1. Legal and Compliance Strategic Roadmap
August 2014

2. Legal and Compliance Strategic Roadmap
Vision
Until 2014 the Legal and Compliance areas have been relying on manual processes to track and maintain activities. The purchase of ARC Logic and the Legal Case Management System is a substantial step toward providing Legal and Compliance with the tools necessary to best perform the day to day routines of running the department. This automation will provide the Legal and Compliance area a means to plan future events and activities.
The next three years will be dedicated to completing further automation of department activities by:
Implementing an automated records retention program for deletion of records in IDM/P8
Implementing an eDiscovery tool that will automate and track notifications of legal holds and will manage preserved records
Implementing automated defensible destruction of in accordance with the policy to be developed
Implementing a compliance data mart for analytics and reporting 2

3. Legal and Compliance Strategic Roadmap
2015
2016
2017
Implement automated tools into the Records Management Program to improve the deletion process and the processes for Legal Holds and eDiscovery
Interface Teammate with ARC Logics
Continue expansion of automated records deletion process
Develop an Policy and test automation of defensible destruction
Integrate Bridgeway Legal Case Management System with the eDiscovery Software
Create a Compliance Data Mart for Analytics and Reporting
Implement additional functionality for CRA-WIZ
Continue expanding the automated records deletion process
Implement automation of defensible destruction of
Implement Archival Software for vital records
Implement voice recording for internal and external call centers 3

4. Legal and Compliance Strategic Roadmap
2015
Initiative
Duration
Software Cost
Hardware Cost
IT Resource Cost
Total Cost
Implement the following automated tools into the Records Management Program:
Implementation of IBM Records Manager automatic deletion process for IDM/P8 mortgage loan files based on the Records Retention Schedule, business requirements, and legal hold procedures
Implementation of an eDiscovery tool that will automate and track notifications to affected employees, allow for preserved records to be grouped by hold in a segregated environment, allowing for production in discovery and elimination of redundant materials.
12 Months $0
2. Interface Teammate with ARC Logics – Create an automated feed to populate the audit issues registered in Teammate to ARC Logics system.
3 Months
2015 Grand Total
1Strategic Roadmap will be reviewed for possible revisions every six months.
2Costs and duration assigned to the projects are rough order of magnitude estimates for planning purposes only. 4

5. Legal and Compliance Strategic Roadmap
2016
Initiative
Duration
Software Cost
Hardware Cost
IT Resource Cost
Total Cost
1. Electronic Records Management Program – continue expanding IBM Records Manager automatic deletion process for IDM/P8 records based on the Records Retention Schedule, business requirements, and legal hold procedures.
12 Months $0
2. Automated Destruction of - Develop a policy for defensible destruction of s and test automation of destruction.
3. Integrate Bridgeway Legal Case Management System with the eDiscovery Software - This project will integrate the eDiscovery software with the Bridgeway Legal Case Management system.
3 Months
4. Create a Compliance Data Mart for Analytics and Reporting – Create a Data Mart of key compliance data to perform ad hoc reporting, trend analysis and forecasting.
6 Months
5. Implement additional functionality in CRA-WIZ – Implement additional modules (Analysis. PE Reports, GEO coding. Map Analysis) for the existing CRA-WIZ software application.
2016 Grand Total
1Strategic Roadmap will be reviewed for possible revisions every six months.
2Costs and duration assigned to the projects are rough order of magnitude estimates for planning purposes only. 5

6. Legal and Compliance Strategic Roadmap
2017
Initiative
Duration
Software Cost
Hardware Cost
IT Resource Cost
Total Cost
1. Electronic Records Management Program – continue expanding IBM Records Manager automatic deletion process for IDM/P8 records based on the Records Retention Schedule, business requirements, and legal hold procedures
12 Months $0
2. Automated Destruction of – Implement system for automated defensible destruction of s.
3. Implement Archival Software for vital records - Migrate key documents from real time storage to achieved storage for permanent history,
3 Months
4. Implement voice recording for internal and external call centers – Automatically record call center conversations based on key words being used in a conversation.
6 Months
2017 Grand Total
1Strategic Roadmap will be reviewed for possible revisions every six months.
2Costs and duration assigned to the projects are rough order of magnitude estimates for planning purposes only. 6