Ediscovery

e-discovery

Jacques Folon
Partner Edge Consulting
Chargé de cours ICHEC
Maître De conférences Université de Liège
Professeur invité Université de Metz 1

http://aliaz.com/jacques-folon

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www.slideshare.net/folon

elle est à votre disposition

Qui est certain que son
organisation est
parfaitement en règle et
peut à tout moment
identifier et présenter les
documents nécessaires à se
défendre en justice et est
prêt à parier?

La présentation est en
ligne sur
www.slideshare.net/folon

Table des
matières
1. Situation actuelle
2. Un prérequis
ECM
3. Ediscovery
4. Sedona principles

6

La situation actuelle:
1/de nombreuses « machines »

7

2/ trop d’informations mène à
l’infobésité…

8

Quelles informations ?
• Electronically stored information (ESI)
• Documents scannés, fax
• Textes (word, pages, et des anciennes
versions), tableurs, calendriers,
• Emails entrants et sortant
• Databases, sites web, blogs,…
• Disques (centraux, locaux, pc, disques
externes, clés USB, …)
• CRM, CMS
• GSM et PDA
• Time sheet, comptabilité
• Messagerie instantanée
• Voice mail
• GPS navigation systems
• Archivage externe
• Metadata
• Réseaux sociaux (privés et
professionnels) 10

2. Un prérequis:
electronic content management

12

Source : https://www.britestream.com/difference.html .

The importance of records

• Most of today’s
records start out
in electronic form
– Letters
– Emails
– Faxes
– Web transactions
– Other transactions

Source: What is ERM www.aiim.org/training
Copyright © AIIM | All rights reserved

Electronic records management
Question: Is ERM
• The electronic management of paper
records?
• The management of electronic records?

Answer: Both


Content types and how well managed
For each type of content, evaluate the degree of control that exists in your
organization in managing it.

All respondents (462)


What are the main business drivers?

ss Ef
e fic
iv en ie
ct n cy
Effe

ERM
Co

ity
m

ti nu
pl

on
ia
nc

C
e


Driver: Compliance

• Laws
• Regulations
• Policies
• Standards
• Good practice


Driver: Effectiveness

• Not losing records
• Sharing records
• Finding records easily
• Getting the complete picture


Driver: Efficiency

• Accessing records quickly
• Space savings
• Reduced handling costs
• Other examples
– Archival costs
– Disposal of furniture
– Consumables


Driver: Continuity

• Records are vulnerable to loss
• Businesses tend to fail if they
lose their records
• Electronic storage may
speed recovery from
a disaster


The records lifecycle

Source: NARA


Fundamental principles

• Records are created, received,
and used in the conduct of
organisational activities
• Organisations should create
and maintain authentic,
reliable, and usable records


Access and usage principles

• Records should be accessible to authorised
users
• Users should be able to
search and access records
in usable formats
• Records should be organised
to support access and
management

Retention principles

• Records must be managed through their
lifecycle
• Records should be kept as long as required
– Statutory requirements
– Legal requirements
– Business or operational needs
• Retaining records longer than required may
increase organisational liability


Disposition principles

• Disposition is an accepted phase of the
records lifecycle
– Transfer/accession
– Destruction
• Records should be
disposed of at the
end of the lifecycle


What is ‘Capture’

Capture

ERM
System

The purpose of capturing records

Establish a relationship between the record
and its context
Place the record into a controlled
environment
Link the record to other related records
Allow the record to be managed effectively


Why not capture everything?

• Hard cost of storage
• Volume of non-records to sift through
– Operationally
– For legal or audit requirements
• Increased liability for
disclosing too much


So, what is metadata?

• Metadata = “Data about data”
– For a document or record this means data such
as its author, its title, the issue date, and other
information which can usefully be associated
with it
• Nothing new or unique
• Defined in terms of units called “Elements”
or “Fields.”
– Some support “sub-elements” or “attributes”


Perspectives on metadata

• Entering metadata is often called “indexing”
• Different users of an ERM system will have
different views of what metadata can do for
them, and what metadata is required
– Business perspective
– Records management perspective
– User perspective


Why is access control
necessary?

• Ensure ‘systematic control’ and ‘credible
evidence’
• Ensure authoritative records
• Protect commercially sensitive information
• Protect personal
information
• Limit access to protectively
marked information

The objects of user access rights

• Provide or limit access to specific
classes,
files or records
• Provide or limit access to features
• Provide or limit access by security
classification
– ‘Need to know’


Retention periods - 1

• Capturing a record implies need for
retention
• A record may be retained in different ways
– ERM system
– Software application
– Separate electronic media
– Paper


Retention periods - 2

• Records will vary in their intrinsic nature
• Some records may need to be retained for
very long periods of time
• Other records will need to be
retained for shorter periods


The benefits of destroying
records
• Keeping everything forever is expensive
– Storage costs
– Search and retrieval
– Discovery
• Courts have held that there is no
requirement to keep everything forever
• Destroying records reduces risk
– When it is done consistently and in accordance
with the records program


3. Après ERM => ediscovery

38

Définition et contexte
• L’électronique discovery, appelé aussi e-discovery ou
ediscovery constitue le procédé par lequel une donnée
électronique est recherchée, localisée, sécurisée, identifiée
afin qu’elle serve de preuve à charge ou à décharge dans un
litige civil ou pénal.
• L'accès rapide aux informations contenues dans les documents est
indispensable pour élaborer des stratégies gagnantes dans le cadre de
contentieux juridiques.
• Il est souvent impossible ou il faut trop de temps pour accéder efficacement
aux informations pertinentes dès le début du processus de découverte.
• De plus, les entreprises sont tenues de conserver et parfois de divulguer
des données qui n'existent que dans des langues étrangères.
• Avoir les bonnes données au bon moment est critique.
• Les entreprises ont donc besoin de solution pour trouver très rapidement les
documents requis quelle que soit leur langue.

Source www.systran.fr 39

Ediscovery model

Source for the next 9 slides: http://edrm.net
40

1/information mgt

41

2/ identification

42

3/ préservation

43

4/ collecte

Collection is the acquisition of potentially relevant electronically stored information
(ESI) as defined in the identification phase of the electronic discovery process. The
exigencies of litigation, governmental inquiries, and internal investigations generally
require that ESI and its associated metadata should be collected in a manner that is
legally defensible, proportionate, efficient, auditable, and targeted.
44

9/ Présentation

49

4/ The Sedona Principles:
Best Practices Recommendations & Principles for
Addressing Electronic Document Production
(Second edition, June 2007)

The Sedona Guidelines:
Best Practices Guidelines & Commentary for
Managing Information and Records in the
Electronic Age
(Sept. 2005)

GSA IT Quarterly 50

The Sedona Guidelines
– Second work product of working group
– Draft published in September 2004 for public comment; published
in September 2005.
– They are:
• Important background and roadmap of issues
• Link between RIM, IT and Legal Perspectives
• Flexible, Scalable and Reasonable
– They are not:
• Standards or minimum requirements
• Unchangeable

51

• 1. An organization should have reasonable policies and
procedures for managing its information and records.

52

• 2. An organization’s information and records management
policies and procedures should be realistic, practical and
tailored to the circumstances of the organization.

53

• 3. An organization need not retain all electronic
information ever generated or received.

54

• 4. An organization adopting an information and records
management policy should consider including procedures
that address the creation, identification, retention, retrieval
and ultimate disposition or destruction of information and
records.

55

• 5. An organization’s policies and procedures must mandate
the suspension of ordinary destruction practices and
procedures as necessary to comply with preservation
obligations related to actual or reasonably anticipated
litigation, governmental investigation or audit.

56

RÖLE DU RESPONSABLE DE SECURITE

Sommes nous prêts à nous
défendre?

61

Jacques Folon
Jacques.folon@ichec.be

Je suis prêt à répondre à vos questions

Ediscovery

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Editor's Notes