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Optim ™ © 2008 IBM Corporation ® The Rise of E-Discovery Presenter: Betsy J. Walker, MBA WW Product Marketing Manager
Optim © 2008 IBM Corporation ® 2 Disclaimers IBM customers are responsible for ensuring their own compliance with legal requirements. It is the customer's sole responsibility to obtain advice of competent legal counsel as to the identification and interpretation of any relevant laws and regulatory requirements that may affect the customer's business and any actions the customer may need to take to comply with such laws. IBM does not provide legal advice or represent or warrant that its services or products will ensure that the customer is in compliance with any law. The information contained in this documentation is provided for informational purposes only. While efforts were made to verify the completeness and accuracy of the information provided, it is provided “ as is ” without warranty of any kind, express or implied. IBM shall not be responsible for any damages arising out of the use of, or otherwise related to, this documentation or any other documentation. Nothing contained in this documentation is intended to, nor shall have the effect of, creating any warranties or representations from IBM (or its suppliers or licensors), or altering the terms and conditions of the applicable license agreement governing the use of IBM software.
Optim © 2008 IBM Corporation ® 3 Agenda Define E-discovery How prepared organizations are for E-discovery Real life scenarios Electronic Discovery Reference Model Implementing a Data Retention plan to help in E- discovery & compliance initiatives Success Stories from companies who have implemented
Optim © 2008 IBM Corporation ® 4 What is E-discovery? E-discovery (also called Discovery) refers to any process in which electronic data is sought, located, secured, and searched with the intent of using it as evidence in a civil or criminal legal case. In the process of E-discovery, data of all types can serve as evidence. This can include text, images, calendar files, databases, spreadsheets, audio files, animation, Web sites, and computer programs.
Optim © 2008 IBM Corporation ® 5 The Increase of Regulations Privacy - EU Data Protection - U.S. HIPAA - California SB UK Data Protection Governance - U.S. Sarbanes-Oxley Act - Euro-SOX - Japan-SOX - Australia CLERP 9 - Canada Bill 198 Security - U.S. Patriot Act - U.K. Antiterrorism Act - Japan Special Measures Against Terrorism - Australia Terrorism Act Queensland Terrorism Act Legal - FRCP - SEC 17A-4 - FOI - Canadian Electronic Evidence Act
Optim © 2008 IBM Corporation ® 6 Organizations are not prepared for E-discovery …
Optim © 2008 IBM Corporation ® 7 Legal Costs of E-discovery Identify Appropriate Data$200/hour Preserve the Data$100-$300/hour Collect the Data$200-$300/hour Review the Data$120-$350/hour Produce the Data$1000-$2100/hour Debra Logan, “ Mapping Technology and Vendors to the Electronic Discovery Reference Model, ” GartnerResearch, ID Number: G , November 9,2007.
Optim © 2008 IBM Corporation ® 8 E-discovery is a reality Ignorance is no longer an option! –“When it comes to eDiscovery, we sincerely hoped we would not be involved with this. Then, we had a situation come up where discovery was required — it was a nightmare. We had to search the mailboxes of senior management, and it was extremely difficult and time-consuming to determine what was available and what was not.” Senior Manager of IT planning, telecommunications company. Forrester, 2007
Optim © 2008 IBM Corporation ® 9 E-discovery: Costly, Complicated and Court Ordered For companies with more than $1 billion in annual revenue, the legal problem is immense and growing larger each day.* –Average number of lawsuits: 556 –Average number of new disputes each year: 50 –Percentage of companies with at least one $20 million suit: 62% –Average annual legal spending: $34.2 million* * Source: Fulbright & Jaworski 2006 Litigation Trends Survey, Gartner 2008.
Optim © 2008 IBM Corporation ® 10 E-discovery Issues Go Way Beyond Just Example of Archiving Benefits –Retail organization had contract dispute with partner over provisions in an agreement struck in the late 1990s providing for some collaboration as they expanded into the online world. –Sales transaction data became central to the case. –Reviewers analyzed details of every sales transaction the retailer completed over a six-year period—more than 250 million in all—to study the sales patterns of different categories of products. –Analysis ultimately concluded no violation of agreement. Had the large volume of sales transaction data not be reviewable, the retailer would have been at risk of losing millions of dollars. Source: FTI Consulting/Forrester Research
Optim © 2008 IBM Corporation ® 11 Real Life Scenario 200+ municipalities have filed more than 30 lawsuits against online travel companies claiming they have pocketed millions of dollars in hotel taxes paid by consumers that belongs to city and county governments Alleging companies are charging tax on the retail price, paying tax on the wholesale price, then pocketing the difference Courts granted municipalities the right to examine companies financial data The Wall Street Journal, 2008
Optim © 2008 IBM Corporation ® 12 “ How IT can help in E-discovery The biggest problem that end-user organizations face today is the sheer volume of data that they have stored. Reducing data volumes will be a key area of information management activity to concentrate on in Much of this data is redundant and out of date. -- Debra Logan, John Bace, Whit Andrews, Gartner 2008
Optim © 2008 IBM Corporation ® 13 Best Practice: Data Retention Develop & Enforce corporate policies for managing, maintaining, and accessing critical data throughout the lifecycle –for compliance regulations –for historical inquiries –for future business needs –for use in legal proceedings or E- discovery
Optim © 2008 IBM Corporation ® 14 How can data retention help? Retain application transaction records stored in databases, in support of information governance and compliance programs –Classify and consistently apply data management policies –Segregate transaction records using criteria such as age and status –Dispose of expired records in accordance with policy Respond quickly and accurately to E-discovery requests –Easily access and produce the requested database records by leveraging industry standard methods such as ODBC/JDBC, SQL and XML, and common tools such as report writers and query tools
Optim © 2008 IBM Corporation ® 15 Data Retention helps in E-discovery 10% to 15% of companies have incompletely realized strategies, the rest have NOTHING AT ALL. An inventory of information assets classified by system, format, and date range Backup and recovery plan plus destruction plan Audit of user managed policies Storage consolidation for better management Policy driven granular retention management Gartner, 2008
Optim © 2008 IBM Corporation ® 16 Defining your Retention Policy What data should I be saving, for how long and for what reasons? What data should I be deleting? How am I going to find the data when I need it? What do I do with the data when I no longer need it? What is the most appropriate solution to meet my archiving needs? What is the cost/benefit analysis to support an archiving solution acquisition?
Optim © 2008 IBM Corporation ® 17 Volume Relevance Tools for IT Proactive Information Management Identification Records Management Preservation Collection Using the EDRM Source: Socha Consulting and Gelbmann & Associates. Copyright All rights reserved. Used with permission. Electronic Discovery Reference Model Tools for lawyers Legal and IT ProductionPresentationReview Processing Analysis
Optim © 2008 IBM Corporation ® 18 Identification, Preservation, Collection Identification –Easily locate the structured archived data for the request Preservation –Manage data based on your specific retention requirements Collection –Choose the specific criteria (date, name, location, etc.) for the request
Optim © 2008 IBM Corporation ® 19 Records/Data Management 1.Capture a complete business object 2.Archive to selected target format –Compressed, indexed file –XML file –Archive database 3.Support unlimited ILM storage hardware and file migration alternatives 4.Enable multiple post-archive access paths –Application independent access –Native application access 5.Enable selective retrieval of archived transaction records –Restore to production –Restore to alternate target environment 6.Enable automated disposal of expired transaction records
Optim © 2008 IBM Corporation ® 20 Current Production Historical Restore Restored Archives Reporting Data Historical Data Reference Data Archive Complete Business Object provides historical reference snapshot of business activity Storage device independence enables ILM Immutable file format enables data retention compliance Universal Access to Application Data Application XMLODBC / JDBC Data Archiving 4
Optim © 2008 IBM Corporation ® 21 Solution requirements Provide a single, consistent EDM solution across applications, databases and platforms 1.Capture a complete business object 2.Archive to selected target format –Compressed, indexed file –XML file –Archive database 3.Support unlimited ILM storage hardware and file migration alternatives 4.Enable multiple post-archive access paths –Application independent access –Native application access 5.Enable selective retrieval of archived transaction records –Restore to production –Restore to alternate target environment 6.Enable automated disposal of expired transaction records
Optim © 2008 IBM Corporation ® 22 Archiving a Complete Business Object Represents application data record – payment, invoice, customer –Referentially-intact subset of data across related tables and applications; includes metadata Provides “historical reference snapshot” of business activity
Optim © 2008 IBM Corporation ® 23 Use a Tiered Storage approach Non DBMS Retention Platform ATA File Server EMC Centera IBM RS550 HDS Offline Retention Platform CD Tape Optical Archive Restore Production Database Current Data 1-2 years Active Historical 3-4 years Archive Reporting Database Online Archive 5-6 years Offline Archive 7+ years Compressed Archives Archive Definitions
Optim © 2008 IBM Corporation ® 24 Universal Access Native application access –Familiar screens and processes Application independent access –Industry standard methods: SQL, ODBC/JDBC, XML –Portals –Report writers: Crystal Reports, Cognos, Business Objects, Discoverer, Actuate –Desktop formats: Excel, CSV, MS Access –Database formats Access Any Record, Anytime, Anywhere!
Optim © 2008 IBM Corporation ® 25 Enterprise Solution for E-discovery Manage data across the enterprise including multiple applications, databases, and platforms Capture data at the business object level Archive to selected target format –Compressed, indexed file –XML file –Archive database Implement tiered storage strategies to maximize ILM efficiencies –CAS devices (EMC Centera, IBM DR550) –Existing tape libraries –Optical disk Multiple access methods to archived business records – Native Application access – Self-Help Access (Canned Reports, Query Tools) – Application Independent access (Original app/version is not needed)
Optim © 2008 IBM Corporation ® 26 About the Client Client Success: Data Retention & Data Growth Challenges : –Faced with SEC 17A-4 requirements for retention and compliance regulations –Due to compliance and E-Discovery concerns all data was kept in production databases –TCO of managing their mainframe environment which supports all of their mission critical applications growing 30% annually –Degrading database performance –Increased operational costs as a result of increasing hardware to address performance issues and meet SLAs Client Value: –Enterprise offering that can used as a best practice for their mainframe, open systems, PeopleSoft and Siebel environments –By implementing a complete Enterprise solution, they can meet SEC 17A-4 requirements and estimate they can reduce their Capacity plan for CPU utilization 25% to 50% over the next 3 years Leading Investment Management Company Industry Investment Annual Revenue $1 Trillion System Mainframe, Open Systems, Applications Solution Optim™ Data Growth Solution
Optim © 2008 IBM Corporation ® 27 About the Client Client Success: Data Retention Challenges : –Need for data cleanse and purge records older than 7 years from Siebel databases –Preparing for corporate-wide data management effort to sustain goal of keeping only “ what ’ s needed for the right amount of time ” –Maintain operational efficiencies and reduce cost of maintenance Client Value: –Satisfied long-term data retention requirements by archiving for secure and readily accessible information –Ensured support for SOX and auditor compliance requirements by implementing archiving capabilities to locate and access historical financials data when needed for audit and discovery requests –Established a consistent methodology for managing and retaining historical data using Optim across applications, databases and hardware platforms Leading Digital Satellite Service Provider Industry Telecommunications Annual Revenue $13 Billion Application Siebel CRM Application Solution Optim™ Data Growth Solution for Siebel CRM
Optim © 2008 IBM Corporation ® 28
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