Integration of E-Discovery and FOIA April 4, 2013 Tom Kennedy Director, Symantec Archiving and E-Discovery Team Digital Government Institute s E-Discovery, Records & Information Management Conference, Washington, DC 1
End-to-End Archiving and ediscovery Leadership
Sample Enterprise and Government Customers
The Typical ediscoveryprocess is Disjointed & Risky Legal Hold Pre - Processing Review & Production Manual -Emails & Spreadsheets Identification & Collection Processing & Analysis Linear Review Review and Produce to Outside Counsel Data Collection Ship to Outside Counsel, or Ship to Vendor Process, de-duplicate and blind keyword filtering Symantec Archiving and ediscovery
ClearwellProvides a Repeatable & Defensible Process Preservation Legal Hold Identification & Collection Pre- Processing Analysis Processing Review & Production Automated Legal Hold Network Based Collections Predictable Costs & Timelines Early Analysis & Easy Filtering Faster & More Accurate Review Lit Hold Templates Survey Templates Data Mapping Custodian Interviews Case Evaluation Auto-Filters Early Case Assessment Transparent Search Intelligent Review Strategic Advantage Symantec Archiving and ediscovery
ediscovery Has Become a Business Process Legal Forensics/ Security HR Audit Compliance IP theft, inappropriate use Wrongful termination, harassment Fraud investigations FOIA and Congressional Inquiries Electronically Stored Information (ESI) Email Servers Archive Desktops File Servers SharePoint Cloud
Symantec Provides the Platform for this Business Process Legal Forensics/ Security HR Audit Compliance Symantec provides the ediscovery platform for enterprises, governments, and law firms. Electronically Stored Information (ESI) Email Servers Archive Desktops File Servers SharePoint Cloud
Same Information, Separate Problems CISO PII info was just leaked. How did this happen and how do we stop it? Find Repositories Purge Content Secure Content I just spent $1 million to sort through content for a recent case. Why are we keeping this stuff anyway? Purge or Preserve Content (Reduce Risk) GC CIO We re consolidating data centers. Do I really need to move all 3 PB of data from my old DCs? Purge Data (Reduce Cost) Backup Our agency information is doubling every year, and our FOIA requests are not slowing down. how do I keep up? Compliance And Transparency Chief Compliance Officer
FOIA and discovery overlap Irrelevant information Exempt Information Litigation Hold Non-records
Growth In E-Discovery Driven By Growth In Electronically Stored Information (ESI) The amount of digital information increases tenfold every five years Source: The Economist, February 27 th 2010
But There s A Catch: Information Overload Large volumes of ESI exist, but how can I zoom into the tiny fraction of information that s relevant?
A Case Study: NOAA and the BP Oil Spill 13
BP Oil Spill: software timeline December 2010 Overwhelmed by FOIA requests Preparing for complex litigation litigation hold in place Litigation needs had priority but FOIA was close behind January 2011 Reviewed technology choices, consulted Gartner Consistency, value - integrate with DOJ technology Clearwell pilot - Congressional request: success!!! Congressional sanction avoided February 2011 Clearwell installed and in use for BP FOIA processing
BP Oil Spill FOIA-released material by the numbers General Public Usage Statistics of the NOAA FOIA document portfolios: Nov. 2011 through August 2012 Nov. 2011-76 request/visits to NOAA FOIA documents Dec. 2011-126 request/visits to NOAA FOIA documents Jan. 2012-16,835 request/visits to NOAA FOIA documents; frequently requested: 2010-00377 (14,494 requests), 2010-00372 (1,585 requests) Feb. 2012-285,980 request/visits to NOAA FOIA documents; frequently requested: 2011-00120 (155,521 requests), 2010-00531 (70,022 requests), 2011-00377 (25,188), 2010-00372 (19,794) Mar. 2012-14,642 request/visits to NOAA FOIA documents; frequently requested: 2010-00519 (10,550 requests), 2011-00120 (2,400 requests) Apr. 2012-2,764 request/visits to NOAA FOIA documents; frequently requested: 2011-00120 (2,073 requests), 2010-00377 (368 requests) May 2012-12,822 request/visits to NOAA FOIA documents; frequently requested: 2010-00519 (12,537 requests) June 2012-128,602 request/visits to NOAA FOIA documents; frequently requested: Sea Turtles (95,810 requests), Oil budget (32,300 requests) July 2012-203,345 request/visits to NOAA FOIA documents; frequently requested: Oil budget (179,558 requests), 2010-00519 (13,313 requests) Aug. 2012-134,446 - request/visits to NOAA FOIA documents; frequently requested: Sea Turtles (134,155 requests) Total number of document views, Nov. 2011 - August 2012: 799,638
Sampling of COTS technology tools FOIA Compliance vendor sampling FOIAXpress Privasoft Public Records Tracker Electronic Discovery (E-Discovery) vendor sampling ASG Autonomy Clearwell/Symantec EMC Open Text
What technology fits your needs? Litigation FOIA Requests
Software Selection: Pro s and Con s FOIA compliance software can manage FOIA work-flow and applies FOIA exemptions. FOIA compliance software can t always manage FRCP rules requirements e.g., metadata management and very large productions. Discovery software can manage both FOIA productions and Federal Rules of Civil Procedure (FRCP) discovery-phase productions. Discovery software can t manage FOIA timelines, work-flow, and businessprocess management needs.
The value of using ed software for FOIA productions Save attorney time and cost A record of pre-litigation content released and to whom Ability to manage high-volume document production de-duping threaded conversations attachments maintained with email Redaction Key-words-in-context searching
Case Study: US Government Department Workflow Agency Profile: 100,000+ employees 16,000+ FOIA requests each year Growing backlog of unresolved requests Process Request Collect Data Search Review and Redact Produce and Close Receive request Process and assign to FOIA analyst Determine if delinquent on FOIA request payments Visibility into data volume for cost estimation Collect from Exchange, OpenTextarchive, SharePoint Filter to only relevant information Deduplicatedata Perform targeted keyword searches Single search interface for over 400 file types including PST/NSF email Perform redaction of personally identifiable information Capture exemption codes Generate an index that can be used as a Vaughn index Multiple production options including redacted TIFF/PDF Treatment of metadata Achieving Transparency through Archiving and ediscovery 20
Case Study: US Government Department Results Average Search Time Per FOIA Request 2 hours 41 minutes Before Clearwell After Clearwell 1 hour 2 minutes Average Efficiency Gain with Clearwell 61 percent Hours 1 2 Achieving Transparency through Archiving and ediscovery 21
Case Study: US Government Department Results More than 50% improvement in time to complete a FOIA response Reduced FOIA backlog by 80% Achieving Transparency through Archiving and ediscovery 22
Presidential Directive: Call to Action Decades of technological advances have transformed agency operations, creating challenges and opportunities for agency records management. Greater reliance on electronic communication and systems has radically increased the volume and diversity of information that agencies must manage. With proper planning, technology can make these records less burdensome to manage and easier to use and share. But if records management policies and practices are not updated for a digital age, the surge in information could overwhelm agency systems, leading to higher costs and lost records.
Why Federal Agencies Use Clearwell 1. Ease of Use and Intuitive Interface 2. Market Leader in the Federal Space 3. Visionary with workflow-based TPC and ECA tools 4. Defensibility and chain of custody 5. FOIA and Congressional Inquiry applications 6. Single Application for Entire E-Discovery Lifecycle
Thank you! Tom Kennedy Tom_Kennedy@symantec.com (703) 731-9900 SYMANTEC PROPRIETARY/CONFIDENTIAL INTERNAL USE ONLY Copyright 2011 Symantec Corporation. All rights reserved. 25