Proactive Information Management and eDiscovery Using eDiscovery to Streamline the Compliance Opportunity Proactive Information Management and eDiscovery Andrew M. Cohen, Esq. AGC and Vice President, Compliance Solutions

eDiscovery and Policy-Based Management of Information Using eDiscovery to Streamline the Compliance Opportunity eDiscovery and Policy-Based Management of Information eDiscovery, records management and security are colliding (sides of a coin) Driven by costs and risks Changes to the Federal Rules of Civil Procedure Business imperative to do what we should have been doing all along – policy managing information and deleting it when it has no further value th changes planned to Federal court rules and heightened scrutiny from Regulators, an effective eDiscovery response plan is now a critical business requirement. However, many organizations lack the technology and processes to pro-actively manage information to support eDiscovery requirements. As a result, they are frequently forced into a reactive posture, paying a high price to manage an inefficient and time-consuming process fraught with risk.

Comprehensive Compliance Infrastructure Using eDiscovery to Streamline the Compliance Opportunity Integrity Compliance Services Vertical regulatory compliance Information protection & security Corporate policies and best practices Policy Management Practical classification and “defensible deletion”. Information Protection & Security Good business practice – critical for organizations with private, proprietary and sensitive information Security Discovery & Litigation Preparedness Mitigate risk and expense through proactive and voluntary measures. Accessibility COMPLIANCE INFRASTRUCTURE Records Management Controlled Lifecycle Enforcement Retention Policy Management Digital Shredding Controlled Printing Electronic Signatures Audit Logs Access Control Content Encryption Enhanced Auditing eDiscovery Information Rights Management SAFE Digital Signatures Rendition Control Security Archiving That is a small sampling of the many compliance services the EMC’s compliance infrastructure has to offer. I’d like to summarize what we covered today. We talked about the three pillars of compliance and that an effective compliance platform must have capabilities and functionality that address Integrity, Security and Accessibility. We also went through EMC’s ECM strategy and how inherent in that strategy is a compliance infrastructure. We have a comprehensive set of compliance services ranging from records management, archiving, protection and security to eDiscovery. All this is provided on a unified content platform, and I can’t stress this point enough in terms of its significance to customers. There are significant benefits resulting from lower cost of administration, lower cost of deployment, and lower cost of ownership. Documentum is recognized by analysts, such as Gartner, as well as customers as having the most comprehensive offering on the market. We have deep roots in compliance and are considered one of the most secure and most compliant environments in the industry. MULTIPLE CLIENT ACCESS POINTS RICH SET OF CONTENT SERVICES ALL CONTENT TYPES

Principles for Pro-active Information Management Using eDiscovery to Streamline the Compliance Opportunity Principles for Pro-active Information Management Pro-active Information Management Policy Enforcement Content Classification Information Inventory Top-down inventory of your information assets Prioritize: Identify areas of highest risk and concern Simplify existing retention policies; incorporate reasonable, repeatable, cross-functional business process for retention, disposition, and discovery Implement an enterprise information lifecycle management strategy broken into digestible pieces: Build pro-active eDiscovery efficiencies into the IT infrastructure Separate backups from archive Continuous improvement EMC’s proven expertise and documented service methodologies are central to every EMC Services engagement. EMC Services professionals apply experience, expertise, and best practices from countless engagements to enable a pro-active response model that delivers cost savings, risk reduction, and increased responsiveness for current and future litigation events. Shown here are some of the foundational principles EMC recommends be followed when an information lifecycle management strategy is applied to achieve eDiscovery objectives.

Record classification and retention Using eDiscovery to Streamline the Compliance Opportunity Record classification and retention Non record content Short retention Enforced deletion Referential/Productivity Modest retention Policy services Record Official business record Longer term retention

Federal Rules (Over) Simplified Using eDiscovery to Streamline the Compliance Opportunity Federal Rules (Over) Simplified ESI Transparency Meet and Confer Accessible v. Not Reasonably Accessible Good Faith The rules are causing companies to do what they knew needed to be done all along – policy manage information, classify it, treat it as an asset, and then get rid of it when it has no further value because the failure to do so has become risky and expensive.

Using eDiscovery to Streamline the Compliance Opportunity Source: www.edrm.net

Using eDiscovery to Streamline the Compliance Opportunity Traditional Process – Flow of Data Using eDiscovery to Streamline the Compliance Opportunity Data flow marked by inefficiencies, redundancy and lack of control . . . Review Sets (copy) Prod Sets (copy) Scanning & Processing Unmanaged Sources of Data Email File Shares Laptops Paper Other Systems Handoff Collect Outside Vendor Review Sets Prod. Sets Concordance / Summation Production: Cover letter & responsive info. IT Infrastructure Legal / IT “Case Rooms” Outside Counsel Opposing Entities Corporation Outside Entities

Using eDiscovery to Streamline the Compliance Opportunity Evolving eDiscovery EcoSystem & Model Using eDiscovery to Streamline the Compliance Opportunity Longer Term, corporations will further leverage their matter vault and online enable that repository for legal review and possibly production . . . 1 2 3 Secure Matter Repository & Workflow Tools Attorneys Automated Search & Collection Tools Online Review Policy-Management Tools Legal Review Corporation Investigation & Initial Discovery Activity Investigators & In-House Lawyers Outside & In-House Attorneys

Using eDiscovery to Streamline the Compliance Opportunity