IBM Policy Assessment and Compliance

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1 IBM Policy Assessment and Compliance Powerful data governance based on deep data intelligence Highlights Manage data in-place according to information governance policy. Data topology map provides a clear understanding of data across the enterprise to facilitate appropriate retention and disposition decisions. Streamlines the management of records policies across the organization; enables records managers and IT to work in tandem. Execute electronic records policies by taking action on your data including copy, move, or delete based on records policies. Defensibly delete data with no business value by disposing of documents in compliance with corporate disposition policies. Automatic classification of records for logical and consistent governance. Shedding light on legacy data: discover, recognize and act on information The volume and continued growth of corporate data makes it increasingly difficult for records and compliance teams to wade through the rising tide of information to discover what data may pose risk to the organization. Workers are less productive because they are challenged to find what they need, IT administration costs continue to rise, and legal teams spend countless hours and dollars reviewing data that should already have been deleted based on corporate disposition schedules. With IBM Information Lifecycle Governance solutions, this can change. Better insight into your data can help ease the cost of regulatory response, improve adherence with compliance mandates for data retention and disposal, as well as decrease the inherent legal risk residing in volumes of unstructured data. Records managers, working with legal, can define clean-up plans for work-in-progress and retention areas, removing non-business and aged data that no longer has value to the enterprise. Applicable retention schedules and legal holds can be checked prior to the disposal of data.

2 With IBM Policy Assessment and Compliance, organizations can properly identity, classify, and manage enterprise information according to business value to help reduce risk and cost. Corporations gain a deeper and holistic understanding of their unstructured data to address business and regulatory requirements, compliance enforcement, data retention, and respond to audit requests. Adhere to corporate disposition policy Supports efforts to comply with corporate policy and regulations by knowing exactly what information is stored and where. Identify owners of information that violate compliance policies to change business practice or behavior; remediate by disposing or moving data. Enforce policies Apply incremental policy execution. Retain records and dispose of obsolete or trivial data. Remove data from unprotected locations. Move data to a protected retention server. With IBM Policy Assessment and Compliance, records teams have the ability to discover data according to corporate and regulatory policy, recognize large sets of data to gain a deeper understanding, and then act on the data appropriately giving companies the power to make more informed data retention and disposition decisions, significantly reduce risk and reduce cost. Figure 1: Heat map helps quickly identify PII/PCI and highly confidential data Designed to give organizations a powerful solution to understand and act on their unstructured data without first moving it to a repository IBM Policy Assessment and Compliance helps organizations: Find the data that matters Apply visual filters to identify information that is subject to various regulatory standards including FINRA, Dodd-Frank, HIPAA, SOX, PII/PCI, etc. Quickly spot private information, such as: Credit card numbers, Social Security numbers, employee IDs, bank account numbers, routing numbers, or insurance claims. Uncover illegal or prohibitive content, discover unprotected business content such as IP, source code, or highly sensitive data. Discover: big data requires big search IBM Policy Assessment and Compliance accelerates the understanding of large amounts of unstructured content through powerful search functionality. The solution provides advanced search capabilities specifically tailored to assist legal, records, compliance, and IT staff who need to find responsive files in large amounts of unstructured data across the enterprise. Additionally, through an integration with IBM Content Classification machine learning techniques can be applied to data wherever it lives across the organization. No local application software is necessary to view searched file content, and viewing documents does not alter system metadata attributes. IBM Policy Assessment and Compliance searches for nonprintable text in a document such as object-level attributes, comments, and annotations, as well as in nested container objects such as zip files or attachments. By integrating with IBM Content Classification, the IBM Policy Assessment and Compliance solution can parse and interpret unstructured data such as text, PDF, Word, Excel, and other supported 2

3 document formats in order to determine which pre-determined customer category that document most correctly fits into. This determination is made using either statistical analysis of the full text, a rules-based approach, or both methods. Statistical identification via a knowledge base of documents based on natural language processing and document intent determination: Requires a training set or document corpus of pre-selected, pre-categorized documents in order to train the knowledge base. Requests to the trained knowledge base return a probability between.00 and.99 of the documents falling into one or more of the defined categories. Can learn and evolve over time based on feedback from users and administrators. Analyze: detailed data analysis increases corporate data intelligence IBM Policy Assessment and Compliance simplifies the analysis of unwieldy amounts of corporate data. The ability of IBM Policy Assessment and Compliance to analyze and manage data in-place enables detailed analysis sooner and can limit impact on user productivity. This architecture enables the solution to scale up to large environments without being limited to the storage capacities associated with repositories. IBM Policy Assessment and Compliance has the ability to present a variety of graphical perspectives of the electronically stored information (ESI) based on its metadata for simplified and efficient analysis and culling. Additionally, the contents of data objects can be displayed to gain context of the information. Rules-based classification via a decision plan using Boolean-type processing of document data and metadata in order to determine proper category fit: Can cull knowledge bases as part of the rule evaluation process. Execute one or more rules, branch based on results. Grouping of rules is possible, with options to continue or terminate group processing. Can perform Regex-based evaluation (e.g., pattern matching). The search functionality enables a user to enter simple to complex search strings and perform searches on an arbitrary mix of full text, metadata, and file attributes. IBM Policy Assessment and Compliance supports the following advanced search capabilities: Keywords Single term search Multiple term search Boolean operators Wildcards in search terms or Boolean expressions Proximity searches Regular expressions Object level attributes Hash value searches (digital signatures) Figure 2: Graphical perspectives of data are displayed based on metadata attributes for simplified analysis and culling IBM Policy Assessment and Compliance provides a rich set of intuitive data explorers that provide visual representations of unstructured data from various points of view, such as file system metadata attributes (owner, size, date, type, etc.), data source location, and category so stakeholders can better understand what data they have and what actions to perform. These explorers can be dynamically navigated to expose more details, as necessary. IBM Policy Assessment and Compliance also produces rich graphical reports that include the ESI locations and the number of responsive and relevant documents. 3

4 Act: putting the power to act in your hands What is the use of finding relevant data if you can not do something with it? IBM Policy Assessment and Compliance provides support for many different policy actions including copy to retention, move, or delete each with a detailed audit trail. IBM Policy Assessment and Compliance leverages deep data intelligence across 75+ data sources and 450+ file types including network servers, storage systems, laptops, or cloud-based data, to help companies apply visual filters to their unstructured data and provide intelligence about where private information such as credit card numbers are stored. IBM offers companies in-place data management capabilities to help remediate regulatory and corporate policy violations. IBM Policy Assessment and Compliance includes: Data topology and overlay hit reports: provide valuable insight that enables records teams to quickly identify PII, PCI and highly sensitive data without first moving it to a repository or specialty application. Data filters: enable customers to have coarse or fine grain control over their data to reduce data into smaller more meaningful or relevant information sets (i.e. SSN, credit card numbers, claim numbers, etc.). Actions: enable users to delete or move data to rapidly remediate policy violations or start a timed disposal strategy. By leveraging the distributed architecture of IBM Policy Assessment and Compliance, data that is separated across even large physical distances can be acted upon in a single motion to more quickly and easily help facilitate compliance policies and mandates. Summary IBM Policy Assessment and Compliance is designed to help automate information governance policies across a multitude of enterprise data sources. Privacy teams can spot and remediate compliance violations, records teams can uncover documents with retention requirements, and IT teams can clean-up data that has no value to the business, independent of where the information exists across the enterprise. Why IBM? Software and solutions are helping to build a smarter planet, giving organizations more opportunities to realize their potential and break new ground. To achieve such goals, businesses need solutions that are fueled by expertise, built for today s dynamic environment and designed to deliver tangible business results. IBM Information Lifecycle Governance Solutions can help. The robust ILG portfolio is designed to enable businesses to apply industry leading governance practices to both structured and unstructured content for retention, optimize business processes, maximize IT infrastructure and address complex compliance requirements. The deep ILG capabilities support an information economics agenda the IBM approach to managing information as a strategic asset through better business alignment and coordination across internal stakeholder groups. About IBM Information Lifecycle Governance Solutions IBM s Information Lifecycle Governance (ILG) solutions help organizations improve their information economics by lowering information costs and risks while maximizing data value. IBM is one of the only providers of ILG solutions for Defensible Disposal, including holistically integrated solutions for efficient, rigorous ediscovery, value-based retention and archiving, and governance and disposal enablement. These solutions are designed to enable legal, IT, records, and business users to reduce legal risk, data management and discovery costs. IBM ILG customers manage enterprise information by its business value; can comply more efficiently with litigation and regulatory duties, and dispose of information that has no value or duty. For more information To learn more, please contact your IBM representative or IBM Business Partner, or visit: ibm.com/ilg 4

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