ediscovery fedisa belgium
DESCRIPTION
Conférence donnée lors du séminaire fedisa belgium le 22/2/2011TRANSCRIPT
e-discoverySéminaire Fédisa 22 février 2011
11
Jacques FolonPartner Edge ConsultingChargé de cours ICHEC
Professeur invité Université de Metz
Administrateur Fedisa Belgium
Qui est certain que son organisation est parfaitement en règle et peut à tout moment identifier et présenter les documents nécessaires à se défendre en justice et est prêt à parier 12 bouteilles de champagne?
La présentation est en ligne sur
www.slideshare.net/folon
Table des matières
1. Situation actuelle
2. Un prérequis ECM
3. Ediscovery
4. Sedona principles
1. Situation actuelle
2. Un prérequis ECM
3. Ediscovery
4. Sedona principles
44
La situation actuelle: 1/de nombreuses
« machines »
55
2/ trop d’informations mène à l’infobésité…
66
Le contrôle
Quelles informations ?• Electronically stored information (ESI)• Documents scannés, fax• Textes (word, pages, et des anciennes
versions), tableurs, calendriers,• Emails entrants et sortant• Databases, sites web, blogs,…• Disques (centraux, locaux, pc, disques
externes, clés USB, …)• CRM, CMS• GSM et PDA• Time sheet, comptabilité• Messagerie instantanée• Voice mail • GPS navigation systems• Archivage externe• Metadata• Réseaux sociaux (privés et professionnels)
88
99
2. Un prérequis: electronic content
management
1010
www.aiim.org/training
Source : https://www.britestream.com/difference.html.
•Most of today’s records start out in electronic form– Letters– Emails– Faxes– Web transactions– Other
transactionsCopyright © AIIM | All rights reserved
The importance of records
Source: What is ERM www.aiim.org/training
Electronic records management
• The electronic management of paper records?
• The management of electronic records?
Question: Is ERM
Answer: Both
Source: What is ERM www.aiim.org/training
For each type of content, evaluate the degree of control that exists in your organization in managing it.
Content types and how well managed
All respondents (462)
Source: What is ERM www.aiim.org/training
ERMEffect
iveness
Contin
uity
Efficiency
Compliance
What are the main business drivers?
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Driver: Compliance
• LawsLaws• RegulationsRegulations• PoliciesPolicies• StandardsStandards• Good practiceGood practice
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Driver: Effectiveness
•Not losing records•Sharing records•Finding records easily•Getting the complete picture
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Driver: Efficiency
•Accessing records quickly•Space savings•Reduced handling costs•Other examples
– Archival costs – Disposal of furniture – Consumables
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Driver: Continuity
•Records are vulnerable to loss•Businesses tend to fail if they
lose their records•Electronic storage may
speed recovery from a disaster
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
The records lifecycle
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reserved
Source: NARA
Source: What is ERM www.aiim.org/training
Fundamental principles
•Records are created, received, and used in the conduct of organisational activities
•Organisations should create and maintain authentic, reliable, and usable records
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Access and usage principles
•Records should be accessible to authorised users
•Users should be able to search and access records in usable formats•Records should be organised
to support access and management
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Retention principles
•Records must be managed through their lifecycle
•Records should be kept as long as required– Statutory requirements– Legal requirements– Business or operational needs
•Retaining records longer than required may increase organisational liability
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Disposition principles
•Disposition is an accepted phase of the records lifecycle– Transfer/accession– Destruction
•Records should be disposed of at the end of the lifecycle
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
What is ‘Capture’
ERM System
Capture
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
The purpose of capturing records
Establish a relationship between the record and its context
Place the record into a controlled environment
Link the record to other related recordsAllow the record to be managed effectively
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Why not capture everything?
•Hard cost of storage•Volume of non-records to sift through
– Operationally – For legal or audit requirements
• Increased liability for disclosing too much
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
So, what is metadata?
•Metadata = “Data about data”– For a document or record this means data
such as its author, its title, the issue date, and other information which can usefully be associated with it
•Nothing new or unique•Defined in terms of units called
“Elements” or “Fields.”– Some support “sub-elements” or
“attributes”
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Perspectives on metadata
•Entering metadata is often called “indexing”
•Different users of an ERM system will have different views of what metadata can do for them, and what metadata is required– Business perspective– Records management perspective– User perspective
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Why is access control necessary?
• Ensure ‘systematic control’ and ‘credible evidence’
• Ensure authoritative records• Protect commercially sensitive
information• Protect personal
information• Limit access to protectively
marked information
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
The objects of user access rights
• Provide or limit access to specific classes,
files or records• Provide or limit access to features• Provide or limit access by security classification
– ‘Need to know’
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Retention periods - 1
•Capturing a record implies need for retention
•A record may be retained in different ways– ERM system– Software application– Separate electronic media– Paper
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
Retention periods - 2
•Records will vary in their intrinsic nature
•Some records may need to be retained for very long periods of time
•Other records will need to be retained for shorter periods
Copyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
The benefits of destroying records
• Keeping everything forever is expensive– Storage costs– Search and retrieval– Discovery
• Courts have held that there is no requirement to keep everything forever
• Destroying records reduces risk– When it is done consistently and in
accordance with the records programCopyright © AIIM | All rights reservedCopyright © AIIM | All rights reservedSource: What is ERM www.aiim.org/training
3. Après ERM => ediscovery
3636
Définition et contexte• L’électronique discovery, appelé aussi e-discovery ou
ediscovery constitue le procédé par lequel une donnée électronique est recherchée, localisée, sécurisée, identifiée afin qu’elle serve de preuve à charge ou à décharge dans un litige civil ou pénal.
• L'accès rapide aux informations contenues dans les documents est indispensable pour élaborer des stratégies gagnantes dans le cadre de contentieux juridiques.
• Il est souvent impossible ou il faut trop de temps pour accéder efficacement aux informations pertinentes dès le début du processus de découverte.
• De plus, les entreprises sont tenues de conserver et parfois de divulguer des données qui n'existent que dans des langues étrangères.
• Avoir les bonnes données au bon moment est critique.
• Les entreprises ont donc besoin de solution pour trouver très rapidement les documents requis quelle que soit leur langue.
3737Source www.systran.fr
1/information mgt
3939
2/ identification
4040
3/ préservation
4141
4/ collecte
4242
Collection is the acquisition of potentially relevant electronically stored information (ESI) as defined in the identification phase of the electronic discovery process. The exigencies of litigation, governmental inquiries, and internal investigations generally require that ESI and its associated metadata should be collected in a manner that is legally defensible, proportionate, efficient, auditable, and targeted.
5/ processing
4343
6/ review
4444
7/ Analyse
4545
8/ Production
4646
9/ Présentation
4747
GSA IT Quarterly Forum -- Aug 2007
4848
4/ The Sedona Principles: Best Practices Recommendations & Principles for Addressing Electronic
Document Production (Second edition, June 2007)
The Sedona Guidelines: Best Practices Guidelines &
Commentary for Managing Information and Records in the Electronic Age
(Sept. 2005)
4949
The Sedona Guidelines– Second work product of working group
– Draft published in September 2004 for public comment; published in September 2005.
– They are:• Important background and roadmap of issues
•Link between RIM, IT and Legal Perspectives
•Flexible, Scalable and Reasonable
– They are not:•Standards or minimum requirements
•Unchangeable
5050
The Sedona Guidelines
• 1. An organization should have reasonable policies and procedures for managing its information and records.
5151
The Sedona Guidelines• 2. An organization’s information and records
management policies and procedures should be realistic, practical and tailored to the circumstances of the organization.
5252
The Sedona Guidelines
• 3. An organization need not retain all electronic information ever generated or received.
5353
The Sedona Guidelines• 4. An organization adopting an
information and records management policy should consider including procedures that address the creation, identification, retention, retrieval and ultimate disposition or destruction of information and records.
5454
The Sedona Guidelines
• 5. An organization’s policies and procedures must mandate the suspension of ordinary destruction practices and procedures as necessary to comply with preservation obligations related to actual or reasonably anticipated litigation, governmental investigation or audit.
5. Conclusion
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RÖLE DU RESPONSABLE DE SECURITE
Sommes nous prêts à nous défendre?
5959
Jacques FolonJacques [email protected]
Je suis prêt à répondre à vos questions
Chargé de cours
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Blog www.privacybelgium.be
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