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Information Governance:
Planning for the Next 3 Years
Richard Medina, Doculabs
AIIM-Wisconsin / Milwaukee Bar Association ...
1. Introduction and Background to the
Issues

2. Program Framework, Roadmap, and
Recommendations
3. Example Problem: Defen...
Resources
• There are lots of resources on
the issues I discuss.
• http://www.aiim.org/community
/blogs/expert/Resources-f...
Resources: Introduction and Background to the Issues

1. Introduction and Background to the Issues
– Planning the Next 3 Y...
Resources: Program Framework, Roadmap, and Recommendations

2. Program Framework, Roadmap, and Recommendations
A.

Overall...
Resources: Program Framework, Roadmap, and Recommendations

2. Program Framework, Roadmap, and Recommendations
C.

Process...
Resources: Example Problem: Defensible Disposition

3. Example Problem: Defensible Disposition
• A 4-Step Methodology for ...
1. Introduction and Background to the
Issues
A.

Preliminaries

B.

Planning the Next 3 Years (2011 to 2014)

C.

Planning...
1. Introduction and Background to the
Issues
A.

Preliminaries

B.

Planning the Next 3 Years (2011 to 2014)

C.

Planning...
Planning the Next 3 Years (2011 to 2014)

12

• No “Chicken Little” FUD slides
– E-discovery risks are well known (though ...
Three Hard Problems (2011 – 2014)

1. What should you do during discovery?
– Solution: EDRM

2. What should you do before ...
2011 Problem #1: What Should You Do During Discovery?

14

The Discovery Funnel
Why It’s a Problem

Backup Data

Archive D...
2011 Solution: Plan and Manage with the EDRM

© Doculabs, Inc. 2013

15
2011 Problem #2: What Should You Do Before Discovery?
Too Narrow

Too Wide

Electronically
Stored Information
(ESI)

Manag...
Consider this Simple Set of Information Governance Rules

© Doculabs, Inc. 2013
Consider this Simple Set of Information Governance Rules

© Doculabs, Inc. 2013
© Doculabs, Inc. 2013
But Even Simple Rules Need Clarification

1. What’s a Legal Hold?
2. What are Records versus Non-Records?
3. What are Non-...
What is the Scope of RM?

Declared Records

Other Business-related
Information (OBRI)

Risk

Likely
Discoverable
Informati...
What is the Scope of RM?

Risk

• For simplicity, let’s just
use Risk and
Manageability.

Electronically
Stored
Informatio...
What is the Scope of RM?

• One major source of risk
for ESI is its “Likely
Discoverability”.

Risk

Likely
Discoverable
I...
What is the Scope of RM?

Declared Records

Risk

Likely
Discoverable
Information

Electronically
Stored
Information (ESI)...
What is the Scope of RM?

Declared Records

Other Business-related
Information (OBRI)

Non-business-related
Information (N...
What is the Scope of RM?

Too Narrow

Electronically
Stored Information
(ESI)

Other Business-related
Information (OBRI)

...
2011 Solution: Use a Tiered Approach

• A much more effective
approach is to divide your ESI
into three “Tiers”.

• Tier 1...
“Treat them Differently”

• Tiered Approach
– Different types of physical
documents
and ESI are handled differently
Tier 2...
Now This Tree Makes Sense

© Doculabs, Inc. 2013
2011 Problem #3: Who Should Do What?

30

Step 1
Determine what information would be relevant to dispute

Step 2
Identify ...
2011 Problem #3: Who Should Do What?

31

Who decides the “degree of
accessibility” – IT or Legal?

“Reasonably likely”
Me...
2011 Solution: Cross-Functional and Balanced Roles

32

• Legal:
– Responsible for the overall program, policies, practice...
You Need a Program Framework to Plan and Manage your Roadmap
E-Discovery Program Categories

Overall Program Strategy

Gov...
Program Maturity Model and Benchmark

© Doculabs, Inc. 2013

34
1. Introduction and Background to the
Issues
A.

Preliminaries

B.

Planning the Next 3 Years (2011 to 2014)

C.

Planning...
Expansion and Consolidation of ECM Systems (1<n<4)
Source: ©AIIM 2013 / ©Accellion 2013
“ECM at the Crossroads” survey

Ho...
Mobile Information is ... Important
Source: ©AIIM 2013 / ©Accellion 2013

How important is mobile information access to yo...
There are Lots of Official Ways to Access Content
Source: ©AIIM 2013 / ©Accellion 2013

Which of the following ways of acc...
There are Lots of Unofficial Ways to Access Content
Source: ©AIIM 2013 / ©Accellion 2013

To your knowledge, to what exten...
A Chicken Little Slide
Source: ©AIIM 2013 / ©Accellion 2013

How concerned are you about current practice in your organiza...
What’s Happening with the Content Technologies? We need a Map.
The content technologies have 3 dimensions – and in the las...
The 3 Dimensions of the Content Technologies
With a Focus on Participation Management

© Doculabs, Inc. 2013

42
Level 1: Low Enterprise Participation

© Doculabs, Inc. 2013

43
Level 2: Moderate Enterprise Participation

© Doculabs, Inc. 2013

44
Level 3: High Enterprise, Low Extra-Enterprise Participation

© Doculabs, Inc. 2013

45
Level 4: Moderate Extra-Enterprise Participation

© Doculabs, Inc. 2013

46
1. Introduction and Background to the
Problem

2. Program Framework, Roadmap, and
Recommendations
3. Example Problem: Defe...
1. Program Framework, Roadmap, and
Recommendations
A.

Overall Program Strategy

B.

Governance and Operations

C.

Inform...
You Need a Program Framework to Plan and Manage your Roadmap
E-Discovery Program Categories

Overall Program Strategy

Gov...
Overall Program Strategy

50

Criteria
• Current state, future state, and program roadmap
• Litigation readiness
• Records...
2011 Solution: Plan and Manage with the EDRM

© Doculabs, Inc. 2013

51
Understanding Cost Justification for E-Discovery

© Doculabs, Inc. 2013

52
Governance and Operations

53

Criteria
• Governance and operational structure (roles and responsibilities)
• Program gove...
Cross-Functional and Balanced Roles in Governance & Operations

54

• Legal:
– Responsible for the overall program, polici...
© Doculabs, Inc. 2013

DISTRIBUTED/
VIRTUAL
RESOURCES

55

Executive Steering
Committee

Records and Information Managemen...
Information Organization

56

Criteria
• Taxonomy development and maintenance
• Records retention plan development and mai...
How an ESI Inventory Helps

• Tiered Approach
– Different types of physical
documents
and ESI are handled differently
Tier...
Process Design and Implementation

58

Criteria
• Discovery process
• Records/information lifecycle management (ILM) proce...
Process Design and Implementation

© Doculabs, Inc. 2013

59
Architecture and Technology

60

Criteria
• Architecture strategy
• ECM, RM, EMM, and e-discovery tools and capabilities
B...
Example E-D Requirements Specification for Solution Selection

© Doculabs, Inc. 2013

61
Communications and Training

62

Criteria
• Communication plan/program
• Training plan/program
Best in class
• Developed a...
1. Introduction and Background to the
Problem

2. Program Framework, Roadmap, and
Recommendations
3. Example Problem: Defe...
Why Over-Retention is the Problem

• Corporations keep non-required electronic content forever
because:
– Classifying cont...
Break the Big Problem into 2 Smaller Problems
• Addressing day-forward information lifecycle management (ILM) is much
easi...
Guidance Example for Day-forward

System/Repository

Recommended Retention Period

Personal Network Drives
(“P” drives)

•...
The Defensible Disposition Methodology in a Nutshell
• You must satisfy 4 demands:
1.
2.
3.
4.

Regulatory retention requi...
It’s Based on Reasonableness
• To determine what “satisfy your retention demands” really means for you,
use the Principle ...
Your Defensible Disposition Methodology Has 4 Parts
1.

Defensible Disposition Policy
– It’s your design specification, yo...
1. Introduction and Background to the
Problem

2. Program Framework, Roadmap, and
Recommendations
3. Example Problem: Defe...
Resources
• There are lots of resources on
the issues I discuss.
• http://www.aiim.org/community
/blogs/expert/Resources-f...
Resources: Introduction and Background to the Issues
1.

Introduction and Background to the Issues
– Planning the Next 3 Y...
Resources: Program Framework, Roadmap, and Recommendations
2.

Program Framework, Roadmap, and Recommendations
A.

Overall...
Resources: Program Framework, Roadmap, and Recommendations
2.

Program Framework, Roadmap, and Recommendations
C.

Process...
3.

Example Problem: Defensible Disposition
• A 4-Step Methodology for Defensible Disposition
• Developing your Assessment...
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Planning Information Governance and Litigation Readiness

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Presentation on Information Governance, Litigation Readiness, E-Discovery, and Records Management. Given at the AIIM-Wisconsin / Milwaukee Bar Association 6th Annual Electronic Discovery Conference on November 1, 2013.

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Transcript of "Planning Information Governance and Litigation Readiness"

  1. 1. Information Governance: Planning for the Next 3 Years Richard Medina, Doculabs AIIM-Wisconsin / Milwaukee Bar Association 6th Annual Electronic Discovery Conference November 1, 2013
  2. 2. 1. Introduction and Background to the Issues 2. Program Framework, Roadmap, and Recommendations 3. Example Problem: Defensible Disposition 4. Next Steps Agenda
  3. 3. Resources • There are lots of resources on the issues I discuss. • http://www.aiim.org/community /blogs/expert/Resources-forInformation-GovernancePlanning-for-the-Next-3-Years © Doculabs, Inc. 2013 3
  4. 4. Resources: Introduction and Background to the Issues 1. Introduction and Background to the Issues – Planning the Next 3 Years (2011 to 2014) – Planning the Next 3 Years (2014 to 2017) • How to Get from 1998-Style Records Management to Information Governance for 2018 • How to Calculate ROI for E-Discovery (with Calculator) • A Reference Model for Systems of Engagement and Systems of Record • A Content Technology Roadmap • How to Succeed at Mobile Content Management • 6 Key Considerations to Going Mobile • Two AIIM Webinars and a Survey on Mobile Content Management © Doculabs, Inc. 2013
  5. 5. Resources: Program Framework, Roadmap, and Recommendations 2. Program Framework, Roadmap, and Recommendations A. Overall Program Strategy • How to Develop and Implement your Discovery Readiness Program • Which part of E-Discovery Should You Fix First? • How Should Large Companies Manage the Lifecycle of their Dynamic Content? • How to Succeed at Email Management if You’re a Midsized Organization B. Governance and Operations • Are You Hiring a Records Manager? • E-Discovery Roles and Responsibilities in a Successful Litigation Readiness Program • Records Management Roles and Responsibilities in a Successful RM Program • The ECM Governance Model C. Information Organization • You Gotta Know the Territory: How to Segment your ESI • A Manageable Taxonomy of Taxonomy Management Tools © Doculabs, Inc. 2013
  6. 6. Resources: Program Framework, Roadmap, and Recommendations 2. Program Framework, Roadmap, and Recommendations C. Process Design and Implementation • E-D Process Flow Diagrams for your Current and Target Future State • 3 Best Practices for Developing Records Management Policies and Procedures • The Difference between Records Management Policies, Procedures, and Guidelines • The Processes for Managing your RM Rules • Here’s the First Draft of your Social Media Policy D. Architecture and Technology • How Different is Legal Document Management? • How to Start your Company ECM Program with Legal Document Management • Immediately Stop Using Tape for Archiving E. Communications and Training • (nothing yet) © Doculabs, Inc. 2013
  7. 7. Resources: Example Problem: Defensible Disposition 3. Example Problem: Defensible Disposition • A 4-Step Methodology for Defensible Disposition • Developing your Assessment Plan for Defensible Disposition • Defensible Disposition in a Nutshell: My AIIM Talk © Doculabs, Inc. 2013
  8. 8. 1. Introduction and Background to the Issues A. Preliminaries B. Planning the Next 3 Years (2011 to 2014) C. Planning the Next 3 Years (2014 to 2017)) Agenda
  9. 9. 1. Introduction and Background to the Issues A. Preliminaries B. Planning the Next 3 Years (2011 to 2014) C. Planning the Next 3 Years (2014 to 2017)) Agenda
  10. 10. Planning the Next 3 Years (2011 to 2014) 12 • No “Chicken Little” FUD slides – E-discovery risks are well known (though we can address if folks would find it useful) – We’ll focus on how to address the problem • Three key distinctions about how to be “proactive”: 1. Execution vs. Design: doing day-to-day “run-time” activities according to some plan… versus the plan itself 2. Post-trigger vs. Pre-trigger: what you do after a discovery event has started vs. the what you do before the lawsuit hits 3. Driving Blind vs. using Early Case Assessment (ECA): applies only to posttrigger processes, and pertains to whether you can develop a strategy for the litigation as soon as possible after the trigger event © Doculabs, Inc. 2013
  11. 11. Three Hard Problems (2011 – 2014) 1. What should you do during discovery? – Solution: EDRM 2. What should you do before discovery? – Solution: Tiering or “zones” 3. Who should do what? – Solution: Cross-functional and Balanced Roles These approaches work, but you need a program to carry them out effectively. © Doculabs, Inc. 2013 13
  12. 12. 2011 Problem #1: What Should You Do During Discovery? 14 The Discovery Funnel Why It’s a Problem Backup Data Archive Data (Disaster Recovery) Active Data Total volume of Discoverable Data Discovery Response Servers · Data · Email Desktops - Laptops PDA’s Internal External Non-responsive Data/info eDiscovery Tools: Responsive Data / Info Servers · Data · Email · Privileged – Record & log · Not Privileged - Produce Desktops - Laptops Context Indexing, Culling, De-dupe, Embedded file filters Off-site Storage Servers · Data · Email Document, Review Investigate, Analysis Review Flag-Tag, Annotate, De-dupe, Export, Report (RM Retention Schedule) Records Management and Identification © Doculabs, Inc. 2013 Outsourced Service Tools: Preserve Collection Processing, Hosting (Analysis) and Review Production and Presentation
  13. 13. 2011 Solution: Plan and Manage with the EDRM © Doculabs, Inc. 2013 15
  14. 14. 2011 Problem #2: What Should You Do Before Discovery? Too Narrow Too Wide Electronically Stored Information (ESI) Manageability Other Business-related Information (OBRI) Declared Records Non-business Information (NBI) Likely Discoverable Information Risk Other Business-related Information (OBRI) Non-business Information (NBI) Risk Likely Discoverable Information © Doculabs, Inc. 2013 16 Declared Records Electronically Stored Information (ESI) Manageability
  15. 15. Consider this Simple Set of Information Governance Rules © Doculabs, Inc. 2013
  16. 16. Consider this Simple Set of Information Governance Rules © Doculabs, Inc. 2013
  17. 17. © Doculabs, Inc. 2013
  18. 18. But Even Simple Rules Need Clarification 1. What’s a Legal Hold? 2. What are Records versus Non-Records? 3. What are Non-Records – which are still important for business purposes? 4. What about Non-Records that are not business-related? 5. Where do documents under Legal Hold fit? Are they Records, Non-Records, or what? © Doculabs, Inc. 2013
  19. 19. What is the Scope of RM? Declared Records Other Business-related Information (OBRI) Risk Likely Discoverable Information Manageability © Doculabs, Inc. 2013 • Think about your ESI (electronically stored information) in terms of its Risk, Value, and Manageability. • For simplicity, let’s just use Risk and Manageability.
  20. 20. What is the Scope of RM? Risk • For simplicity, let’s just use Risk and Manageability. Electronically Stored Information (ESI) Manageability © Doculabs, Inc. 2013
  21. 21. What is the Scope of RM? • One major source of risk for ESI is its “Likely Discoverability”. Risk Likely Discoverable Information Electronically Stored Information (ESI) Manageability © Doculabs, Inc. 2013 • While all ESI is perhaps “discoverable”, we can prioritize the more likely and harmful ESI.
  22. 22. What is the Scope of RM? Declared Records Risk Likely Discoverable Information Electronically Stored Information (ESI) Manageability © Doculabs, Inc. 2013 • Your RM program probably declares only a subset of your LDI and ESI as records – these are your most valuable, risky, and manageable electronic documents.
  23. 23. What is the Scope of RM? Declared Records Other Business-related Information (OBRI) Non-business-related Information (NBRI) Risk Likely Discoverable Information Physical Documents and Electronically Stored Information (ESI) 1. But most of your content and documents are nonrecords -- and range from very low to very high risk and value. 2. Most of the ESI on your shared drives, hard drives, and in email is OBRI. 3. Some is NBRI. Manageability © Doculabs, Inc. 2013 4. It’s a mess.
  24. 24. What is the Scope of RM? Too Narrow Electronically Stored Information (ESI) Other Business-related Information (OBRI) Non-business Information (NBI) Declared Records Manageability © Doculabs, Inc. 2013 Likely Discoverable Information Risk Other Business-related Information (OBRI) Non-business Information (NBI) Risk Likely Discoverable Information Too Wide Declared Records Electronically Stored Information (ESI) Manageability
  25. 25. 2011 Solution: Use a Tiered Approach • A much more effective approach is to divide your ESI into three “Tiers”. • Tier 1 denotes your declared records, specified by a Records Retention Schedule. Tier 2 Other Business-related Information (OBRI) Non-business Information (NBI) Risk Likely Discoverable Information Tier 3 Tier 1 Declared Records Electronically Stored Information (ESI) Manageability © Doculabs, Inc. 2013 • Tier 2 denotes the OBRI that is important to retain for business reasons. • Tier 3 denotes the OBRI that is not important to retain for business reason; it also denotes NBRI, which – by definition -- is not important to retain for business reasons.
  26. 26. “Treat them Differently” • Tiered Approach – Different types of physical documents and ESI are handled differently Tier 2 Other Business-related Information (OBRI) Likely Discoverable Information 1 Declared Records Tier 1 Non-business Information (NBI) Risk 2 4 3 Tier 3 Electronically Stored Information (ESI) Manageability © Doculabs, Inc. 2013 1. Keep as records 2. Keep as non-records, but move to rigorous ECM/RIM system 3. Keep on (better managed) shared drives 4. Don't worry about them; they aren't worth it – keep or dispose according to general rules
  27. 27. Now This Tree Makes Sense © Doculabs, Inc. 2013
  28. 28. 2011 Problem #3: Who Should Do What? 30 Step 1 Determine what information would be relevant to dispute Step 2 Identify each data source that potentially contains relevant information If data source likely to contain relevant information If data source not reasonably likely to contain relevant information Step 3 Determine degree of accessibility of data sources that are likely to contain relevant information (see figure 2) If there is high degree of accessibility If there is low degree of accessibility Yes Step 4 Do substantially similar copies of relevant information exist in more readily accessible data source? No Yes Preservation Not Required Step 5 Is cost or burden of preservation excessive as compared to the relevance or value of the information? No Preservation Required Figure 1: Decision Tree for Determining ESI Preservation Obligations (Sedona Working Group) © Doculabs, Inc. 2013
  29. 29. 2011 Problem #3: Who Should Do What? 31 Who decides the “degree of accessibility” – IT or Legal? “Reasonably likely” Means exactly what? Step 1 Determine what information would be relevant to dispute Step 2 Identify each data source that potentially contains relevant information If data source likely to contain relevant information If data source not reasonably likely to contain relevant information Step 3 Determine degree of accessibility of data sources that are likely to contain relevant information (see figure 2) If there is high degree of accessibility If there is low degree of accessibility Yes Step 4 Do substantially similar copies of relevant information exist in more readily accessible data source? No Yes Preservation Not Required Step 5 Is cost or burden of preservation excessive as compared to the relevance or value of the information? No Preservation Required “Burden of preservation”, “excessive as compared to relevance”, “value of information” – Far too nebulous for the common person to figure out! © Doculabs, Inc. 2013
  30. 30. 2011 Solution: Cross-Functional and Balanced Roles 32 • Legal: – Responsible for the overall program, policies, practices, and monitoring (program responsibilities) – Responsible for the coordination and execution of the E-D process (discovery event responsibilities). • IT: – Responsible for working with Legal to establish realistic IM practices for the program, ensuring that current systems can align with program requirements (program responsibilities). – Responsible for executing specific technical tasks within the E-D process (discovery event responsibilities). • Business: – Record Retention Leaders or site coordinators are responsible for working with Legal and IT reps to communicate program requirements and expectations to users (program responsibilities). – Record Retention Leaders are responsible for monitoring particular custodians’ activities during E-D (discovery event responsibilities). – Individual users are responsible for adhering to program requirements (program responsibilities), and individual custodians are responsible for carrying out required tasks during E-D (discovery event responsibilities). © Doculabs, Inc. 2013
  31. 31. You Need a Program Framework to Plan and Manage your Roadmap E-Discovery Program Categories Overall Program Strategy Governance and Operations Information Organization Process Design and Implementation Architecture and Technology Communications and Training Category Key Components Overall Program Strategy The overall vision and strategy for litigation readiness. This strategy should address existing visions and strategies for enterprise content management (ECM) and for records management (RM), and should address any gaps that may exist. This strategy should also establish general principles for the level of resources the organization will apply to the program at a high level. · RM vision, strategy, and roadmap · ECM vision, strategy, and roadmap · A litigation readiness vision, strategy, and roadmap that addresses the RM and ECM strategies and addresses gaps · Principles for resources Governance and Operations The governance structure and operational structure(s) for implementing the litigation readiness strategy. Includes roles, responsibilities, program governance metrics, policies, procedures, and guidelines. · Governance structure (roles, responsibilities) · Operational structure (roles, responsibilities) · “Rules” – policies, procedures, and guidelines – for records management and e-Discovery Information Organization The manner in which information is organized. This includes a content taxonomy or organizational hierarchy, a record plan and retention schedule, and a content map of the organization’s electronically stored information (ESI) and content repositories. · Content taxonomy · Records retention plan · ESI-Repository Map Process Design and Implementation The overall processes used to support litigation readiness. These include the e-Discovery process itself, as well as the overall records/information lifecycle management process. · Discovery process · Record/information lifecycle management process Architecture and Technology The tools and technologies that are used or leveraged for litigation readiness, and the architecture for how they fit together. This can include specialist tools for e-Discovery as well as technologies and capabilities for ECM, records management, and email management. · · · · · Communications and Training © Doculabs, Inc. 2013 Definition The mechanisms used to educate the user community and improve compliance and adoption of the procedures and solutions that support litigation readiness. · Communication plan/program · Training plan/program Architecture strategy ECM tools and capabilities Records management tools and capabilities Email management tools and capabilities E-Discovery tools and capabilities 33
  32. 32. Program Maturity Model and Benchmark © Doculabs, Inc. 2013 34
  33. 33. 1. Introduction and Background to the Issues A. Preliminaries B. Planning the Next 3 Years (2011 to 2014) C. Planning the Next 3 Years (2014 to 2017) i. What’s New (AIIM Survey Data on What’s Happening) ii. What’s New (A Map of What’s Happening) Agenda
  34. 34. Expansion and Consolidation of ECM Systems (1<n<4) Source: ©AIIM 2013 / ©Accellion 2013 “ECM at the Crossroads” survey How many different ECM/DM/RM suppliers/systems does your organization currently use? 0% 5% 10% 15% 20% 25% 1 system 2 systems 3 systems 4 systems 5 systems 6 systems 7-10 systems More than 10 systems N=477 © Doculabs, Inc. 2013 30%
  35. 35. Mobile Information is ... Important Source: ©AIIM 2013 / ©Accellion 2013 How important is mobile information access to your organization? 0% Essential Somewhat important Important in some groups but not the whole organization Not at all important 10% 20% 30% 40% 50% 70%: Essential or somewhat important N=283 © Doculabs, Inc. 2013
  36. 36. There are Lots of Official Ways to Access Content Source: ©AIIM 2013 / ©Accellion 2013 Which of the following ways of accessing content on mobile devices are officially sanctioned in your organization? 0% 10% 20% 30% 40% 50% 60% Sync to desktops 49%: Emailing attachments Email Consumer cloud content services, eg: Dropbox, Skydrive, i-Cloud, Google Drive, YouSendIt 34%: Content capture services, eg: Evernote, OneNote Enterprise content services, eg: Box, Huddle, Yammer, SharePoint 365 Sync ECM access clients, eg. SharePlus, Accellion, or vendor supplied apps. Secure mobile data services None of these We don't have any official policies N=281, normalized for Don’t know © Doculabs, Inc. 2013
  37. 37. There are Lots of Unofficial Ways to Access Content Source: ©AIIM 2013 / ©Accellion 2013 To your knowledge, to what extent are the following unofficial ways of accessing content on mobile devices in use in your organization? 0% 20% 40% 60% 80% 100% Sync to desktops 85%: Emailing attachments to self Email Used Inappropriately Consumer cloud content services, eg: Dropbox, Skydrive, i-Cloud, Google Drive, YouSendIt Content capture services, eg: Evernote, OneNote Enterprise content services, eg: Box, Huddle, Yammer, SharePoint 365 ECM access clients/apps, eg. SharePlus Heavily used In use Not used N=279, excl Don’t know © Doculabs, Inc. 2013
  38. 38. A Chicken Little Slide Source: ©AIIM 2013 / ©Accellion 2013 How concerned are you about current practice in your organization for sharing content to mobile devices? Not at all concerned, 12% Extremely concerned, 26% A little concerned, 19% Extremely or Somewhat Concerned Somewhat concerned, 43% N=282 © Doculabs, Inc. 2013 2/3:
  39. 39. What’s Happening with the Content Technologies? We need a Map. The content technologies have 3 dimensions – and in the last 5 years the third one has exploded. 1. Content Management • • 2. Addresses the input, control, and output of electronic information. It ranges on a scale from simple to complex. Process Management • • 3. Addresses the rules, orchestration, automation, and control of processes. It ranges on a scale from simple to complex. Participation Management • Addresses the amount and complexity of human engagement – of human interaction, collaboration, collective deliberation, analysis, and creation. • It measures both the breadth and depth of such participation. © Doculabs, Inc. 2013 41
  40. 40. The 3 Dimensions of the Content Technologies With a Focus on Participation Management © Doculabs, Inc. 2013 42
  41. 41. Level 1: Low Enterprise Participation © Doculabs, Inc. 2013 43
  42. 42. Level 2: Moderate Enterprise Participation © Doculabs, Inc. 2013 44
  43. 43. Level 3: High Enterprise, Low Extra-Enterprise Participation © Doculabs, Inc. 2013 45
  44. 44. Level 4: Moderate Extra-Enterprise Participation © Doculabs, Inc. 2013 46
  45. 45. 1. Introduction and Background to the Problem 2. Program Framework, Roadmap, and Recommendations 3. Example Problem: Defensible Disposition 4. Next Steps Agenda
  46. 46. 1. Program Framework, Roadmap, and Recommendations A. Overall Program Strategy B. Governance and Operations C. Information Organization D. Process Design and Implementation E. Architecture and Technology F. Communications and Training Agenda
  47. 47. You Need a Program Framework to Plan and Manage your Roadmap E-Discovery Program Categories Overall Program Strategy Governance and Operations Information Organization Process Design and Implementation Architecture and Technology Communications and Training Category Key Components Overall Program Strategy The overall vision and strategy for litigation readiness. This strategy should address existing visions and strategies for enterprise content management (ECM) and for records management (RM), and should address any gaps that may exist. This strategy should also establish general principles for the level of resources the organization will apply to the program at a high level. · RM vision, strategy, and roadmap · ECM vision, strategy, and roadmap · A litigation readiness vision, strategy, and roadmap that addresses the RM and ECM strategies and addresses gaps · Principles for resources Governance and Operations The governance structure and operational structure(s) for implementing the litigation readiness strategy. Includes roles, responsibilities, program governance metrics, policies, procedures, and guidelines. · Governance structure (roles, responsibilities) · Operational structure (roles, responsibilities) · “Rules” – policies, procedures, and guidelines – for records management and e-Discovery Information Organization The manner in which information is organized. This includes a content taxonomy or organizational hierarchy, a record plan and retention schedule, and a content map of the organization’s electronically stored information (ESI) and content repositories. · Content taxonomy · Records retention plan · ESI-Repository Map Process Design and Implementation The overall processes used to support litigation readiness. These include the e-Discovery process itself, as well as the overall records/information lifecycle management process. · Discovery process · Record/information lifecycle management process Architecture and Technology The tools and technologies that are used or leveraged for litigation readiness, and the architecture for how they fit together. This can include specialist tools for e-Discovery as well as technologies and capabilities for ECM, records management, and email management. · · · · · Communications and Training © Doculabs, Inc. 2013 Definition The mechanisms used to educate the user community and improve compliance and adoption of the procedures and solutions that support litigation readiness. · Communication plan/program · Training plan/program Architecture strategy ECM tools and capabilities Records management tools and capabilities Email management tools and capabilities E-Discovery tools and capabilities 49
  48. 48. Overall Program Strategy 50 Criteria • Current state, future state, and program roadmap • Litigation readiness • Records management (RM) and enterprise content management (ECM) components • Resource management • Financial analysis and Business Case for selected approach Best in class • Developed and implemented strategy and roadmap • The strategy and roadmap address ECM, RM, e-discovery and email management (EMM) at the enterprise level Typical challenges • No company-wide RM strategy or program in development • No cohesive strategy for automated end-to-end litigation readiness, RM, and ECM solutions E-Discovery Program Categories Overall Program Strategy Information Organization Process Design and Implementation © Doculabs, Inc. 2013 Governance and Operations Architecture and Technology Communications and Training
  49. 49. 2011 Solution: Plan and Manage with the EDRM © Doculabs, Inc. 2013 51
  50. 50. Understanding Cost Justification for E-Discovery © Doculabs, Inc. 2013 52
  51. 51. Governance and Operations 53 Criteria • Governance and operational structure (roles and responsibilities) • Program governance metrics and monitoring Best in class • Governance and operational structure is implemented and operational Typical challenges • No defined governance structure for centralized accountability of records management • Most records management and litigation readiness roles and responsibilities are not defined or in place (beyond site or department leaders or coordinators) E-Discovery Program Categories Overall Program Strategy Information Organization Process Design and Implementation © Doculabs, Inc. 2013 Governance and Operations Architecture and Technology Communications and Training
  52. 52. Cross-Functional and Balanced Roles in Governance & Operations 54 • Legal: – Responsible for the overall program, policies, practices, and monitoring (program responsibilities) – Responsible for the coordination and execution of the E-D process (discovery event responsibilities). • IT: – Responsible for working with Legal to establish realistic IM practices for the program, ensuring that current systems can align with program requirements (program responsibilities). – Responsible for executing specific technical tasks within the E-D process (discovery event responsibilities). • Business: – Record Retention Leaders or site coordinators are responsible for working with Legal and IT reps to communicate program requirements and expectations to users (program responsibilities). – Record Retention Leaders are responsible for monitoring particular custodians’ activities during E-D (discovery event responsibilities). – Individual users are responsible for adhering to program requirements (program responsibilities), and individual custodians are responsible for carrying out required tasks during E-D (discovery event responsibilities). © Doculabs, Inc. 2013
  53. 53. © Doculabs, Inc. 2013 DISTRIBUTED/ VIRTUAL RESOURCES 55 Executive Steering Committee Records and Information Management Group DEDICATED PROGRAM RESOURCES DISTRIBUTED/VIRTUAL RESOURCES (RECORDS ADVISORS) DISTRIBUTED/VIRTUAL RESOURCES (DEPARTMENT MANAGEMENT, RECORDS COORDINATORS, EMPLOYEES) PARTICIPATING GROUPS CORE PROGRAM AREA STEERING COMMITTEE Example Program Structure Program Staff Program Manager R&D, Regulatory, and Medical Affairs Legal IT R&D Regulatory Affairs Medical Affairs U.S. Legal Application Owners Drug Safety Evaluation Global Pharma Sciences Allergan Medical Global Legal Infrastructure and Architecture Legal IT Teams R&D, Regulatory, and Medical Affairs
  54. 54. Information Organization 56 Criteria • Taxonomy development and maintenance • Records retention plan development and maintenance • ESI-repository map development and maintenance Best in class • Developed and implemented taxonomy and retention plan, with methodology for further development and maintenance • Developed and maintained ESI-repository map Typical challenges • Likely inconsistencies in content organization between and within departments • No existing complete or partial ESI-repository map; considerable gaps in documented understanding of where all electronically stored information (ESI) resides E-Discovery Program Categories Overall Program Strategy Information Organization Process Design and Implementation © Doculabs, Inc. 2013 Governance and Operations Architecture and Technology Communications and Training
  55. 55. How an ESI Inventory Helps • Tiered Approach – Different types of physical documents and ESI are handled differently Tier 2 Other Business-related Information (OBRI) Likely Discoverable Information 1 Declared Records Tier 1 Non-business Information (NBI) Risk 2 4 3 Tier 3 Electronically Stored Information (ESI) Manageability © Doculabs, Inc. 2013 1. Keep as records 2. Keep as non-records, but move to rigorous ECM/RIM system 3. Keep on (better managed) shared drives 4. Don't worry about them; they aren't worth it – keep or dispose according to general rules
  56. 56. Process Design and Implementation 58 Criteria • Discovery process • Records/information lifecycle management (ILM) process • Records and litigation policies, procedures, guidelines Best in class • Discovery processes are evaluated, designed, implemented, monitored, and maintained • ILM processes are evaluated, designed, implemented, monitored, and maintained • “Rules” – policies, procedures, guidelines – are implemented and practiced Typical challenges • Limited electronic records (or data) archiving or destruction; processes for retention, destruction, etc., are largely left up to departments or sites • Many personal email archive folders, stored in disparate locations (e.g. hard drives, personal drives, network drives); likely to increase without email policy change E-Discovery Program Categories Overall Program Strategy Information Organization Process Design and Implementation © Doculabs, Inc. 2013 Governance and Operations Architecture and Technology Communications and Training
  57. 57. Process Design and Implementation © Doculabs, Inc. 2013 59
  58. 58. Architecture and Technology 60 Criteria • Architecture strategy • ECM, RM, EMM, and e-discovery tools and capabilities Best in class • Developed and implemented architecture strategy for core ECM, ediscovery, RM, and EMM (where required) • Technology portfolio is implemented, adequate, consolidated, and maintained Typical challenges • Little relevant technology in place that is effectively used to improve e-discovery effectiveness and efficiency • The most common repositories for electronic content are likely email, hard drives, personal drives, and shared drives (which can create records management challenges) E-Discovery Program Categories Overall Program Strategy Information Organization Process Design and Implementation © Doculabs, Inc. 2013 Governance and Operations Architecture and Technology Communications and Training
  59. 59. Example E-D Requirements Specification for Solution Selection © Doculabs, Inc. 2013 61
  60. 60. Communications and Training 62 Criteria • Communication plan/program • Training plan/program Best in class • Developed and implemented communications and training strategy • Organization is adequately prepared to implement litigation readiness program Typical challenges • No clear plan for communication and training on litigation readiness, records management, and ECM • Many users probably unaware of the litigation readiness and records management policies and guidelines; performing what they think is the “right thing to do” E-Discovery Program Categories Overall Program Strategy Information Organization Process Design and Implementation © Doculabs, Inc. 2013 Governance and Operations Architecture and Technology Communications and Training
  61. 61. 1. Introduction and Background to the Problem 2. Program Framework, Roadmap, and Recommendations 3. Example Problem: Defensible Disposition 4. Next Steps Agenda
  62. 62. Why Over-Retention is the Problem • Corporations keep non-required electronic content forever because: – Classifying content (to determine what to keep and what to purge) is manual and expensive – Content worth preserving is mixed with content that should be purged – Legal -- and others -- are afraid of wrongfully deleting materials (spoliation) – Additional storage is inexpensive, which makes it easy for corporations to buy more storage and defer addressing the problem © Doculabs, Inc. 2013
  63. 63. Break the Big Problem into 2 Smaller Problems • Addressing day-forward information lifecycle management (ILM) is much easier to address than historical content – Even though addressing it messes with employees’ day-to-day business activities • Day-forward: Initiate ILM practices on a “day-forward” basis first, so any new content created or saved is assigned a disposition period • Guidance: Provide employees with explicit guidance for the acceptable use of available tools for dynamic content and their associated retention periods – Transient, WIP (3 years), Long Term (per Retention Schedule) • Historical: For historical content, analyze the feasibility of content analytics and autoclassification – Recognize that cleaning up TBs of content can take years. So conduct the analysis in 2014, begin the cleanup effort in earnest by 2015, and eliminate a large portion of dated content by 2017 © Doculabs, Inc. 2013
  64. 64. Guidance Example for Day-forward System/Repository Recommended Retention Period Personal Network Drives (“P” drives) • Provide each user with personal drive space of a limited size for their storage, for as long as the user is employed Shared Network Drives (“G” drives) • Make them read only (which means no network storage for collaboration; content will have to go into an ECM system) Exceptions include application or systems that need to use network storage • ECM System 1. Default for non records: retained for 3 years 2. Default for non records that have long-term value: retained for 7 years 3. Official records: retained per the retention schedule Social Community Sites • • © Doculabs, Inc. 2013 No documents stored in communities (only links to documents in the ECM system) Consider retention periods for non-document content (e.g. 3 years)
  65. 65. The Defensible Disposition Methodology in a Nutshell • You must satisfy 4 demands: 1. 2. 3. 4. Regulatory retention requirements Hold retention requirements Business retention requirements Cost impact of anything you do • What you do has impact: 1. What you do 2. Effects of what you do • You can do 2 things: 1. Sort 2. Dispose • Your mission stated two ways: 1. Your mission is to satisfy your retention demands (1-3) while minimizing bad cost impact to yourself (4) 2. Your mission is to maximize good cost impact (4) while satisfying your retention requirements (1-3) © Doculabs, Inc. 2013
  66. 66. It’s Based on Reasonableness • To determine what “satisfy your retention demands” really means for you, use the Principle of Reasonableness and act In Good Faith • Courts do not ask, expect or necessarily reward organizations for perfection. Courts do expect, however, that whatever information management tactics an organization undertakes are appropriate to how that particular entity is situated (size, financial resources, regulatory and litigation profile, etc.). (Jim McGann and Julie Colgan, “Implement a defensible deletion strategy to manage risk and control costs”, Inside Counsel) © Doculabs, Inc. 2013
  67. 67. Your Defensible Disposition Methodology Has 4 Parts 1. Defensible Disposition Policy – It’s your design specification, your business rules for DD, your decision tree – Specifies very clearly the objectives that your methodology will fulfill. It states clearly what you mean by your retention requirements and what you mean by reasonable costs when you are trying to fulfill your retention requirements. 2. Assessment (Sorting) Plan – What information and systems you’re assessing – Your processing rules (decision plan) – It will be flexible 3. Technology Plan – For Sorting and Disposing – You must use technology – it’s not an option 4. Disposition Plan – Evaluate your assessment results using your DD Policy – Dispose (which ranges from keeping forever to deleting right now with many options in between) – Refine your DD Policy (1) and continue as needed © Doculabs, Inc. 2013
  68. 68. 1. Introduction and Background to the Problem 2. Program Framework, Roadmap, and Recommendations 3. Example Problem: Defensible Disposition 4. Next Steps Agenda
  69. 69. Resources • There are lots of resources on the issues I discuss. • http://www.aiim.org/community /blogs/expert/Resources-forInformation-GovernancePlanning-for-the-Next-3-Years © Doculabs, Inc. 2013 71
  70. 70. Resources: Introduction and Background to the Issues 1. Introduction and Background to the Issues – Planning the Next 3 Years (2011 to 2014) – Planning the Next 3 Years (2014 to 2017) • How to Get from 1998-Style Records Management to Information Governance for 2018 • How to Calculate ROI for E-Discovery (with Calculator) • A Reference Model for Systems of Engagement and Systems of Record • A Content Technology Roadmap • How to Succeed at Mobile Content Management • 6 Key Considerations to Going Mobile • Two AIIM Webinars and a Survey on Mobile Content Management © Doculabs, Inc. 2013
  71. 71. Resources: Program Framework, Roadmap, and Recommendations 2. Program Framework, Roadmap, and Recommendations A. Overall Program Strategy • How to Develop and Implement your Discovery Readiness Program • Which part of E-Discovery Should You Fix First? • How Should Large Companies Manage the Lifecycle of their Dynamic Content? • How to Succeed at Email Management if You’re a Midsized Organization B. Governance and Operations • Are You Hiring a Records Manager? • E-Discovery Roles and Responsibilities in a Successful Litigation Readiness Program • Records Management Roles and Responsibilities in a Successful RM Program • The ECM Governance Model C. Information Organization • You Gotta Know the Territory: How to Segment your ESI • A Manageable Taxonomy of Taxonomy Management Tools © Doculabs, Inc. 2013
  72. 72. Resources: Program Framework, Roadmap, and Recommendations 2. Program Framework, Roadmap, and Recommendations C. Process Design and Implementation • E-D Process Flow Diagrams for your Current and Target Future State • 3 Best Practices for Developing Records Management Policies and Procedures • The Difference between Records Management Policies, Procedures, and Guidelines • The Processes for Managing your RM Rules • Here’s the First Draft of your Social Media Policy D. Architecture and Technology • How Different is Legal Document Management? • How to Start your Company ECM Program with Legal Document Management • Immediately Stop Using Tape for Archiving E. Communications and Training • (nothing yet) © Doculabs, Inc. 2013
  73. 73. 3. Example Problem: Defensible Disposition • A 4-Step Methodology for Defensible Disposition • Developing your Assessment Plan for Defensible Disposition • Defensible Disposition in a Nutshell: My AIIM Talk © Doculabs, Inc. 2013
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