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Successful Implementation of Records Management Workshop
April 18, 2012

Automating Information Lifecycle Governance
Tom Utiger
ILG Competency Leader, GBS North America

© 2012 IBM Corporation

My Background

 Grew up in Las Vegas
 UC Berkeley - Physics
 Random IT jobs
 Videogame developer – My company
 ECM / ILG
– Pacific Gas & Electric
– Charles Schwab
– ZANTAZ – email archive startup
– Data Empowerment Group – My company
– IBM

 First Records Management Job
– Microfilm Tech – Clark Country Records Department

2 © 2012 IBM Corporation

IT Spend Outpaces Revenue

IT Spend Growing Faster than Revenues
CIO in Hostage Situation

Data growth is unmanageable Budget eroded by waste

Federal evidence
rules extended to
electronic data;
“save everything”

2006 2008 2010 2012
 Company data volume increases 875% in 5 years
 Data management costs exceed $1B annually with
volume


Our Customers Find Data Growth Outpaces Storage Budget and
Business Processes
Run rate costs rise continuously, consume more of Information growth has out paced information governance processes
budget
Storage: Direct Procurement Costs in Millions

Governance processes have not matured to reflect
volume, specifically how to:
 Define and execute legal holds and data collection (A-F)
 Apply retention schedules to electronic information (G,H)
 Align storage and manage information based on specific legal
obligations and business value [I]
 Provision, decommission and dispose of data [L,M,N]

This leads to excess data and cost as well as
High Risks & Mitigation Burden operational challenges that in turn contribute to risk:
Difficulty disposing of unnecessary data
Complexity in applying legal holds
Inefficiencies in data management and governance

15 governance processes impacted by high data volume such as placing holds, collecting
evidence, decommissioning systems and their inherent risks, represented in A-O.


IBM’s Information Lifecycle Governance Strategy Lowers Costs and Risks,
Addresses Root Cause for Systemic Improvement

Curbs storage growth, lowers run rate permanently Program leadership, process improvement and technology from IBM

Storage Direct Procurement Costs
Information Lifecycle Governance Program
Run rate reduction and growth avoidance  Executive charter for enterprise initiative
Run rate  Processes, capabilities and accountability to achieve cost and risk
reduction benefits through

Process improvements, expertise and technology:
Value-Based Archiving & Defensible Disposal
 Archive to shrink storage, align cost to value
 Dispose rather than store unnecessary data

Estimated Risk or Mitigation Burden Reduction
Extend and automate retention management
 Include electronic data that has business value in addition to
records for regulatory requirements
 Automate retention schedules across all information to enable
reliable, systematic disposal.

Automate the legal holds and ediscovery process
 Structure and automate legal holds process to lower risk,
increase precision, enable disposal
 Analyze in place to reduce unnecessary collection, processing
and review


Silo Processes Are Misaligned:
Holds & Retention Don’t Tie to Asset

DUTY VALUE DUTY Schedules
documented by
Legal holds defined by record class
employees involved
Covers regulated
Departmen Laws &
Matter information and may not
Thousands of legal t Regs encompass business value
matters a year
Web site for employees
Thousands employees and IT, reliance on
subject to hold, but employees to manage
relying on IT to preserve records
data
ASSET Insufficient or unauditable
Notices sent to employees Retention location for electronic
Hold
directly; records and IT Schedule records
not informed
Systems
High legal (review) cost a
function total information
volume

Information

IT has most of the data 800% or more data growth in 5 years – but budget needs to come down
organized by asset code --
but no visibility to legal Unaware that legal risks and responsibilities have been shifted to it
duties or business value No link between legal obligations (holds), records, business value and servers or
information


A Billion Choices for IT, None of Them Actionable

LEGAL BUSINESS 27,000 departments 6500
RIM laws
15,000
300,000 people

DUTY VALUE DUTY

Departme Law or
Regulation
Matter nt

642 codes
12,000
5,000 IT

Retention
Schedule
Hold

System

How can IT clean up legacy How does IT efficiently determine
data, retire applications and which of 15,000 legal obligations apply
optimize without creating 10 to which departments, employees and
new legal risks? PB information assets?
Information
(Content itself)


Breakthrough Solution for CIOs

1 2 3
Link Value & Clean Up Legacy Assess Risk &
Obligations to Data & Retire Allocate Resources
Assets Applications Efficiently

Align IT investments Dispose of Reduce total cost of
with information unnecessary data, compliance and
needs and value eliminate reduce risk mitigation
unnecessary cost costs
and risk


Governance improvements and outcomes

1. Significant cost savings
Save Money: the CIO and GC need
Save Money: Save Money: Reduce Risk:

Dispose of Remove and Manage Improve
unnecessary reduce legal information compliance 3. Fundamental
information costs by value process rigor improvement in
information
management practices


The Results: Case Study at Global 3 Pharma
A global program to manage electronic
information better:
• Dispose of unnecessary data promptly $300 million savings
• Store and retrieve information easily and promptly for
business use
• Consistently store and identify Company records
• Meet regulatory and legal requirements related to
information
Which requires policies, procedures and
systems to:
• Legal hold and discovery case management system
that significantly reduces the business and operational
disruption required to meet legal obligations
• Policies that comprehensively address Privacy,
Information Security, Records Management and Legal
requirements
• Procedures and systems that increase efficiency of
record keeping and data retrieval for business users
• Systems that support and streamline end-user
management of information needed for daily tasks
and official Company records

10

The day of reckoning is here as illustrated by a
client case study

Estimated Cost Savings on Storage Only Financial Benefits
Storage H/W OpEx 2011: 2014 ($ M)

$27m benefit in 2012



$132m over 3 years

CIO Achieves Cost Reduction Goals
Value-Based Archiving & Defensible Disposal Change Storage Growth Trajectory


THE SOLUTION


Very Simple Savings Proposition: Dispose of
Unnecessary Data

Enterprise
Information


Interplay Between ILG and eDiscovery
(What you retain and archive will show up in ediscovery)

Cut volume
to cut cost

Cut volume
to cut cost


Align Information Management with Information Utility for
Transformative Results

Policy and Process Integration Across Information Operationalize Program and Drive Business Outcomes with
Stakeholders Enables Disposal, Lowers Cost and Risk Structure, Defined Processes, Metrics Accountability

1. Executive Sponsorship
Charter, directive and accountability for enterprise program

2. Metrics and Routine Measurement
Defined dashboards with quarterly visibility on cost and risk
reduction targets, operational progress and capacity

3. Program Office Coordinates across Stakeholders,
Drives Achievement
Ensures cross-silo engagement and progress toward maturity
targets and financial objectives, change management

4. Delegates and Practice Leaders from IT, Legal,
Records, and Business Mature Processes
Process implementation, audit readiness, capacity
recommendations to leadership

5. Technology Provides Capacity to Mature, Integrate
and Enable
Automates processes and ensures transparency, provides
essential capacity


IBM Solution
Summary Stakeholder Capabilities
PROCESS TRANSPARENCY CREATE, USE
Unified Governance Optimal accessibility
Transparency across stakeholder Communicate value and duration
processes
Tap governance liaisons
Common governance data model and
Access valuable information more easily
enterprise map
Linkage of duties, value to information Analytics on volume/cost of information
assets and business processes
Governance analytics

HOLD, DISCOVER STORE, SECURE
Rigorous Discovery
Efficient Storage
Robust, affirmative legal holds
Store and optimize by value
for people, records, and data
Meet SLAs for structured and
Preserve in place automation
unstructed information access
where disposition occurs
ILG execution capability and
Efficient data analysis and
enablement (holds, retention, disposal,
collection
collection) for data
Legal cost and risk analytics
Data hygiene and governance
RETAIN, ARCHIVE
DISPOSE
Value-Based
Defensible Disposal
Taxonomy and regulatory requirements
Catalog of information value and duty by asset
Business value inventory
Legacy data clean up, application retirement
Reliable, executable retention schedules for
Procedures and capabilities for disposal by source
records and information of value
Archive during period of value only Risk and cost dashboard for information portfolio
Information cost and risk analytics

Logical Reference Model


Systematically Link Legal, Regulatory and Business Decisions to
Data Management

DECISION MANAGEMENT
Unified approach to decisions
on what information to
preserve, retain, archive,
protect and delete.

EXECUTION AUTOMATION
Efficient, automated execution
of legal holds, retention and
disposition on file shares,
records, and application data

Syndicated policy to native
sources for execution or collect
data to manage by value and
dispose of unnecessary data


Example Solution Components
IBM Atlas eDiscovery Process Management IBM Global Retention Policy and Schedule
Legal Matter Management
Management for Legal, IT and Employees
(Legal Holds and Collections) (Retention Policies, Schedules, and Privacy)

IBM Disposal and Governance Management
(Governance and Disposition)

Policy Syndication (Legal Holds, Collection Instructions, Schedules)
Case
Legal Hold
Parameters
IBM eDiscovery Manager Evidence Collection
and eDiscovery Analyzer
Connector Retention & Privacy
Evidence Management and
Assessment Disposition

IBM Enterprise EMC Records
Records Migrate Manager IBM Optim for Data
Growth
Physical Records + +
(Structured Data Archive)
IBM FileNet P8 EMC Documentum

IBM Classification Module, IBM Content Collector, IBM Records Federation Services

Structured and Unstructured Sources (Symantec, SharePoint, Oracle, etc.)


ILG Risks Embedded in Business Processes
2.21
Process Risk Posed by Process Failure
Employees on Legal
A Custodians are not identified and potentially relevant information is inadvertently modified or deleted
Holds
B Data on Legal Hold Actual, rogue or IT managed data sources missed in hold execution, potentially relevant information is inadvertently modified or deleted

C Hold publication IT or employees migrate, retire or modify data because they lacked hold visibility

Dynamic, diverse Information facts not considered in preservation and collection planning, data is overlooked; no follow through on information identified
D Legal Interviews
in custodian interviews

E Evidence Collection Collection failure from overlooked source, departing employee, incomplete prior collection inventory, communication and tracking errors

Evidence Analysis & Cost Material issues in dispute are poorly understood until after strategy established and expenses incurred. Excessive data causes litigation costs to exceed
F
Controls dispute value

Unable to readily assemble, understand or defend preservation and discovery record. Failures in custodian and data source management. Preservation,
G Legal Record
collection detected long after occurrence and cause unnecessary remediation cost and risk

Master Retention Company is unable to comply or demonstrate compliance with its regulatory record keeping obligations. Disparate nomenclatures for records make
H
Schedule & Taxonomy application of retention schedules/procedures difficult to apply and audit.

Departmental IT ‘saves everything’ which increases discoverable mass, complexity and legal risk; IT disposes of information of business value undermining enterprise
I
Information Practices operation. Procedures for retention/disposal difficult to articulate and defend and unapplied by LoB.
Privacy & Data Access, transport and use limitations are not understood by employees with information custody or collections responsibility and customers or employees
J
Protection rights are impacted

Data Source Catalog & The type and nature of data in a system or process is poorly understood, leading to incomplete or inaccurate application of retention, preservation,
K
Stewardship privacy, and collection and disposition policy.

Systems are unable to comply with or execute defined procedures for retaining, preserving, collecting, protecting and disposing of information, exposing
L System Provisioning
the company to significantly higher costs and risks

Disposal & IT is unable to dispose of data and decommission systems causing significant unnecessary cost and risk; IT improperly disposes of data causing
M
Decommissioning unnecessary risk and legal or business expense

Legacy Data IT is unable to associate data with business stakeholders or ensure legal duties are met, leading to oversight in collecting evidence and unnecessary legal
N
Management and operating costs

Storage is over-allocated, misaligned with business needs and consumes unnecessary capital; IT is unable to reclaim storage and eliminate cost after data
O Storage Alignment
is deleted causing unnecessary cost.
Unable to demonstrate reasonable efforts to establish and follow governance policies and procedures increases sanctions risks, penalties and judgments
P Audit
20 and erodes customer trust © 2012 IBM Corporation

Example Program Roadmap and Workstream Approach
Program 2012 2013 & the future
Work 1Q 2Q 3Q 4Q
Streams Steering Committee

Infrastructure Program
Roadmap Program Governance & Project Management
and
Program
Deployment
Management  Size/Scale Architecture  Establish/Advise Steering Committee  Guide Change Management topics
 Detail Planning  Engage leadership, shared metrics to build momentum  Orchestrate Communication Plan
 Work Stream Roadmap  Monitor cost take-outs  Provide Oversight & Coordination of Project Workstreams

 Deploy policy automation and classification methods
Archive Structured & Unstructured Data Repositories to repositories (using reference configurations) as
Foundation Staging Archive Factory appropriate to business process objectives
 Source app assessment  Configure tools for  Ingest existing target  Decomissioning files, apps, servers
Elaboration
Archival &  Deploy repositories with configuration, policy
 Specify archive adding new data sources apps
Disposal requirements and alerts to IT staff  Archive next X apps automation, and classification methods
 Establish Archival Factory  Define report/dashboard  Target Source Inventory
process  Design/Stage/Config  Archive and Monitor Defensible Disposal & Monitoring
 Define roll-out plan  Model/Test Archive  Handle errors and
 Define Data Policy for  Rollout First apps exceptions  Monitor compliance & data volumes
Back-up/Archive/Disposal  Archive first Systems  Complete Move to Tiered quantitatively, report & dashboards
 Setup tools/environment Storage architecture  Transition Archiving to Client staff

Legal Hold & Collection Modernization Legal Hold & Collection Automation

E-Discovery  Design & Specify eDiscovery  Import existing holds  Define Legal Hold &  Installation of enforcement technology
 Establish roles, workflows, Collection Connector for  Implement hold & collection
Future state
 Install &Configure Legal templates for legal, IT and Structured Sources connectors to ECM repositories
RIM teams  Define Legal Hold &  Audit & Monitor automatic hold &
Holds and Collections
 Role Based User Enablement Collection Connector for collections of email, files & structured
Unstructured Sources data

RIM Modernization US Disposal Schedules Global Disposal Schedules
Records and  Design RIM Future state  Configure Solution for assessments,  Configure Solution for assessments for  Configure audit reports
 Configure Retention bulletins, questionnaires, dashboards Global Records Liaisons & LOBS and audit workflow for
Retention Policies/Schedules  Configure Solution for systems inventory:  Installation of enforcement technology program audits
 Ingest US Schedule legal metadata and attributes, categorization  Implement schedule propagation to  Refine analysis reports to
codes, citation  US Records Coordinators define & map reference repositories detect additional risk/cost
references records & non-records to data source  Implement change management and savings
 Setup records coordinator  RIM Program team audits & updates periodic re-assessment process across
network results record coordinator network


Contact Information
Tom Utiger
tom.utiger@us.ibm.com


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