eDiscovery and Records Oh...My!


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The confluence of eDiscovery and Records Management

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eDiscovery and Records Oh...My!

  1. 1. Discovery and Legal and Records… oh my!!<br />1 February 2011<br />Fiona Schrader<br />Group Product Manager, Compliance<br />
  2. 2. Agenda<br />Information Management and eDiscovery – market drivers<br />Why worry about Records<br />Definitions<br />Tools to make Records and Information Management easier<br />4 Use Cases<br />
  3. 3. AIIM Research on Records Management<br />What would you say were the two main reasons that triggered your organization's decision to plan a Records Management system? (N=176 planning or implementing)<br />Source: AIIM, 2010 Industry Watch: E-Discovery and ERM: how is records management performing in the new spotlight?<br />
  4. 4. AIIM Research on Records Management<br />Which of the following types of electronic content do you include in your retention policies and RM processes? (N=413)<br />Source: AIIM, 2010 Industry Watch: E-Discovery and ERM: how is records management performing in the new spotlight?<br />
  5. 5. What is the Legal Hold Procedure in Place?<br />Do you have a legal hold procedure in place that can be invoked as soon as a legal action is raised? (N=476, excl. 103 “No Idea”)<br />AIIM Industry Watch: E-Discovery and ERM, 2010<br />
  6. 6. IG Maturity Model Assessment<br />Information Risk<br />Policy Management<br />Information Access & Security<br />Information Capture & Classification<br />Information Content Governance<br />Records Lifecycle Management<br />Optimized<br />Managed<br />Proactive<br />Reactive<br />Aware<br />
  7. 7. Electronic Discovery Reference Model (EDRM)<br />Processing<br />Preservation<br />VOLUME<br />RELEVANCE<br />Identification<br />Information Management<br />Review<br />Production<br />Presentation<br />Collection<br />Analysis<br />The Electronic Discovery Reference Model - www.edrm.net<br />
  8. 8. Information Management Reference Model (IMRM)<br />
  9. 9. Definitions – Part 1<br />Enterprise Governance, Risk and Compliance (eGRC) is an umbrella term that describes how an organization:<br /> Defines the objectives, policies, procedures and standards by which it is managed<br />Makes informed decisions to seize opportunities while avoiding or managing negative events<br />Demonstrates adherence to laws, regulations, policies, contractual obligations and industry standards<br />
  10. 10. Definitions – Part 2 <br />Certifications <br />DoD5015.2, MoReq2, VERS, etc. Complex set of behaviours that the software must adhere to and be tested against with expected outcomes. <br />Standards<br />ISO 15489 which are best practices/recommendations on how the software should behave. <br />Guidelines<br />Recommendations on how systems are implemented. <br />Laws/Acts<br />CFR Part 11, mandate how long content is kept in accordance to the law. UK - Limitation Act 1980, Data Protection Act 1998, Freedom of Information Act 2000, The Regulation of Investigatory Powers Act 2000 <br />Audits<br />The unknown as is it can be internally driven, externally driven or combination of both. <br />
  11. 11. What is a Record?<br />A record is information created, received, and maintained by an organization or person that is evidence of its activities or operations, and has value requiring its retention for a specific period of time. It can be used in pursuance of legal and regulatory obligations. <br />American National Standards Institute and ARMA International<br />Formal Records Management<br />Typical Records Management<br />11<br />
  12. 12. Making Information Governance Actionable<br />
  13. 13. <ul><li>SourceOne eDiscovery – Kazeon
  14. 14. SourceOne Discovery Manager
  15. 15. SourceOne File Intelligence</li></ul>EMC INFORMATION GOVERNANCE<br />OFFERINGS<br /><ul><li>Documentum Retention Policy Services
  16. 16. Documentum Records Manager
  17. 17. SourceOne for File Systems
  18. 18. SourceOne Email Management
  19. 19. SourceOne for Microsoft SharePoint </li></ul>EMC Information Governance Family <br />
  20. 20. Time- and event-based retention and disposition<br />Retention tied to workflows and business processes<br />Manage physical, electronic and federated records<br />Provides certified records management<br />Documentum Records Management<br />
  21. 21. Records and Retention ManagementEMC’s Modular Solution<br />Security Access Control<br />Report and Auditing<br />File Plan<br />Notification<br />Storage Management<br />Documentum Platform<br />WEB-BASED CLIENT<br />CONTENT SECURITY<br />UNIFIED ARCHITECTURE<br />Core Records Manager Components<br />Federated Records Services<br />Physical Records Services<br />Web Services for Records<br />Certified<br />Documentum Retention Policy Services<br />
  22. 22. Records Manager Overview<br />Author/Control<br />Declare/Classify<br />Object becomes a record (Largely automated based on a policy)<br /><ul><li>Document Creation
  23. 23. Collaboration
  24. 24. Properties
  25. 25. Workflow
  26. 26. Business Process</li></ul>Records Management<br />Records/Retention Management<br /><ul><li>Retention Policy Enforcement
  27. 27. Hold Capabilities
  28. 28. Automated & Manual Disposition
  29. 29. Corporate File Plan
  30. 30. Auditing and reporting</li></ul>Document <br />Immutability<br />Multi-Aging<br />Support<br />Event <br />Trigger<br />Event <br />Trigger<br />Search<br />Store/ Transfer<br />Global <br />Content<br />Repository<br />Audit<br />Notifications<br />Retention<br />Disposition<br />
  31. 31. Records + e-Discovery<br />Business challenge<br /><ul><li>Rapidly increasing volume of information increases the complexity of managing that information.
  32. 32. E-Discovery processes are easier and more efficient if front-end information management has been addressed first.</li></ul>Solution<br /> Records management system that makes sure there is one immutable version of each record and that expired data has been properly disposed of with audit trail. Combined with e-Discovery tools that bring the process in-house with effective tools for early case assessment.<br />
  33. 33. Use Case #1 – I have e-Discovery!!<br /><ul><li>Challenge: I have one or more e-Discovery requests.
  34. 34. Solution:
  35. 35. EMC SourceOne e-Discovery - Kazeon
  36. 36. EMC Documentum Retention Policy Services
  37. 37. Respond cost-effectively to eDiscovery requests
  38. 38. Implement a repeatable business process that minimizes eDiscovery and compliance costs
  39. 39. Roll out an accurate and defensible eDiscovery process with complete audit and chain of custody</li></li></ul><li>Use Case #2 – Start with paper records<br /><ul><li>Challenge: Paper records that need to be maintained.
  40. 40. Solution:
  41. 41. EMC Documentum Retention Policy Services
  42. 42. EMC Documentum Physical Records Services
  43. 43. Allows administrators to have one file plan and one set of retention rules to manage all content
  44. 44. Enables fast and accurate search and retrieval of physical records
  45. 45. Provides the ability to create a virtual warehouse structure that links physical records into users’ content management cabinet and folder structure</li></li></ul><li>Use Case #3 – I have electronic records <br /><ul><li>Challenge: Electronic content that needs to be maintained.
  46. 46. Solution:
  47. 47. EMC Documentum Retention Policy Services
  48. 48. Helps organizations comply with legal and regulatory requirements
  49. 49. Appliesand enforces retention and disposition policies automatically
  50. 50. Deploys quickly so work can begin immediately
  51. 51. Alleviates compliance burden on end users
  52. 52. Provides auto-delete capabilities
  53. 53. Provides cost savings for storage, compliance, and eDiscovery</li></li></ul><li>Use Case #4 – The Data is Out There…<br /><ul><li>Challenge: Just spoke with IT and there’s data scattered in network that I need to manage
  54. 54. Solution:
  55. 55. EMC SourceOne File Intelligence/EMC SourceOne eDiscovery - Kazeon
  56. 56. EMC Documentum Retention Policy Services
  57. 57. Classify information based on metadata or content of file
  58. 58. Migrate valuable files to Documentum and apply retention/disposition
  59. 59. Create an efficient policy-based environment that reduces risk
  60. 60. Increase primary storage capacity while reducing costs</li></li></ul><li>Questions to Ask<br />What are the project goals? <br />What are you trying to do or achieve?<br />Who has ownership? <br />Who provides the funding?<br />Who are the constituents? <br />Who is affected by this project?<br />
  61. 61. Intelligent Information…Continue the Discussion with EMC @<br />
  62. 62. Questions and Answers<br />