Download - eDiscovery and Records Oh...My!

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Discovery and Legal and Records… oh my!!1 February 2011

Fiona SchraderGroup Product Manager, Compliance


Agenda• Information Management and

eDiscovery – market drivers

• Why worry about Records

• Definitions

• Tools to make Records and Information Management easier

• 4 Use Cases


AIIM Research on Records Management

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)

Part of our planning for information management in general

Risk assessment against our compliance procedures

Desire to reduce/rationalize our paper records storage

Advice from an auditor or regulator

Experience of a court case or investigation

Because SharePoint provides some RM features as standard

Other

0% 10% 20% 30% 40% 50% 60% 70%

Source: AIIM, 2010 Industry Watch: E-Discovery and ERM: how is records management performing in the new spotlight?


AIIM Research on Records Management

Which of the following types of electronic content do you include in your retention policies and RM processes? (N=413)

Electronic documents

Emails

Application-generated transactional records

Public website content

Internal Enterprise 2.0 applications

Instant messaging

External social media

Do not include any form of electronically stored information in our formal policies

0% 20% 40% 60% 80% 100%

Source: AIIM, 2010 Industry Watch: E-Discovery and ERM: how is records management performing in the new spotlight?


What is the Legal Hold Procedure in Place?

0% 5% 10% 15% 20% 25% 30% 35%

As an immediate in-place function in our Records Management system

As an immediate in-place function in our e-Discovery system

As an automated move to a secure archive within our RM/e-Discovery system

On a record-by-record basis within our RM/DM system

By manually copying or moving to a protected area in our RM/DM system

By copying or moving files to a protected area on our file-share

By ordering staff not to delete “relevant files”

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”)

AIIM Industry Watch: E-Discovery and ERM, 2010


IG Maturity Model Assessment

Information Risk

Policy Managem

ent

Information Access

& Security

Information

Capture & Classificat

ion

Information

Content Governan

ce

Records Lifecycle Managem

entOptimized

Managed

Proactive

Reactive

Aware


Electronic Discovery Reference Model (EDRM)

The Electronic Discovery Reference Model - www.edrm.net

IdentificationInformation Management

Collection

Preservation

Processing

Review

Analysis

Production Presentation

VOLUME RELEVANCE


Information Management Reference Model (IMRM)


Definitions – Part 1• Enterprise Governance, Risk and Compliance

(eGRC) is an umbrella term that describes how an organization:

– Defines the objectives, policies, procedures and standards by which it is managed

– Makes informed decisions to seize opportunities while avoiding or managing negative events

– Demonstrates adherence to laws, regulations, policies, contractual obligations and industry standards


Definitions – Part 2• Certifications

– DoD5015.2, MoReq2, VERS, etc. Complex set of behaviours that the software must adhere to and be tested against with expected outcomes.

• Standards– ISO 15489 which are best

practices/recommendations on how the software should behave.

• Guidelines– Recommendations on how systems are

implemented.

• Laws/Acts– 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

• Audits– The unknown as is it can be internally driven,

externally driven or combination of both.


What is a Record?

Typical Records Management

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.

American National Standards Institute and ARMA International

Formal Records Management

11


Making Information Governance Actionable


EMC INFORMATIO

N GOVERNANC

EOFFERINGS

- Documentum Retention Policy Services- Documentum Records Manager

- SourceOne for File Systems - SourceOne Email Management- SourceOne for Microsoft SharePoint

- SourceOne File Intelligence

- SourceOne eDiscovery – Kazeon- SourceOne Discovery Manager

EMC Information Governance Family


Documentum Records Management

Time- and event-based retention and disposition

Retention tied to workflows and business processes

Manage physical, electronic and federated records

Provides certified records management


Physical Records Services

Core Records Manager Components

Records and Retention ManagementEMC’s Modular Solution

Documentum Platform

WEB-BASED CLIENT

CONTENT SECURITY

UNIFIED ARCHITECTURE

Documentum Retention Policy Services

Security Access Control

Notification Web Services for Records

Report and Auditing

Storage Management

File Plan

Federated Records Services

Cert

ified


Event TriggerEvent Trigger

Records Manager OverviewAuthor/Control

Object becomes a record (Largely automated based on a policy)

Declare/Classify•Document Creation•Collaboration•Properties•Workflow•Business Process

Records Management

Records/Retention Management

• Retention Policy Enforcement• Hold Capabilities • Automated & Manual Disposition• Corporate File Plan• Auditing and reporting

Retention

Global Content

Repository

Document Immutability

Search

NotificationsAudit

Multi-AgingSupport

Store/ Transfer

Disposition


Records + e-DiscoveryBusiness challenge

• 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.

SolutionRecords 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.


Use Case #1 – I have e-Discovery!!

• Challenge: I have one or more e-Discovery requests.

• Solution:– EMC SourceOne e-Discovery - Kazeon– EMC Documentum Retention Policy

Services

• 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


Use Case #2 – Start with paper records

• Challenge: Paper records that need to be maintained.

• Solution:– EMC Documentum Retention Policy

Services– EMC Documentum Physical Records

Services

• 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


Use Case #3 – I have electronic records

• Challenge: Electronic content that needs to be maintained.

• Solution:– EMC Documentum Retention Policy

Services

• Helps organizations comply with legal and regulatory requirements

– Applies and enforces retention and disposition policies automatically

– Deploys quickly so work can begin immediately

– Alleviates compliance burden on end users

– Provides auto-delete capabilities – Provides cost savings for storage,

compliance, and eDiscovery


Use Case #4 – The Data is Out There…• Challenge: Just spoke with IT and there’s

data scattered in network that I need to manage

• Solution:– EMC SourceOne File Intelligence/EMC

SourceOne eDiscovery - Kazeon– EMC Documentum Retention Policy

Services

• 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


Questions to Ask

• What are the project goals?

• What are you trying to do or achieve?

• Who has ownership? • Who provides the

funding?• Who are the

constituents? • Who is affected by this

project?


Intelligent Information…Continue the Discussion with EMC @

Twitter• Twitter.com/EMC_Documentum• Twitter.com/EMC_SourceOne

Facebook• Facebook.com/emcDocumentum• Facebook.com/emcSourceOne

LinkedIn•bit.ly/emcSourceOne_LN

You Tube• YouTube.com/EmcSoftware


Questions and Answers

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