Ediscovery Fedisa Belgium

e-discoverySéminaire Fédisa 22 février 2011

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

La situation actuelle: 1/de nombreuses

« machines »

2/ trop d’informations mène à l’infobésité…

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)

2. Un prérequis: electronic content

management

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

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

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)

ERMEffect

iveness

Contin

Efficiency

Compliance

What are the main business drivers?

Driver: Compliance

• LawsLaws• RegulationsRegulations• PoliciesPolicies• StandardsStandards• Good practiceGood practice

Driver: Effectiveness

•Not losing records•Sharing records•Finding records easily•Getting the complete picture

Driver: Efficiency

•Accessing records quickly•Space savings•Reduced handling costs•Other examples

– Archival costs – Disposal of furniture – Consumables

Driver: Continuity

•Records are vulnerable to loss•Businesses tend to fail if they

lose their records•Electronic storage may

speed recovery from a disaster

The records lifecycle

Source: NARA

Fundamental principles

•Records are created, received, and used in the conduct of organisational activities

•Organisations should create and maintain authentic, reliable, and usable records

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

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

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

What is ‘Capture’

ERM System

Capture

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

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

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”

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

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

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’

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

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

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

3. Après ERM => ediscovery

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

Ediscovery model

3838Source for the next 9 slides: http://edrm.net

1/information mgt

2/ identification

3/ préservation

4/ collecte

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

6/ review

7/ Analyse

8/ Production

9/ Présentation

GSA IT Quarterly Forum -- Aug 2007

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)

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

The Sedona Guidelines

• 1. An organization should have reasonable policies and procedures for managing its information and records.

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.

• 3. An organization need not retain all electronic information ever generated or received.

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.

• 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

RÖLE DU RESPONSABLE DE SECURITE

Sommes nous prêts à nous défendre?

Jacques FolonJacques FolonJacques.folon@ichec.be

Je suis prêt à répondre à vos questions

Chargé de cours

Partner Auteur

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www.edge-consulting.biz

Jacques.folon@edge-consulting.biz

Administrateur

Ediscovery Fedisa Belgium

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