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


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


Rapid Growth of Information and Information Types: Keeping Up 5

Paper Records

Electronic Documents

E-Mail

Web Content

Types of

Discoverable

Content

Instant Messages

Web 2.0

Audio/Video

2

User Experience and

Information Organization


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


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


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


9


User Experience and Information Organization: The User Experience


William Forsythe

Policies, Recomendation, Forsythe

HR

???


3 sec12 sec

10

3Economics and Cost Justification

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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


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


Economics and Cost Justification - Core Elements of a Business Case 14

Key Components of the Doculabs’ Business Case Modeling Framework


Economics and Cost Justification - Archiving

• See the attached document for calculator examples

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4Streamlining the E-Discovery Process


Streamlining the E-Discovery Process: E-Discovery Reference Model

Information Management

Identification

Preservation

Collection

Processing

Review

Analysis

Production Presentation

17


Streamlining the E-Discovery Process: Different Tools


Identification

Preservation

Collection

Processing

Review

Analysis


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Different tools are needed to accomplish different tasks; at least four different tool sets are needed to manage across the lifecycle depicted below.


Streamlining the E-Discovery Process: Information Management is Complex


Identification

Preservation

Collection

Processing

Review

Analysis


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ManageCreate

Distribute

Archive/Dispose


Streamlining the E-Discovery Process: No Process-Wide Visibility


Identification

Preservation

Collection

Processing

Review

Analysis


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Lack of Project Management, Legal Holds, Reporting, Workflow Automation, and more

Legal Hold Management

5Competing Stakeholder Agendas

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Records Management

Legal/Compliance

Competing Stakeholder Agendas: Everyone Has A Different Perspective 22

Information Technology


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


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


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


Competing Stakeholder Agendas: Building the Right Team 26

Legal/Compliance

Records Management

Information Technology

Cross-Functional

Team

Conclusions


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

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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

Thank YouDoculabs, Inc.

(312) 433-7793

[email protected]