Discovery and Legal and Records… oh my!!<br />1 February 2011<br />Fiona Schrader<br />Group Product Manager, Compliance<br />
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 />
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 />
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 />
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 />
Information Management Reference Model (IMRM)<br />
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 />
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 />
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 />
Making Information Governance Actionable<br />
SourceOne for Microsoft SharePoint </li></ul>EMC Information Governance Family <br />
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 />
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 />
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
Records + e-Discovery<br />Business challenge<br /><ul><li>Rapidly increasing volume of information increases the complexity of managing that information.
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 />
Use Case #1 – I have e-Discovery!!<br /><ul><li>Challenge: I have one or more e-Discovery requests.
Respond cost-effectively to eDiscovery requests
Implement a repeatable business process that minimizes eDiscovery and compliance costs
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.
Allows administrators to have one file plan and one set of retention rules to manage all content
Enables fast and accurate search and retrieval of physical records
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.
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
Classify information based on metadata or content of file
Migrate valuable files to Documentum and apply retention/disposition
Create an efficient policy-based environment that reduces risk
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 />
Intelligent Information…Continue the Discussion with EMC @<br />