information analytics: know what is in your e-files to save millions and manage risk

Paragon Solutions, Inc. Proprietary

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Do you know what is stored in your organization’s e-files?

Is the information appropriate?

Is it searchable? Does it comply with

internal policies? What types of records

are managed? What information

needs to be retained and for how long?

Welcome to Information Analytics and Remediation Webinar


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Agenda

• Business Drivers

• About Paragon Solutions

• The Solution

• Use Cases and Demo

• Business Outcomes

• Questions


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Information Chaos

Of respondents have more than 50 discovery cases a year for regulatory or legal issues. 13% deal with more than 120 cases per year.

Of organizations have become more conscious of the business risks of poor information management and records keeping.

Of respondents are not confident that their electronic records have not been modified, deleted or inappropriately accessed.

In of organizations have undeleted records beyond their retention period have affected a court case, twice as often weakening it rather than strengthening it.

Have a hold policy for “electronic records”, only 35% include all active electronic documents.

Do not have any legal hold procedures, and a further 9% have a hold policy for paper records but not for electronic records.

AIIM 2011 – ECM State of the Industry 2011

57%

37%

26%

20%

55%

36%


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Records Management Drivers

What would you say were the two main reasons that triggered your

organization's decision to plan a Records Management system? (N=176 planning

or implementing)

AIIM Industry Watch: E-Discovery and ERM, 2010

0% 10% 20% 30% 40% 50% 60% 70%

Part of our planning for informationmanagement in general

Risk assessment against our complianceprocedures

Desire to reduce/rationalize our paperrecords storage

Advice from an auditor or regulator

Experience of a court case or investigation

Because SharePoint provides some RMfeatures as standard

Other


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Content Chaos is the Number One Driver

AIIM Industry Watch: E-Discovery and ERM, 2010

0% 10% 20% 30% 40%

Managing emails as records

Dealing with the content chaos in our file-share

Implementing a dedicated ERM system

Agreeing on a corp. classification scheme/fileplan

E-Discovery

Setting agreed corporate retention policies

Long term archive

Enterprise search

Back-conversion of existing paper records

Implementing records management in SharePoint

Managing high-volume application-created records

Integration of multiple repositories

Implementing Manage-in-Place

Managing social media content

Moving to a SaaS or Cloud model

Outsourcing email management

Outsourcing electronic records management

What would you say are the TWO most important ERM issues or current projects for you

right now? (N=550)


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Investigative Matter Management via EMC

Source One Kazeon

Unified solution that provides governance for electronically-stored

information (ESI) throughout its lifecycle as a record and enables

search, extraction, and production of relevant information for

regulatory, litigation, or other investigative purpose.

Feature •Proactive retention and disposition

•Version controls and document immutability

•Evidence/content hold and retention

•Evidence/ content tied to workflows and business processes

Benefit •Reduced information volume •Accelerated time to decisions •Unified information management

•Enables compliance, audit, and investigation security

•Reduced process cost and complexity


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Making Information Governance Actionable

with EMC

- SourceOne File Intelligence

- SourceOne eDiscovery – Kazeon - SourceOne Discovery Manager

- Documentum Retention Policy Services - Documentum Records Manager

- SourceOne for File Systems - SourceOne Email Management - SourceOne for Microsoft SharePoint


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Paragon Solutions’ Introduction

Corporate Facts • National Coverage

• Global Clients

• NJ Headquarters

• Dual-shore Development

• CAGR 20+%

• Privately owned, 29-year history

Paragon is an enterprise information management

solutions company that helps firms leverage information

assets to achieve better business results.


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A Preferred Partner of EMC

INSURANCE & HEALTHCARE LIFE SCIENCES FINANCIAL

Best IIG Solutions 2010 Digital Mailroom for Claims

HC Legal Contracts Management


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Paragon commits to investing in core competencies to create an integrated and client-

focused organization that anticipates the evolving needs of our clients’ business

priorities

Paragon’s Information Governance Competencies


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Questions on Your Mind

What unknown content resides on my storage systems

(File shares, collaboration applications, laptops)?

• Is the content appropriate?

• Is the content searchable and secured?

• Is there sensitive or confidential content?

Can the organization comply with internal policies?

What is the cost and risk of unmanaged content?

Do we have an archive strategy for information?

Can content without business value be safely deleted?

What information needs to be retained and for how long?


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What is the Solution? IARs

Information Analytics and Remediation (IARs)

• The systematic analysis and categorization of unstructured information

• Based upon inputs from corporate polices, records management, legal and Paragon

best practice

• Understand information value, evaluate risk, and ensure compliance.

Compliance

Litigation Costs

Auditing

IT Storage Increase compliance – identify unmanaged content not in alliance with your corporate records, legal or IT policies.

Decrease legal costs – data maps and ESI discovery, destroy legacy information past its value. Reduce length of time involved with discovery of responsive material.

Manage Storage --Understand how storage is being utilized


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IARs Use Cases

IT Storage utilization

Email Management and Interrogations

Decommissioning of Legacy systems

Consolidate Repositories

Identify high risk information across your

enterprise

Litigation Analysis

Early Case Assessment

Enforce Corporate Compliance

Disposition of legacy information/non records

Accelerate Records Management Program

Information Technology Legal Corporate Compliance

Seeks cost saving benefits

Seeks to have quick/accurate

responses for inquiries

Seeks consistent policy enforcement for acceptable use


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IARs Methodology

1. Assessment & Awareness

Assess current state business processes and information policies

Index content and gain intelligence as it is created, Build indexes (metadata & full text)

2. Analyze

Business Rules Driven Analytics - Classify files based on meta-data, keyword content and pattern matching (Age, owner, location, file type, etc.)

Business value, Legal, RM, security risk, intellectual property, PII, PCI

3. Reports

For example… Data Mapping; Custodianship; Ownership; Risk; Corporate Policy, Social Security Number, PII

4. Action

Policy based actions … Consolidate, Archive, Dispose, Manage, Tag, Litigation Hold


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IARs Process Flow

File Shares

Email Servers

Laptops and Desktops

Documentum

MS SharePoint

Enables educated decision-making and policy creation….supports the Records Management & Information Governance program development

3rd Party Archives

Information Areas

An

aly

tics

Business Rule Development: • Legal • Taxonomies • Operational

Rules • Records

Management • Corporate

Policies • Methodology

Records

Management

Archiving

De-dup

Current Info

Stores

Content Management

Centralized archiving

Consolidate Systems

Tag information/Collection/ Hold Management

Disposition

Clean up/Remediate

Assessm

en

t


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Records Management Program Acceleration

Use Cases

1. Records Management Remediation

– Identification, Classification & Tagging

2. Official vs Non Records

- Remediation of Copies

3. Litigation Response and

Preservation Support


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Use Case 1 – Records Remediation

Business Challenge

While many organizations may feel their

Records Management Program is robust

when applied to paper records, those same

organizations struggle with applying

policies to electronic records and

documents over file shares, document and

collaboration management systems, or

remote and office computers.

The challenge is to quickly identify records,

apply the right retention periods, and move

those records into the system of record and

under governance.


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Use Case 1 - Outcomes

Records Remediation Outcomes:

• Programmatically implement and enforce your Records Program

• Defined Business Process for Ongoing Information Analytics and

Remediation

• Graphical Charts of Non Compliance Risk Areas

Key Benefits

Current State Understanding

Gain insight into unmanaged

content

Reduce overall risk

Remediating action

Programmatic Enforcement

• Strategy Plan for Information

Governance (People, Process, Tech)


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Poll Question

Does your organization effectively manage unstructured data and disposition

in according to stated policies?

1 – High Confidence

2 – Medium Confidence

3 – Low Confidence

4 – No Confidence


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Use Case 2 – Official vs Non Records

Business Challenge

Documents are created in organizations

everyday. Documents are often emailed

to multiple recipients, reviewers, and

users of the information and stored

locally on personal computers or onto

shared drives where the official record is

never filed or declared.

Duplicate files lead to “information bloat”,

resulting in an increased risk for non-

compliance with records policies,

inefficient searching and increases in

expenditures in IT storage.


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Official vs Non-Records Outcomes:

• Programmatically implement and enforce Compliance Initiatives

• Current State Analysis of Policy Compliance

• Graphical Charts of Non Compliance Risk Areas

• Defined Business Process for Ongoing Compliance Auditing

Key Benefits

Current State Understanding

Remediate duplicates

Reduce overall risk

Programmatic Enforcement

• Strategy Plan for Information Governance

(People, Process, Tech)


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Poll Question

Where is your organization most at risk with unmanaged information?

1 – File Shares

2 – Remote Laptops

3 – Document Management Systems

4 – 3rd Party or Cloud Storage

5 – All of the above


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Use Case 3 - Litigation Hold Response and

Support

Business Challenge

A pharmaceutical company faced possible non-

compliance with regulations for drug labeling. It was

critical for the Records Manager to effectively support

this discovery requests. To that end, a repeatable and

defensible process needs to be deployed by the

organization to minimize the risk of:

• Spoliation

• Over-collection and costly review of documents

• Inadvertent release of privileged materials

• Adverse judgments for failure to produce

Litigation response plans enable the organization to

communicate:

• Scope of a Litigation Hold and manage responses

• Identify and manage custodians

• Identify a data map of Electronically Stored

Information (ESI) and repositories


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Litigation Hold Response and Support Outcomes:

• Ensures that both the collection and acquisition of data are

done in a defensible manner

• Discovery Response Plan

• Reduces expenses and mitigates risk throughout the litigation

support processes

• Aids the legal team in determining relevant custodians

Key Benefits

Repeatable, Defensible,

Documented Process

Early Case Assessment

ESI Data Maps

• Supports early case assessment

through heightened knowledge of data

volume and its location


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Poll Question

Do you consider your organization’s Litigation Hold and Litigation Readiness

Processes effective at protecting the organization?

1 – High confidence

2 – Medium confidence

3 – Low Confidence

4 – No confidence


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Building Consensus – Winning Strategies

with Multiple Stakeholders

Budget Building – Many stakeholders for ROI for projects

Legal Privacy

/Compliance

IT Records

Management

• Lowered cost for

eDiscovery, less risk

of over-producing,

faster Early Case Assessment

• Understand

where your PII

lives, take steps to reduce risk

• Lowered cost for

file share storage

by remediating

unneeded documents

• Apply retention

schedule to

electronic

records, comply

with published policies


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Questions?


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