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1 © Copyright 2009 EMC Corporation. All rights reserved. Electronic Discovery & Compliance: Meeting the Challenges - Avoiding a Trial by Fire…. Timothy.

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Presentation on theme: "1 © Copyright 2009 EMC Corporation. All rights reserved. Electronic Discovery & Compliance: Meeting the Challenges - Avoiding a Trial by Fire…. Timothy."— Presentation transcript:

1 1 © Copyright 2009 EMC Corporation. All rights reserved. Electronic Discovery & Compliance: Meeting the Challenges - Avoiding a Trial by Fire…. Timothy Wells Information Governance Specialist EMC Corporation

2 2 © Copyright 2009 EMC Corporation. All rights reserved. Who Are We and How Did We Get Here? –A Brief Background of e-Data, Compliance, the FRCP and eDiscovery What's Next and Why Should I Care? –2010 Drivers and Landscape –Costs and Risks of e-Information What's An Enterprise To Do? –Information Management ( , Archives, Records, etc.) –eDiscovery Process and Infrastructure How Can We Justify Our Spend? –The Road To ROI What's Our Next Step? –Conclusions and Next Steps How About Some Free Advice? –Q&A Agenda

3 3 © Copyright 2009 EMC Corporation. All rights reserved. EMC eDiscovery & Compliance Team An Expert, Diverse Team of 90+ Professionals –Industry-leader Kazeon & SourceOne Family –Focused on eDiscovery Industry best, dedicated sales team Dedicated Legal / SME Team Product management and support Leading-Edge Activities –The Sedona Conference –Electronic Discovery Reference Model (EDRM) –ARMA –Webcasts, Podcasts, Articles, Speaking engagements MA CO CA TX CT NY GA

4 4 © Copyright 2009 EMC Corporation. All rights reserved. Exabytes 5-fold Growth in 4 Years! DVD RFID Digital TV MP3 players Digital cameras Camera phones, VoIP Medical imaging, Laptops, Data center applications, Games Satellite images, GPS, ATMs, Scanners Sensors, Digital radio, DLP theaters, Telematics Peer-to-peer, , Instant messaging, Videoconferencing, CAD/CAM, Toys, Industrial machines, Security systems, Appliances Source: IDC Digital Universe White Paper, Sponsored by EMC, May 2009 Digital Information Created, Captured, Replicated Worldwide 487 exabytes 1,713 exabytes 2501 exabytes

5 5 © Copyright 2009 EMC Corporation. All rights reserved. Perfect Storm Drives the Need for Efficiency Information explosion –70% of information is created by individuals but enterprises are responsible for the security, privacy, reliability, and compliance of 85% –Your digital shadow is larger than the digital information you actively create about yourself More lawsuits and regulation –Widespread belief that deregulation was a failure –Food and drug safety –Climate change, and environmental concerns and sustainability efforts –Financial meltdown –Workplace/unions No New Budget –Do more with less Enterprise Information Management – How do you get started?

6 6 © Copyright 2009 EMC Corporation. All rights reserved. Years After FRCP Amendments… State of Readiness: Unprepared 57% of law firms: Clients are not ready to find and produce information relevant to litigation 39% of In-house: Company is not prepared for e-discovery Errors Generate Sanctions and Headlines Scenario 1: Lawyers for a company produced a small batch of relevant s about 10 hours before trial. U.S. District Court Judge Marilyn Hall Patel declares Heads will have to roll. According to reports, the punished company had reviewed terabytes of information for this case.Heads will have to roll Scenario 2: Company hit with an $8.5 million penalty for mistakes with its own discovery of relevant to a patent lawsuit. As federal courts emphasize the responsibility of parties to conduct thorough discovery searches, more such mishaps are likely. Companies Not Ready For E-Discovery, companies_not_r.html, posted 9/23/08 (Andrew Conry-Murray, Information Week). Survey from Oce Business Services.http://www.informationweek.com/blog/main/archives/2008/09/ companies_not_r.html

7 7 © Copyright 2009 EMC Corporation. All rights reserved. Pension Committee Case Guidance from the Bench Some insight from Judge Scheindlin: Courts cannot expect perfection. They do expect that litigants and counsel take necessary steps to ensure that relevant records are preserved when litigation is reasonably anticipated. One requirement noted by the judge is written hold notifications be issued to and acknowledged by all potential custodians. Failure to preserve evidence, electronic or paper, resulting in the loss or destruction of relevant information is "surely negligent" and depending on the circumstances, may be "grossly negligent" or "willful." Preservation of backup tapes can be required if they are the sole source of relevant information related to the matter. Pension Committee provides guidance related to litigation holds, preservation and search methods, and appropriate behavior by organizations charged with delivering relevant data as part of a civil litigation matter.

8 8 © Copyright 2009 EMC Corporation. All rights reserved. What is eDiscovery? 8 State and federal regulators, IRS, OSHA, SEC, NASD, FINRA, HIPAA, Data Privacy & Protection I nvestigation Internal and external audits of books and records, Defense Contractor Audit, Govt Contract Audits,etc. A udit Current and reasonably anticipated state and federal litigation L itigation Public Disclosure Federal, State and Local - Freedom of Information Act, Open/Public Records Acts Electronic discovery (eDiscovery) is the process in which electronically stored information (ESI) is searched, collected, preserved, analyzed, and reviewed for legal and regulatory proceedings.

9 9 © Copyright 2009 EMC Corporation. All rights reserved. Who Are You and How Did We Get Here? –A Brief History What's Next and Why Should I Care? –2010 Drivers and Landscape –Costs and Risks of e-Information What's An Enterprise To Do? –Recommendations and Initiatives –eDiscovery Process and Infrastructure How Do We Justify That? –The Road To ROI What's Our Next Step? –Conclusions and Next Steps How About Some Free Advice? –Q&A Agenda

10 10 © Copyright 2009 EMC Corporation. All rights reserved Outlook Hint: It hasnt changed much for 2010…. Regulatory investigations –Fallout from the financial crisis = enhanced regulation Employee Litigation –Layoffs generate lawsuits and investigations Shareholder derivative actions –Reporting, drop in stock, financial crisis Aggressive IP Practices –Seeking additional revenue sources CFO Oversight –Weaker economy results in pressure on expenses - including legal Sources: Forrester: Trends 2009: eDiscovery, Brian Hill, 1/15/2009 As companies increase layoffs, lawsuits are likely to follow, Carol Williams, Los Angeles Times, 12/28/08 Forrester: As one outcome of the current macro-economic environment… expect more litigation and regulation in 2009.

11 11 © Copyright 2009 EMC Corporation. All rights reserved. 10x Increased Costs To Outsource $1.5M Average Cost Per Incident The Costs of eDiscovery $34M Average Annual Legal Costs 89% Of Companies Face Litigation $18M+ Cost to Review 1 TB of Info

12 12 © Copyright 2009 EMC Corporation. All rights reserved. Is Most Requested Content in Legal Proceedings and Regulatory Investigations… But Not the Only Electronic Information requested To the best of your knowledge, which of the following record types has your organization been asked to produce in a legal proceeding or regulatory inquiry? Source: ESG Research Report: Archiving Survey, November 2007; based on 107 respondents and attachments General office productivity Database records Invoices and other customer records Financial statements Phone call recordings and other Digital images Instant messages Video files Other residing on: File servers Desktops servers Laptops 80% 60% 49% 41% 25% 21% 16% 5% 36% 29% 80%70%60%50%40%30%20%10%90%0%

13 13 © Copyright 2009 EMC Corporation. All rights reserved. Web 2.0 On the Horizon Blogs: 48% for industry, 33% in government Wikis: 44% industry; 38% in government. Facebook: 44% industry; 28% government YouTube: 26% of government responders; 25% of industry Virtual World / Second Life (typically used for recruitment or web conferences): 13% of industry responders and 10% of government responders. IDC, Survey Shows Glimmers of Hope for Government Web 2.0, Adelaide O'Brien, August 26, 2009Survey Shows Glimmers of Hope for Government Web 2.0Adelaide O'Brien

14 14 © Copyright 2009 EMC Corporation. All rights reserved. Who Are You and How Did We Get Here? –A Brief History What's Next and Why Should I Care? –2009 Drivers and Landscape –Costs and Risks of e-Information What's An Enterprise To Do? –Recommendations and Initiatives –eDiscovery Process and Infrastructure How Do We Justify That? –The Road To ROI What's Our Next Step? –Conclusions and Next Steps How About Some Free Advice? –Q&A Agenda

15 15 © Copyright 2009 EMC Corporation. All rights reserved. Establish Boundaries Around Information Management… Use the appropriate process for cost & risk management Enterprise Content Subject to Compliance Control Unstructured Content Structured Content Unmanaged Unstructured Content Network File Shares Desktops & Laptops Manage In-place Fixed Content Legacy Systems Physical Records Structured Content Page-Oriented Data Database Content Line-oriented Data Managed Unstructured Content Collaboration Content Management Custom Common Services Classify/Archive eDiscovery Policy Enforcement Disposition Archive Systems

16 16 © Copyright 2009 EMC Corporation. All rights reserved. Electronic Discovery Reference Model (EDRM) eDiscovery Process Bring eDiscovery in-house Information Management Retain or delete based on value Collection Preservation Review ProductionPresentation Processing Analysis Identification Information Management IT organizations that have an electronic information inventory, active policy management and archiving solutions, and a repeatable process in place for e-discovery will spend up to 50% less on e- discovery … than those that do not. ~ Gartner

17 17 © Copyright 2009 EMC Corporation. All rights reserved. Segment Data by Business Value Business records (e.g., automated message capture of strategic departments/users) Business important s/docs (e.g., automated message capture of strategic departments/users or as part of a Discovery Manager search) Large-volume s / docs (e.g., routine business archived as part of good information governance and regulatory compliance) Compliance Archive Compliance or Native Archive Referential Modest retention Required for discovery Official business record Long-term retention Non-record Compliance-driven Enforced deletion

18 18 © Copyright 2009 EMC Corporation. All rights reserved. Potential ESI Enterprise Server(s) Local stores (pst, etc.) Relational databases –CRM –Accounting / Financial Data Fileshares Content Management Instant Messaging Video and voice captures Backup / DR tapes Wikis & Blogs Legacy data User desktops CDs, DVDs PDAs / Wireless phones Flash drives Home offices Legacy / stray tapes Decommissioned servers Computer graveyard Stray drives Archives

19 19 © Copyright 2009 EMC Corporation. All rights reserved. Common Questions for IT Infrastructure What content do I have on my storage? Microsoft SharePoint, file shares, laptops? Is it appropriate? Is it where it should be? What kind of resources is unmanaged content consuming? What does it cost me? Is it on the right tier? Should I archive it? What business records are out there that I dont know about? What kind of risk are we carrying? What if there is confidential or private content or content subject to regulation out there? How can I clean up my storage? Can I safely delete content that doesnt have business value? What information do I need to archive and retain?

20 20 © Copyright 2009 EMC Corporation. All rights reserved. Contracts, Invoices, PII, etcMove to RM System Mkt. PowerPoint, Meeting Notices, etc.Short RetentionReferential Record AttributesActionClassification Lunch, Gym, s, MP3s, etcDeleteNon Record Infrastructure File Remediation / Classification Record

21 21 © Copyright 2009 EMC Corporation. All rights reserved. Microsoft SharePoint Documentum Intelligent Information Governance with EMC Enables educated decision-making and policy creation EMC Celerra, Data Domain, Centera The cloud Copy/move to archive storage Identify content to migrate to Copy/move to cloud storage EMC SourceOne File Intelligence Copy/move to enable records File systems servers Laptops and desktops Documentum Microsoft SharePoint Third-party archives

22 22 © Copyright 2009 EMC Corporation. All rights reserved. SourceOne File Intelligence: How It Works Crawl data sources Build index –Metadata basic –Metadata with document type –Metadata with hash –Deep crawl full text –Deep crawl with classification CatalogAnalyzeAct Classify files based on metadata, keyword content, and pattern matching Age, owner, location, file type, etc. Business value, security risk, intellectual property, PII, PCI Analyze data with search and report tools –Semantic search with Boolean, proximity, stemming, phrase support – More than 30 pre-built reports out of the box –Custom reports as needed Robust action set –Move, copy, delete, retain, export, tag Policy-based actions –One-time –Scheduled –Recurring ClassifySearchReport

23 23 © Copyright 2009 EMC Corporation. All rights reserved. Rich Data Classification Classify files by attributes –High business value Files created or modified in the last 30 days Files owned by company executives –Medium business value Files not accessed in the last 90 days and not modified in the last 180 days.PST files –Low business value Files not accessed in the last 180 days MP3/MP4, JPEG, MOV files Classify selected files based on file content and metadata –Files with Confidential content e.g., source code files, patents, product manuals, contracts, etc. –Files containing non-public information e.g., Social Security numbers, credit card numbers etc. Classify files based on IT or business input –Administrator tags –Line-of-business tags –User tags

24 24 © Copyright 2009 EMC Corporation. All rights reserved. File Visibility and Remediation Reduce risk, lower costs, and improve efficiency Gain insight into unmanaged file content through granular file-level visibility and reporting Identify opportunities to optimize storage environments where static data is consuming valuable IT resources Locate and safely delete content to reduce risk, reduce data volume, and improve operational performance Reduce risk by migrating content to a secure archive or repository for ongoing policy management Migrate content to virtualized, deduplicated, and cloud platforms to improve performance and reduce costs

25 25 © Copyright 2009 EMC Corporation. All rights reserved. Litigation Hold / Collection Spectrum Tape Last resort Pull daily / weekly monthly tapes Deceptively easy and simple (its not!) Cons: (Not enough room) Forensics Focused Use As Needed Take images of all targeted devices Very complete Expensive Significant over- collection Scalability Good tool to have – not in all cases Custodian–Driven Holds & Collection Moderate risk / low ESI Complexity Custodians do hold/collection of own items Cheap, simple Shifts burden of work Risk of Faux eDiscovery Can be difficult to do correctly(e.g. Cache La Poudre) Loss of metadata Enterprise / Automation Best practice System-based collection of main repositories Fast, efficient Great ECA Justify initial investment

26 26 © Copyright 2009 EMC Corporation. All rights reserved. EMC eDiscovery - Data Flow Knowledge workers create electronically stored information (ESI) on data sources as usual; this solution requires no changes to data creation processes and no agents to be deployed on data sources The solution indexes (harvests) the ESI on the data sources to gather intelligence about the stored data Investigative users search the indexes to determine what ESI is relevant Relevant ESI is secured and placed on legal hold on immutable storage Investigator culls through held data and generates production sets for use in legal review by outside counsel or hosted review vendor Step 2 Fileshares Exchange Server Desktops Microsoft SharePoint EMC Documentum Step 1Step 3Step 5Step 4

27 27 © Copyright 2009 EMC Corporation. All rights reserved. EMC SourceOne eDiscovery Kazeon Legal Hold reporting dashboard Legal Hold workflow management Segregate data and cases by role Built-in and custom reports Case Management Agent-based & agent-less collection Full and incremental collections Laptop / Desktop Collection Single-step targeted collection Multiple target repositories Preservation and Collection Distributed and collaborative review analytics and threading Concept search and analysis Interactive tagging and review Highly scalable for multiple case support Analysis and Review

28 28 © Copyright 2009 EMC Corporation. All rights reserved. Enterprise Information Governance Solution Desktops, Remote Offices, and Laptops Target Legal Hold Legal Hold / Legal Store or Preservation Store – Celerra, Centera, Data Domain & others Preservation Server Collect Legal Store In-place Legal Hold File Shares Avamar Backups Snapshots Document Repositories SharePoint Documentum MS Exchange 2003 / 2007 / 2010 Lotus Notes / Domino Messaging Servers SourceOne Archive S1 Supervisor Regulatory Compliance Review Sampled Messages S1 eDiscovery – Kazeon Includes Connectors for: File Shares Home Drives (laptops & desktops) Exchange & Notes / PSTs & NSFs Documentum SharePoint S1 Archive Other Content Repositories Currently two step collection and unified matter management for: FileNet, Content Manager, GroupWise and other sources & IM MS SharePoint File Archiving

29 29 © Copyright 2009 EMC Corporation. All rights reserved. Who Are You and How Did We Get Here? –A Brief History What's Next and Why Should I Care? –2009 Drivers and Landscape –Costs and Risks of e-Information What's An Enterprise To Do? –Recommendations and Initiatives –eDiscovery Process and Infrastructure How Do We Justify Purchases in 2010? –The Road To ROI What's Our Next Step? –Conclusions and Next Steps How About Some Free Advice? –Q&A Agenda

30 30 © Copyright 2009 EMC Corporation. All rights reserved. Challenges IT FTEs spending time on restores of historic data based on vague requests by Legal No ability to delete because of a lack of insight into data, and unrealistic policies from Legal Legal Massive over-collection (screw drivers and wheel barrels), leads to huge legal review and processing costs by outsourcers (1 gig = 50,000 files for review) Risk of sanctions for deleting the wrong thing leads to over-preservation (save everything) *Global purchases of IT goods and services … will equal $1.66 trillion in 2009, declining by 3% after an 8% rise in Global IT Market Outlook: 2009, Forrester Research, 1/12/2009 In 2010 IT Budgets are flat or declining *, but eDiscovery is not discretionary and the money is already being spent

31 31 © Copyright 2009 EMC Corporation. All rights reserved. eDiscovery and RIM ROI Organizations unprepared for e-discovery in 2009 will be at a disadvantage … open to potential sanctions from an increasingly technically literate U.S. judiciary. As defendants, organizations need to respond quickly and effectively... As plaintiffs, organizations must have their ESI house in order and be prepared for reciprocal discovery requests… Gartner, Reduce the Cost and Risk of E-Discovery in 2009, D.Logan & J. Bace, 1/9/09 Between 10% and 90% of what [clients] have does not need to be retained for any reason. Budget roughly $500,000 on IT support for cases involving 10 or more custodians and/or more than three different systems One terabyte of data can result in $18.75M in legal review costs Unprepared companies will spend 1/3 more on e-discovery than those with content archiv- ing solutions. ROI Factors

32 32 © Copyright 2009 EMC Corporation. All rights reserved. The Cost of eDiscovery Produce Notice Collection Hold Inspect/Review * Source: Enterprise Strategy Group, 2007 Cost of holding massive volumes Unanticipated legal risk Spoliation risk Percentage of discovery costs when proceedings or investigations involve the discovery of ESI:* 28% 20% 35% 17% Costs associated with document collection from inaccessible locations Cost directly related to number of documents to review Cost of delivering ESI to various recipients on various media (e.g., CD, DVD, or paper)

33 33 © Copyright 2009 EMC Corporation. All rights reserved. Straightforward ROI [1] MarketScope for E-Discovery Software Product Vendors, Gartner, Inc., 12/17/08. T]he payback period for an e-discovery investment is very short, on the order of three to six months after implementation takes place. [1]

34 34 © Copyright 2009 EMC Corporation. All rights reserved. Who Are You and How Did We Get Here? –A Brief History What's Next and Why Should I Care? –2009 Drivers and Landscape –Costs and Risks of e-Information What's An Enterprise To Do? –Recommendations and Initiatives –eDiscovery Process and Infrastructure How Do We Justify That? –The Road To ROI What's Our Next Step? –Conclusions and Next Steps How About Some Free Advice? –Q&A Agenda

35 35 © Copyright 2009 EMC Corporation. All rights reserved. Get Cross-Functional –IT Meet Legal; Legal Meet IT Assemble Your Case –Collect data, anecdotes, research Top-Down –Focus initial work on high impact areas Let EMC Help –We know your information –Our team can facilitate next steps Knowledge Is Power –EMC eDiscovery and Compliance (www.emc.com/ediscovery)www.emc.com/ediscovery –Bringing eDiscovery In-House (For Dummies): (www.emc.com/ediscovery4dummies) –The Sedona Conference (www.SedonaConference.net)www.SedonaConference.net –EDRM (www.edrm.net) Next Steps

36 36 © Copyright 2009 EMC Corporation. All rights reserved. Who Are You and How Did We Get Here? –A Brief History What's Next and Why Should I Care? –2009 Drivers and Landscape –Costs and Risks of e-Information What's An Enterprise To Do? –Recommendations and Initiatives –eDiscovery Process and Infrastructure How Do We Justify That? –The Road To ROI What's Our Next Step? –Conclusions and Next Steps How About Some Free Advice? –Q&A Agenda

37 37 © Copyright 2009 EMC Corporation. All rights reserved.


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