snia eiw2007 peter mojica
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Presented by:
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Best Prac t ices for Long Term Digital Archival
In the beginning there was a stone and a tablet…
Peter MojicaPeter MojicaVP, Product Strategy, MgmtVP, Product Strategy, MgmtAXS-One Inc.AXS-One Inc.www.axsone.comwww.axsone.com
Presented by:
a day in the life…a day in the life…
CEO
What now?
Audit?
CEO
CIO
CIO
No problem
A fewhourslater
A fewhourslater
CEO
CIO
CEO
WOW
SSS u p e rC IO
E-mailSubject: MEMO
Hmmm???
HoldOn!
CIO issweating
E-mailSubject: MEMO
CIO
Find MEMOhut–hut…
32 DaysLater
32 DaysLater
Found the MEMO
yawn
Finally,I can gohome
CEO
CIO
MEMOSubject:
Hmmm???
TransactionTransactionTransactionTransactionTransactionTransactionTransactionTransactionTransaction
Don’tGo
No, notagain!
MEMOSubject:
TransactionTransactionTransactionTransactionTransactionTransactionTransactionTransactionTransaction
73 DaysLater
73 DaysLater
CIO
I should’ve considered
the bigger picture…
CIO
CIOCIO
CIO on therun. . . c’yaCIO on therun. . . c’ya
I should’ve considered
the bigger picture…
perspect ives
morgan stanley
convergence
opposing camps
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Morgan Stanley case highlights e-mail perilsFri May 20, 2005 5:45 PM BST
By Michael Christie
MIAMI (Reuters) - The $1.45 billion judgement against Morgan Stanley for deceiving billionaire Ronald Perelman over a business deal has a lesson all
companies should learn -- keeping e-mails is now a must, experts say.
Banks and broker-dealers are obliged to retain e-mail and instant messaging documents for three years under U.S. Securities and Exchange
Commission rules. But similar requirements will apply to all public companies from July 2006 under the Sarbanes-Oxley corporate reform measures.At the same time, U.S. courts are imposing increasingly harsh punishments on corporations that fail to comply with orders to produce e-mail documents, the
experts said. Where judges once were more likely to accept that incompetence or computer problems might be to blame, they are now apt to rule that non-compliance is an indication a company has something to hide."Morgan Stanley is going to be a harbinger," said Bill Lyons, chief executive officer of AXS-One Inc. <AXO.A>, a provider of records retention software systems.
"I think general counsels around the world are going to look at this as a legal Chernobyl.“ Wednesday's $1.45 billion verdict against Morgan Stanley in West Palm Beach, Florida, was the product of just such a negative ruling on e-mail retention, which is also expected to form the backbone of the Wall Street firm's appeal. Circuit Court Judge Elizabeth Maass, frustrated at Morgan Stanley's repeated failure to provide Perelman's attorneys with e-mails, handed down a pretrial ruling that effectively found the bank had conspired to defraud Perelman when he sold Coleman Co. to appliance maker Sunbeam Corp. in 1998. Morgan Stanley was working for Sunbeam, which entered bankruptcy in 2001, rendering worthless the shares Perelman had received in part payment for Coleman. In a rare step, Maass switched the burden of proof to Morgan Stanley, and instructed the jury solely to decide whether Perelman had relied on Morgan Stanley. Morgan Stanley says that ruling denied it a fair trial. But Eric Rosenberg, a former litigator with Merrill Lynch and now president of e-mail policy consultants LitigationProofing, said Maass was within her rights to rule as she did and could have even taken a more drastic step of issuing a default judgement and taking the verdict out of the jury's hands. Other cases have also resulted in rulings on e-mails. Last July, U.S. District Judge Shira Scheindlin found that Swiss bank UBS <UBSN.VX> had willfully destroyed potential e-mail evidence in a sex discrimination case brought by equity saleswoman Laura Zubulake. The judge ordered UBS to pay Zubulake's costs, and a jury later awarded her $29.2
million. Experts said e-mail retention could be a double-edged sword if not accompanied by corresponding training for employees on the legal implications of e-mails they send. When New York Attorney General Eliot Spitzer investigated the research divisions of Wall Street firms five years ago, he fined Morgan Stanley a little under $10 million for not having a proper e-mail retention policy in place. Merrill Lynch, however, which did have good backup systems and was able to produce relevant e-mails, had to pay over $100 million because some e-mails contained compromising material. "I guess I would put it as 'no good deed went unpunished'," said former Merrill Lynch counsel Rosenberg. Jay Ritter, a professor of finance at the University of Florida, said a danger was that among millions of legitimate e-mails, investigators might find one flippant comment from a low-level
manager and take it as reflecting company policy. "There's a reason why certain people, why lawyers like to talk on the phone rather than have any written record of conversations," Ritter said.
May 2005May 2005
Mar 2007Mar 2007
A manager is l ike a coach. I t ' s the coach's job to put his/her strongest assets on the f ie ld, whether the chal lenge is offens ive or defensive.
So what’s the point?
Would a more str ingent records enforcement program negated any of the f indings?
Would a more str ingent records enforcement [a perfectly ordered e lectronic records house] program favorably altered “the course” of l i t igat ion?
Is defense the best offense?
• What are you doing today for long term archival & compliance ?• This includes corporate records management, SEC and other
regulatory requirements, e-mail and yes, Sarbanes-Oxley, and worse yet – discovery requirements for legal
• What should we be planning for tomorrow ?• What are the IT consequences for getting it wrong.
Today’s Enterpr ise Focus. I s i t a l l over the place?
Where is the hockey puck within your organization?Where is the hockey puck within your organization?
"A good hockey player plays "A good hockey player plays where the puck is. A great where the puck is. A great hockey player plays where the hockey player plays where the puck is going to be."puck is going to be."
Wayne GretzkyWayne Gretzky
f inding the “puck”
further industry consolidation is inevitable
Message
Management
LegalLegal
ResponseResponse
SoftwareSoftware
Storage
technologies
BackupBackup
RecoveryRecovery
ArchivalArchival
technologiestechnologies
RecordsRecords
ManagementManagement
Document Document
ManagementManagement
SearchSearch
technologiestechnologies
BusinessBusiness
IntelligenceIntelligence
Hygiene
Anti-Virus
so why is this so hard?
C o r p o r a t e co n f u s io n in s o l v i n g t h e p r o b l e m o f a rc h i v a l
Many teams chas ing the same bal l !I t ’s a team?It ’s organized?It ’s in-fact dis jointed!Competing requirements !Who is in charge? L e g al
Storage Manager
Messaging Manager
C o mp l i a n c e M a n a g e r
Records Information Manager
Business vs. TechnologyC o r p o r a t e H A R M O N Y s t a r t s w it h a g r e e m e n t o n wh a t t h e p r o b l e m y o u a r e t r y i n g t o s o lv e i s … t h e n p r i o r t i z e
Focus on Security – Manage security across the IT Landscape
Tornado’ of ‘Connected’ people, devices, processes & enterprises approaching
Increased volume exasperates traditional solutions
Scarce $ and skills increases risk to organization
Increasing burden on all of us = unfriendly security
Mandated transactions and regulations are increasing
Musts:• Radically reduce people errors through
automation and standardization• Extend customer’s response capabilities &
accelerate their implementation• Systemically Shift burden from People to
Systems • Decrease TTV & Cost of Robust Solutions
: Outcome Increas e cus tomers capability to focus on the ir Bus ines s Dec is ions
Industry Roll out of security
Data Integrity
Identity Integrity
Process Integrity
Business Continuity
Increas ed complexity
Manage Security and Access
Maintain Evidentiary Weight
Secure business processes and critical assets
Take Away
so who has the puck?
Legal discovery requires a central ized approach to archiv ing, searching, legal holds and destruct ion True False
Storage and appl icat ions are intr insical ly t ied together as one whole unit – they are no longer separate and dist inct True False
Venture to guess?
??
The Industry for Archival
What Do Canals and Railroads Have in Common With the Archival and Compliance Industry ?
* Andy Grove, Intel CEO conference 2001
I recently heard Andy I recently heard Andy Grove, of Intel, say "The Grove, of Intel, say "The convergence of convergence of computers, telephones, computers, telephones, and cable TV is like and cable TV is like water meeting land -water meeting land - new life forms are new life forms are likely to be createdlikely to be created."."
TIME
As it relates to our long term digital records management of ESI
3 things to talk about today
Perspectives
Problems
Solut ions
Is this the problem?
if yes, then we are
spending 100% of our time to solve a very small percentage
of the problem
the reality is that companies trust their employees and most all employees do the right thing, trust is not the issue
Fundamental Changes in Archival that have caused industry disruption
“With respect to archival technology, what once was, no longer is, and the future is still evolving….”
Fundamental Pr inciples
Micro-Fiche Reader and Micro Fiche. Once you start using micro-fiche you will wonder how you ever got along without one. These 5 by 7 inch sheets of film will show you where every part goes and give you the part number. Very handy when a basket case comes in. You can get ALL the Yamaha shop manuals on micro-fiche. Sweet ! A Micro-Fiche reader can cost $300.00 to $700.00 new, so go to a used office furniture supply place and they will probably have one for $100.00. Fiche decks cost $100.00-$200.00 and are worth every penny. You can also get individual fiche too. I bought my first micro-fiche reader from a used office supply place for $100.00. Used it for 15 years and then got a better one in a garage sale for $25.00 !
http://www.dansmc.com/
< 70’s – 80’s
Early Mainframe Technologies
Fundamental ly soundThe world was character ce l lIndexing was “key f ie lds”I t workedTape was usedCentral ized (akin to Google)
80’s
Open Systems, C, Java, Unix
Fundamental ly soundThe world was character ce l lIndexing was “key f ie lds”I t worked, why?Tape was usedMove to decentral izationMany archivesStart of Federated Paradigms(akin to Google)
90’s
Web, HTTP
Fundamental ly soundDistr ibutedIndexing was “key f ie lds”HSM & Tape was usedMove to decentral izationMany archivesStart of E lectronic Bi l l PresentmentRealizat ion of re-purposing of data
mid to late 90’s
What changed?
Before Applications and Data Archive DisconnectedDataVolumeData SourcesMethods of acquis it ionIndexingSecurityIntegrationStorageRetr ievalsApplication complexity Categorization Legal Holds Extraction
AfterApplications L inked to ArchiveStorage Linked to Archive
Volume 50,000 users * 40 msgs per * 240 days per year
APPROXIMATE: 100TB per year
Archive software responsibi l i ty has changed signif icantly? No longer just “process oriented”
What is the heart of your digital archive?Major components :
ARCHIVE SERVERSTORAGE STORAGE APIINDEX SOFTWAREMIDDLEWARE COMPONENTSBUSINESS APPLICATION LAYER
The heart of the matter !
KEYS TO SUCCESS
ARCHIVE IS THE HEART, EVALUATE FOR SCALE, PERFORMANCE AND TCOUNDERSTAND STORAGE TIER CONSQEUNCES FOR MIGRATION
Things to remember
Th e wh ole is greater th an the sum of the parts
A RCHIVE SERVER IS NO LO NG ER A LO OSELY C OUPLED TECHN OLO G Y – IN OR DER TO SUCEED IT MUST HA VE TIG HT INTERG RATION WITH KEY SYSTEMS Scale is critical, even for smaller organizations.
IN DEXING ENG INE is cr i t ical to lon g term accessib i l i ty, the s igni f ican t chan ge is FULL TEX T in dexing vs . KEY F IELD in dexing, th e migrat in g peta-bytes o f lon g-t erm data is no t v iable tod ay for th e average corporat ion.
STO RAG E TIER is not lo nger a loosely coupl ed te ch nology, i t i s a cr i t ical cho ice as i ts in tr insical ly t ied to the HEA RT of the syst em, the arch ive sof tware t ier .
A PPLICATIO NS must be a f rame work for d evelopin g fu tu re appl icat ions an d accommod at ing chan ge as n ormal development
META-DATA MANA GEMENT an d admissibi l i ty must be consid ered th rough out th e architecture.
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