2. 2 About Doculabs
Quick Facts
• Founded in 1993
• Headquartered in Chicago
• Privately held
• Delivered more than 800 ECM engagements to
more than 450 customers
Doculabs is a consulting firm that helps organizations develop sound technology
strategies for content- and process-related applications.
Our engagements focus on helping clients leverage their existing ECM investments
on a broader enterprise basis through objective analysis and in-depth market
knowledge.
This approach is based on our fundamental belief that in order to protect a client’s
long-term interest, technology advisors should not be implementers.
3. Doculabs’ Core Competencies
ECM Strategy
…determine a short-term, mid-term and long-term
strategy for information management?
ECM as a Shared Service
…enable ECM as a shared service for broad based and
rapid adoption in a cost efficient manner?
Customer Communications
Management
…develop an effective customer communications
strategy for interfacing with clients in a personalized
manner?
Digitization/Process Automation
…build a digitization and process automation
framework to assist organizations in strategic business
objectives such as outsourcing, etc.
SharePoint Co-existence
…leverage the capabilities of SharePoint, but still take
advantage of advanced ECM capabilities?
eDiscovery and Compliance
…create a litigation readiness framework to ensure
minimization of exposure and cost efficiencies by
enabling eDiscovery?
Economic Justification/Financial
Analysis
…build an economic model to track and measure the
impact of ECM technologies in my organization?
4. IOD Event
IOD Sessions – Doculabs Moderated Panels
BVI #2624 - Monday 2:45, compliance and e-discovery
Conseco
Prime
Comerica
BNS 2667 – Tues. 9:45, insurance industry
Aon
Northwestern Mutual
Travelers Insurance
BVI 2579 – Tues. 11:00, collaboration tools and ECM
Aon
Medco
Mass Mutual
4
6. Increasing Public
Demand for Information
Responding to Increasing
Federal Rules of Civil
Procedure Demands
Deficient Policies,
Procedures, and
Processes
6 Key Compliance-Related Issues
Poor
Information
Organization
Uncertainty of
Settlement Risk
Exorbitant Litigation
Discovery Costs
Current Focus on
Point Solutions
Increasing Oversight
Under- or Misuse of
Technology to Help with
Compliance Problems
7. What is the Overall Challenge:
7
Organizations face an overwhelming challenge in delivering data for
Litigation, Audit, and Regulation. Proper preparedness eases this challenge.
l Model
l Process
l Tools
· Project Planning
· Collection Planning
· Data Collection
· Data Assessment
· Data Loading
Matter
Specific
Data Set
(MSDS)
“Preservation”
Matter
Review
Data Set
(MRDS)
“Review”
Matter
Production
Data Set
(MPDS)
“Production”
l Model
l Process
l Tools
· Data Analysis
· Data Culling
· Review Planning
· Data Hosting
· Data Review
l Model
l Process
l Tools
· Data Production
· Matter Management
· Evidence Analysis
· Testimony
Organizational
Enterprise
Data
Set
(OEDS)
Pre- and Post Trigger Services Work Together to Provide Overall Efficiency
Litigation
Trigger
Source: Daticon EED
8. 8 Compliance Market Maturity Curve
Tactical
Characteristics
Laggards Majority Leaders
Strategic
• Look at compliance as
strategic initiative
• Have a compliance architecture
or technical framework
• Strong balance of technology
and process excellence
• Have clear rules for RM
policy
• Have an automated
eDiscovery process
• Strong master classification
plan and robust taxonomy
• Have a repository inventory
identifying all of their high risk
records
• Actively managed enterprise
wide records policy and up to
date retention schedule
• Chief compliance officer and
active governance committee
setting and enforcing policies
• Deal with compliance and
eDiscovery processes
manually
• No processes identified for
being sufficiently compliant
• Try to manage email by
limiting size of mailboxes
• Absence of policies and
procedures related to records
• No prioritization and role
conflict resolution guidelines in
place
• Lack of a good taxonomy
and master classification
plan
• No comprehensive records
schedule
• No corporate wide privacy,
security and retention
governance body.
• Point solutions for compliance
automation
• Strong policies and procedures
identified
• Processes that need tracking and
monitoring well defined
• Email management identified as
a problem; no clear solution
• Strong master classification plan
and robust taxonomy
• No effective strategy for search
• No overall framework for
compliance
• Inadequate business unit and
central records schedules in place
• Chief compliance officer in place
9. 9 Growth of Discoverable Content
Paper Records
Electronic Documents
E-Mail
Web Content
Types of
Discoverable
Content
Instant Messages
Web 2.0
Audio/Video
10. 10 Common Types of Discovery
Type of
Discovery
Type of Request
Predictable Unpredictable
Internal Scheduled Internal Audit Human Resources Issue
Regulatory
Certification/Licensing;
Market Conduct Exam
Due Diligence (Merger
Review); Investigation
Litigation Not Applicable Lawsuit
12. 1 Good E-Discovery Programs and Technologies Save Big Money
$-
$5,000,000
$10,000,000
$15,000,000
$20,000,000
$25,000,000
$100,000 $225,000 $350,000 $475,000 $600,000
15% 30% 35% 40% 50%
Expected
Annual
Savings
Avg. Costper Litigation
withoutE-discovery
Expected Savingswith
E-discovery
13. Common E-Discovery and Records Management
13
Risk
Manageability
Electronically
Stored Information
(ESI)
Likely
Discoverable
Information
Declared Records
Other
Business-
related
Informatio
n
(OBRI)
Non-business
Information
(NBI) • Too Narrow
– Only declared records are “in
scope” for records
management
Records Management is not just about Business Records. Rather, it is about
managing ALL the unstructuredd data that may be discoverable.
14. Common E-Discovery and Records Management Practices
14
• Too Wide
– All ESI is declared a record
and therefore “in scope” for
records management
– Creates serious problems
– High costs
– Operational challenges
– Close to impossible to live up
to in practice
Risk
Manageability
Electronically
Stored Information
(ESI)
Likely
Discoverable
Information
Declared Records
Other
Business-
related
Informatio
n
(OBRI)
Non-business
Information
(NBI)
Recent FRCP guidelines say that all electronically stored information (ESI)
may be discoverable. Doculabs’ goal is to limit the “cost of compliance”.
15. Common E-Discovery and Records Management Practices
15
Risk
Manageability
Electronically
Stored Information
(ESI)
Likely
Discoverable
Information
Declared Records
Other
Business-
related
Informatio
n
(OBRI)
Non-business
Information
(NBI) Tiered Approach
Different types of ESI are
handled differently
1.Keep as records
2.Redefine as records
3.Keep as non-records but move to
rigorous ECM/RM system
4.Don't worry about them—they aren't
worth it—keep or dispose according to
general rules
1
2
3
4
By categorizing and prioritizing information, organizations can streamline
the discovery effort; minimizing the time and effort to produce information.
16. Four Primary Information Management Situations
16
EXISTING CONTENT NEW CONTENT
STRATEGY AND TACTICS
SITUATION 1
60% of organizations
SITUATION 2
15% of organizations
SITUATION 3
15% of organizations
SITUATION 4
10% of organizations
No backlog management
strategy or tactics defined
No day-forward strategy or
tactics defined
Have a strategy and
technology in use (e.g.
enterprise search
appliance, etc.)
No day-forward strategy or
tactics defined
No backlog management
strategy or tactics defined
Have a information management
strategy and technologies to
support unstructured
information management
Have a information management
strategy and technologies to
support unstructured
information management
Have a strategy and
technology in use (e.g.
e-discovery suite)
17. Systematic Approach to Implementing E-Discovery
17
EXISTING CONTENT NEW CONTENT
REACTIVE
PROACTIVE
Implement
plug-and-play
enterprise
search *
Implement and
use crawler to
deal with e-
discovery events
Conduct
content and
repository
inventory
Use auto classification
technology to tag and
migrate some content
to a managed content
repository
Develop an enterprise
taxonomy and metadata
model for new content
De-duplicate existing
content in content
repositories, file
shares, and e-mail
Mass migrate
content from file
shares and e-mail to
a managed
repository
* Ensure content security is not violated
by the search engine
Investigate on-the-
fly compression
technology to
reduce storage
requirements
Develop and implement
a content repository
simplification and
optimization program
Evaluate and
implement a auto-
classification tool to
classify information as
it is added to the
content repository
Turn off the ability
to use file shares to
store documents
and content
Implement a collaboration program and
technology to encourage structured
content creation and management
Integrate common
productivity tools like
Microsoft Office directly
with the content
management platform and
force users to provide
metadata when adding
content to the system
18. 18 Common Repository Management Strategies
Leave in Place;
Don’t Manage
Leave in Place;
Manage with
Existing System
Leave in Place;
Manage with
Remote System
Migrate to Remote
System for
Management
HIGH RISK/
HIGH VALUE
CONTENT
LOW RISK/
LOW VALUE
CONTENT
Line-of-Business
system archives
content
Content in a repository
that can be integrated
with remote records
management system
Content in a repository
that cannot be integrated
with a remote records
management system
Non-critical
content
20. 20 Core Elements of a Business Case
Key Components of the Doculabs’ Business Case Modeling Framework
21. Top-Ten Things to Consider for E-Discovery
1. Regard Electronic Discovery as strategic initiative
2. Build a repository inventory that shows where your most high risk paper
and electronic records are located
3. Focus on the “Cradle to Grave” information lifecycle
4. Implement a Discovery Architecture or technical framework
5. Implement a balance of technology and process excellence
6. Develop clear rules for RM policy and the technology to support them
7. Automated prioritization and role conflict resolution
8. Deploy a strong master classification plan and robust taxonomy
9. Actively manage enterprise-wide records policy and up-to-date retention
schedule
10.Designate a Chief Compliance Officer and active governance committee
setting and enforcing policies
21
