2009 - © RSD - 1

Information Governance:

Business Challenges at the

Intersection of Content &

Compliance

2009 - © RSD - 2

• Speaking Volumes

• Records Management and Compliance►How ECM and Archiving “Fit” Together

• Technical Challenges

• Archiving as a Service►For Enterprise Content Management (ECM)

• Spanning the digital divide : ►Unstructured Content (ECM) vs. Structured Content

Topics

2009 - © RSD - 3

RSD Corporate Background

• Founded in Geneva, 1973► Affiliates in New York and London

• More than 1,200 customers worldwide► Over 2,000,000 users

• Pioneer in high-volume mainframe report and output management► EOS (Enterprise Output Solution)

• Innovator in records and document management, and Information Governance

► RSD Folders

2009 - © RSD - 4

RSD Corporate Background

• Pioneer in report / output management

• Leader in Integrated Document Archive and Retrieval Systems (IDARS) Magic Quadrant

• Innovator in Records and Document Management, Information Governance

* Magic Quadrant DisclaimerThe Magic Quadrant is copyrighted June 27, 2006 by Gartner, Inc. and is reused with permission. The Magic Quadrant is a graphical representation of a marketplace at and for a specific time period. It depicts Gartner's analysis of how certain vendor’s measure against criteria for that marketplace, as defined by Gartner. Gartner does not endorse any vendor, product or service depicted in the Magic Quadrant, and does not advise technology users to select only those vendors placed in the "Leaders" quadrant. The Magic Quadrant is intended solely as a research tool, and is not meant to be a specific guide to action. Gartner disclaims all warranties, express or implied, with respect to this research, including any warranties of merchantability or fitness for a particular purpose.

2009 - © RSD - 5

Telecom DistributionInsurance

Over 1200 customers sites, 2 million users

GovernmentAutomotive

Banks

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“Welcome to Information Governance”

• Facts►Morgan Stanley: $1.45 billion►Citibank: $400 million►US Taxpayer: $10 million

• What do all of these have in common?

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Content Explosion

Digintal Storage Technology Newsletter, July, 2009

Hard drive shipments will double within the next five years

2009 - © RSD - 8

Explosive

growth in

volume of content

creation

Rapid expansion in

laws

and

compliance

regulations

Growing urgencyto gain controlof this dynamic

Corporate Challenges

Patriot Act SEC 17a-4Title 21 CFR 11

MiFID

Basel II

DoD 5015.2

The Information Governance challenge has created urgency at the executive

level in every enterprise

2009 - © RSD - 9

Managing Risk is Critical

• Increasingly important executive function

• Exposure (to fines) & compliance (with laws) vs. costs► Must do so in a cost effective manner► Must reduce their overall cost of operation

• Within constraints of providing seamless and secure access to their information and content

1998 2001 2004 2007 2010

Pain related to costs (governance, infrastructure, etc.) Pain related to risks of over-retention Pain related to e-discovery risks

Pain related to data privacy breach risks Pain related to future risks (yet to emerge)

DoD 5015.2 9/11Patriot Act

Morgan StanleyE-Discovery irregularity fine $1.58b

MoReqHIPAA

Enron ScandalSarbanes-Oxley

FinancialCrisis 2008

UBS/WarburgFRCP

New Regulations?

New Regulations?

New Regulations?

New Regulations?

2009 - © RSD - 10

A Model for Information Governance

Jurisdiction nJurisdiction C Other

JurisdictionsJurisdiction AContent Bursting/Migration/Archiving

Content RetentionPoliciesControlEnforcement

ILM PoliciesControlEnforcement

Data PrivacyPoliciesControlEnforcement

E-Discovery & HoldsPoliciesControlEnforcement

Content Metadata RetentionPoliciesControlEnforcement

Digital Rights LifecyclePoliciesControlEnforcement

Information Governance ProgramContent RetentionContent Metadata RetentionData PrivacyILME-DiscoveryDigital Rights LifecycleAudit Trail Management

? ? ? ?

Corporate GovernanceIT GovernanceInformation GovernanceFinancial GovernanceOther

???

?

Majority of Information Governance policies are

defined at the Record Class level

RM + ECM EDD Systems

Records Retention Schedule

?

Corporate Information in

“Intelligent” Storage

Appliances

Collaborative Content in

ECM Systems

Business Operational and

Transactional Content in Archives

Corporate Information in Business Applications

Corporate Information

in Data Warehouses

Collaborative Content

scattered in Infrastructure

2009 - © RSD - 11

Multifaceted and Integrated Definitions of Lifecycle

Record Lifecycle:

1) Record Retention (RM): Capture/Declare Record - - Disposition -

2) Metadata Lifecycle: Metadata & Content Indexing Metadata Indexing - Basic Metadata Delete Metadata

3) Metadata Storage Lifecycle: Metadata on Tier 1 Archive Metadata Basic Metadata Delete Metadata

4) Content Storage ILM: Storage on Tier 1 Storage on Tier 2 - Delete, Expunge -

5) Vital Status: Vital Non-Vital - - -

6) Security Lifecycle: Security Classified - Security Declassified - -

7) Data Privacy Settings Lifecycle: Regulatory Controls ? Anonymize ? ?

8) Digital Rights Lifecycle: Assign Key ? Delete Key ? ?

9) Other (expandable - tbd): ? ? ? ? ?

metadataC

onte

nt

Va

lue

Collaboration Long-term Record Archival

days decadesweeks months years

Rec

ord

De

cla

ratio

n

Dis

po

sitio

n

Mile

sto

ne

#1

Mile

sto

ne

#2

2009 - © RSD - 12

Business Problems : pre-ECM

• Before you adopted Alfresco► Inconsistent business processes

• Document creation

• Content review and approval

• Publish, update, dispose (lifecycle management)

► Poor productivity• Many duplicate efforts

• Ineffective use of valuable resources

► Ineffective knowledge management• Intellectual property not discoverable

• Cannot be leveraged

2009 - © RSD - 13

Challenges Created by ECM Success

• Since Alfresco► More and more departments and users

• Success begets success

► More and more content being generated• New content types are more storage intensive

– Image, video, audio► Repository volumes expanding rapidly► Performance begins to suffer► New requirements

• COO and Compliance Officer: what about regulatory compliance?• Why can’t I see customer statements and other production

application data in my ECM?

2009 - © RSD - 14

Why is performance suffering?

• ECM systems designed to support “active content”► Content creation phase of the content lifecycle

• Frequent update and change• Multi-step workflow to obtain editorial approval

• Activity level dramatically lower post-approval► Most documents never changed after the approval cycle ► Yet they occupy space in ECM repository and database

• Alternative storage and retrieval services are required► To ensure that ECM is optimized to serve users needs : creating

and updating “active content”

2009 - © RSD - 15

New Compliance Questions

• Board and executive level pressure► Stakeholders need assurance business information is being handled

properly

• More content considered “business records”► Paper records, email, voicemail recordings, instant messages, blog

postings…

• Strict retention rules now required by law► Or by industry “best practice”

• Laws differ by jurisdiction► Regulations where content is stored tend to “trump” rules where content

is accessed► Content must be retained for specific time periods► Content must be disposed of after retention► Systems must support e-Discovery or litigation hold

– Which overrides retention and disposition rules

2009 - © RSD - 16

New Content Requirements

• ECM excels at organization of unstructured content

► Office documents, spreadsheets, other user-generated content

• Users want to see other relevant information… in one place

► Statements, reports, other data from datacenter business applications

• ECM systems do not span this “digital divide”

2009 - © RSD - 17

Robust Document Archiving Services are the Answer

• Design Center► Built specifically for the post-approval, post-publication phases of the

document and records lifecycle

► Proven to handle extremely high volume document and report environments, such as mission-critical business applications (billing statements, invoicing systems, payroll slips)

► Designed to supportmulti-level storage systemstypical of high volumecontent environments

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A wide range of improvements

• Performance, scalability, user experience ALL improve► ECM database footprint dramatically reduced

• Bulk of inactive content retired; metadata remains in place

• Performance improves whereit counts: active content

► ECM servers can support more users

• Extending the lifetime (and value) of deployed servers

► Users see better response times, no loss of information

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“Instantiated” mode

• Built on RSD Folders Z or Open Systems

• Indexes remain in Alfresco storage

Document Storage

Document Storage

Document Storage

Alfresco Explorer and/or Alfresco Share

DocumentMetadata

“Instantiated”

DocumentMetadata

“Instantiated”

“Instantiated”Documents

2009 - © RSD - 20

« Virtual Mode »

• Built on RSD Folders for Z or Open Systems

• All content is archived outside Alfresco (thus the name « virtual mode »)

Document Storage

Document Storage

Document Storage

Alfresco Explorer / Alfresco Share

“Instantiated”Documents

“Virtual”DocumentMetadata

“Virtual”DocumentMetadata

“Virtual” DocumentMetadata

“Virtual” DocumentMetadata

2009 - © RSD - 21

Integration of « external » documents

ArchLive for Alfresco brings to the collaborative workspace access to business documents which may be tens of thousands of pages in length.These “logical” documents are available to users without requiring “bursting” of the output stream into individual documents.

Structured DocumentsAnd

Logical Documents

Structured document flowSingle logical document

Alfresco Explorer / Alfresco Share

2009 - © RSD - 22

Document Capture

Performance and security:ArchLive for Alfresco can capture approximately 600 documents per second as compared to approximately 50 per second captured natively in Alfresco

Capture Rate

Alfresco Explorer / Alfresco Share

Document Storage Document Storage

RSD Database

2009 - © RSD - 23

Archiving

Scalability and cost control:ArchLive for Alfresco integrates with solutions like Tivoli Storage Manager (TSM), and cartridge or tape media.ArchLive also has strong integration with EMC Centera and Tivoli DR550

RSD Folders Data

Alfresco Data

Alfresco Explorer / Alfresco Share

Storage Flexibilty and Security

2009 - © RSD - 24

RSD ArchLive for Alfresco

• Robust document archiving service for Alfresco► Improves Alfresco performance

• By retiring large volumes of infrequently accessed content, reducing the “content footprint” of the Alfresco ECM repository and database

► Reduces operating costs

• By moving large volumes of content from expensive media to any major enterprise storage system

► Bridges the digital content divide, extending the Alfresco domain

• By delivering business information from enterprise business applications directly to ECM users

2009 - © RSD - 25

Thank you.

Contact informationtde@rsd.comtwitter.com/RSDigblogs.rsd.com