Early Case Assessment -...

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Early Case Assessment: The merits of on-premises vs.

hosted ECA

28 October 2010

2

On-premises vs. hosted ECA: Presenters

Thomas Wisinski, CKO

Haynes and Boone

Carolyn Casey

Sr. Product Marketing Manager , eDiscovery

David Bayer

Director, eDiscovery Product Marketing

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Early case assessment

and enterprise

discovery

David Bayer

4

Core Drivers for Enterprise Discovery

Achieve Cost

Predictability

eDiscovery costs too much

Event driven charges are unpredictable

Point solution and multi-vendor

engagements are inefficient

Large matters adversely impact standard

discovery budgets

Be Prepared

Information sources must be mapped

Disposition policies need to be defined and

enforced

Legal holds must be transparently and

consistently applied

Data search procedures must be defensible

Simplify Workflow

Data collection needs to be technology-

based, defensible and non-intrusive

Relevant data should be directly delivered to

early case assessment and review

Inefficiencies of multi-application, multi-

vendor environments must be overcome

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Discovery as critical business process

Know What

You Have®

Enact retention policies

Automate legal holds

Identify and collect data

Leverage early case assessment

Reduce data volumes

Review/produce documents efficiently

AutomateEnsure deployment of retention policies

and litigation holds; reproducible and

defensible processes, and systemic

cost reductions

IntegrateProvide functional interoperability and

seamless, high-quality data movement

across applications

TransformOperationalize governance

capabilities with discovery as a

consistent business process

6

Reactive, matter-driven eDiscovery

The Transformation From Traditional eDiscovery…

Information

Management

Identification

Collection

Preservation

Review

Analysis

Processing

PresentationProduction

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To Discovery as Critical Business Process

Proactive discovery predicated on

systematic governance policies and legal holds

Information

Management

Identification

Collection

Preservation

Review

Analysis

Processing

PresentationProduction

8

Integrated Discovery Meeting enterprise discovery imperatives head-on

Identify &

Collect

• Endpoint devices

(laptops, desktops)

• Pattern matching

algorithms for

intelligence

• Policy-based

identification and

collection

• Metadata based

repository

Archive

• Email, SharePoint,

network file shares,

additional data types

• Repository of record

• Retention policies

• Litigation holds

• Classification

Early Case

Assessment

• Transparently ingest

data

• Faceted search,

advanced analytics

• Identify and tag

documents

• Develop case

strategy

• Filter and reduce

data volumes

Review

• Load data discovery

applications and/or

3rd party collections

• High productivity,

scalable review

• Advanced analytics

• Multi-project/review

team support

• Automated workflow

9

ECA within Enterprise DiscoveryLeveraging information management and governance policies

File Systems

LaptopsDesktops

High Productivity Review

Archive for

Retention Policies,

Legal Holds

Policy-based Data Identification and

Collection

Early Case Assessment

Tape restoration

Compliance Archive

Cloud-based email mgmt.

Server backup

Paper Conversion

www.aiim.org© AIIM 2010

E-Discovery and ERM:

An AIIM Industry Watch Survey conducted during August 2010

Part sponsored by:


0% 5% 10% 15% 20% 25% 30% 35% 40%

No, and we don't see the need for one in our organization

No, but we know that we should have one

In preparation

Yes, but only covers paper records

Yes, covers paper and electronic records

Yes, covers all active documents, emails and records (paper or electronic)

Legal hold

Do you have a legal hold procedure in place that can be invoked as soon as a

legal action is raised?36% do not

have a hold

procedure,

plus 9% with

policy for paper

only.

Of 55% with

hold for

electronic, only

35% include

ALL active

docs.

N=518

Excl. 96 Don’t knows


0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%

We use ad-hoc search across file-shares and email systems

We use the basic search function within our ECM/ERM system

We use an Enterprise Search application, eg, FAST

We use a Google search appliance

We have some e-discovery tools or functions in our ECM/RM system

We are using dedicated e-discovery tools or applications

We outsource/contract our electronic legal discovery

Legal discovery – electronic records

How would you best describe the primary method you use for identification of

electronic records for e-discovery?

N=605

47% using

ad-hoc search

24% use

ECM/RM

system search

7% using

Enterprise

Search

17% have

access to

e-Discovery

tools.


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

Search potentially relevant content

Provide early case assessment (ECA)

Secure/hold content against deletion

Copy content to review area

De-dupe and cull

Review

Manage and produce

We don’t have a formal discovery mechanism

Legal discovery – e-Discovery systems

N= 460

Which of the following functions is your discovery mechanism able to provide?


Legal discovery – e-Discovery systems

N= 330

Excl. 232 Don’t Knows

Which two of the following would you consider to be the biggest potential benefits

of an Early Case Assessment (ECA) capability?

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

Reducing data volumes to reduce e-discovery costs

Analyzing and projecting the potential costs of a case

Developing case strategy

First-pass review of potential success/failure

Data to brief senior management

Data for PR, M&A and audit activities

Reducing data

volumes is

biggest benefit

of ECA,

then cost

projection and

strategy.

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INFORMATION MANAGEMENT

eD

isco

very

S

olu

tio

ns

Early

Case Assessment

Inside or Outside the Firewall?

October 2010

Carolyn Casey, Esq.

16

Early Case Assessment

Initial inquiry into the Case or Investigation

Interview custodians

First look at the case facts/merits

Risk/Exposure assessment

Find missing custodians

Scope down the responsive data

Estimate and Manage Costs

Strategic business decisions

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Choices for Early Case AssessmentFactors to Consider

Hosted

On-Premises

Hybrid

Cost

Data Control, Confidentiality, Security

Scale/Volume

IT Investment/Impact

http://en.wikipedia.org/wiki/File:Wikimedia-servers-Sept04.jpg

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Choices for Early Case AssessmentCost

HostedOn-Premises

Hybrid

On-premises

Buy it outright

Recoup investment quickly

Culling rate

Rent for a known, predictable monthly fee

Integration with on-premises data sources

Hosted

Pay only for what you do - good for small projects

Vendor does processing, exception handling

Fees: ongoing hosting, promotion, user

Easy to move to full review

Distributed users can access


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Choices for Early Case AssessmentData Sensitivity, Control, Security

HostedOn-Premises

Hybrid

On-premises

Strong desire to keep company proprietary, sensitive data

behind firewall

Government military contractors, competitive info.

Data protection/privacy laws, concerns

Risk in transport, leakage, security breach offsite

Hosted

Vendor business built on securing client data

Redundancy, back up, disaster recovery

Secure from prying, curious eyes

Third party data


20

Choices for Early Case AssessmentData Volume, Management

HostedOn-Premises

Hybrid

On-premises

Initial look at large cases

Strategic decisions

Cost estimates

Risk assessment

Smaller internal and regulatory investigations

Hosted

Data volume/complexity

Get professional services

Disaster recovery, 24 x 7 support

Data management, repository – trusted partner

Few small matters a year


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Choices for Early Case AssessmentIT Investment/Impact

HostedOn-Premises

Hybrid

On-premises

Initial purchase

Non-intrusive to the environment – no security, storage issues

Easy to install, configure, update, upgrade

Hosted

No investment in appliance/SW

No impact to environment

No maintenance


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Things to Consider

Will on-premises or hosted be lowest cost?

How important is it to keep proprietary, sensitive data on site?

Given the volume of potentially responsive data and number of

matters, investigations each year

Do I want a trusted partner to host/manage the data for me?

Do I want to make one outright purchase or rent and keep

control of the data behind my firewall?

Do I want to own and manage an ECA appliance inside my firewall?

Austin · Dallas · Fort Worth · Houston · Mexico City · New York · Orange County · Richardson · San Antonio · San Jose · Washington DC

Firm-wide eDiscovery to Reduce Costs

and Minimize Risk

Thomas Wisinski

Austin · Dallas · Fort Worth · Houston · Mexico City · New York · Orange County · Richardson · San Antonio · Silicon Valley· Washington DC

About Us

• 530+ Attorneys

• 500+ Staff

• 200+ Software Programs

• 11 Offices

• Most infrastructure centralized

Haynes and Boone, LLP


Electronic Discovery Reference Model

Identification

Identification

Collection

Processing

Review

Analysis

Production PresentationInformation

Management

Volume Relevance

ECA Impacted

Phases


• The ability to look at a client’s ESI from a 50,000 foot vantage and cull en mass using analytical information about that data

• e.g. easily filter client’s ESI by date, author, subject, concept and other key terms

What is Early Case AssessmentEarly Data Assessment?


• 10 key players identified - 3.5Gb ea.

• Total of 35Gb of ESI processed by H&B ($x/Gb = $35x) resulting in 112,000 items for review (60% de-duplication and other filtering)

• Attorneys review 1,500 items per day (About 75 atty/days) = $180,000 (attorney review time)

Comparison using eVantage


• 10 key players identified - 3.5Gb ea.

• Total of 35Gb of ESI processed by vendor ($4x/Gb = $140x) resulting in 140,000 items for review (50% de-duplication and other filtering)

• Attorneys review 1,500 items per day (About 94 atty/days) = $225,600 (attorney review time)

Comparison using other


Cost savings:

• $180,000 v. $225,600 – Attorney Time

• $35x v. $140x

• Standardized output = ?

• Front-end reporting = ?

• Delivering clean data = ?

• Understanding the makeup of your data…

priceless

Time & Money


Reducing Cost

• Gather low hanging fruit – collect as you learn

• Plenty of solid ways to self collect

• Document, document, document

• Filter ESI by known outside counsel

• Filter ESI by set of privilege terms

• Filter ESI by key domains/players


Reducing Risk

Examples:

• Client filters data by file type

• Client uses insufficient tool to search data

• Provides auditing capability

• Provides attorneys with “live” searching capability – kick the tires


• Internal Audits

• Investigations

• Prep for meet and confer - 26(f)

• Compliance sampling

Other Uses


Things you can learn

• Different file types (oddities/problems)

• Problem documents (databases)

• Various sizes of documents

• Holes in collections

• eMail domains to/from


What we hope to accomplish

• Quicker response time

• Review time - reductions in data

• Cost savings to clients

• Standardized process

• Quick peek

• Insight!!!

35

Thank you!

Thomas Wisinski, CKO

[email protected]

Carolyn Casey

[email protected]

David Bayer

[email protected]

mailto:[email protected]




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