M12S13 - RIM for the Next Generation: A Call to Action

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Speakers: Charles R. Booz, Julia Brickell, and Mike Salvarezza

The RIM paradigms of the past are fast becoming obsolete and unworkable. New perspectives and new approaches are required.

This session is a "Call to Action" - for a complete transformation of the practice of RIM - from regulations and laws to practices and policies.

The session begins by identifying four major changes are redefining how business is conducted:

The emergence of a new generation of workers,
The proliferation of mobile technology,
The explosion of Social Media, and
The rapid advance of new and innovative technological capabilities.

Collectively, these four changes are rapidly and radically changing the world we live and work in. RIM leaders can and should be leading the charge to:

Change the way things are done,
Adjust legal, regulatory, and business expectations to better address new and different technologies, and
Incorporate cultural changes in the way business is conducted.

One approach is to build a prospective Information Governance model that is highly adaptable to changing circumstances and technologies - in order to avoid being trapped by the next paradigmatic fault underlying our basic RIM assumptions.

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M12S13 - RIM for the Next Generation: A Call to Action

  1. 1. Cohasset Associates, Inc. NOTES RIM FOR THE NEXT GENERATION: A CALL TO ACTION All-Partner Teleconference | June 24, 2009 MER Conference| May 8, 2012 Charles R. Booz Michael Salvarezza Julia Brickell Information Governance, Inc. LRN H5 ©2012 ©2012 ©20122012 Managing Electronic Records Conference 13.1
  2. 2. Cohasset Associates, Inc. NOTES ©2012 ©2012 CHALLENGES eDiscovery Federated RM Email Archiving Enterprise IG Platforms Electronic RM New Laws? Financial New Regulations? HIPAA Crisis 2008 New Laws? Morgan Stanley E‐Discovery irregularity fine $1.58b New Regulations? Enron Scandal Zubulake‐UBS Warburg Sarbanes‐Oxley FRCP 2006 Goldman  Sachs DoD 5015.2  9/11 MoReq Patriot Act ©20122012 Managing Electronic Records Conference 13.2
  3. 3. Cohasset Associates, Inc. NOTES CHALLENGES Complexity of Information Governance  Requirements Complexity of  requirements grows Current exponentially with size of  Generation organization Solutions "Small" SMEs "Large" SMEs Fortune 2000 Fortune 500 Fortune 100 Complexity of rapidly changing compliance landscape Complexity of corporate/legal structure Complexity of content/context Complexity of infrastructure Complexity due to sheer volume of information ©2012 CHALLENGES Title 21 CFR 11 SEC 17a-4 MiFID Patriot Act DoD 5015.2 ©2012 Records Management vs. Social Media vs. Business Records Management Social Media is about: Businesses Promotes: care about: •Sharing •Governance •Agility •Collaboration •Complexity •Open-ness •Access to •Rapid access information to Information •Insights derived from information •Speed and results 9 ©20122012 Managing Electronic Records Conference 13.3
  4. 4. Cohasset Associates, Inc. NOTES INFORMATION GOVERNACE IDARS Legal ECM Security Governance, Risk  Information  Enterprise Information  Regulation Management, and  Management Compliance (GRC) Compliance (GRC) Governance Financial Imaging Systems Reporting Compliance Business  RM Intelligence Managing Risks ©2012 Records Information Management End Users End Users Laws Security Content Producers Regulations BOD Privacy Content Consumers Risk Officer Officer Other ‐ MS Office Internal Policies ‐ MS SharePoint ‐ MS SharePoint Officer Officer ‐ Alfresco Best Practices ‐ Alfresco Etc. Legal ‐ Business Applications ‐ Business Applications Counsel Corporate CorporateCompliance ‐ Social Media ‐ Social Media RM IT Officer Capture Information? POLICY: (e.g.,  Retrieve Information? Security? Cost Governance? Corporate  Records  Data Privacy? D t Pi ? eDiscovery & Holds? l Lifecycle Event Sources Retention  ‐ Business Applications ‐ Processes Schedule) Events that impact Standard Metadata Definitions? information lifecycle? System Admin? Business Records Managers Management? Storage ILM? Federated RM Functionality? ECM ECM Social Other  RSD Folders System System Media Repositories Jurisdiction A Other  Jurisdictions Jurisdiction C Jurisdiction n ©2012 Records Information Management ‐ Paper ‐ Film ‐ Fiche Physical  Unstructured content documents (high volumes) Web pages Electronic  ‐ MS‐Office Other types ‐ PDF Social Media of formats documents ‐ Other Types of  Record  Formats ‐ MS Exchange Entries in data  Data in data  ‐ Lotus Notes warehouse warehouses Messages ‐ IM ‐ Social Media Structured content (very high volumes) Data in  Entries in SQL  Sections of  ‐ AFP application  Database large reports ‐ PDF databases ‐ Other ©20122012 Managing Electronic Records Conference 13.4
  5. 5. Cohasset Associates, Inc. NOTES INFORMATION GOVERNACE IG Function RM IT Lifecycle of  Responsibility RM Program and Records  Often views RM as low priority and limited  unstructured content Retention Schedule (retention policies).   to paper & electronic documents. Lifecycle of  Often unaware/unable to manage  Maintains control of its lifecycle. structured content lifecycle of this content. EDiscovery  and holds Limited scope to unstructured  Gaining role conducting discovery within  documents declared as records. corporate repositories and producing  them. Data Privacy of  Often unaware/unable to manage data  Expects RM to manage privacy aspects of  content privacy aspects of records. unstructured content. Often views privacy  of structured content as data security. f t t d t t d t it Reduce Cost Limited visibility and leverage over  Focused in reducing cost of infrastructure  topic. but lacks ability to optimize infrastructure  costs versus IG SLAs. Philosophy Organize information – cannot rely on  Why organize, simply search. search Differences in Lingo Archive Move content offsite when no longer  Backup and recovery term. needed. Information Lifecycle  Manage retention/disposition of  Move content to lower cost storage tiers Management content. (Storage ILM). ©2012 INFORMATION GOVERNACE Compliance Risk Officer Officer Legal Counsel Retention &  Disposition RM Other Lifecycle  Lifecycle of Paper  Other facets Record (Storage) Officer Lifecycle of  Record  Lifecycle of Data  Privacy IT Content Index Attributes Privacy settings Officer Lifecycle of  Lifecycle of  Security Metadata  Security  Officer IT Groups Classification Lifecycle of  Electronic Record  Privacy (Storage ILM) Officer IT ©2012 INFORMATION GOVERNACE Security Privacy Officer BOD Risk Officer Other Officer Officer Legal Counsel Corporate Corporate Compliance RM IT Officer Information Governance Steering Committee Corporate IT: Manage corporate information and IT  Compliance Officer: Oversee and manage compliance  infrastructure  issues within organization Corporate RM: Security Officer: Responsible for security matters within  ‐ Manage process of creating IG policies organizations, including data security ‐ Ensure that policies are up to date ‐ Ensure policies are available to field personnel  Other Officer: Other corporate officer Legal Counsel: Responsible for legal department within  BOD: Board of Directors with primary responsibility for  approving corporate IG policy  organization ‐ must be able to act decisively regarding  legal challenges that face organization.  Other: Depends on organization. Risk Officer: Manage risk matters within organization Privacy Officer: Oversee and manage compliance with  Privacy laws and regulations ©20122012 Managing Electronic Records Conference 13.5
  6. 6. Cohasset Associates, Inc. NOTES INFORMATION GOVERNACE Information Governance End Users Steering Committee End Users Laws Security Content Producers Regulations BOD Privacy Officer Officer Content Consumers ‐ MS Office Internal Policies Risk Other ‐ MS SharePoint Best Practices Officer Officer ‐ MS SharePoint ‐ Alfresco ‐ Alfresco Etc. Legal ‐ Business Applications ‐ Business Applications Counsel CorporateCorporate Compliance ‐ Social Media RM IT Officer ‐ Social media Information Governance Policies Capture Information ‐ Retention and Disposition Retrieve Information ‐ Data Privacy Corporate IG Policies ‐ Discovery Security ‐ Migration across storage tiers ‐ Standard Metadata Definitions Cost Governance ‐ Other Lifecycle Event Sources Data Standard Metadata Definitions eDiscovery & Holds ‐ Business Applications Privacy EDiscovery  ‐ Processes Enterprise Information Governance Platform & Holds Events that impact information lifecycle IG Policies Control and IG Policies Administration System Admin Business Records IG Control & Admin of lifecycle for IG Control & Admin Managers Management ALL information Storage ILM Enforcement Enforcement Enforce lifecycle actions ECM ECM Social  Other  RSD Folders System System media Repositories Jurisdiction A Other  Jurisdictions Jurisdiction C Jurisdiction n ©2012 INFORMATION GOVERNACE Records Information Management •Manual Retention Policy Methods •Policy remote Excel/Email/Paper/PDF Jurisdiction #1 End User •Unstructured documents File  Plan File  Plan File  Plan Retention Retention •Retention policy ONLY Schedule Manual  Schedule •Little or no involvement of IT RM RMA Records Records Admin Admin Jurisdiction #2 File  File  File  File  Plan Plan Plan Plan Manual Administration Retention Schedule Retention Schedule Manual  of RIM Program Records RM Records RMA Admin Admin Risk Jurisdiction #n Officer Corporate  File  File  File  File  File  File  Corporate IT RM Plan Plan Plan Plan Plan Plan Retention Retention Legal Retention Schedule Schedule Counsel Corporate Schedule RMA Manual  RM Records Records RM Admin Admin Conventional Corporate RM Program ©2012 INFORMATION GOVERNACE Strategic Information Governance •All facets of Information Lifecycle •Management of all forms of records Jurisdiction #1 End User •Policies in application integratable form File  File  File  Plan Plan Plan •Direct involvement of IT & others IG Policies IG Control & Admin Records Records Enforcement Admin Admin Jurisdiction #2 File  File  File  File  Integrated Administration Integrated Administration Plan Plan Plan Plan RRS of IG Program IG Policies IG Control & Admin Records Records Admin Admin Enforcement Risk Jurisdiction #n Officer Corporate  File  File  File  File  File  File  Corporate IT RM Plan Plan Plan Plan Plan Plan Legal IG Policies RRS RRS Counsel Corporate IG Policies IG Policies RM Records Records IG Platform technology deployed at Corporate Admin IG Control & Admin Admin IG Control & Admin Enforcement Enforcement Information Governance Program ©20122012 Managing Electronic Records Conference 13.6
  7. 7. Cohasset Associates, Inc. NOTES INFORMATION GOVERNACE Current Situation Automated Policy Enforcement Rules Corporate Information  (Policies) Governance Policies RM Data Privacy Structured  Information Governance Policies Content  Corporate/Regional/Jurisdictional Policies Control & Admin Repositories Control and Administration Processes Control & Admin Control & Admin Tools Repository Policies Control & Admin (Control & Records Data Audit ECM eDiscovery Repository Admin) Mgmt Privacy Mgmt IDARS Policies eDiscovery Other Policies Control & Admin Policies Control & Admin Control & Admin Repository Repository Information Repositories Regional/Jurisdictional/Local Next Generation Intelligent Tools Content in Content in Content Addressable Storage  (Repositories) ECM Systems Data Whse Repositories Policies Control & Admin Content in Repository Content in IDARS CAS Systems Size of bubbles not to scale ©2012 Leveraging Automation © 2012 H5 ©2012 Uses of Automation Automated classification can help Records Managers to:  Find the data  Review the data  Sort the data  Classify the data you need  Reduce the data you don’t need © 2012 H5 ©20122012 Managing Electronic Records Conference 13.7
  8. 8. Cohasset Associates, Inc. NOTES Advantages of Automation Automation, chosen and customized with proper expertise:  Can be used to decide what to keep and how to categorize it – Better than people p p – Faster than people  Can address: – Internal and external data – Data in motion  Increases likelihood of getting the job done © 2012 H5 ©2012 Approach  Consider the data stashes – Used for different purposes – Contain different content – Important for different reasons  Assess the information likely to be useful from each data stash – What types of information are important? – Whose data might contain that content?  What departments? What people? © 2012 H5 ©2012 Classification Quality with Automation  Human Tagging – No desire to do it – Inaccurate – Inconsistent – Not exhaustive – Requires expensive training and documentation  Automated Tagging – Fast – Consistent, but… – Without expertise, results vary wildly © 2012 H5 ©20122012 Managing Electronic Records Conference 13.8
  9. 9. Cohasset Associates, Inc. NOTES TREC Legal Track  National Institute of Standards & Technology Text Retrieval Conference (“TREC”) has a Legal Track designed to evaluate effectiveness of search technologies and methods  M Measures ability t id tif d t responsive t h bilit to identify data i to hypothetical th ti l “topics” or “requests”  Open to the public (vendors, law firms, academics)  Uses publicly available data sets  Quality is measured in terms of “precision” and “recall” © 2012 H5 ©2012 TREC 2008 Interactive Task Finding all relevant documents is 100% recall Precision = correct hits total hits Finding only relevant documents is 100% precision n _correct hits__ Recall = total responsive Sponsored by National Institute of Standards and Technology. See TREC 2008 Legal Track Overview at http://trec.nist.gov/pubs/trec17/papers/LEGAL.OVERVIEW08.pdf (p. 37) Points represent results after an adjustment to account for state of OCR in the test collection © 2012 H5 ©2012 TREC 2009 Interactive Task 1.0 Finding all relevant documents 0.8 is 100% recall Finding only Precision = correct hits total hits relevant documents 0.6 is 100% precision 0.4 0.2 0.0 0.0 0.2 0.4 0.6 0.8 1.0 _correct hits__ Recall Recall = total responsive Sponsored by National Institute of Standards and Technology. © 2012 H5 See TREC 2009 Overview http://trec.nist.gov/pubs/trec18/papers/LEGAL09.OVERVIEW.pdf ©20122012 Managing Electronic Records Conference 13.9
  10. 10. Cohasset Associates, Inc. NOTES Search “superior to manual reviews” Richmond Journal of Law and Technology (2011) ___________________________ “Of course, not all technology-assisted reviews (and not all manual reviews) TECHNOLOGY-ASSISTED are created equal. The particular REVIEW IN processes found to be superior in this E-DISCOVERY CAN BE MORE study are both interactive, employing a EFFECTIVE AND MORE combination of computer and human EFFICIENT THAN input.” (p.48) EXHAUSTIVE MANUAL REVIEW Maura R. Grossman Gordon V. Cormack XVII RICH. J.L. & TECH. 11 (2011), http://jolt.richmond.edu/v17i3/article11.pdf © 2012 H5 ©2012 A Better Search Results in Less Data 100,000 Impact of calibrated filter over prior filter for every 100,000 records 90,000 filtered 80,000 Non-Relevant 70,000 Relevant 60,000 60 000 95,900 50,000 40,000 66,900 30,000 20,000 12,600 10,000 4,100 4,100 4,100 0 Starting Population: Prior Filter: H5 Filter: Calibrated Filter Contains Filters In Filters In Filters in 100,000 Documents 71,000 Documents 16,700 16,700 Documents Documents © 2012 H5 ©2012 Search Myths  All search methods are created equal  All search tools are created equal  All search terms (queries) are created (q ) equal  No special expertise is required to search © 2012 H5 ©20122012 Managing Electronic Records Conference 13.10
  11. 11. Cohasset Associates, Inc. NOTES Test the Tools  Tools have different capabilities  Tools have different default setups  Most tools index the data to search it  Most tools don’t index everything © 2012 H5 ©2012 Test the Terms  Types of search:  Keyword/Boolean  Concept Search • Ontology Based •A l Analyze word/phrase relationships (B d/ h l ti hi (Bayesian) i )  Clustering (Bayesian) • Auto-classifier • Near Duplicates • Predictive Coding  Experts know the strengths and weaknesses © 2012 H5 ©2012 Effective Search Methodology Develop and test the Terms Technology Interview subject matter experts Measure Design accuracy Define target queries Apply to data Sample data Knowledge Transfer Measurement Consistency Linguists, Statisticians, Researchers, Attorneys, Project Managers, Computer Scientists © 2012 H5 ©20122012 Managing Electronic Records Conference 13.11
  12. 12. Cohasset Associates, Inc. NOTES H5 EDGE Classifier   Effective Search Methodology Search Design Network Interview attorneys and subject matter experts 3 Measure accuracy 2 Define target Classifiers Design queries Sample data 4 Client Network 4 1 Incumbent Engine 5 5 Client Infrastructure Client/Archive Hosted litigation Review platform © 2012 H5 ©2012 Search Realities  Search and automation is an expertise  Competency requires knowledge and process: – Tools: What’s the instrument? What is its approach to processing? To indexing? To ? ? retrieval? What searches can it handle? – Terms (search queries): What do you need to find? How do you craft queries? How do you test their effectiveness?  Quality requires expertise in the tools and the terms © 2012 H5 ©2012 Search Expertise Matters “Whether search terms or ‘keywords’ will yield the information sought is a complicated question i li t d ti involving th l i the interplay, at least, of the sciences of computer technology, statistics and linguistics.” United States v. O’Keefe, 537 F. Supp. 2d 14 (D.D.C. 2008) © 2012 H5 ©20122012 Managing Electronic Records Conference 13.12
  13. 13. Cohasset Associates, Inc. NOTES Measurement Matters [TREC] can be expected to identify … reliable search and information retrieval methodologies and best practice recommendations, which, if adhered to, certainly would support an argument that the party employing them performed a reasonable ESI search, whether for privilege review or other purposes. Victor Stanley, Inc., v. Creative Pipe, Inc., 250 F.R.D. 251 (D. Md. 2008) TREC: National Institute of Standards and Technology Text Retrieval Conference Legal Track © 2012 H5 ©2012 STRATEGIC INFORMATION GOVERNANCE CONCEPT • IG Steering Committee: ► Develop and maintain IG policies and procedures in Organization • Dynamically Refresh Information Attributes and Lifecycle: ► Automate collection, certification and disposition of all information • Assure Information Integrity: ► Auditability, Transparency and Authenticity • Maintain Future Efficacy: ► Anticipatory and Flexible Organization Information Governance  IG Policies: Steering Committee ‐ Retention and disposition ‐ Data Privacy ORGANIZATION IG Policies ‐ Electronic discovery ‐ Lifecycle of content ‐ Lifecycle of content indexes Local IG Policies (Jurisdictions) ‐ Lifecycle of metadata ‐ Other IG Control and Jurisdictions & Legal Entities Administration Activities IG Policies in Jurisdictions and Legal  IG Enforcement Activities Entities Business Units Information  created and utilized in  Repository Repository Business Units controlled by IG Policies ©2012 Inspirational Leadership for  Records Management • Ambiguity is actually OK • Take risks – go on a TRIP • Challenge the status quo  – try something different • Find the value  proposition • Elevate the conversation 39 ©20122012 Managing Electronic Records Conference 13.13
  14. 14. Cohasset Associates, Inc. NOTES RIM FOR THE NEXT GENERATION: A CALL TO ACTION QUESTIONS All-Partner Teleconference | June 24, 2009 MER Conference| May 9, 2012 Charles R. Booz Michael Salvarezza Julia Brickell Information Governance, Inc. LRN H5 ©20122012 Managing Electronic Records Conference 13.14

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