age of
                                                                                                                                                                                                                              16 without explicit consent.

18   INFOGOVWORLD.COM                                                                                                                                                                                                                                                                             INFORMATION GOVERNANCE WORLD    19
INFORMATION PRIVACY                                                                                                                consumer financial transactions.
                                                                                                                                                                                                               Scott Allbert

                                                                                                                                            Since many financial services
                                                                                                                                        institutions believe they have
                                                                                                                                        full exemptions to CCPA, they

     CALI PRIVACY ACT TO HIT FINANCIAL
                                                                                                                                        could find themselves vulnerable
                                                                                                                                        to risks, fines, and any related
                                                                                                                                        law suits. This will happen

     SERVICES        FIRMS        THE    HARDEST?
     MANY INSTITUTIONS MAY THINK THEY GET A PASS ON CCPA
                                                                                                                                        because they did not prepare
                                                                                                                                        properly and protect non-GLBA
                                                                                                                                        related data. To be clear, the
     BY SCOTT ALLBERT | PHOTO BY LILLI GARCIA (LILLIPOPART.COM)                                                                         currently-drawn CCPA states
                                                                                                                                        that if a GLBA entity, “collects

 H
                                                                                                                                        information beyond that of
                   ave you heard the buzz        the reasons for collecting it, and order    rules and heavier fines. These same        providing a financial service or
                   about CCPA?                   them to refrain from selling any of it.     tech giants are currently lobbying         product to a consumer” then the
                      Sure, most of us have      The personal information protected          congress in Washington DC to               CCPA regulations will apply.
                   heard about the new           in these regulations contains a lot         create new federal privacy laws. Not       Examples of data collected
                   “California Consumer          more than just financial or banking         surprisingly, big tech companies are       outside of a financial service or
     Privacy Act,” yet many companies will       data; PII includes all “information         only looking out for themselves to         product includes data like website
     find themselves in serious trouble by not   that identifies, relates to, describes,     try to preserve their “surveillance”       visitors and their locations,
     preparing properly. This will especially    associated with or could be reasonably      business model by watering down            using analytics for targeted
     be true for financial services firms.       linked, directly or indirectly, to          impending privacy legislation.             online advertising or collected
         A couple of important things to         a consumer or household.” This                  It is important to note the CCPA       geolocation information.
     know: first, which companies are            consists of many different types            has already been amended and                   It is vital that financial services
     required to comply with CCPA (hint:         of information, including IP                politicians promise to make more           firms realize the need to pay
     this also includes firms located outside    addresses, biometric data, personal         changes before the dust to settles and     attention and distinguish what
     of California), and second, what data       characteristics, browsing history,          it goes into effect in January 2020.       data is regulated GLBA and by
     falls under the protections of the act.     geolocation data, and much more.                                                       CCPA as they will inevitably be
         California’s new privacy law                                                        FINANCIAL SERVICES                         required to prove which data is
     will come into effect on January            CCPA PASSED IN 2018                         COMPANIES                                  exempt. More financial services
     1st 2020. This act is designed to           On June 28, 2018, California                Do financial services companies have       organizations will find themselves
     give California residents a better          Congress passed Assembly Bill 375,          an exemption? Well, yes… to an extent.     struggling to stay compliant over
     way to control and to protect their         the CCPA. The act will apply to             In September 2018, the CCPA bill           most other industries because
     personal information. California            any “for-profit” organization which         was amended with carve-out language        they did not prioritize CCPA
     consumers will have the right to            grosses at least $25 million annually       to address business information,           compliance appropriately.
     order companies to delete their             and interacts with 50,000 or more           including financial services data. This        Just as we learned after the
     personal data—similar to what               Californians, or derives at least half of   amendment provides a sweeping              European GDPR came into effect
     Europe’s all-encompassing GDPR              its annual revenue from selling personal    exception for financial institutions,      last year, some companies were
     regulation calls for. Many U.S. states      information. Most importantly, CCPA         including data regulated by the            ready and many were not. We
     are now debating new privacy laws           applies to businesses “regardless of        Gramm-Leach-Bliley Act (GLBA). You         also learned how the companies
     using CCPA and GDPR as models               location” who meet the above criteria.      can almost visualize compliance officers   that made the commitment
     to protect the personal rights of           You must comply if you process              at banks like Wells Fargo and B of A       with enterprise Information
     individuals and consumers.                  personal information of Californians        celebrating one less regulation to deal    Governance (IG) and Privacy
         As we learned in the Winter,            whether your corporation is located in      with. However, as I tell our financial     programs including software,
     2019 issue of IG World in an article        California or not.                          clients: “don’t be complacent—you          systems, and organizational
     by Osterman Research, privacy                    What was interesting is how            must be prepared.” While the carve-        changes throughout were much
     regulations are rapidly spreading           CCPA was rushed into law and signed         out language is no doubt welcomed by       better prepared for CCPA and
     worldwide in countries such as India,       by Governor Jerry Brown in June             GLBA related entities, it really should    will be for any new regulations
     Brazil, and Australia. Even the U.S.        of 2018, just days before a deadline        not be interpreted as a full exemption.    coming soon.
     Congress has been working on a bill         to withdraw a state’s ballot measure        Financial services firms will remain
     that could soon become federal law.         on a privacy proposition coming             subject to CCPA requirements if and
         California consumers will have the      up in the November election. Tech           when they engage in activities outside
                                                                                                                                                       SCOTT ALLBERT IS PARTNER
     legal right to force companies to not       companies like Google and Facebook          of the GLBA, which many most                              RECRUITER FOR M-FILES. INC. HE
     only delete their personal information      were ready to fight against this voter      certainly do. The CCPA definition                         HAS OVER 20 YEARS’ EXPERIENCE
     but also disclose what Personally           initiative because it would have been       of “personal information” is much                         IN ECM, IS A PAST CHAIR OF THE
                                                                                                                                                       AIIM BOARD, AND AN AIIM FELLOW.
     Identifiable Information (PII) has          more strict—holding them more               broader than that of the GLBA data,                       HE MAY BE REACHED AT
     been collected about them, demand           accountable with more far-reaching          usually related to services performed in                  SCOTT.ALLBERT@OUTLOOK.COM.

20   INFOGOVWORLD.COM                                                                                                                                                                    INFORMATION GOVERNANCE WORLD   21
INFORMATION PRIVACY

                                                                                                                                                                                                                                  “
                                                                                                                                    This last item is perhaps the most        widespread global use of Facebook
                                                                                                                                    troubling: 38% have yet to vet their
                                                                                                                                    third-party software vendors. This
                                                                                                                                                                              and its plethora of connected apps,
                                                                                                                                                                              such inquiries from other EU member
                                                                                                                                                                                                                                     With almost
                                                                                                                                    means that a significant portion of
                                                                                                                                    the global economy is not meeting
                                                                                                                                                                              countries cannot be far behind.
                                                                                                                                                                                  In perhaps the most egregious case
                                                                                                                                                                                                                                 95,000 privacy
                                                                                                                                    GDPR compliance. The Forrester
                                                                                                                                    survey’s primary findings were that
                                                                                                                                                                              yet, a whistleblower forced Facebook
                                                                                                                                                                              to reveal that “as many as 600 million           complaints filed,
                                                                                                                                    only 11 % of global companies are
                                                                                                                                    prepared to undergo the type of
                                                                                                                                                                              users’ passwords were stored in
                                                                                                                                                                              plain text and accessible to 20,000            they have only just
                                                                                                                                    digital transformation needed to fully
                                                                                                                                    comply with GDPR-based privacy
                                                                                                                                    needs of citizens. In its entirety,
                                                                                                                                                                              employees, of which 2,000 made
                                                                                                                                                                              more than 9 million searches that
                                                                                                                                                                              accessed the passwords going back to
                                                                                                                                                                                                                              started to process
                                                                                                                                    GDPR has yet to make a significant
                                                                                                                                    impact, at least one beyond large tech
                                                                                                                                                                              2012.”11 Added to this blatant breach
                                                                                                                                                                              of basic cybersecurity practices is
                                                                                                                                                                                                                           those investigations,
                                                                                                                                    company compliance.
                                                                                                                                        A key implied issue that ultimately
                                                                                                                                                                              the fact that Facebook knew about
                                                                                                                                                                              the issue back in January and spent
                                                                                                                                                                                                                                   findings, and
                                                                                                                                    influences GDPR compliance                several months trying to keep it
                                                                                                                                                                                                                                enforcements”
     GDPR’S         FIRST BIRTHDAY
                                                                                                                                    checkpoints is the balance between        from the public.12 They would surely
                                                                                                                                    intrusion into a company’s                have been embarrassing questions
                                                                                                                                    business practices and its ability for    to answer during the recent U.S.
     BY MARK DRISKILL                                                                                                               profitmaking. Industry leaders such as    Congressional hearings.                    an anti-competition class-action case,

     A
                                                                                                                                    Kon Leong, CEO of ZL Technologies,            As Forbes points out, cybersecurity    the German court severely limited
                    s Brexit talks engulf     revealed that some major tech              complaints filed, they have only just      note that “built into the challenge is    at Facebook just might be obsolete.        Facebook’s ability to collect user data
                    European and UK           companies use personal data in ways        started to process those investigations,   the paradox that achieving complete       In the wake of the sensational stories     inside Germany. This essentially walls
                    politics, another         that violates personal privacy in many     findings, and enforcements. So many        data privacy required by GDPR entails     regarding recent Russian interference      off Germany’s Facebook users from
                    smoldering issue          ways.                                      of the “privacy fines” we’ve seen          an unprecedented level of intrusion.      into American elections, “Facebook         the rest of Facebook’s user base. The
                    threatens far-worse           Large data handlers like Facebook,     since GDPR went live were really           In order to truly protect personal        did not conduct a top-down                 precedent set by German regulators
     damage to the EU/UK relationship,        Google, and Amazon have come               cases that occurred pre-GDPR and           data, you [must] know exactly where       security audit of its authentication       was substantial. Facebook (at least in
     and indeed the global economy.           under close examination by EU              thus much smaller in scope and             and whose it is. This necessarily         systems.” This is a profound, if not       Germany) can longer use tactics such
         Last May, the EU implemented         regulators, forcing CEOs in the            penalties under the prior EU privacy       requires intrusion, which many don’t      provocative, revelation, particularly      as using user data to make fictitious
     sweeping new data privacy and            “personal surveillance data business”      regulation. What has been happening        understand.” Leong’s point is apt         given Zuckerberg’s promise to reform       profiles. Moreover, it can no longer
     protection laws meant to protect the     to defend, and even rethink, their         quietly, almost behind the scenes, is      because the global economy depends        Facebook’s business practices.             use Facebook Pixel, a single character
     Personal Data (PD) of those in the       business models (e.g., Google              a tacit acceptance that data privacy       on the flow of information. What is           That promise, made to Congress         imbedded in a page that transmits data
     EU—importantly—be they citizens,         now cites privacy regulation as            from the person-centered perspective       the balance? As conveyed by Richard       just prior to GDPR’s May 2018 roll-        back to the company’s servers. With the
     temporary residents or visitors, from    a major threat to their business           must begin with forcing larger             Hogg, Global GDPR Evangelist, IBM,        out, seems now to be empty. While          German precedent, Facebook can no
     unauthorized use, AND, extra-            model in corporate documents).             companies such as Facebook, Google,        “Identity is a key challenge and duty     Zuckerberg testified, his company          longer claim what it does with user data
     territorially, wherever in the world     These have included both Privacy           and Amazon to comply. This hangs           around GDPR privacy compliance.”          continued its intrusive practices, even    on its platform is proprietary.
     their personal data is stored or used.   Regulators around GDPR (e.g.,              over companies in the consumer                                                       as he tried to simplify for legislators        In some ways, the first year of
         The issues stem from the EU’s        UK ICO, Ireland DPC, etc.) and             tech sector like thick fog. American       ENFORCEMENT AND                           Facebook’s business practices. What        “GDPR-live” was marked by both
     broad definition of PD and the long      EU competition regulators. Under           businesses and culture do not like         PRECEDENT SETTING                         Zuckerberg did not tell Congress was       confusion and denial that such
     history in Europe of privacy being       the new GDPR these companies,              anyone telling them how to run             With the new GDPR mandate in              that “GDPR has highlighted not only        regulation was really needed. Today,
     viewed as a fundamental human            without exception, must follow             things. Apparently, this is also true      place, EU member countries have a         the privacy impact of a data-driven        the establishment of a nation-specific
     right, against too much history of       EU privacy law. The issues rest            for GDPR compliance, adding to a           valuable tool for ensuring compliance     society,” notes Kon Leong, “but also       precedent is the exception, not the
     dictatorships and fascist control.       primarily with the advertising data        persistent lack of full compliance.        even as these companies undertake         the issues that come with enterprises’     rule. However, enough cannot be said
     The EU’s General Data Protection         insights these companies have created          A December 2018 Forrester              actions to protect their business         siloed IT architecture.” Facebook’s IT     about the fact that Germany is one
     Regulation (GDPR) took effect,           using proprietary algorithms. The          survey commissioned by Microsoft           models. Ireland, for example, has         architecture was (and probably still is)   of the main economic powers of the
     provoking a new era of tech-company      invasiveness is secretive and at times     found that more than half of               “opened 10 statutory inquiries into       compromised.                               globe. Without German leadership,
     corporate accountability.                unsettling as these companies seem to      businesses failed to meet GDPR             Facebook and other Facebook-owned             In the business world, laws and        GDPR might die an unceremonious
         The GDPR didn’t just standardize     know when someone will buy a pair          compliance checkpoints.9 Other             platforms in the first seven months       regulations are street signs to setting    death. The same must happen in
     data privacy and protection across       of socks!                                  highlights included:                       since” GDPR adoption last May.10          precedent. During this initial phase       other countries involved in setting
     all (current) 28 member states of            At first glance, it might seem as if                                                  The Irish Data Protection             of GDPR compliance, it is crucial          global economic policy.
     Europe, but refined both how to seek     the first year of GDPR compliance            • 57 % instituted “privacy by design”    Commission (DPC) commissioner             that leading EU countries, such as             In short, GDPR-style privacy
     permission to use personal data and      has been largely uneventful, at least        • 59 % “collected evidence of having     Helen Dixon notes the inquiries match     Germany, take positions of authority.      must come to the United States.
     refreshed the personal rights of each    in terms of other leading global             addressed GDPR compliance risks”         the public’s interest in “understanding   Germany’s Federal Cartel Office, the       Thankfully, California is leading the
     person in the EU to view and take        news stories. It’s really a journey, as      • 57 % “trained business personnel       and controlling” their own personal       federal agency that regulates Germany’s    way with its California Consumer
     control of their own personal data.      the EU regulators and analysts have          on GDPR requirements”                    data. The Irish DPC fully intends that    competition laws, set a new precedent      Privacy Act (CCPA), which is going
         As 2018 came to a close, it was      shared. With almost 95,000 privacy           • 62 % “vetted third-party vendors”      these be precedent-setting. Given the     in a February 2019 court ruling. In        live January 2020.

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