Integrating garp e_discovery

Integrating GARP® With Your eDiscovery Best Practices

Steven C. Markey, MSIS, PMP, CISSP, CIPP, CISM, CISA, STS-EV, CCSK, CompTIA Cloud Essentials

Principal, nControl, LLCAdjunct Professor

President, Cloud Security Alliance – Delaware Valley Chapter (CSA-DelVal)

• Presentation Overview– GARP® Overview– eDiscovery Overview– Integrating GARP® With eDiscovery– Use Case 1– Use Case 2– GARP® Supplements

Integrating GARP® With eDiscovery

• GARP® Overview– What is it?

• Information Governance Framework

– Phases• Accountability• Transparency• Integrity• Protection• Compliance• Availability• Retention• Disposition

Integrating GARP® With eDiscovery

• GARP® Overview– Maturity Model• Level 1 – Sub-Standard• Level 2 – In-Development• Level 3 – Essential• Level 4 – Proactive • Level 5 – Transformational

Integrating GARP® With eDiscovery

• eDiscovery Overview– What Is It?• Electronic Discovery• Electronically Stored Information (ESI)

– Who Does It Involve?• People• Process • Technology

Integrating GARP® With eDiscovery

• eDiscovery Overview– People• Internal

– Records & Information Management (RIM)– Internal Counsel/Legal/Compliance– IT

• External– External Counsel– Consultants/Contractors

Integrating GARP® With eDiscovery

• eDiscovery Overview– Process• Generic• EDRM

Integrating GARP® With eDiscovery

• eDiscovery Overview– Technology

• Process-Focused– Presentation/Collection/Archival– Processing/Review/Analysis/Search

• Artifact-Focused– Collaboration (Email, IM)– Social Media – File Shares– Electronic Document/Content Management (EDM/ECM)– Telecom– Web Content Management (WCM)

• Deployment-Focused– Traditional – Cloud/Hosted

Integrating GARP® With eDiscovery

Source: ZL Technologies

Source: Symantec

Source: Symantec

Source: Kazeon / EMC

Source: EMC

Source: Algo Solutions

Source: Gartner

Integrating GARP® With eDiscovery

• eDiscovery Cloud Solutions– Software as a Service (SaaS)– Platform as a Service (PaaS)– Infrastructure as a Service (IaaS)

Integrating GARP® With eDiscovery• eDiscovery Cloud Solutions– SaaS• Social Media-Centric

– Arkovi– Archive-It– LiveOffice SocialArchive

• Comprehensive– Zantaz– Proofpoint Enterprise Archive– Microsoft Exchange Online Archive (EOA)– Symantec Enterprise Vault.cloud– EMC SourceOne – VARs/Resellers– Google Message Discovery (GMD)

Integrating GARP® With eDiscovery• eDiscovery Cloud Solutions– SaaS (Continued)• Comprehensive

– Sonian– Smarsh

Integrating GARP® With eDiscovery

• eDiscovery Cloud Solutions– PaaS• Various Platform Vendors

– Build e-Discovery Modules Leveraging Existing Platform» Not Much of a Market / Business Model » Re-Create the Wheel

– IaaS• Various Cloud Vendors

– Build eDiscovery Solution on IaaS Instance » Market / Business Model = All Cloud» Leverage Existing Licensing» Analogous to Hosting

• Integrating GARP® With eDiscovery– People

• RIM, Counsel & IT

– Process• Legal Holds/Litigation Response• Protection/Compliance/Retention/Disposition

– Technology• System of Origination

– ECM/EDM– WCM– Collaboration

• eDiscovery System– Presentation/Collection/Archival– Processing/Review/Analysis

Integrating GARP® With eDiscovery

Integrating GARP® With eDiscovery

Integrating GARP® With eDiscovery

Integrating GARP® With eDiscovery

Source: Metalogix StoragePoint

Integrating GARP® With eDiscovery

Source: Metalogix StoragePoint

Integrating GARP® With eDiscovery

• Integrating GARP® With eDiscovery– Technology (Continued)• Information Governance Tools

– ECM/EDM» SharePoint: » -AvePoint DocAve 6» -HiSoftware: Compliance Sheriff SP, Security Sheriff SP, Privacy» Documentum:» -Records Manager (RM)» -Retention Policy Services (RPS)» -Physical Records Services (PRS)» -Federated Records Services (FRS)

– WCM» Web 1.0/2.0: Active Navigation Discovery Center

– RDBMS» SQL Server 2008L Master Data Services

Integrating GARP® With eDiscovery

Integrating GARP® With eDiscovery

Source: DocAve

• Integrating GARP® With eDiscovery– Reality

• “It’s the economy stupid.” – lean budgets, project holds.• Change is difficult.• Keep all mentality pervades.

– OR, highest common denominator (retention requirements).

• Departments have different retention schedules.• Some organizations are more manual than others.• Some law cases take a LONG time.

– Concurrent investigations/lawsuits affect retention.

• Fads fade.– Lean Six Sigma in financial services. – Legacy (“old school”) mentality for leadership.

Integrating GARP® With eDiscovery

Integrating GARP® With eDiscovery

• Case Study 1– Background– Drivers – Technologies– Limitations– Risks– Lessons Learned– Next Steps

Integrating GARP® With eDiscovery• Case Study 1– Background• CIO Wants to Implement SharePoint – Nix File Shares• Financial Services SMB• Staff: IT, 6 FTEs; Compliance, 1 FTE

– Drivers• Compliance• Disjointed Processes/Inefficiencies

– Technologies• Email: Exchange Server 2010• EDM: SharePoint 2010• Discovery: Backups, Then Symantec Enterprise Vault 10.0

Integrating GARP® With eDiscovery• Case Study 1– Limitations• No Records & Info Mgmt (RIM) Program

– ARMA, GARP®….huh?

• Organizational Behavior/Culture• Budget• Skill-sets• Resources

– Risks• Stakeholder Buy-in• CIO Political Capital• Program Upkeep/Maintenance • Capital Expenditure Requirements

Integrating GARP® With eDiscovery• Case Study 1– Lessons Learned• Stakeholder Buy-in Was Huge• Don’t Forget the Fiefdoms• Healthy Dose of Skepticism

– Email Backups

• Those in the Trenches Were the Champions– Especially Internal Sales

Integrating GARP® With eDiscovery• Case Study 1– Next Steps• Iterative Implementation of SharePoint• Test eDiscovery Functionality• Implement Document Mgmt Training & Awareness• Publish Naming Conventions & RIM SOPs• Scheduled:

– Records Retention Schedule (RRS) Update– Records Clean-out– GARP® Self-Assessment

Integrating GARP® With eDiscovery

• Case Study 2– Background– Drivers – Technologies– Limitations– Risks– Lessons Learned– Next Steps

Integrating GARP® With eDiscovery• Case Study 2– Background• RIM Program Dealing w/ Multiple Mergers & Acquisitions• Mid-sized Pharmaceutical (Manufacturing & Sales)• Staff: RIM, 1 FTE w/ Other Responsibilities

– Drivers• Resource Limitations• Limited Domain Knowledge• Disjointed Processes/Inefficiencies

– Technologies• Email: Exchange Server 2008• EDM: SharePoint 2007• Discovery: Backups, Then Symantec Enterprise Vault 9.0

Integrating GARP® With eDiscovery• Case Study 2– Limitations• Currently in Litigation Response• Program Conflicts:

– Priority– Budget– Interest

• Organizational Integration• Disjointed Processes

– Risks• Compliance• Program Upkeep/Maintenance • Operating Expenditure Requirements

Integrating GARP® With eDiscovery• Case Study 2– Lessons Learned• Selling Process Improvement Was Huge

– Process Workflow– Litigation Response– Archiving

• Sell the Program Too– Use by Competitors– Use by Smaller Organizations– Maturity Through GARP®

• Don’t Forget the Fiefdoms– Need Decentralized Support Though

• Healthy Dose of Skepticism– Verbal Promises

Integrating GARP® With eDiscovery

• Case Study 2– Next Steps• Deploy Email Policy• Implement GARP® Training & Awareness• Scheduled:

– Records Clean-out– GARP® Self-Assessment– Integrated Litigation Response Test

» Offsite Archiving Vendor» Benefits Administrator» Payroll Administrator

• GARP® Supplements– Generic– IGRM– MIKE2.0

Integrating GARP® With eDiscovery

Source: EMC

• Presentation Take-Aways– Know Information Governance (e.g. GARP®)– Know eDiscovery– Learn To Integrate The Two Through:–People–Processes–Technologies

Integrating GARP® With eDiscovery

• Questions?• Contact– Email: steve@ncontrol-llc.com– Twitter: @markes1, @csdadelval2011– LI: http://www.linkedin.com/in/smarkey– CSA-DelVal: http://www.csadelval.org/