Doculabs E Discovery 051710
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Transcript of Doculabs E Discovery 051710
Ensuring Success for eDiscovery
Jeetu Patel, EMC World 2010
© Doculabs, Inc. 2010
About Doculabs 2
Doculabs is a consulting firm that helps organizations develop sound technology strategies for content- and process-related applications.
Our engagements focus on helping clients leverage their existing ECM investments on a broader enterprise basis through objective analysis and in-depth market knowledge.
This approach is based on our fundamental belief that in order to protect a client’s long-term interest, technology advisors should not be implementers.
Quick Facts• Founded in 1993• Headquartered in Chicago• Privately held• Delivered more than 800 ECM engagements to
more than 450 customers
© Doculabs, Inc. 2010
Tactical Concerns for E-Discovery Efforts
Rapid Growth of Information and
Information Types
User Experience and Information Organization
Streamlining theE-Discovery Process
Competing Stakeholder Agendas
Economics and Cost Justification
3
Rapid Growth of Information and Information Types
1
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Rapid Growth of Information and Information Types: Keeping Up 5
Paper Records
Electronic Documents
Web Content
Types of
Discoverable
Content
Instant Messages
Web 2.0
Audio/Video
2
User Experience and
Information Organization
© Doculabs, Inc. 2010
User Experience and Information Organization: User Challenges
• Don’t have time
• Don’t understand classification scheme or content organization approach
• No functional user interface
7
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User Experience and Information Organization: Burdening Users
User Supplied Metadata
Auto-Populated Context-Driven
Metadata
Even when it is possible to provide a selection list, it isn’t context-based, so it
can be difficult to find the right selection
Human Resources Public Communication and Advertising Policy
William Forsythe
Policies, Recomendation, Forsythe
HR
???
Errors and poor information quality are common when users need to enter
information manually; this
makes subsequent access and retrieval
more difficult
8
© Doculabs, Inc. 2010
Business_Record YesBusiness_Unit_ID E303Content_Type_ID 12.3.1.5.3Regulated_Content YesDate_Created 12/01/2005… …
Invisible Metadata
Visible Metadata
User Experience and Information Organization: Taxonomy Simplifies
User Supplied Metadata
Context-Driven Metadata Options
User Security Information
ERP HR System
Auto-Populated Context-Driven
Metadata
Hidden System Managed Context-Driven Metadata
Content Repository
Taxonomy Process Hierarchy
- Sales & Marketing
- Human Resources
- Operations
- New Hires
- Training and Development
- Job Openings
- Community
- Line of Business
Records Rules
Human Resources Public Communication and Advertising Policy
9
© Doculabs, Inc. 2010
User Experience and Information Organization: The User Experience
Human Resources Public Communication and Advertising Policy
William Forsythe
Policies, Recomendation, Forsythe
HR
???
Human Resources Public Communication and Advertising Policy
3 sec12 sec
10
3Economics and Cost Justification
11
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Economics and Cost Justification - How to Justify Investments?
One-Time Costs
Fines, Penalties, Judgments Frequency and magnitude difficult to measure
Use of “scare tactics” – avoidthe situation of competitor XYZ
Operating Costs
Internal Labor, System Costs (Storage Hardware), Services Vendors
On-going and measurable Spread across many
departments and budgets, so difficult to collect
12
© Doculabs, Inc. 2010
Economics and Cost Justification – Major Discovery Benefit Areas
Storage Hardware
Retain fewer documents and email , use less storage
Easy to identify hardware expenses via purchase history and/or depreciation expenses within budget
Often considered “hard” savings by management
Discovery Labor
Reduced discovery effort as less ESI must be culled and reviewed
3rd party service providers: direct, controllable expense
For internal labor: potentially less controllable
13
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Economics and Cost Justification - Core Elements of a Business Case 14
Key Components of the Doculabs’ Business Case Modeling Framework
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Economics and Cost Justification - Archiving
• See the attached document for calculator examples
15
4Streamlining the E-Discovery Process
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Streamlining the E-Discovery Process: E-Discovery Reference Model
Information Management
Identification
Preservation
Collection
Processing
Review
Analysis
Production Presentation
17
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Streamlining the E-Discovery Process: Different Tools
Information Management
Identification
Preservation
Collection
Processing
Review
Analysis
Production Presentation
18
Different tools are needed to accomplish different tasks; at least four different tool sets are needed to manage across the lifecycle depicted below.
© Doculabs, Inc. 2010
Streamlining the E-Discovery Process: Information Management is Complex
Information Management
Identification
Preservation
Collection
Processing
Review
Analysis
Production Presentation
19
ManageCreate
Distribute
Archive/Dispose
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Streamlining the E-Discovery Process: No Process-Wide Visibility
Information Management
Identification
Preservation
Collection
Processing
Review
Analysis
Production Presentation
20
Lack of Project Management, Legal Holds, Reporting, Workflow Automation, and more
Legal Hold Management
5Competing Stakeholder Agendas
21
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Records Management
Legal/Compliance
Competing Stakeholder Agendas: Everyone Has A Different Perspective 22
Information Technology
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Decision Tree for Determining ESI Preservation Obligations
Step 1Determine what information would be relevant to dispute
Step 2Identify each data source that potentially contains relevant information
If data source likely to contain relevant information
Step 3Determine degree of accessibility of data sources that are likely to
contain relevant information (see figure 2)
If there is low degree of accessibility
Step 4Do substantially similar copies of relevant information exist in more
readily accessible data source?
Step 5Is cost or burden of preservation excessive as compared to the
relevance or value of the information?
If data source not reasonably
likely to contain relevant
information
If there is high degree of
accessibility
No
NoYes
Yes
Preservation Required
Preservation Not Required
Figure 1: Decision Tree for Determining ESI Preservation Obligations
© Doculabs, Inc. 2010
Accessibility Factors
Figure 2: Accessibility Factors
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
FACTORS
Active on-line data
Near-line data
Offline storage/archives
Backup tapes
Physically damaged media
Legacy media
Transient complexity
Hidden complexity
Extraction complexity
Preservation complexity
Search complexity
Dispersion complexity
EXAMPLES
Hard drives, PDAs, network storage
Robotic storage devices such as optical disks
Removable optical disks or magnetic tape media which can be labeled and stored in a shelf or rackSequential access devices typically not organized for retrieval of individual documents or files
Damaged CDs or DVDs that cannot be read by an ordinary drive or damage hard drives and tapes
Difficult or impossible to locate a compatible drive or device to read the typically “orphaned” legacy media
Web pages constantly being deleted and overwritten to make room for further storageDeleted files after recycle bin has been emptied which cannot be viewed without specialized knowledge or tools
Data fragments found in the slack space which are difficult to copy
Cache and temp files created by a PC difficult to preserve without disabling operating system
Static graphical images not OCR’d
Numbers of PDA devices needed to be reviewed for preservation of data from a central synchronized location
© Doculabs, Inc. 2010
Realistic Assessment – Impossible to Operationalize 25
Who decides the “degree of accessibility” – IT or Legal?
“Reasonably likely” Means exactly what?
“Burden of preservation”, “excessive as compared to relevance”, “value of information” – Far too nebulous for the common person to figure out!
Step 1Determine what information would be relevant to dispute
Step 2Identify each data source that potentially contains relevant information
If data source likely to contain relevant information
Step 3Determine degree of accessibility of data sources that are likely to
contain relevant information (see figure 2)
If there is low degree of accessibility
Step 4Do substantially similar copies of relevant information exist in more
readily accessible data source?
Step 5Is cost or burden of preservation excessive as compared to the
relevance or value of the information?
If data source not reasonably
likely to contain relevant
information
If there is high degree of
accessibility
No
NoYes
Yes
Preservation Required
Preservation Not Required
© Doculabs, Inc. 2010
Competing Stakeholder Agendas: Building the Right Team 26
Legal/Compliance
Records Management
Information Technology
Cross-Functional
Team
Conclusions
© Doculabs, Inc. 2010
Conclusion
• Prepare to address the rapid growth of content (both volume and types)
• Put yourself in the content contributor’s shoes; design for simplicity
• The intersection of process and technology is critical, use an expanded view of the EDRM model to guide your efforts
• Form a cross-functional team that includes Records Management, Legal, and IT
• Identify the cost and benefits associated with making the changes
28
© Doculabs, Inc. 2010
DOCULABS’ E-DISCOVERY FRAMEWORK
How Doculabs’ Can Help You Be Successful 29
StrategyGovernance and
OperationsInformation Organization
Process Design and Implementation
Architecture and Technology
Communications and Training