Directing The Flow Of Information – An Interview with Jones Lukose of The International Criminal Court

Second in a series of interviews with leaders in the fields of Risk, Compliance and Information Governance across the globe.

Jones LukoseJones Lukose, MBA, PhD is the Information Management Officer for the Criminal Court in the Hague and has over twenty years of experience developing and implementing strategies to achieve operational effectiveness and regulatory compliance for engineering firms, in energy and utilities sectors as well as for international and judicial organizations in Africa, Europe and the Americas. I interviewed him this past February to learn more about his unique insights into information management fundamentals and its future.

Jones, your work and research has taken you to many corners of the world including Kenya, Rwanda, Botswana, Jamaica, Uganda, the UK and now the Netherlands. It’s there you presently direct an important Information Governance program for the International Criminal Court. What do you consider the most common theme in the information management challenges you’ve faced across so many unique cultures and how has that experience shaped how you think about solutions for international organizations?

I have worked in organisations where data is everywhere but the common challenge has been that it seems no one is directing its flow. There is a lot of evidence of information collected and stored that does not fit with the organisation’s strategy. The organisation may say that it is going in a particular direction but the data it holds does not provide the required evidence or proof.  My experience in this regard has led me to reconsider my role in the organisation as an Information Manager. In such environments, it is my first priority to help determine the real purpose and value of data to the organisation. In other words lend a hand in crafting the strategy of the organisation by leveraging information management.

How can we, as information management practitioners, as data stewards, effectuate best practices in our workplace in the face of constant, sometimes paradigm shifting changes in technology?

We now live in a world where small sets of information can alter the economies of the most powerful organisation and states on the planet. It is a world, where small streams of sensitive information can digitally leak and cause violent reactions from people living far and beyond the source. Tiny words or images transported via exotic technology can lead to wide-spread panic across whole populations even wars. A world where information is fragmented infinitely raising an infinite number of world views and identities. It is a world where the same information is interpreted differently in space and time. It is a world where information is presented in constant flux with the only constant being surprise.

Whatever your personal convictions, I challenge you to consider that we need a new way of looking at information management. It won’t help to retreat to our old maps and models because the more frustrated we become. We need new information management techniques to navigate the chaos, filter the wrong and point us to the significant. The new information manager will thrive and even love to embrace the chaos of information by applying new lenses and insights. He or she should be ready to be inspired to experiment and try out new ideas and solutions.

Perhaps the information manager of today needs to invest in uncommon skills such as engineering, mathematics, statistics, physics and chemistry to remain relevant. But it is now very possible to visualize the behavior of information management teams and predict their performance using tools that align the required core values to information management practice. An examination of the way employees handle information flowing in the organisation reveals how core values such as respect, transparency, accountability, integrity, innovation etc. are embraced, shared and lived. A value based approach is therefore very effective in establishing positive information management practices in organisations today that can endure the test of time.

In your roles as both a consultant and practitioner your focus has been primarily on guiding entities that serve the public, whether it’s energy, utilities or justice. Is it difficult to balance the need for transparency with the internal privacy, operational and data security demands of the organization? How do you prioritize such competing factors?

We typically think of information governance as a description of who does what with information and who reports to whom. Information Governance however, is much more than a formal system of internal tasks and reporting relationships; something that shows up on intranet sites and bulletin boards. IM Leaders understand that IM governance schemes must be carefully matched to the organization’s purpose and environment. Good IM governance also creates the links between authority, responsibility, accountability and organisational data/information. IM governance influences behaviour and helps shape an organization’s culture over time, much like a skeleton gives shape to the body and allows stability in motion. This dimension guides the IM practitioner in understanding how to judiciously use information as an enabler of change, but more importantly how it can be aligned appropriately to nurture effective behaviour and reporting relationships.

I seek principles and use them as values that transcend technology, methodologies and techniques. Without principles, valuable information is mishandled, individuals lose their way and organizational anxiety ensues. This creates confusion, conflicts, paralysis, and cannibalization of energy. As part of leadership I set clear principles and manage these proactively rather than in damage control when a crisis occurs. I am mindful of information handled within the organization and inspire other staff through my own behaviour.

Sometime priorities are not arrived at rationally but via experience and intuition. In the modern approach, the information manager needs to assume that in complex systems prediction and prioritisation is impossible; the information manager accepts greater indeterminacy and ambiguity. In light of this, the modern information manager needs to rely greatly on intuitive feel for situations, and trusts in the character, creativity, and abilities that they and others bring to the profession. It is essentially a “dance” but created by “jazz artists” that intuitively trust in each other’s abilities and skills to produce something of higher value than the sum of their individual abilities.

The International Criminal Court has a fantastic public facing portal where court documents are indexed, redacted and made available to the public once authorized by the court. I can only imagine that the responsive documents, evidence and court created documentation in these historic cases is voluminous, especially considering document retention requirements. How has providing this robust tool for both keyword search, metadata and contextual filtering improved people’s interaction with and perception of the court and how much do you think the tool has helped raise awareness about it’s critical mission?

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Exclusive Interview with Risk and Compliance Officer and Professor of Financial Law Miguel Mairlot

First in a series of interviews with leaders in the fields of Risk, Compliance and Information Governance across the globe.

Miguel Mairlot interview with Rafael MoscatelMiguel Mairlot is the Risk and Compliance Officer for Lombard International Assurance and a Professor of Financial Law.  I sat down with him at the beginning of the year to learn a little more about his experience in the field of Risk and Compliance and pick his brain on issues like GDPR, the future of privacy rules, the role of A.I. in “fintech” and any advice he can offer millennials looking to get started in the business.

What is it about the business discipline of Risk and Compliance that originally attracted you to the field and keeps you interested?

I spent the first 10 years of my career working in litigation, specializing in banking and finance laws. My expertise and knowledge of the MiFID regulation (Markets in Financial Instruments Directive) led me to work on its implementation for various financial institutions. At that time, legal and compliance tasks were usually performed by the same department. Although I’m interested and continue working on several aspects of the MiFID regulation, I devote most of my time on issues related to money laundering and the detection of serious tax fraud in the event of repatriation of assets.

How do you think companies should approach implementing GDPR and what do you think will be the greatest challenges here?

Any company subject to GDPR should take great care when implementing the requirements set out by this new regulation. Before its entry into force, data protection was not a top priority for many European companies. Now, the paradigm is about to change, due mainly to the hefty fines which can be imposed and the potential reputation damages which may result from a violation of the GDPR provisions.

Among all these tasks, raising awareness among employees about the risks related to the infringement of the rules set out by GDPR might constitute the biggest challenge since this new piece of legislation is considered as a important cultural change in Europe.

The implementation of GDPR will require the revision of internal procedures, the appointment of a Data Protection Officer in some cases and a mapping and assessment of all the data processes, as well as contractual changes. Among all these tasks, raising awareness among employees about the risks related to the infringement of the rules set out by GDPR might constitute the biggest challenge since this new piece of legislation is considered as a important cultural change in Europe.

Last year, New York introduced the Stop Hacks and Improve Data Electronic Security Act (SHIELD) bill which among other things updates breach notification requirements. There have also been efforts to pass bills similar to the EU’s “Right to be Forgotten” requirements. Given some of the geopolitical shifts around the world, including Brexit and a US administration emphasizing deregulation, do you see support for these regulations increasing or waning?

The inflation of the legislative texts which took place in Europe since the last financial crisis has no precedent. Complying fully with all the national and European laws and regulations becomes increasingly complex and costly for companies. Data protection does not constitute an exception to this rule.

Even if its provisions were heatedly debated by the GAFA before the European commission during the drafting process of GDPR, this text constitutes the last bastion that protects European data users against their potential abuses.

The decisions given during the last few years by the European Court of Justice (namely Maximillian Schrems v Data Protection Commissioner; and Google v Spain) are in line with this trend. For theses reasons, I believe that any change in the Data Protection regulation that would reduce the rights of the data users would necessarily create a political crisis and lead to a reconsideration of the democratic legitimacy of our institutions.

The Financial Services and Markets Authority (FSMA) is one of the two authorities, along with the National Bank of Belgium (NBB), entrusted with the supervision of the Belgian financial sector. In the United States it is FINRA, the Financial Industry Regulatory Authority and the SEC responsible for insuring compliance for our banks, insurance companies and publicly traded organizations. We all know the benefits of regulating our financial environments but what do you see as the challenges in working with these groups on increasingly complex compliance issues?

In order to build a strong compliance program, it is of utmost importance to work towards good communication with regulators. Since last year, any individual employed in the financial sector who observes an infringement against the financial legislation rules which the FSMA is responsible for enforcing, can report it directly to the FSMA. The whistleblower’s identity is kept secret and the law protects any individual who, in good faith, reported the infringement. Even if we can be pleased about this recent development, regulators should also have sufficient staff to perform – on a risk-based approach – on-site controls and exercise the ability to impose sanctions in the event of non-compliance. Otherwise, it becomes difficult to convince any employee or management about the importance of complying with applicable rules and regulations if no significant sanction is ever imposed by the regulators.

The news is full of articles about the future of A.I. and Robotics in the financial sector, some more realistic than others. How should Financial Institutions approach introducing Artificial Intelligence and Robotics into their environments and will it have a positive impact on compliance in the long term?

Financial institutions have been leveraging software to detect suspicious transactions related to money laundering and identifying counterparties subject to sanctions for years. Some of them already make use of predictive models. The use of A.I. or Robotics may present many opportunities for financial institutions if certain tasks or low risk decisions can be made using these new technologies. In addition to being cost-effective, these solutions could improve the efficiency of a compliance monitoring program and help mitigate risks in a more efficient manner. However, I seriously doubt that regulators would agree that all compliance tasks may be entrusted to an A.I. tool or any other form of Robotics, mainly for liability purposes. To my knowledge, no robot has been held responsible (yet) by a regulator or a court for a violation of a legal provision.

What is your advice for young professionals, millennials, entering and trying to succeed in the field of Risk and Compliance?

I would advise them to question their own ethics. What is your take on issues like money laundering, sanctions, the fight against terrorism or data protection for instance? Compliance offers the opportunity to practice law in a more preventive and efficient way than ever before. Within an organization, your decisions will often be challenged by the sales or product department which does not always understand the underlying issues that can be raised by certain unethical or illegal behaviors. For these reasons, it is important to keep a long-term vision in order to achieve sustainability while ensuring business growth. If you have that vision, embrace the challenges and opportunities in this rewarding field.

In the next couple months, I’ll speak Jones Lukose of the International Criminal Court and with April Dmytrenko, a recognized thought leader in the field of information management, governance,compliance, and protection.

-Rafael Moscatel


The Little Girl with the Big Voice – On PBS!

Honored to learn that PBS recently screened our film on the Golden Age of Radio. Thanks again Stanford University, George T. Marshall, the RIFF and Abby J. Moscatel for the opportunity to share this story leveraging the Doctrine of Fair Use!


Farmers Insurance Wins Industry’s Highest Award For Records And Information Governance

Earlier this month, Farmers Insurance Group, Inc. was honored with the highest award for Records Management and Information Governance, “Excellence for an Organization,” by ARMA International. The award recognized the achievements that our organization has made in the implementation and enhancement of our Records and Information Governance program as defined by the Generally Accepted Recordkeeping Principles® and the ARMA Maturity Model®. ARMA announced the award in InfoPro Magazine and at the ARMA Live Conference in Orlando.


Farmers recognized an opportunity to modernize its overarching Information Governance strategy. The organization invested in research, eDiscovery tools and policy development based on a holistic approach to Records and Information Management.

3 Key takeaways              

1 – Less Is More – In a world where employees are being bombarded with information in both their personal and professional lives, less is often more. An Information Governance framework should aim to mitigate risks related to records retention, legal holds, privacy and other challenges with clear, digestible policies and well defined initiatives.

2-  Gaps Are Opportunities – Treat gaps, vulnerabilities and risks on the horizon like shared opportunities for all stakeholders.  Help reshape the optics around a problem by encouraging colleagues to help build a better future state instead of harping on old pain points and finger pointing.

3-  Relationships Are Key – Success at relationship building requires the right cadence. Consider  how you’re perceived. Don’t try to force IG on your colleagues.  Focus on facilitating environments and spirited organic discussions that support IG dialogue and help determine consensus.  Build your case carefully by developing relationships with peers across the enterprise and synthesizing that expertise and collaboration into a tangible solution everyone can stand behind.

Information Governance helps organizations leverage their best minds and resources to make effective decisions that not only mitigate significant risks but protect vital assets. In order to conquer indecisiveness and achieve those goals you must coral the best independent professionals around you, agree on prioritized goals and address them methodically and with the right cadence. Farmers Insurance recognized the opportunity to modernize its overarching Information Governance strategy. We invested in research, eDiscovery tools and policy development based on a holistic approach to Records and Information Management. Our success garnered us ARMA’s 2017 Award for Excellence.

-Rafael Moscatel


The Most Important Records In The World Are Our Fondest Memories

Seattle U in NYC 1950s

My father turns 86 years old today. Like many of his generation, he has great pride in the achievements and potential of the human race, its awesome computing power and the marvelous scientific inventions it has recently given birth to. His memories are rich and full of detail, but the records that are most important to him are those that tell the story of his family, that remind him of the ones he loves. It’s wonderful that we now have so many new ways of creating and sharing those records, but for me it has always been the content that defines a good record, not the container it comes in.

Dad’s life has been subtle and yet epic. He was part of the first college basketball game where opposing teams scored over 100 points. In 1952, the same squad from Seattle University overcame Goose Tatum’s Harlem Globetrotters in a historical buzz beater. In his later years, he developed incredible friendships with great talents, helped elect a Governor and built a fine career as a doctor. While I may never experience all that my Father has, making sure I preserve his records helps the whole family appreciate not just Dad, but what Dad and Mom represent, the importance of hard work, self-reliance, treating everybody with dignity and the spirit of living life to its fullest.

It’s that poise and perspective that has always served Raymond Moscatel well in life and why I believe that at the end of the day, the only information and data that matters are the records that remind us of the people we love and how lucky we are to live another day together. Everything else on the periphery, is more or less a minor detail that will ultimately be lost to our collective history.

Keeping good family records, whether they be old movies, the family tree, scrap books or diaries is as critical to maintaining a family’s legacy as vital records are to corporations. By collecting and preserving these records we help pass on, not just the amazing stories and experiences of our ancestors, but their values, their compassion, and contextual reminders of what really matters in life.

Happy Birthday, Dad. To me you will always be the most interesting man in the world.

-Rafael Moscatel


June 2016 Member Spotlight: Rafael Moscatel, IGP, CRM

June 2016 Member Spotlight: Rafael Moscatel, IGP, CRM

Very proud to be featured by ARMA’s Info Pro publication this month!

Jun 15, 2016

ARMA received the following nomination from April Dmytrenko, CRM, FAI, for the Member Spotlight:

Meet Rafael Moscatel, IGP, CRM

Rafael Moscatel is a Certified Records Manager (CRM) and Information Governance Professional (IGP) with more than 20 years of experience implementing world-class records retention, data governance, and compliance programs for large enterprises. He designed process transformations, led team-building efforts, and spearheaded change management initiatives in a variety of complex and highly regulated industries. His expertise includes developing document management strategies, decommissioning legacy systems, performing risk assessments, and performing audit remediation.

Rafael truly understands his field and specifically IG and technology. He was instrumental in rolling out the enterprise-wide program at Paramount Pictures. Now he is working for Farmers Group, where he has established an outstanding IG framework from which to continue to support an effective program. He is proactive, strategic, and not only a talented RIM professional but an excellent business professional. He develops outstanding collaborative relationships, understands the value of senior management support and involving the business units, and is a strategic risk taker.

Moscatel lives and works in Los Angeles. He serves as the director of information governance for Farmers Group, Inc. He has been an ARMA member for 12 years.

As you can tell, Rafael is a great fit for the Member Spotlight, an honor meant to recognize members’ involvement within the profession and the association. If you would like to network with him, you can contact him through LinkedIn or at


Read More Here….


ARMA Spring Conference

Please join me and some of my esteemed colleagues at the Annual ARMA-GLA Spring conference taking place this April at the Microsoft Technology Center in Playa Vista on April 15th, 2016!


Our Annual Spring Conference is back and better than ever!!

THE FUTURE IS NOW:   Managing Digital Records

Join your peers in the records and information management field for a full day of sessions, panels, interactive exchange, and NETWORKING!

Leading RIM and Information Governance Professionals with expertise in corporate, government, and law firms will be sharing insights, case studies, and perspectives on moving into a e-records environment, including Classification, Retention, Repositories, Technology, and General Workflow.


Full conference details will soon be up on our website, but here is a glimpse at what to expect:


  • Terry Coan, HBR Consulting

  • Marvin Cross, Kirkland & Ellis

  • April Dmytrenko, Consultant

  • Jim Higdon, Vendor Direct Solutions

  • Rafael Moscatel, Farmers Insurance

  • Jeffrey Lewis, Sheppard Mullin

  • Ali Shahidi, Cooley LLP

  • Carolyn Smallwood, Brutzkus

  • Helen Streck, Kaizen InfoSource

  • Kurt Thies, Tab

  • Greg Weigel, Revolution Software

  • Antoinette M. Mann,  City of Thousand Oaks

  • Justin Slagle, Microsoft

5 hours of ICRM Certification Maintenance Points Have Been Submitted for Approval


CANCELLATION POLICY:  Full Refund if Canceled before April 8.   $50 cancellation fee if cancelled after April 8.
TRANSFER POLICY:  Registrations are transferrable anytime PRIOR to the event.   Attendance can not be SPLIT.  One attendee per admission only.   Please contact Event Organizer for transfer requests.
The Microsoft Technology Center
130031 West Jefferson Blvd, Suite 200
Playa Vista, CA 90066

What are my transport/parking options getting to the event? The entrance to the parking lot is BEHIND the building YOU MUST TURN ON ALLA ROAD, ENTRANCE IS NOT ON JEFFERSON!!

Where can I contact the organizer with any questions?  Contact Lorrie DeCoursey at or Jeffrey Lewis at


The Paperless Office

By Rafael Moscatel

The extent to which any organization can reduce its dependency on paper is largely determined by laws and the industry regulations it faces, the technology available to it and how well its leaders manage change, internally as well as for customers.

Here are some thoughts on how to begin solving the paper problem around your office:

Understand the affordances of paper  One of the most thorough examinations of the issue of paper and its role in our lives and workplaces came in 2002 when MIT press published The Myth of the Paperless Office.  The book’s findings make a case for the “affordances of paper” and stress that to reduce paper production and consumption we must understand the underlying habits and processes driving how our clients and colleagues work.

Attorneys for example often require a contextual or “case at a glance” perspective that a chronological or issue focused file offers… a “story telling” approach to presenting information which can’t always be matched even with the best software. Similarly, auditors or project managers will often work with and create aggregated records which serve a specific purpose for which imaging might be overkill or too costly. And contrary to popular belief, there still exist quite a few scenarios where it remains more affordable, practical and efficient to even store information in paper form. Conversion costs and risks required to maintain the digital lifecycle of infrequently referenced documents and avoid bitrot* can often exceed those associated with retaining the same materials in paper form.

Make the right policy changes with executive level support  Every Records or Information Governance policy initiative or project your business undertakes should have senior level executive support and reflect the best practices within your industry.

Here are some policy and procedural ideas to consider that can act as catalysts for change.

  • Get a Retention Policy / Schedule, implement it and regularly enforce it -A Retention Schedule (often in line with a data map) is the most effective tool for properly managing records and information and its necessity cannot be understated.  It not only protects an organization and keeps paper and electronic storage costs low, it gives executives a tool for understanding and navigating the massive network of silos and records their businesses create.
  • Institute an E-signature Policy for all contracts under a specified financial threshold
  • De-duplicate emails and all other electronic content repositories systematically
  • Identify where duplicates are created, determine why and what can be done to prevent them going forward
  • Take a “final draft and / or executed version” approach to your document lifecycle rules
  • Establish “uniform” email retention rules.  For example –  enforced retention period, tools and rules for what to do with attachments
  • Standardize e-mail signatures corporate wide
  • Discourage personal chronological or “work” files
  • Place restrictions on file shares and acceptable file formats within repositories
  • Evaluate all forms and documents in all files to identify consolidation opportunities and streamline workflows
  • Train employees to properly recognize records and understand legal holds and custodianship

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A Record Of The Film

I was recently asked exactly how my background in archives and information technology assisted me with my documentary, The Little Girl with the Big Voice.  I hadn’t really thought about it until that point because it was a passion project and I was so wrapped up in telling the story it didn’t seem to matter. In retrospect, my years in Records & Information Management really were instrumental in helping me collect, organize and clear all of the materials for this film.

The Little Girl with the Big Voice from Incidental Collections on Vimeo.

Filmmaking involves a lot of document management, project management and asset management and always has.  Understanding how to organize large collections of materials, authenticate and reference them contextually proved very useful in creating the historical sequences seen in the film.


The Little Girl with the Big Voice examines the struggles of women and children in the early 1930’s and 40’s through the eyes of Mary Small, a child prodigy, restless wife and dedicated mother whose resilience in the face of constant challenges made her a defining symbol of her generation.

When it came time to putting together a clip log, the metadata and information I collected and associated with each piece of media made it easy for me to clear each image which is essential to secure a good insurance policy. In doing so, a lot of the principles I’ve learned as an Information Governance Professional came into play in terms of ensuring authenticity. As a result of properly documenting my sources from the get-go I ended up with a treasure chest of digital resources that I can now use over and over.  My experiences with digital imaging also helped with rendering the scans and pictures I used and in resolving pixelation issues.  The organization of documents and images into (hopefully) logical historical sequences based on various data points, is very much a business discipline.

Stills Part 3

I also wanted this film to be an example of how filmmakers can use the Fair Use Doctrine to uncover and tell some of the richest, most compelling stories of this era, which were until the advent of the internet, almost trapped in library catalogs and press break scrapbooks.

So I teamed up with Stanford University’s Documentary Film Program and learned how to present these images in context so that they passed muster.  Doing so probably reduced the cost of the film’s licensing fees by as much as 90% or more and the research alone gave us a cache of items that we can hopefully use to tell another great story.

Click here to visit Kickstarter campaign.  Please check it out and consider supporting us!


Lead by example, forget about the credit…

We’re all well aware that labor intense records management projects, those in which repetitive, mundane grunt work is required, are avoided like the plague by employees and management alike. When a project does happen to spark interest and garner support, once it moves past the planning stages it can begin to feel like nobody on the team wants to be bothered with the actual logistics. Suddenly everybody is a “thought leader” and “focused on strategy” and that’s okay… but maybe that’s where some of our productivity issues actually originate. 

Ironically, what can emerge from these projects are new leaders, because these are also opportunities for individuals willing to actually roll up their sleeves. These are people who drive initiatives and projects forward because they’re more interested in getting the job done and learning something than getting (or taking) the credit.

It’s amazing what you can accomplish with pride and unselfishness—where you have people who don’t care who gets the credit. – Harry Truman

As knowledge workers we are supposed to naturally evolve and graduate into more sophisticated roles but more and more of us are also becoming out of touch with basic business operations, assuming technology will ultimately address all of the tedious processes we’re responsible for.  Many employees, even in the public sector, have simply become used to expecting management to throw more money at the problem or to bring in consultants (who will probably just hire temps) to catch everybody up… instead of addressing the real issues. Perhaps, it’s as John Steinbeck once remarked, that we’re all “temporarily embarrassed millionaires,” and that in the same vein, by performing grunt work, we are negatively impacting the way we’re viewed by both our superiors and those who report to us. That may be partly true. As Records and Information Management leaders and executives we don’t want to take a step backward, but there is a lot to be said for staying familiar with, remaining involved in and practicing the discipline which you claim to have expertise.

There is a lot to be said for staying familiar with, remaining involved in and practicing the discipline which you claim to have expertise.

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