M12S13 - RIM for the Next Generation: A Call to Action
-
Upload
mer-conference -
Category
Education
-
view
272 -
download
6
description
Transcript of M12S13 - RIM for the Next Generation: A Call to Action
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.1
RIM FOR THE NEXT GENERATION: A CALL TO ACTION
©2012
All-Partner Teleconference | June 24, 2009MER Conference| May 8, 2012
Charles R. BoozInformation Governance, Inc.
Michael SalvarezzaLRN
Julia BrickellH5
©2012
©2012
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.2
©2012
©2012
CHALLENGES
Electronic RMElectronic RMEmail ArchivingEmail Archiving
Morgan StanleyE‐Discovery irregularity fine $1.58b
HIPAA
Enron ScandalSarbanes‐Oxley
FinancialCrisis 2008
Zubulake‐UBS WarburgFRCP 2006
New Laws?
New Regulations?
New Laws?
New Regulations?
eDiscoveryeDiscovery Federated RMFederated RMEnterprise IG PlatformsEnterprise IG Platforms
Goldman Sachs
©2012
DoD 5015.2 9/11Patriot Act
MoReq
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.3
CHALLENGESComplexity of Information Governance
Requirements
CurrentGenerationSolutions
Complexity of requirements grows
exponentially with size of organization
©2012
"Small" SMEs "Large" SME's Fortune 2000 Fortune 500 Fortune 100
Solutions
Complexity of rapidly changing compliance landscapeComplexity of corporate/legal structureComplexity of content/contextComplexity of infrastructureComplexity due to sheer volume of information
CHALLENGES
©2012
Patriot Act
SEC 17a-4Title 21 CFR 11
MiFID
DoD 5015.2
Businesses care about:•Agility•Complexity
Social Media Promotes:•Sharing•Collaboration
Records Management is about:
•Governance
Records Management vs. Social Media vs. Business
©2012
9
•Complexity•Access to information•Insights derived from information•Speed and results
•Open-ness•Rapid access to Information
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.4
INFORMATION GOVERNACE
Enterprise Information Management
Governance, Risk Management, and Compliance (GRC)
Information Governance
ECM
IDARSLegal
Security
Regulation
©2012
Compliance (GRC) Governance
RM
FinancialReportingCompliance
Imaging Systems
Business Intelligence
Managing Risks
Records Information Management
SecurityOfficer
PrivacyOfficer
LegalCounsel Corporate
RM
ComplianceOfficer
BOD
CorporateIT
RiskOfficer
OtherOfficer
Retrieve Information?Capture Information?
LawsRegulations
Internal PoliciesBest Practices
Etc.
D t P i ?
Cost Governance?
POLICY: (e.g., Corporate Records
POLICY: (e.g., Corporate Records
Security?
Content Producers‐MS Office‐MS SharePoint‐ Alfresco‐ Business Applications‐ Social Media
Content Consumers‐MS SharePoint‐ Alfresco‐ Business Applications‐ Social Media
End Users End Users
l
©2012
Jurisdiction nJurisdiction COther JurisdictionsJurisdiction A
Data Privacy?
RecordsManagement?
Other Repositories
ECMSystem
RSD FoldersECM
System
Retention Schedule)Retention Schedule)
Federated RMFunctionality?
SocialMedia
Storage ILM?
Standard Metadata Definitions?
eDiscovery & Holds?
System Admin?
Lifecycle Event Sources‐ Business Applications‐ Processes
BusinessManagers
Events that impactinformation lifecycle?
Records Information Management
Physical documents
Electronic documents
Other typesof formats
‐ Paper‐ Film‐ Fiche
‐MS‐Office‐ PDF‐ Other
Web pagesSocial Media
Unstructured content(high volumes)
©2012
Types of Record Formats
Messages
Sections of large reports
Data in application databases
Data in data warehouses
‐MS Exchange‐ Lotus Notes‐ IM‐ Social Media
‐ AFP‐ PDF‐ Other
Entries in SQL Database
Entries in data warehouse
Structured content(very high volumes)
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.5
IG Function RM IT
Lifecycle of unstructured content
Responsibility RM Program and Records Retention Schedule (retention policies).
Often views RM as low priority and limited to paper & electronic documents.
Lifecycle of structured content
Often unaware/unable to manage lifecycle of this content.
Maintains control of its lifecycle.
EDiscovery and holds Limited scope to unstructured documents declared as records.
Gaining role conducting discovery within corporate repositories and producing them.
Data Privacy of content
Often unaware/unable to manage data privacy aspects of records.
Expects RM to manage privacy aspects of unstructured content. Often views privacy f t t d t t d t it
INFORMATION GOVERNACE
©2012
of structured content as data security.
Reduce Cost Limited visibility and leverage over topic.
Focused in reducing cost of infrastructure but lacks ability to optimize infrastructure costs versus IG SLAs.
Philosophy Organize information – cannot rely on search
Why organize, simply search.
Differences in Lingo
Archive Move content offsite when no longer needed.
Backup and recovery term.
Information Lifecycle Management
Manage retention/disposition of content.
Move content to lower cost storage tiers(Storage ILM).
INFORMATION GOVERNACE
Retention & Disposition
Lifecycle of Paper Record (Storage)
Other Lifecycle facets
LegalCounsel
RM
ComplianceOfficer
RiskOfficer
OtherOfficer
©2012
Record Attributes
Lifecycle of Data Privacy settings
Lifecycle of Security
Classification
Lifecycle of Electronic Record (Storage ILM)
Lifecycle of Metadata Groups
Lifecycle of Content Index
SecurityOfficer
PrivacyOfficer
IT
IT
IT
PrivacyOfficer
INFORMATION GOVERNACE
SecurityOfficer
PrivacyOfficer
LegalCounsel Corporate
RM
ComplianceOfficer
BOD
CorporateIT
RiskOfficer
OtherOfficer
Information Governance Steering Committee
©2012
Corporate IT:Manage corporate information and IT infrastructure
Corporate RM:‐Manage process of creating IG policies‐ Ensure that policies are up to date‐ Ensure policies are available to field personnel
Legal Counsel: Responsible for legal department within organization ‐must be able to act decisively regarding legal challenges that face organization.
Risk Officer:Manage risk matters within organization
Privacy Officer: Oversee and manage compliance with Privacy laws and regulations
Compliance Officer: Oversee and manage compliance issues within organization
Security Officer: Responsible for security matters within organizations, including data security
Other Officer: Other corporate officer
BOD: Board of Directors with primary responsibility for approving corporate IG policy
Other: Depends on organization.
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.6
INFORMATION GOVERNACE
Retrieve InformationCapture Information
Information Governance Policies‐ Retention and Disposition‐ Data Privacy‐ Discovery‐Migration across storage tiers‐ Standard Metadata DefinitionsOther
Information Governance Policies‐ Retention and Disposition‐ Data Privacy‐ Discovery‐Migration across storage tiers‐ Standard Metadata DefinitionsOther
Corporate IG Policies
Cost Governance
Security
Content Producers‐MS Office‐MS SharePoint‐ Alfresco‐ Business Applications‐ Social media
Content Consumers‐MS SharePoint‐ Alfresco‐ Business Applications‐ Social Media
End Users End UsersInformation GovernanceSteering Committee
SecurityOfficer
PrivacyOfficer
LegalCounsel Corporate
RM
ComplianceOfficer
BOD
CorporateIT
RiskOfficer
OtherOfficer
LawsRegulations
Internal PoliciesBest Practices
Etc.
©2012
Enterprise Information Governance Platform
‐ Other‐ Other
Jurisdiction nJurisdiction COther JurisdictionsJurisdiction A
DataPrivacy
RecordsManagement
Enforcement
IG Control & Admin
IG Policies
Enforcement
IG Control & Admin
IG PoliciesControl andAdministrationof lifecycle forALL information
Control andAdministrationof lifecycle forALL information
ECMSystem
Social media
RSD FoldersECM
SystemOther
Repositories
Storage ILM
Standard Metadata Definitions eDiscovery & Holds
System Admin
EDiscovery & Holds
BusinessManagers
Events that impactinformation lifecycle
Lifecycle Event Sources‐ Business Applications‐ Processes
Enforce lifecycle actions
Jurisdiction #1
Jurisdiction #2
INFORMATION GOVERNACERecords Information Management•Manual Retention Policy Methods•Policy remote Excel/Email/Paper/PDF•Unstructured documents•Retention policy ONLY•Little or no involvement of IT
File Plan
File Plan
File Plan
RecordsAdmin
RecordsAdmin
Manual RM
Manual RM
RMARMA
End User
File File File File
RetentionScheduleRetentionSchedule
RetentionScheduleRetentionSchedule
©2012
Conventional Corporate RM Program
Jurisdiction #n
Corporate RM
Manual Administrationof RIM Program
RiskOfficer
RecordsAdmin
LegalCounsel Corporate
RM
RecordsAdmin
CorporateIT
RecordsAdmin
RecordsAdmin
RMARMA
RMARMA
RetentionScheduleRetentionSchedule
Manual RM
Manual RM
Manual RM
Manual RM
Plan Plan Plan Plan
File Plan
File Plan
File Plan
File Plan
File Plan
File Plan
RetentionScheduleRetentionSchedule
RetentionScheduleRetentionSchedule
RetentionScheduleRetentionSchedule
RetentionScheduleRetentionSchedule
INFORMATION GOVERNACE
Jurisdiction #1
Jurisdiction #2
File Plan
File Plan
File Plan
File File File File
RecordsAdmin
Integrated Administration
Enforcement
IG Control & Admin
IG Policies
RecordsAdmin
End User
Strategic Information Governance•All facets of Information Lifecycle•Management of all forms of records•Policies in application integratable form•Direct involvement of IT & others
©2012
Information Governance Program
Jurisdiction #n
RRSRRS
RRSRRSRRSRRS
Plan Plan Plan Plan
File Plan
File Plan
File Plan
File Plan
File Plan
File Plan
Corporate RM
RecordsAdmin
Integrated Administrationof IG Program
Enforcement
IG Control & Admin
IG Policies
IG Policies
IG Platform technology deployed at CorporateRecordsAdmin
Enforcement
IG Control & Admin
IG Policies
RecordsAdmin
RecordsAdmin
Enforcement
IG Control & Admin
IG Policies
RiskOfficer
LegalCounsel Corporate
RM
CorporateIT
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.7
Automated Policy EnforcementCurrent Situation
INFORMATION GOVERNACE
RM
PoliciesControl & Admin
Data PrivacyPoliciesControl & Admin
Structured Content Repositories
Rules(Policies)
Corporate Information Governance Policies
Tools
Information GovernanceCorporate/Regional/JurisdictionalControl and Administration Processes
©2012
Size of bubbles not to scale
Next Generation IntelligentContent Addressable Storage Repositories Policies
Control & AdminRepository
IDARS
PoliciesControl & AdminRepository
ECM
Control & AdminRepository Policies
Control & AdminRepositoryeDiscovery
PoliciesControl & Admin
Tools(Control &Admin)
RecordsMgmt
eDiscovery
DataPrivacy
Other
AuditMgmt
Information RepositoriesRegional/Jurisdictional/Local
Tools(Repositories)
Content inCAS Systems
Content inIDARS
Content inData Whse
Content inECM Systems
PoliciesControl & AdminRepository
Leveraging Automation
©2012
Leveraging Automation
© 2012 H5
Automated classification can help Records Managers to: Find the data
Review the data
Uses of Automation
©2012© 2012 H5
Sort the data
Classify the data you need
Reduce the data you don’t need
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.8
Automation, chosen and customized with proper expertise: Can be used to decide what to keep and how to
categorize it– Better than people
Advantages of Automation
©2012© 2012 H5
p p– Faster than people
Can address: – Internal and external data– Data in motion
Increases likelihood of getting the job done
Consider the data stashes– Used for different purposes– Contain different content– Important for different reasons
Assess the information likely to be useful from each
Approach
©2012© 2012 H5
Assess the information likely to be useful from each data stash
– What types of information are important?– Whose data might contain that content?
What departments? What people?
Human Tagging– No desire to do it– Inaccurate– Inconsistent– Not exhaustive
Classification Quality with Automation
©2012© 2012 H5
Not exhaustive– Requires expensive training and documentation
Automated Tagging– Fast– Consistent, but…– Without expertise, results vary wildly
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.9
TREC Legal Track
National Institute of Standards & Technology Text Retrieval Conference (“TREC”) has a Legal Track designed to evaluate effectiveness of search technologies and methods
M bilit t id tif d t i t h th ti l
©2012
Measures ability to identify data responsive to hypothetical “topics” or “requests”
Open to the public (vendors, law firms, academics)
Uses publicly available data sets
Quality is measured in terms of “precision” and “recall”
© 2012 H5
TREC 2008 Interactive Task
Finding all relevant documentsis 100% recall
Finding only relevant documents is 100% precision
n=
corr
ect
hits
tota
l hits
©2012
Sponsored by National Institute of Standards and Technology. See TREC 2008 Legal Track Overview at http://trec.nist.gov/pubs/trec17/papers/LEGAL.OVERVIEW08.pdf (p. 37)
Points represent results after an adjustment to account for state of OCR in the test collection
_correct hits__ total responsiveRecall =
Prec
isio
n
© 2012 H5
1.0
0.8
0.6
Finding all relevant documentsis 100% recall
Finding only relevant documents is 100% precision
TREC 2009 Interactive Task
n=
corr
ect
hits
to
tal h
its
©2012
Sponsored by National Institute of Standards and Technology. See TREC 2009 Overview http://trec.nist.gov/pubs/trec18/papers/LEGAL09.OVERVIEW.pdf
0.2 1.00.80.60.40.0
0.0
0.4
0.2
Recall
Pre
cisi
o
_correct hits__ total responsiveRecall =
© 2012 H5
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.10
Richmond Journal of Law and Technology (2011)
___________________________
TECHNOLOGY-ASSISTED REVIEW IN
E-DISCOVERY CAN BE MORE
Search “superior to manual reviews”
“Of course, not all technology-assisted reviews (and not all manual reviews) are created equal. The particular processes found to be superior in this
“Of course, not all technology-assisted reviews (and not all manual reviews) are created equal. The particular processes found to be superior in this
©2012© 2012 H5
EFFECTIVE AND MORE EFFICIENT THAN
EXHAUSTIVE MANUAL REVIEW
Maura R. Grossman Gordon V. Cormack
processes found to be superior in this study are both interactive, employing a combination of computer and human input.” (p.48)
processes found to be superior in this study are both interactive, employing a combination of computer and human input.” (p.48)
XVII RICH. J.L. & TECH. 11 (2011), http://jolt.richmond.edu/v17i3/article11.pdf
A Better Search Results in Less Data
60 000
70,000
80,000
90,000
100,000
Non-Relevant
Relevant
Impact of calibrated filter over prior filter for every 100,000 records filtered
©2012
0
10,000
20,000
30,000
40,000
50,000
60,000
Starting Population:Contains
100,000 Documents
Prior Filter:Filters In
71,000 Documents
H5 Filter:Filters In
16,700 Documents
4,100 4,100 4,100
95,900
66,900
12,600
Calibrated Filter Filters in
16,700Documents
© 2012 H5
Search Myths
All search methods are created equal
All search tools are created equal
All search terms (queries) are created
©2012
(q )equal
No special expertise is required to search
© 2012 H5
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.11
Tools have different capabilities
Tools have different default setups
Most tools index the data to search it
Test the Tools
©2012
Most tools index the data to search it
Most tools don’t index everything
© 2012 H5
Types of search: Keyword/Boolean Concept Search
•Ontology BasedA l d/ h l ti hi (B i )
Test the Terms
©2012
•Analyze word/phrase relationships (Bayesian) Clustering (Bayesian)
•Auto-classifier•Near Duplicates•Predictive Coding
Experts know the strengths and weaknesses
© 2012 H5
Effective Search Methodology
Design Design Measure Measure accuracyaccuracy
Interview Interview subject subject matter expertsmatter experts
Develop and test the Terms Technology
©2012
Define Define targettarget Apply Apply to data to data Design Design queriesqueries
accuracyaccuracy
Linguists, Statisticians, Researchers, Attorneys, Project Managers, Computer Scientists
Knowledge Transfer Measurement Consistency
Sample data
© 2012 H5
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.12
H5 EDGE Classifier
Search Design Network
Define targetDefine target
Interview attorneys and Interview attorneys and subject matter expertssubject matter experts
Design queriesDesign queries
Measure accuracyMeasure accuracy2
3
Classifiers Classifiers
Effective Search Methodology
©2012
Client Network
1
5
Sample data4
4
Client/Archive
Client Infrastructure
Incumbent Engine
Hosted litigation Review platform
5
© 2012 H5
Search Realities
Search and automation is an expertise
Competency requires knowledge and process:– Tools: What’s the instrument? What is its
? ?
©2012
approach to processing? To indexing? To retrieval? What searches can it handle?
– Terms (search queries): What do you need to find? How do you craft queries? How do you test their effectiveness?
Quality requires expertise in the tools and the terms
© 2012 H5
Search Expertise Matters
“Whether search terms or ‘keywords’ will yield the information sought is a
li t d ti i l i th
“Whether search terms or ‘keywords’ will yield the information sought is a
li t d ti i l i th
©2012
complicated question involving the interplay, at least, of the sciences of computer technology, statistics and linguistics.”
complicated question involving the interplay, at least, of the sciences of computer technology, statistics and linguistics.”
United States v. O’Keefe,537 F. Supp. 2d 14 (D.D.C. 2008)
© 2012 H5
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.13
Measurement Matters
[TREC] can be expected to identify … reliable search and information retrieval methodologies and best practice recommendations, which, if adhered to, certainly would support
[TREC] can be expected to identify … reliable search and information retrieval methodologies and best practice recommendations, which, if adhered to, certainly would support
©2012
adhered to, certainly would support an argument that the party employing them performed a reasonable ESI search, whether for privilege review or other purposes.
adhered to, certainly would support an argument that the party employing them performed a reasonable ESI search, whether for privilege review or other purposes.
TREC: National Institute of Standards and TechnologyText Retrieval Conference Legal Track
Victor Stanley, Inc., v. Creative Pipe, Inc.,250 F.R.D. 251 (D. Md. 2008)
© 2012 H5
STRATEGIC INFORMATION GOVERNANCE CONCEPT
• IG Steering Committee: ► Develop and maintain IG policies and procedures in Organization
• Dynamically Refresh Information Attributes and Lifecycle:► Automate collection, certification and disposition of all information
• Assure Information Integrity:► Auditability, Transparency and Authenticity
• Maintain Future Efficacy:► Anticipatory and Flexible
©2012
Information Governance Steering Committee
RepositoryRepository
IG Enforcement Activities
IG Control andAdministration Activities
Local IG Policies (Jurisdictions)
ORGANIZATION IG Policies
Organization
IG Policies:‐ Retention and disposition‐ Data Privacy‐ Electronic discovery‐ Lifecycle of content‐ Lifecycle of content indexes‐ Lifecycle of metadata‐ Other
Jurisdictions & Legal Entities
IG Policies in Jurisdictions and Legal Entities
Business Units
Information created and utilized in Business Units controlled by IG Policies
Inspirational Leadership for Records Management
• Ambiguity is actually OK
• Take risks – go on a TRIP
• Challenge the status quo – try something different
• Find the value
©2012
39
proposition
• Elevate the conversation
Cohasset Associates, Inc.
NOTES
2012 Managing Electronic Records Conference 13.14
RIM FOR THE NEXT GENERATION: A CALL TO ACTION
QUESTIONS
©2012
All-Partner Teleconference | June 24, 2009MER Conference| May 9, 2012
Charles R. BoozInformation Governance, Inc.
Michael SalvarezzaLRN
Julia BrickellH5