Defensible  RIM  Disposal  Leads  To  Effective  Discovery  Response  

August  9th  2011  

Randy  Kahn  rkahn@kahnconsultinginc.com  847-­‐266-­‐0722  

Michael  McCreary  mmccreary@rationalretention.com  518-­‐489-­‐3000  

Today’s  Speakers  

Randy  Kahn    

Michael  McCreary  

Randolph  A.  Kahn,  Esq.,  is  an  internationally  recognized  authority  on  the  legal,  compliance   and   policy   issues   of   business   information,   electronic   records,   e-­‐business  processes,   and   information   technology.    As   founder  and  principal  of  Kahn   Consulting   Inc.,   Mr.   Kahn   advises   corporate   counsels,   information  management   and   information   technology   professionals   in   both   government  and  corporate  institutions  on  policy  issues  related  to  the  management  of  digital  information  and  electronic  records.  

Michael  McCreary  is  Rational  Retention’s  CEO.    He  has  deep  experience  working  at  the  intersection  of  business  and  technology  in  highly  regulated  and  litigious  environments.    Before  joining  RR  he  spent  12  years  at  PVizer,  most  recently  as  CIO   of   PVizer’s   Legal   and   Public   Affairs   divisions,  where   he   led   the   corporate  technology   strategy   for   e-­‐Discovery,     Security,   Privacy,   Records   and  Information   Risk   Management.       He   is   a   regular   speaker   and   writer   on  information  life  cycle  and  risk  management,  auto-­‐classiVication  and  e-­‐Discovery  preparedness.      

What is The Problem •  IDC-1800 exabytes of new info in 2011

–  1 exabyte is 50,000 years of DVD movies –  1800 = 90,000,000 years

•  What about old stuff? •  How much time to find needed info? for

information? Less is more!

“But  databases  frequently  turn  into  informa;on  dumps,  teeming  with  poorly  classified  or  outdated  informa;on.”      “Growth  at  McKinsey  Hindered  Use  of  Data,”  WSJ    

“I  dream  of  a  better  tomorrow,  where  chickens  can  cross  the  road  and  not  be  questioned  about  their  motives.”  

Seeking a G’locks & 3 Lil Bears Solution

Current state of over-retention is not good

Need to aspire to have

less to manage

IDC  predicts  storage  will  increase  44  X  in  next  10  yrs.  

I  used  to  be  indecisive.  Now  I'm  not  sure.  

Big is Only Part of Problem More than a “big mountain problem”

–  Control content creation –  Management of storage –  Application of retention rules –  Bad policy decisions –  More systems –  Newer technologies & formats –  Outside centralized control –  Manage content in place –  Employees doing heavy lifting

He  has  no  enemies,  but  is  intensely  disliked  by  his  friends.  

According  to  Gartner,  Cloud  Services  will  be  $102  billion  in  2012  

21%  

19%  

15%  

9%  

0%  

5%  

10%  

15%  

20%  

25%  

What  informa;on  needs  to  be  retained  

How  informa;on  should  be  retained  and  disposed  of    

Legal  Hold  and  E-­‐Discovery  responsibili;es  

The  impact  of  GRC  on  them  

Employee Understanding of Responsibilities

"GRC, RIM and E-Discovery: State of the Industry," ©2008, Kahn Consulting, Inc., www.KahnConsultingInc.com

Should We Let Employees Manage?

49.7  percent  of  all  statistics  are  made  up  on  the  spot.    

Fix Problems Over the Lifecycle

War  does  not  determine  who  is  right    -­‐  only  who  is  left  

Information Lifecycle

C r e a t e

M a n a g e

S t o r e

U s e

P r e s e r v e

D i s p o s e

Don’t Create Just Because Which activities does this statement apply to? “Just because you can, doesn’t mean you should.”

1.  Shopping 2.  Eating 3.  Wrestling an alligator 4.  Retaining information

Ex. Unified Messaging

We  never  really  grow  up,  we  only  learn  how  to  act  in  public.  

“Judge  Demands  a  Report  on  Destroyed  C.I.A.  Tapes”    New  York  Times    

Failure to Manage Properly

It  takes  a  big  man  to  cry,  but  it  takes  a  bigger  man  to  laugh  at  that  man.      Deep  Thoughts  by  Jack  Handey    

“In  an  Aug.  15,  2005,  voicemail  messages  addressed  to  company  salespeople…”      “…the  document  written  by  Dr.  Geller  doesn’t  accurately  reVlect  the  company’s  position  in  2000.  In  fact,  it  was  not  Dr.  Geller’s  ultimate  view  either.  It  was  an  initial  draft  for  discussion  purposes.”      Wall  Street  Journal  

“Electronic  discovery  requires  litigants  scour  disparate  data  storage  mediums  and  formats  for  potentially    relevant  documents”  Harkabi  v.  SanDisk  

Storage is Not Retention

Technology is not created equally – Back-up is not retention – Can the Cloud Fairy help me get my

stuff for this nice lawyer? If  I  agreed  with  you  we'd  both  be  wrong  

“More than 3 years after the Sept. 11 attacks, more than 120,000 hours of potentially valuable terrorist-related recordings have not yet been translated …and computer problems may have led the bureau to systematically erase some Qaeda recordings…[t]he investigation found that limited storage capacities in the system meant that older tapes had sometimes been deleted automatically to make room for newer materials, even if the recordings had not yet been translated” NY Times on 911 Commission

Use It or Lose It

•  Retention is determined by a melding of law and business need

•  Make sure it’s a real business need •  Exterminate Packratitis •  Evaluate how long business need really

is

There's  a  Vine  line  between  cuddling  and  holding  someone  down  so  they  can't  get  away.  

           Intelligence  Agencies’  Databases  to  Be  Linked  “…  nearly  Vive  years  after  the  intelligence  community  was  rebuked  by  the  9/11  commission  for  failing  to  “connect  the  dots”  …[t]oday,  an  analyst’s  query  might  scan  only  5%  of  the  total  intelligence  data  in  the  U.S.  government…”    WSJ  2/22/09  

Preservation the Right Way

Do  not  argue  with  an  idiot.  He  will  drag  you  down  to  his  level  and  beat  you  with  experience.  

“Fluor's e-mail retention policy provided that backup tapes were recycled after 45 days. If Fluor had followed this policy, the e-mail issue would be moot. Fluor does not explain why, but it maintained its backup tapes for the entire 14-month period.” Murphy Oil v. Fluor Daniel

Which  approach  to  litigation  preservation  makes  most  sense?    A.  At  the  Virst  sign  of  trouble,  destroy  everything,  the  

knucklehead  lawyers  will  never  Vigure  it  out.    B.  At  the  Virst  sign  of  trouble,  take  a  protracted  vacation  

to  some  far  away  exotic  destination.    C.  At  the  Virst  sign  of  trouble,  preserve  everything  on  

every  systems  and  Vigure  out  what’s  relevant  a  couple  years  from  now  if  you  need  to.    

 D.  Soon  after  getting  notice  of  a  lawsuit,  audit  or  investigation  make  reasonable  efforts  to  determine  who  has  potentially  relevant  information  so  you  can  Vind,  secure  and  segregate  it  for  possible  production.    

 

Clean Up the Junk The Right Way

•  Assess    •  Develop  Plan  (with  IT  and  Legal)  •  Dispose  “low  hanging  fruit”  •  Use  technology    not  employees  •  Dispose  because  you  can    

A  bartender  is  just  a  pharmacist  with  a  limited  inventory.    

Conclusions

Randolph Kahn rkahn@KahnConsultingInc.com

The  last  thing  I  want  to  do  is  hurt  you.  But  it's  still  on  the  list.  

1.  Be  serious  about  the  lifecycle  2.  Clean  up  the  past    3.  Evaluate  one  time  clean  up  “policies”  4.  Apply  rules  to  all  stuff  going  forward  5.  Leaner  is  more  efVicient  

Rightsize  Your  Information  Footprint  

What  is  the  solu,on?  

ILM  

• Mange  in  place  • Full  visibility  • Policy  enforcement      

• Doc  Mgmt  • Records  Reten;on  

Discovery  Response    

• No;fica;ons    • Prevent  destruc;on  

• Hold  in  place  • Collect  and  review  • Deep  analy;cs                    

Support  for  both  informa;on  lifecycle  management  &  discovery  response      

Auto  Classifica-on    

Auto  Classifica,on      

Support  Vector  Machines      –    Rational  Retention's  auto  classiVication  engine  (ACE)  is  built  on  SVM  -­‐    Since  its  invention,  SVM  has  gained  wide  acceptance  in  the  scientiVic  community  as  the  most  effective  method  for  text  classiVication.  

..  is  the  use  of  machine  learning  based  tools  to  automa;cally  analyze  the  content  of  a  document  and  assign  categories  for  use  in  reten;on,  discovery  or  knowledge  management.    

How  RR  Works  –  Iden,fica,on        

Ra,on  Reten,on  Server  

RR  Agents  

Text  &  Meta  Data  

Extracted  

Enterprise  Data  

E-­‐Mail  

PC’s  &  File  Shares    

RR  Agents  

RR  Agents  

Indexing  

Auto-­‐categoriza;on  

Disposi;on  Policies  

1.   Enterprise  data  sources  are  connected  by  agents    2.   Document  text  &  metadata  is  sent  to  RR  server  

How  RR  Works  –  ILM  /  Policy  Ac,ons    

1.   At  the  end  of  WIP  period:    2.   Non  records  are  destroyed    3.   Records  are  moved  to  long  term  storage  in  Alfresco      

Lifecycle    Ac;ons  

Destroy  

Moved    

ECM  Server  

Moved    

RR  Server  

Enterprise  Data  

Archive  or  Copy  

RR  Agents  

Record/Document  Management  &  E-­‐mail  

Desktops  &    File  Shares  

How  RR  Works  -­‐  Discovery  Response  Hold  &  Collect  

1.   Holds  and  collec,ons  are  issued  by  an  administrator    2.   Enforced  by  the  agents    

Ra,onal  Reten,on    Server  

Administrative  User  

Recommenda,ons      

•  Informa;on  Lifecycle  Management  • E-­‐Discovery  Preparedness    •  Include  IT,  Legal,  Records  &  the  business  • Establish  realis;c  and  ac;onable  policies  and  records  schedules  

Establish  a  Records  &  Informa;on  Management  program    

• Auto  classifica;on  is  key    • Don’t  over  retain,  e.g.,  archiving      •  Implement  ECM  (Alfresco)    •  Integrate  Ra;onal  Reten;on      

Leverage  Technology    

 Ques,ons