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OnDemand Course

Implementing a Records Retention Program

Find out why it is absolutely necessary to have a solid records retention program in place, and how it prevents compliance issues.

This topic will teach you how to avoid devastating problems that your company may face if it does not implement and maintain a records retention and data management program. Specifically, you will learn how to identify your company's need for an effective records management program; how to develop an effective program for your company; how to staff your records and data management team; how to avoid obstructing justice or other sanctions in the course of discarding unnecessary documents and data; and the benefits of having a records management program in place when (not if) your company becomes involved in an audit, investigation or lawsuit. Because of increasing activity and scrutiny of data security breach incidents, this topic also will discuss specific roles that records retention and compliance professionals serve in the prevention as well as investigation and remediation of data privacy & security breach incidents.

Learning Objectives

  • You will be able to identify definitions and elements of a Records Data Management program.
  • You will be able to recognize the legal needs of a Records Data Management program.
  • You will be able to identify the steps in designing a Records Data Management program.
  • You will be able to recognize the risks of not implementing a Records Data Management program.

Runtime: 100 minutes
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Why Lorman?

Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Definition and Elements of a RDMP

Identifying the Need for a RDMP

  • Business Needs - Identifying and Controlling Critical Information
  • Insurance Needs - Qualifying for Protection of Critical Information
  • Legal Needs - Regulatory Agencies and Civil Litigation
  • Legal Needs - Criminal Proceedings

Developing a RDMP

  • Preliminary Steps - Planning the RDMP
  • Designing the RDMP
  • Implementing the RDMP

Special Considerations

  • Data Privacy and Security - Anticipating and Responding to a Breach
  • Civil Proceedings - Legal Holds and E-Discovery
  • Criminal Proceedings - Obstruction of Justice
  • Accountants and Other Service Professionals
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Why Lorman?

Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Course

This course was last revised on December 19, 2018.

Call 1-866-352-9540 for further credit information.

  • CPE/NASBA - QAS Self Study 2.5 including Specialized Knowledge 2.5
     
  • Lorman Education Services is registered with the National Association of State Boards of Accountancy (NASBA) as a QAS Self Study sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its web site: https://www.nasbaregistry.org/cpas/complaints. For more information regarding administrative policies such as complaint and refund, please contact our offices at 866-352-9539. CPE Credit: Maximum Credit Hours: 2.5 each session (based on a 50 minute credit hour). You must attend at least 50 minutes to obtain credit. Field of Study: Specialized Knowledge for 2.5 hours. Prerequisite: . Level of Knowledge: Intermediate. Teaching Method: Seminar/Lecture. Advance Preparation: None. Delivery Method: QAS Self Study. Please refer to the information in this advertisement for outline, course content and objectives. Upon completion of this course, you will receive a certificate of attendance. Final approval of a course for CPE credit belongs with each state's regulatory board.
     
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Why Lorman?

Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Robert W. Dibert

Robert W. Dibert

Frost Brown Todd LLC

  • Member of the litigation department at Frost Brown Todd LLC; based in Louisville, KY
  • More than 30 years’ experience in handling business disputes in litigation and challenges to business practices made in government regulatory proceedings, including both civil and criminal cases involving the federal Racketeer Influenced and Corrupt Organizations (RICO) statute
  • More than 25 years’ experience in the identification, preservation, production and analysis of electronically stored information in a variety of investigative and litigation contexts; including negotiation of appropriate stipulations or protective orders, conditions of access and vendor agreements where necessary to secure data in usable forms
  • More than 15 years’ experience in counseling clients on the proactive development and maintenance of records retention & disposal policies, with a focus on assuring defensibility in potential legal proceedings
  • More than 10 years’ experience in counseling clients for data privacy/security incident response; including coordination of client IT and forensic expert resources to analyze, contain and remediate incident effects and consultation with law enforcement regarding potential referral or other notification issues
  • Specific investigative and compliance experience includes identification, retrieval, analysis and production of material evidence; analysis of data for evidence of theft, forgery, backdating, or other tampering; and preparation of data for use as substantive evidence in formal proceedings
  • Can be contacted at 502-568-0379, [email protected], or www.frostbrowntodd.com/professionals-Bob-Dibert.html
Lindsay P. Graves

Lindsay P. Graves

Frost Brown Todd LLC

  • Senior attorney with the Electronic Data Discovery (EDD) Group at Frost Brown Todd LLC based in Louisville, KY
  • Advises clients on discovery and records compliance issues in litigation, transaction, and regulatory proceedings
  • Serves as liaison among attorneys, technology providers, and trial or transaction teams to assure the timely handling and analysis of material evidence in civil, criminal and regulatory proceedings
  • Before joining Frost Brown Todd’s EDD Group, she successfully represented a wide variety of individual and corporate clients in private civil litigation and regulatory proceedings
Alison P. Howard

Alison P. Howard

Frost Brown Todd LLC

  • Senior attorney with the electronic data discovery (EDD) Group of Frost Brown Todd LLC based in Louisville, KY
  • Advises clients on discovery and records compliance issues in litigation, transaction, and regulatory proceedings
  • Serves as liaison among attorneys, technology providers, and trial or transaction teams to assure the timely handling and analysis of material evidence in civil, criminal and regulatory proceedings
  • Before joining the EDD Group, Alison was an experienced litigator, a licensed insurance and real estate agent, and a licensed property and casualty adjuster. She also served as compliance counsel for a national real estate title company, and a conflicts counsel for Frost Brown Todd. Alison has authored and presented multiple official continuing education courses to real estate licensees and government regulators, concerning liability insurance and claims experiences.
  • Can be contacted at 502-779-8652, [email protected], or https://www.frostbrowntodd.com/professionals-alison-p-howard.html
Robert C. Webb

Robert C. Webb

Frost Brown Todd LLC

  • Member of Frost Brown Todd LLC’s white collar, tax, and business litigation practices in Louisville, KY
  • Represents individuals and corporations in criminal tax fraud, white collar and commercial litigation matters
  • Has led the defense of federal and state criminal offenses at the investigatory, grand jury and trial levels in such areas as criminal tax fraud, mail and wire fraud, interstate transportation of stolen goods, criminal and civil RICO, health care fraud, criminal antitrust, money laundering, gambling and environmental matters
  • Successfully represented a former Kentucky government official in a major tax fraud and mail fraud trial, as well as executives in a health care fraud and grand jury investigation
  • Conducted internal investigations for public companies and has extensive experience in counseling clients on voluntary disclosure issues
  • Worked at the Department of Justice in Washington, D.C., in the Civil Tax Litigation Division, and was a professor at Bellarmine College where he taught federal taxation of entities
  • Has written numerous articles regarding criminal tax and white collar matters
  • Wrote the Criminal Tax Practice Monograph for the University of Kentucky College of Law
  • LL.M. degree in taxation, Georgetown University Law Center in Washington, D.C.
  • May be contacted at 502-589-5400, [email protected], or http://www.frostbrowntodd.com/professionals-bob-webb.html
Connie Wilkinson-Tobbe

Connie Wilkinson-Tobbe

Frost Brown Todd LLC

  • Senior attorney with the Electronic Data Discovery (EDD) Group at Frost Brown Todd LLC based in Louisville, KY
  • Practice focuses on navigating complex cyber security, privacy, and electronic discovery matters and counseling clients in the areas of preparedness, management, response, and other information governance issues
  • Advises clients on a variety of matters, including risk mitigation and compliance strategies, information management, and data privacy and retention
  • Serves as liaison among attorneys, technology providers, and trial or transaction teams to assure the timely handling and analysis of material evidence in proceedings
  • Can be contacted at 502-779-8611, [email protected], or www.frostbrowntodd.com/professionals-connie-wilkinson-tobbe.html
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Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Product ID: 405396
Published 2018
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