modernizing the ediscovery process to reduce risk and enable defensible disposal for internal use...

Modernizing the eDiscovery Process to Reduce Risk and Enable

Defensible Disposal

FOR INTERNAL USE ONLY

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Agenda

• Information Growth and The Challenges to Legal • Modernizing the eDiscovery Process with IBM’s Solution to

Reduce Risk and Cost• Only IBM Has the Technology, Strategy and Expertise to

Create Systematic Linkages between Legal, RIM, the Business and IT

• Instrumentation and Modernization of the eDiscovery process connects Legal to RIM, the Business and IT to Enable Defensible Disposal

The Growth of Information is Overwhelming IT’s Abilityto Dispose of Information Consistently and Defensibly

High Risks & Mitigation Burden

Governance processes have not matured to reflect volume, specifically how to: Define and execute legal holds and data collection (A-F) Apply retention schedules to all information (G,H) Align storage and manage information based on specific legal

obligations and business value [I] Provision, decommission and dispose of data [L,M,N]

This leads to excess data and cost as well as operational challenges that in turn contribute to risk:Difficulty disposing of unnecessary data Complexity in applying legal holds Inefficiencies in data management and governance

16 governance processes impacted by high data volume such as managing a global taxonomy, creating departmental inventories, applying holds to systems, etc.

Storage: Direct Procurement Costs in Millions

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The Amount of Discoverable Evidence Increases as Data Volume Rises, Driving Up Litigation Costs and Risks

Rising Volume and Cost At Odds with CIO Goal to Reduce Costs While Increasing Value to Enterprise

Legal Costs Rise with Information Volume Growth

“Discovery phase can represent over 50 percent of the total litigation costs, with e-discovery consuming more than half of that budget” -- Protiviti Inc.

"Data storage is the single fastest-growing component of a technology organization's spend, because of the insatiable appetite our customers have for data and information" – John Fiore, CIO Bank of New York MellonBank Systems & Technology, Oct 2011

GBs

At 35% Growth, Storage Cost Trend % of IT Budget

10%

14%16%

19%22%

PBs

Data Collection Trend

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Accumulative – compounding quantity and costs.

4Summit 2012

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Both Legal and IT Benefit from Less Data – Two Choke Points to Lower Volume and Cost

Retain, Archive, Dispose in Course of BusinessRetain, Archive and Dispose of Information Based on Business and

Regulatory Requirements

eDiscovery Process ManagementApply and Manage Legal Holds on Potentially Relevant

Information

Evidence ManagementCollect and Analyze Information That

May Be Evidence

Legal ReviewReview and Produce Evidence to

Adversaries

100% of data

100% of cases

35% of cases

50% of collected documents

Excess Data is Source of IT Cost

Excess Data is Source of Legal Risk

Excess Data is Source of Technical Complexity

Excess Data is Source of Legal Cost

Pain Point Flow of Data

Primary Choke Point

Secondary Choke Point

The Form of The Current Legal Hold Process is Organized Around Custodians and Not Information

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Thousands of legal matters a year

Thousands employees subject to hold, but relying on IT to preserve data

Notices sent to employees directly; records and IT not informed

High legal (review) cost a function of total information volume

Covers regulated information and may not encompass business value – only 20% of all information

Web site for employees and IT, reliance on employees to manage records

No linkage to the system with the actual information

Insufficient or un-auditable location for electronic records

800% or more data growth in 5 years – but budget needs to come down

Unaware that legal risks and responsibilities have been shifted to it

No physical link between legal obligations (holds), regulatory requirements (records, privacy), business value and servers or information

Legal holds defined by employees involvedLegal holds defined by employees involved

Information

Department

Systems

Matter

Hold

Laws & Regs

Retention Schedule

DUTY DUTYVALUE

ASSET

IT has most of the data organized by asset code -- but no visibility to legal duties or business value

IT has most of the data organized by asset code -- but no visibility to legal duties or business value

Schedules documented by record class

Schedules documented by record class

Tracking laws on a spreadsheetTracking laws on a spreadsheet

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Legal Processes Under Pressure And The Risks Exposed

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Agenda

• Information Growth and The Challenges to Legal • Modernizing the eDiscovery process to reduce risk and cost• Only IBM Has the Technology, Strategy and Expertise to


• Instrumentation and Modernization of the eDiscovery process connects the silos between Legal, RIM, the Business and IT to Enable Defensible Disposal

Rigorous, Efficient eDiscovery

• Issue and automate legal holds with precision across data sources

• Collect, cull and assess evidence and control costs

• Manage custodians, collections and data source obligations in concert with IT

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BUSINESS

State Information Value

Guidance on information utility

Participate in volume reduction

Align around value

RECORDS

Modernize Retention Process

Extend program to electronic information

Disposition readiness and execution

Lower legal risk, cost

Capabilities for Legal to Define Holds by People, Records, and Data Involved to Hold, Collect & Produce More Effectively & Efficiently

ITOptimize Information Volume

Dispose and retire unnecessary data

Optimize storageLower total information cost

LEGAL

Modernize eDiscovery Process

Enterprise legal holds

Assess evidence in place

Lower legal risk, cost

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Managing Legal Holds Evidence Collection Evidence Culling and Export

Assess Case Facts and Costs

Report and Audit Process

A.Identify people (current and past), and systems with potentially relevant information

B.Notify, Track, and Apply HoldNotify custodians about the hold

– automatically track responses, issue reminders and escalate

Apply holds by automatically passing instructions to systems and IT

Track process from custodians, systems, and IT

C.Interview custodians to learn relevant facts, new custodians or sources of data

Coordinate collection through Custodians directly for responsive

information

IT through specific instructions (people and locations)

Systems directly bypassing IT through a direct hold-in-place to data source

View matters facts through the process Make cost-aware legal decisions

Produce an audit trail for process Defend decisions made and all interactions with custodians, stewards, and record coordinators

Analyze and remove irrelevant data by

Analytical tools with aggregate views and analysis

Detecting unusual patterns Flagging and tagging data

Overview of the eDiscovery Solution and Process

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Quickly & Reliably Identify Both People & Data in Hold Scope, Efficiently Manage Over Course of Matter

Identify people and systems with potentially relevant information:Browse the organization tree, select one or more departments and automatically get a list of employees, data sources, information and records to scope obligations more reliably and specifically.

Select and deselect to refine the scope. Add or remove both custodians and data sources over time.Look at the organization and employee roles for a period in the past to get the most accurate list of custodians. The legal “data map”.

Outcome: Holds parameters reflect both the people [A] and the information [B] subject to the hold to improve reliability, execution, and prevent spoliation [M, N, D].

Evidence Collection Evidence Culling and Export



Managing Legal Holds

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Single-Click Hold Notice Creation, Nuanced Escalations Reduce Effort & Increase Control

Notify employees about the obligation:Create notices from templates; simply add matter-specific elements. Route to attorneys for review.

Use confirmations with automated response tracking to reduce risk and effort.

Automate tracking, reminders and escalations:Set escalation policies for 1st, 2nd and subsequent non-responses.

Automatically apply different subject and body text for escalations to managers.

Outcome: Easily inform, remind and confirm duties with employees, managers and IT to prevent spoliation [A, B, C] and automatically capture a record of diligent, affirmative action [D].





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Use and Automate Precise Hold Instructions to Enable IT Response, Reduce Enterprise Impact

Automatically place holds on information:Structured hold plans make it easy for IT to execute precise holds on disparate data sources, or for systems to apply holds automatically on email, files, records and structured data.

Track exceptions to simplify follow-up:Audit trails are automatically generated and captured to document that holds were executed.

Outcome: Holds are systematically placed on data as soon as legal determines the obligation [A, B, C]. IT can more efficiently manage data not on hold [M, N] to eliminate excess data and risk.





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Interview Custodians Online About Data Habits & Employee Involvement to Lower Risk, Outside Counsel Fees

Gather facts from custodians to adjust scope and learn data storage habits:Set up standard questions or easily create matter-specific questions, including mandatory and conditional elements.

Responses can trigger action items automatically to ensure follow through but minimize burden. Track responses and share with IT for a closed-loop process. Responses are collated automatically. Sort by custodian, action pending, or question and specific answers to save time and reduce risk of oversight. Add comments as needed. Outcome: Custodians and data sources are identified and legal can more easily identify and execute required follow through. [A, B, D, E, G]





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Automatically Capture the Custodian Response Record, Record Verbal Confirmations for Completeness

Automatically track responses: Set default reminder intervals for notices, use a single global reminder to custodians across matters or define reminders for a specific matter.

The response record is automatically captured for each. Manage exceptions:Manage non-responders through email and dashboard alerts and automated escalations.

Capture and record verbal confirmations on behalf of executives to complete the custodian hold record.

Outcome: Legal can more easily manage the compliance record, which is robust and ready [G]. Custodians are well informed of their obligations.[C]





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Quickly Understand Timeline & Essence of Custodian & Business Information

Analyze preserved content to inform case strategyThe visual and interactive timeline helps activity quickly to better understand issues.

Outcome: Custodians are not overlooked in the hold scope [A] and data is not under or over preserved [B, M, N].





Simplify assessment through automatically produced phrases and relationships:Find relevant activity quickly to better understand issues – without waiting to or spending on collecting, processing and reviewing the data.

Automatically extracted phrases in the content show the essence of the information.

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Understand the People & Companies Potentially Involved Very Early to Improve Strategy

View internal and external conversation to assess culpability:Quickly get a view of the people, sender and recipient domains, and companies involved.

Combine filters to quickly include and eliminate custodians and data – such as people from certain locations or other combination.

Select, view, and page through the information in the time or context slice.

Outcome: Risk of oversight is minimized [A,B], facts are understood earlier in the dispute [F]. Legal can define scope with greater precision and enable the enterprise to manage data not on hold more efficiently [M, N].





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Costs Are Automatically & ContinuallyForecasted as Scope and Facts Change to Avoid Surprises, Improve Negotiating Power

Assess current costs:Make better decisions with insight on both culpability and cost with automatic, continuous forecasts.

Analyze real-time requests and affects to costs:Run scenarios with outside counsel to control the scope of collection and production and substantiate burden claims. Identify where costs will affect the budget to avoid surprises:Forecast when costs will be incurred and do better financial planning with internal clients.

Outcome: Solution times and values are optimized and always in balance with the cost of the dispute [F].





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Initiate, Automate and More Easily Coordinate Collections from Disparate Data Sources

Configure templates to coordinate request and fulfillment between Legal and IT: Pre-define criteria with IT across sources so legal simply “fills in the blanks” for IT or automated data collection.

Outcome: Higher reliability and control, less effort for legal, collectors, and IT [E, F].

Managing Legal Holds Evidence Culling and Export



Evidence Collection

Collect directly from systemsSend instructions to repositories, and/or pass preservation instructions to third party eDiscovery tools.

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Initiate, Automate and More Easily Coordinate Collections from Disparate Data Sources and Custodians

Define precise collection instructions by person and system:Define and communicate collection instructions. Collection activities are automatically tracked, logged, and transparent for attorneys, collectors and appropriate IT staff.

Simplify logging and record keeping:Legal staff and collectors share a workbook with instructions, custodians, and status. Eliminate redundant data keeping

Outcome: Higher reliability and control, less effort for legal, collectors, and IT [E, F].

Managing Legal Holds Evidence Culling and Export



Evidence Collection

Gather information from multiple sources:Gather relevant information directly from custodians where appropriate.

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Hone In On Issues and Remove Irrelevant Information. Limit the Data Sent To Outside Counsel.

Cull evidence through technology assisted review:

Easily find and look at the information– for example:

…a spike in “confidential information” exchanged among custodians.

… number of, and frequency of conversations between specific custodians.

…words and phrases in specific conversations and frequency by custodian.

Managing Legal Holds Evidence Collection


Evidence Culling and Export


Outcome: Legal can quickly get to relevant facts through multiple analytical views. Oversight is reduced F].

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Send Less Data to Outside Counsel – Eliminate Irrelevant Material, Flag Response Items

Flag information to highlight relevant data:Page through the actual items quickly.

Flag content as relevant, privileged, confidential, irrelevant, etc. and add internal comments.

Outcome: Processing, hosting and review fees are lower because unnecessary information is eliminated [G,F].





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Export Refined Data Set to Counsel for Review After In-House First Pass & Analysis to Lower Cost, Improve Decision Making

Export content in standard formats to ease review with vendors and outside counsel:Files are exported in Native, EDRM XML, HTML, PDF format with full message/attachment integrity, precise queries used, and complete chain of custody record.

Eliminate unnecessary costs and review by pre-culling non-responsive information.

Outcome: Legal can define scope with greater precision and enable the enterprise to manage data not on hold more efficiently [A, B, E, F].





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Easily Monitor All Discovery Across Many Matters to Reduce Errors, Oversight that Drive Risk, Cost

Report on matter statistics:Attorneys can easily track hold, interview and collection status through on-line dashboards

Manage by exception:Zoom in on the exceptions that need attention.

Define thresholds for exceptions to manage to policy automatically and mitigate risk.

Outcome: Risk is monitored, managed and mitigated with greater precision and less effort [A, B, D].





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Agenda

• Information Growth and The Challenges to Legal • Modernizing the eDiscovery process to reduce risk and

cost• Only IBM Has the Technology, Strategy and Expertise to



Outcome: IT can manage information aware of obligations and value M, N].

Outcome: IT can manage information aware of obligations and value M, N].

Only IBMEnable IT to See Obligations by System and Across the Portfolio

Data-source specific hold and collection procedures are automatically created for IT, tying obligations and value to assets.

Enable IT to Manage Data Sources by Obligation

Enable RIM and the Business to know the duties for information

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Outcome: Legal can extend holds to information [B], Records, the Business and IT with precise instructions about what needs to be kept.

Outcome: Legal can extend holds to information [B], Records, the Business and IT with precise instructions about what needs to be kept.

Only IBMEnable Records And the Business to know the hold obligations affecting information they manage

Data-source specific hold and collection procedures are automatically created for IT, tying obligations and value to assets.

Enable IT to Manage Data Sources by Obligation

Enable RIM and the Business to know the duties for information

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Only IBM Provides Rigorous Compliance, Value-Based Archiving & Defensible Disposal Strategy, Software & Services

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Agenda

• Information Growth and The Challenges to Legal • Modernizing the eDiscovery process to reduce risk and

cost• Only IBM Has the Technology, Strategy and Expertise to



Instrumentation and Modernization of the eDiscovery Process Connects Legal to RIM, the Business and IT to Enable Defensible Disposal

Information Lifecycle Governance Systematically Links Stakeholders, Processes

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Next Steps: We Can Help You Validate The Potential Savings and How to Achieve Them

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Learn More & Join the ConversationCompliance, Governance and Oversight Council

Online and in person eventsRegional and International summitsPublished materials

Join the CGOC!•Forum of over 1600 corporate legal, IT, records and information management professionals. CGOC conducts primary research, has dedicated working groups on challenging topics, and hosts meetings throughout the U.S. and Europe where practice leaders convene to discuss discovery, retention, privacy and governance. •Mission: To provide executives the opportunity to benchmark and exchange case studies; its practice groups focus on discreet areas in preservation, retention, and information governance to deliver work products that help our members best approach the challenges in maintaining best-in-class programs.

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Additional Sessions

• Improving Information Economics with Information Lifecycle Governance• Information Governance Programs - launching a high-impact

defensible disposal program in your enterprise• Modernizing eDiscovery and Hold Process - Reduce risks,

increase transparency• Modernizing Retention Program - Express Information Value• Value-Based Archiving and Defensible Disposal - Dispose

rather than store unnecessary data

modernizing the ediscovery process to reduce risk and enable defensible disposal for internal use...

Documents

data storage

data management

cost excess data

data notices

high data volume

data volume rises

legal modernizing

documents excess data