ZANTAZ Product Direction Autonomy ControlPoint: Information Governance White Solution Paper for SharePoint

Transcription

1 ZANTAZ Product Direction Autonomy ControlPoint: Information Governance White Solution Paper for SharePoint

2 Index Introduction 1 Autonomy s Meaning Based Computing Infrastructure 2 The Importance of a Single Platform Solution 2 Autonomy Web Parts 3 Challenges of SharePoint Governance 4 Siloes of SharePoint Servers 4 Storage and Scalability 4 Management 4 Lack of Categorization 4 Records Management 5 Legal Hold 5 Search 5 Autonomy ControlPoint: Information Governance Solution for SharePoint 6 Going Beyond ECM Solutions 7 Dashboard 7 Seamless Integration with SharePoint 7 Automated, Policy-driven Classification 8 Records Management 9 Manage In Place (MIP) 9 Cost-effective Centralized Repository 10 Enterprise Data Capture (EDC): No Need to Declare Records 10 Archiving 10 Autonomy Legal Hold 11 Autonomy ediscovery for SharePoint 12 Forensically Sound Indexing 13 High-Speed Conceptual Search 14 Importance of Conceptual Search 14 Conclusion 15 b Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

3 Introduction Microsoft Office SharePoint Server (MOSS) provides a portal environment for enterprises to improve departmental collaboration. It has been rapidly deployed because of its ease of installation and straightforward user interface. Ironically, this rapid proliferation of SharePoint has led many companies to lose control of the very content they had hoped to better manage. In the wake of new regulations, credit crisis, and highly publicized internal fraud cases, it has become essential for organizations to consistently implement information policies for finding, holding and disposing of content in a timely manner. However, since SharePoint is so easy to deploy, many SharePoint sites are created without the company s knowledge and lie outside its information governance plan, oftentimes leading to confusion and, worse, litigation woes resulting from compliance violations. Autonomy, a global leader in infrastructure software for the enterprise, integrates transparently with MOSS to address the critical task of ensuring SharePoint s information governance and ediscovery capabilities. Autonomy ControlPoint is the industry s first information governance platform that enables real-time, policy-driven control of all SharePoint content, empowering customers to manage their SharePoint content in true alignment with today s growing corporate, legal or regulatory standards. ControlPoint facilitates critical governance tasks while drastically reducing prohibitive storage cost through de-duplication, storage optimization, and allowing content to be managed in-place. It provides visibility into information risk stored in SharePoint by its unique ability to understand and process the meaning of information. By using a centralized policy hub to enforce governance control across distributed networks, ControlPoint allows compliance officers to better manage SharePoint servers which are typically siloed throughout the enterprise. This paper explores the limitations of SharePoint Governance and ediscovery and describes how Autonomy s technology is helping some of the world s largest SharePoint users confront the challenges of information governance and ediscovery. Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint 1

4 Autonomy s Meaning Based Computing Infrastructure At the heart of Autonomy s technology lies the Intelligent Data Operating Layer (IDOL) Server. IDOL forms a conceptual and contextual understanding of all content in an enterprise, indexing and automatically analyzing any piece of information from over 1,000 different content formats and even people as data sets. For the heterogeneous enterprise that holds SharePoint as just one source of data, Autonomy s mature connector framework (supporting over 400 repositories) enables search across the entire enterprise corpus from the SharePoint interface, allowing for an unprecedented view of the organization s information assets as well as for fully FRCP-compliant search 1. IDOL serves as the underlying platform for all of Autonomy s Information Risk Management (IRM) modules, including every stage of litigation that spans the complete Electronic Discovery Reference Model (EDRM). This integrated architecture unifies enterprise search, information governance and ediscovery to help enterprises cost-effectively manage highly distributed SharePoint servers for legal discovery and records management. Built on a Service Oriented Architecture (SOA), IDOL s flexible, modular design enables enterprises to match its benefits to the organizations needs. Information Governance & ediscovery Pan-Enterprise Search Automatic IDOL serves as a common platform across the entire IRM spectrum, including pan-enterprise search, information governance and ediscovery The Importance of a Single Platform Solution The explosion of electronic information is leading to a convergence of information management, information governance and ediscovery as all three disciplines attempt to control the growing volume of content. Whether the issue is determining how long to keep a document, how to preserve, collect, review and produce that document for litigation, or simply how to make it findable amongst millions of documents for enterprise search, there is an acute need for an infrastructure solution that enables repeatable business processes. 1 Recent changes to the Federal Rules of Civil Procedure (FRCP) require that all Electronically Stored Information (ESI) relevant to a case, regardless of data format, be reproduced in 99 days. It therefore follows that FRCP-compliant search technology must index and search all enterprise content in its entirety to ensure completeness and accuracy of the search results. 2 Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

5 The benefits of deploying a single platform solution cannot be overlooked as it addresses the following challenges that plague stovepipe approaches: The value of information changes over time: A seemingly negligible is just one lawsuit away from holding indispensable value for the enterprise. If the is determined to be relevant to the impending case, a generic retention and disposition schedule must be replaced by a placement of legal hold. The value of all documents in an enterprise is subject to such vacillations. It is this very malleable nature of a document s significance that necessitates such close integration between legal hold and records management. It will therefore be difficult to achieve consistent enforcement of legal holds and retention policy using multiple platforms. All three disciplines deal with the same corpus of data: A traditional approach requires that when an enterprise starts their ediscovery process (that of identifying, culling and reviewing the relevant data), it must re-index all the enterprise content. But this is the very same information that has already been indexed by the enterprise search engine (assuming a solution that can access all enterprise repositories). This costly and time-consuming endeavor can be eliminated when employing a single platform solution whose index is used by enterprise search, information governance, and ediscovery. Autonomy provides all three solutions with no need to move data. With Autonomy s single platform solution, organizations have the flexibility to leave sensitive data in the operational layer (Manage-In-Place) or move to Autonomy s intelligent archives at any point in time. Once the information is indexed, analysis can be performed simultaneously across Autonomy s archives and operational systems for compliance and litigation, ensuring consistency of results. Along with significantly lower installation and maintenance costs, organizations eliminate the risks and excessive costs associated with handing off client data between vendors. Autonomy Web Parts Autonomy s IDOL Server provides a comprehensive, scalable information processing platform, with over 500 advanced functions from which the enterprise can choose to interface as SharePoint Web parts, including Autonomy s Information Governance solution. "We re pleased to be working with Autonomy to help our customers maximize their investments in Office SharePoint Server Autonomy s IDOL Web Parts extend SharePoint Search to support additional, specialized scenarios that require advanced features like automatic categorization and multimedia search. It s a win-win for both companies and for our customers and partners." Thomas Rizzo, Director, SharePoint at Microsoft All of the features discussed in the article are available as Web Parts. Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint 3

6 Challenges of SharePoint Governance SharePoint has gradually evolved from a simple collaboration tool to a de facto content management system. The volume and types of content continue to increase as there is no practical limitation of types or volumes of information that can be published to a collaborative SharePoint site. More worrisomely, SharePoint users unequipped with the knowledge of legal or compliance ramifications are growing daily. This massive growth of SharePoint presents significant information management challenges to business, as SharePoint provides inadequate controls for maintenance and disposition of content. SharePoint lacks many of the critical features of an effective information governance solution: Siloes of SharePoint Servers The large number of SharePoint installations across organizations have created siloes of repositories in which it is exceedingly challenging to understand, let alone control, the vast amounts of information that reside in these SharePoint servers. Lacking a consolidated view of SharePoint assets across an organization, compliance officers and legal counsels are hard-pressed to formulate a consistent and effective information management strategy. SharePoint fails to provide centralized control or discovery of the information being published and collaborated in SharePoint servers, which can lead to severe and damaging legal, regulatory or corporate consequences. Storage and Scalability The long-term cost and management of storage is a huge issue since SharePoint content is stored in SQL Servers, which do not have tiered storage management, are expensive to maintain, and not scalable. SharePoint supports separation of data using multiple content databases. A content database can be configured to the granularity of each SharePoint site. There is no option to separate content at any lower granularity, based on time since last access, frequency of use, or the type of content. Large MOSS systems must therefore use many SQL Servers.This not only needlessly escalates storage and licensing costs, but also slows down performance and creates issues in scalability and recovery. Management SharePoint is not designed to serve as a single repository to house enterprise content since it presents some key challenges, particularly in the area of scalability. For instance, it does not store in bulk and cannot deal with long term preservation of due to scalability restrictions. Its limited integration with Outlook Exchange means that there is no easy way to declare records from the Outlook interface. Lack of Categorization Categorization is limited to content type, which means all documents of a given type will be subject to the same information management policy no matter the business requirement. A memo about the week s lunch menu could be assigned the same retention policy as a memo exchange between executives regarding a possible acquisition. Designed as a content management product, SharePoint offers little in the way of taxonomies or categorization of documents against a classification schema, which is critical to the records management process. This limited capability results in the enforcement of unwieldy records management policies for common collaboration scenarios. For instance, the Record Center fails to provide the means to create a collection of records related to a given project that can share the same retention and disposition schedule. Instead of all files in a given project being naturally disposed of at the completion of the project, the retention and disposition schedule must be specified by the content type. 4 Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

7 Records Management When the user declares a document as a record, the official record is a copy of the original item retained in the Record Center; the original document remains in the team site, with no indication that it has been declared as a record. This results in the creation of duplicate records which is compounded as multiple users declare the same document as a record, not knowing that it has already been declared as such. Since SharePoint does not support de-duplication within a document library, the creation of these duplicate records strains the storage system. Compounding the problem, scalability is further restricted by the storing of two additional XML documents alongside the original record that capture the audit and property information. Once a record is declared, users can no longer access the record directly from the document library in which the content was created because SharePoint has moved it to a separate records repository, removing the context in so doing. If a user does need to access the Records Center to view the record, security needs to be relaxed, which invariable leads to records being edited and in so doing breaking the fundamental rule of records management: records should not and cannot be changed after being declared. Legal Hold Sharepoint only allows legal holds to be placed on items within the Records Center, and not to documents held outside in the rest of SharePoint. As a result, information held in collaborative team sites that are relevant to litigation may be destroyed. In addition, to place legal hold on s, SharePoint requires the user to perform the action separately in Exchange 2007 (and only that version). SharePoint provides two non-viable ways for users to identify records in the Records Center to place on legal hold. The first requires the user to navigate to the file structure and manually select and tag individual documents - a highly non-scalable option. The other is to search for a particular term and mass-tag the entire results list, which is highly ineffective since it is unlikely that legal hold should be applied to the entire results list. Search SharePoint search is ideal for portal scenarios, but its effectiveness in information governance is hindered by its keywordreliant technology, its support for only 16 file types and the Record Center design, which is conducive to the creation of duplicate content as previously discussed. Moreover, in order to get around the self-imposed limitations of folder size and restrictive naming conventions, SharePoint must sometimes auto-name file and folder names with indecipherable addendums, making the search process even more challenging. Unlike content management providers, ControlPoint provides the ability to manage SharePoint content either in place or replaced with Smart shortcuts in the sites and libraries, ensuring that users can maintain the context of their content without having to switch applications or interfaces. Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint 5

8 Autonomy ControlPoint: Information Governance Solution for SharePoint By forming a conceptual and contextual understanding of all enterprise information, Autonomy automates many processes involved in information governance, proactively identifying and categorizing information across all operational systems and content archives within the enterprise without involving the user. Autonomy s unique capability is a major step forward in reducing risks inherent in information by applying policy based on understanding what an , document or phone recording says instead of relying solely on its metadata. Leveraging Autonomy s extensive set of connectors and file filtering technology, ControlPoint accesses all SharePoint repositories and can be extended to connect to 400 other non-sharepoint repositories (e.g. Documentum, archives). It processes all file types (Autonomy supports over 1,000 file formats) that reside in these repositories and forms an understanding of that information. Once the data is indexed into IDOL, all information is visible, transparent, and available to be controlled and governed. For instance, organizations can perform a comprehensive search across all information to find out what resides in SharePoint sites. They can then determine what content sits outside the disposition spectrum and create a policy to delete such information from SharePoint. They can also discover that potentially sensitive information is not properly governed with proper security and compliance procedures, and subsequently move the content to a secure repository or put it on preservation should it be subject to a legal matter. The workflow engine enables end-users to view, review and tag information within SharePoint while the policy engine can be constructed to perform automated actions; preserve and dispose SharePoint content, and move information across SharePoint sites. ControlPoint provides extensive reporting functionality, which includes a high-level dashboard designed for non-it that presents a holistic view of the enterprise s information governance landscape. Information Governance Highlights Automated compliance, legal hold and disposition management based on the conceptual understanding of information in all file formats Centralized, real-time policy management hub to enforce governance control across distributed networks Secure management of records in source repository (Manage in Place) or centralized, cost-effective storage, eliminating the need to license expensive SQL Servers One consolidated enterprise-wide ESI index with conceptual and keyword search that can be used for proactive risk management as well as enterprise search Provides visibility into information risk from data stored in SharePoint Consistent enterprise retention and disposition policies across SharePoint servers and 400+ repositories, including archives and operational data Content directly accessible from SharePoint document libraries, even content that is stored in other repositories Military grade security and certification to US DoD5015.2, UK TNA2002, Australia s VERS, ISO Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

9 Going Beyond ECM Solutions Most content management providers have connectors for SharePoint which allow the extraction of content from SharePoint into their repository. The disadvantage of these solutions is that at worst, the user loses context and visibility of important content from their SharePoint world, and at best, they end up creating duplicates of every item copied from SharePoint with no link back to the original item. Only ControlPoint provides the ability to manage SharePoint content either in place or replaced with Smart shortcuts in the sites and libraries, ensuring that users can maintain the context of their content without having to switch applications or interfaces. Dashboard ControlPoint provides a collaborative hub that bring together risk managers, compliance officers and legal counsel to collaborate and enforce governance policies in one system. A true decision maker s dashboard, it provides navigational tools that can be drilled down to explore different areas of policy module applications. For instance, the officer can learn how much data is potentially on hold across all SharePoint sites, or what potential policy violations are occurring across all SharePoint sites. The comprehensive reporting brings critical transparency to the company s compliance condition. Seamless Integration with SharePoint ControlPoint integrates transparently with the MOSS Record Center and Policy interfaces. ControlPoint provides functionality to declare records through the SharePoint interface, access to the Autonomy Fileplan through SharePoint web parts and integrated searching across multiple repositories. Policy integration makes it possible to link Team Sites to the Autonomy Fileplan such that records can be declared from SharePoint in a single click. Additionally, Autonomy can be chosen as the destination for the expiry function in MOSS, allowing documents and records to be migrated to Autonomy archives with no user intervention. Using the Smart Shortcut functionality a link to the item will still appear in the document library providing continuity to the user. Key benefits of Autonomy ControlPoint include: Information Lifecycle Management out-of-the-box for items stored within SharePoint Extends policy features within MOSS Content is still directly accessible from source SharePoint document libraries Seamless end-user experience Manages the storage lifecycle of SharePoint content Supports multiple types of storage device, e.g. EMC Centera ControlPoint allows risk managers, legal professionals and compliance officers to manage all SharePoint servers ControlPoint integrates transparently with SharePoint ControlPoint can support all file types, including audio and video files Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint 7

10 Automated, Policy-driven Classification As the volume of electronic content continues to grow dramatically, it is critical for business to adopt an information governance solution that does not rely exclusively on the manual efforts of users and administrators. Autonomy ControlPoint effectively automates the consistent application of policy to SharePoint content based on the conceptual understanding of information in all file formats. ControlPoint automates information policy enforcement and audits. It monitors and analyzes all electronic communications including , IM and voice traffic in real-time and automatically alerts compliance officers, lawyers, managers and employees in order to mitigate potential risk and governance violations. Policies can be created with keywords, metadata, and/or example documents using a simple Web-based, wizards-rich dashboard. Designed for non-it who are most familiar with the content of the organization and versed in laws and regulations, policy creation is intuitive and its enforcement is automatic. Real-time classification can be applied to quarantine batches of content based on conceptual similarity. After content is fetched from repositories and before it is indexed into the server, a module automatically categorizes s based on policy and tags them accordingly, sending them to the reviewer s inbox with enriched information. The suspect content can be filtered by priority (e.g. blocked, escalated to boss, allowed), channel (e.g. blackberry, IM), policy and many other fields. Active folders may also be created, such that content related to a particular concept will automatically be directed to the associated folder for fast review. This automated policy-based categorization of content can be likened to Autonomy s automatic taxonomy generation feature currently in use at many global enterprises. Autonomy technology forms an understanding of all content and can deduce the category, or the taxonomy, to which the document belongs. Policies can also be created manually, or in combination with Autonomy s automatic categorization tool, with numerous fields available for configuring. Policies can be edited, reverted, or published back into production. The full history of a given policy is transparent, as different versions, audits and training documents used can be easily accessed. ControlPoint provides: Automated retention and disposition by applying meaning-based policies at data creation Automatic alerts for document custodians if deletion of important information is attempted Web-based, non-it centric dashboard to create policies De-duplication to minimize storage costs and reduce discovery times ControlPoint is fully configurable: records declaration, categorization, and the definition of corresponding retention periods can be enhanced by end-user involvement should administrators so wish. 8 Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

11 Records Management ControlPoint closely integrates with SharePoint to automate the retention and disposition of information. Some highlights include: Complete lifecycle records management from creation and retention to destruction Automatic classification against records management file plan Closely integrated with consolidated archives both on-site and hosted Secure access to records, respecting and protecting organizational access rights across all content sources Global certification such as US DoD , UK TNA2002, Australia s VERS Manage In Place (MIP) Using ControlPoint, records can be managed in place so that Information need not be moved or copied into a centralized repository. This allows both retention and legal hold policy to be applied to content within its source repository. Once the data has a retention policy applied or is put on legal hold and locked down in place at the sector level it cannot be deleted, reducing the risk of spoliation and ensuring that the data can be produced in its native form when and if it s needed. However, in the case that a custodian has a need to edit a file that has been preserved, a new copy can be made and itself preserved if necessary. This fully automated process takes the onus off of custodians and data stewards to identify and preserve the Electronically Stored Information (ESI) that they consider to be potentially relevant, while alleviating the risk of lost or misplaced data that could accompany such a manual process. Once potentially relevant data has been identified and preserved in place, pending litigation, it must be collected from where it resides so that it can be processed for review. Using Autonomy s ability to connect to over 400 data repositories, the system extracts the preserved data and sends it to a secure, tamper-proof collections repository where it is automatically indexed for quick and easy retrieval. Autonomy provides enhanced flexibility by allowing the customer full control to designate their collection repository based on system requirements or existing infrastructure, often utilizing network file servers, archive systems or any other centralized storage area that is convenient for the organization. Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint 9

12 Cost-effective Centralized Repository Users can also choose to move records to a centralized repository instead of managing the content in place in respective source repositories. The Autonomy SharePoint client makes it easy to move content from SharePoint document libraries into the Autonomy repository while leaving a Smart Shortcut behind. This migration ensures that content is still accessible directly from the source SharePoint document libraries and, as a result, the end user has a seamless experience and can continue to access the content from the location they expect, protecting the context of the content. After migration, Autonomy manages the storage lifecycle of the SharePoint content moving it from top tier storage, through to lower cost storage, based on the rules provided by the organization s Information Lifecycle Management (ILM) strategy. This greatly reduces storage costs by eliminating the need to license costly and non-scalable SQL servers. Enterprise Data Capture (EDC): No Need to Declare Records Unlike other solutions, ControlPoint seamlessly delivers records retention and disposition that users can and will adopt without the need to declare records. Using Autonomy s advanced Enterprise Data Capture (EDC), the process of records identification can be automated, leveraging automatic categorization using the power of IDOL. Through duplicate and near duplicate identification, storage costs are minimized. The asynchronous transfer to the Autonomy Records Store in background mode ensures there is no system degradation on live applications. EDC delivers true black box filing to SharePoint users. Users can now file records using a single click with EDC looking after fileplan classification location. This is achieved through the configuration of simple rules. Business users can set up parameters on a team site or document library to drive the rules processing. Additionally, through a single click, authorized users can choose to archive an entire team site or document library to the Autonomy Records Store. Selective bulk capture is also supported. Archiving The Autonomy consolidated archive is the first and only solution with the functionality, performance and scalability needed to address the challenging requirements of retaining, collecting, consolidating, making available and deposing information from multiple proprietary systems, in multiple languages and in hundreds of different content formats. Like all Autonomy products, it benefits from the IDOL platform s scalability, connectivity and search analytics technology to provide an archive infrastructure capable of ingesting terabytes of new rich media and text content on a daily basis. Offered both as a hosted (Digital Safe) and a software (EAS) solution, Autonomy consolidated archive is massively scalable for all data types with true single instance storage, real-time auto-classification, HSM and pan-enterprise search. It easily integrates with ediscovery services. 10 Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

13 Autonomy Legal Hold Autonomy ControlPoint's Legal Hold application for SharePoint is a holistic solution built to manage cases, custodians, notifications, acknowledgements, collections, and dispositions. It often works together with Autonomy s Records Management solution to ensure consistent and proper lifecycle management of all enterprise content, including and beyond SharePoint. Leveraging IDOL to access more than 400 different repositories, it supports automatic identification, preservation, and collection across SharePoint, archives, enterprise repositories, file shares and live operational data, including custodian desktops and laptops even when not connected to the corporate network. IDOL builds an index of all of the data across the enterprise which can then be used to automatically execute policy and identify potentially relevant documents. The relevant documents are identified by the IDOL engine using keyword, Boolean, metadata, conceptual and contextual legal search. This policy-based identification and collection can even occur as the content is ingested during the indexing process. Some additional unique features of Legal Hold web parts include: Flexible preservation and collection methods: Autonomy supports any and all preservation and collection methods in a forensically sound manner, including custodian self-preserve and self-collect, remote collection, preservation in-place (no need to move data out of SharePoint) and copying the files to a central policy server and forensic collection. Custodian managed: allows self preservation and upload to a central collection supported by automated workflow, such as notifications, reminders, interview forms, live links to central hold repository and acknowledgements to ensure FRCP compliance and prepare the legal team for the meet and confer. Preserve files in place: files can be locked down on desktops, repositories and content servers in real-time across the enterprise. This hold-in-place preservation technology allows users to access files if needed, but also prevents alteration and spoliation. Cull documents before collection: IDOL s ability to cull documents before the collection stage enables the enterprise to save millions in collecting and processing unnecessary data later on. Data on hold cannot be deleted: this reduces the risk of spoliation and ensures that the data can be produced in its native form if needed. Deep-dive collection: IDOL searches the recycle bin, white spaces and deleted files, including dormant PSTs. Flexible configuration: If a custodian needs to edit a file under preservation, a copy can be made and automatically preserved, if necessary. Fully automated process: Autonomy takes the onus of identification and preservation off custodians, substantially reducing spoliation risks. Metadata preservation: Autonomy collects ESI subject to preservation in a forensically sound manner, preserving metadata to ensure document authenticity. Secure, password-protected collection: Autonomy extracts preserved data via a secure, encrypted connection from desktops, laptops, and almost all enterprise data sources. Collected data is sent to a tamper-proof repository, the drop-zone, where it is indexed by IDOL for quick and easy retrieval. Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint 11

14 Autonomy ediscovery for SharePoint Autonomy provides the full suite of ediscovery services, from identification to collection to review and production. Once content is placed on legal hold, there is no need to move data as all services are supported by the IDOL platform to ensure natural workflow and consistency of results. The bulk of ediscovery cost comes from the gigabytes of data that must be processed for analysis. IDOL s ability to find conceptual duplicates, as well as its automated clustering and categorization functionalities, significantly expedites the reviewing process for litigators by pruning much of the irrelevant data. IDOL also provides visual tools for efficient study of data. SharePoint does not offer the requisite technology necessary to comply with the latest regulatory demands. It fails to be forensically sound in several areas: It cannot search for every piece of relevant data because it does not index all critical content due to its lack of connector support. Even fundamental document types like PDF require a third party connector before they will be indexed. It enhances performance through jump out (process used to achieve performance by stopping search when a set number of results have been found). It uses indexing techniques that compromise important metadata. It lacks litigation hold function that preserves data from normally scheduled or ad hoc deletion. It federates searches to different search engines, which often do not employ FRCP-compliant search methods. Specifically, SharePoint s native search places limitations in the following areas that do not comply with FRCP requirements: Large files not indexed or searched: It only searches the first 7,000 words of a document, and fails to altogether index files greater than 16MB. Files with long filenames not indexed: Filenames of over 128 characters will not be indexed. Limited Results Sets: No query can return more than 10,000 documents. Limited Query Length: The SharePoint search box only accepts around 200 characters. There is no wildcard search. This can be a problem for legal investigations that often involve complex queries. Files with large word-count not fully Indexed: Any words after around the 470,000th word of a document are not indexed. Files with high-level of distinct words not indexed: Any new words after around the 18,000th distinct word in a document are not indexed. Behavior of commas in numbers is erratic and inconsistent: If a document contains 30,000 then searching for matches it. However if a document contains 3,000,000 then a search for does not. Recent changes to the U.S. Federal Rules of Civil Procedure (FRCP) have placed new discovery risks on global companies by requiring all relevant Electronically Stored Information (ESI) to be produced in 99 days. In essence, this statute renders all relevant ESI discoverable, regardless of format or location, with severe consequences to follow if companies fail to produce all needed content. 12 Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

15 By integrating the IDOL enterprise search engine into the SharePoint interface, users are able to perform FRCPcompliant search without sacrificing performance. Autonomy s connector framework enables access to all enterprise content, including rich media, allowing IDOL to search every file in the enterprise IDOL extracts and indexes the entire content of a file IDOL searches the entire content of a file without premature cessation (jump-out) IDOL uses forensically sound indexing methods and preserves the complete integrity of the information itself and the metadata Forensically Sound Indexing Many search engines available today miss relevant information because of their performance enhancing shortcuts that are designed to improve the response time and relevancy of information access requests from employees. These shortcuts include partial indexing a technique whereby the search engine chooses not to index the entire content of the document, but only the first X pages based on assumptions. For example, if a document contains 500 pages of information, the search engine may only index the first ten pages. If information relevant to the case appears first on page 60, it will not have been indexed and the search engine may miss this document and others. Autonomy s high-performing IDOL engine always indexes the entire content of the file, including all its metadata, so that no critical information is missed and the search is FRCP-compliant. Another shortcut is jump out, which misses potentially relevant documents as it stops looking across an index for potentially relevant information once a certain number of documents have been retrieved. When these shortcut techniques are applied over even a modest number of files the result is an arbitrary and incomplete set of documents. In legal cases, where a single document has the potential to drastically change the direction of a case, the consequences of these search techniques can be disastrous. Many of the indexing technologies also compromise critically important metadata which renders their output legally indefensible. Not every field of metadata is legally significant, but some fields are vitally important. For example, if the last modified timestamp has been changed, it is impossible to state definitively what the contents of the information were when the user last accessed it. Autonomy s Non-Quantum Indexing enables information to be indexed from live systems while preserving the complete integrity of the information itself and the metadata. This feature is an intrinsic part of the Autonomy software and it does not require any expensive or time-consuming hardware modification. ediscovery Highlights Access to over 400 content repositories and support for over 1000 file formats (including rich media) to ensure FRCPcompliant search Forensically sound indexing that indexes all file content and preserves the integrity of metadata High-performing retrieval engine that searches all files in its entirety to return the most complete set of results (no jump-out ) Advanced search algorithms, including conceptual search combined with other legacy methods Language independence for foreign language data Technology used by all top 10 law firms Industry-leading scalability 25 billion pages hosted, processing one billion documents a month The first and only service to span the EDRM on a single platform lowers cost and the reduces risk associated with spoliation and data conversions Advanced ediscovery services address every stage of complex litigation: - Legal Hold - Early Case Assessment (ECA) with pre-review analytics - Full EDD processing and pre-review - Advanced review and production Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint 13

16 High-Speed Conceptual Search Built on a unique pattern-recognition technology, IDOL s conceptual query mechanism allows a seemingly simple query expression to be evaluated in complex ways; as well as the matching of the basic terms within documents, it is able to read between the lines and determine conceptual matches that legacy search engines would be unable to locate. This advanced search method is used in conjunction with semantic parsing and other legacy approaches to yield highly accurate results. Importance of Conceptual Search When handling large amounts of data, legacy search methods such as keyword and Boolean search (used by SharePoint) have proven to be both insufficient and inefficient. Studies have shown that traditional Boolean search performs woefully according to this metric. For 50% recall (returning only half of relevant documents), users can expect 20% precision. This means that 80% of search results that the user must wade through are completely irrelevant to their purpose. This failing becomes especially magnified and costly in an ediscovery case. One can imagine that if a litigator were to search for the phrase paint the town red, the Boolean search engine would return not only documents relating to possible engagement of inappropriate behavior, but would also retrieve completely irrelevant information regarding art, color and cities that the busy litigator must spend his/her costly time culling. Boolean search, moreover, is heavily dependent on the skill of the person performing the query. The user must pick the right key terms to search, or risks missing critical documents that are conceptually relevant. Criminals also understand how basic search engines work and purposely pick obscure code words to minimize their likelihood of getting caught. Therefore it is essential for the enterprise to adopt a conceptual search technology which does not fall prey to the limitations of legacy methods, but performs effective search in a scalable manner. Since conceptual search can find information based on words not located in the document, investigators who don t necessarily know all the details of the case can benefit from retrieving information they did not know even existed. By largely limiting the search results to only the relevant content, combined with advanced analytics that cluster the results into conceptual buckets, the user is saved enormous amounts of valuable time needlessly culling through unimportant documents. Instead of reviewing and conceptually categorizing the content themselves, he/she can concentrate his/her efforts into reviewing and analyzing the data at hand. With conceptual search at the foundation of information access technology, enterprises can conduct content-based archiving and legal hold, as well as perform exact and near de-duplication in legal applications. IDOL is able to perform these evaluations with surprisingly little overhead above the equivalent keyword query for two reasons. Firstly, the majority of the work in the calculation and initialization of the conceptual matching is done at index time, as opposed to query time; the documents are analyzed while the data is being processed to form a statistical pool from which queries can draw key conceptual information, as well as an overlying Bayesian network in which apparently unrelated pieces of information are automatically linked via dynamic probabilities. The second reason is that the documentmatching algorithm itself within IDOL uses widespread short-circuiting and iterative calculation to ensure that it only performs exactly as much calculation as is required. In essence, the key conceptual information is already available before the query has even started, and once it does begin, it feeds directly from the statistical core to load the information. The uniqueness of the query then forces the only truly complex step, a one-off calculation in which combination algorithms arrive at the most relevant set of documents to the query. These can then be returned without the need for looping through every potential match. 14 Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

17 Conclusion SharePoint is an excellent collaboration portal environment, but its strength has also contributed to many new challenges faced by the enterprise, particularly in information governance and ediscovery. Autonomy ControlPoint for SharePoint not only address the major business problems of information governance and litigation but also provide the foundation for all information and knowledge management processes throughout the enterprise. Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint 15

18 16 Autonomy ControlPoint: Information Governance & ediscovery Solutions for SharePoint

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20 The information contained in this document represents the current opinion as of the date of publication of Autonomy Systems Ltd. regarding the issues discussed. Autonomy's opinion is based upon our review of competitor product information publicly available as of the date of this document. Because Autonomy must respond to changing market conditions, it should not be interpreted to be commitment on the part of Autonomy, and Autonomy cannot attest to the accuracy of any information presented after the date of publication. This document is for informational purposes only; Autonomy is not making warranties, express or implied, in this document. (Autonomy Inc. and Autonomy Systems Limited are both subsidiaries of Autonomy Corporation plc.)