2009 - © RSD - 1 Information Governance: Business Challenges at the Intersection of Content & Compliance
Nov 01, 2014
2009 - © RSD - 1
Information Governance:
Business Challenges at the
Intersection of Content &
Compliance
2009 - © RSD - 2
• Speaking Volumes
• Records Management and Compliance►How ECM and Archiving “Fit” Together
• Technical Challenges
• Archiving as a Service►For Enterprise Content Management (ECM)
• Spanning the digital divide : ►Unstructured Content (ECM) vs. Structured Content
Topics
2009 - © RSD - 3
RSD Corporate Background
• Founded in Geneva, 1973► Affiliates in New York and London
• More than 1,200 customers worldwide► Over 2,000,000 users
• Pioneer in high-volume mainframe report and output management► EOS (Enterprise Output Solution)
• Innovator in records and document management, and Information Governance
► RSD Folders
2009 - © RSD - 4
RSD Corporate Background
• Pioneer in report / output management
• Leader in Integrated Document Archive and Retrieval Systems (IDARS) Magic Quadrant
• Innovator in Records and Document Management, Information Governance
* Magic Quadrant DisclaimerThe Magic Quadrant is copyrighted June 27, 2006 by Gartner, Inc. and is reused with permission. The Magic Quadrant is a graphical representation of a marketplace at and for a specific time period. It depicts Gartner's analysis of how certain vendor’s measure against criteria for that marketplace, as defined by Gartner. Gartner does not endorse any vendor, product or service depicted in the Magic Quadrant, and does not advise technology users to select only those vendors placed in the "Leaders" quadrant. The Magic Quadrant is intended solely as a research tool, and is not meant to be a specific guide to action. Gartner disclaims all warranties, express or implied, with respect to this research, including any warranties of merchantability or fitness for a particular purpose.
2009 - © RSD - 5
Telecom DistributionInsurance
Over 1200 customers sites, 2 million users
GovernmentAutomotive
Banks
2009 - © RSD - 6
“Welcome to Information Governance”
• Facts►Morgan Stanley: $1.45 billion►Citibank: $400 million►US Taxpayer: $10 million
• What do all of these have in common?
2009 - © RSD - 7
Content Explosion
Digintal Storage Technology Newsletter, July, 2009
Hard drive shipments will double within the next five years
2009 - © RSD - 8
Explosive
growth in
volume of content
creation
Rapid expansion in
laws
and
compliance
regulations
Growing urgencyto gain controlof this dynamic
Corporate Challenges
Patriot Act SEC 17a-4Title 21 CFR 11
MiFID
Basel II
DoD 5015.2
The Information Governance challenge has created urgency at the executive
level in every enterprise
2009 - © RSD - 9
Managing Risk is Critical
• Increasingly important executive function
• Exposure (to fines) & compliance (with laws) vs. costs► Must do so in a cost effective manner► Must reduce their overall cost of operation
• Within constraints of providing seamless and secure access to their information and content
1998 2001 2004 2007 2010
Pain related to costs (governance, infrastructure, etc.) Pain related to risks of over-retention Pain related to e-discovery risks
Pain related to data privacy breach risks Pain related to future risks (yet to emerge)
DoD 5015.2 9/11Patriot Act
Morgan StanleyE-Discovery irregularity fine $1.58b
MoReqHIPAA
Enron ScandalSarbanes-Oxley
FinancialCrisis 2008
UBS/WarburgFRCP
New Regulations?
New Regulations?
New Regulations?
New Regulations?
2009 - © RSD - 10
A Model for Information Governance
Jurisdiction nJurisdiction C Other
JurisdictionsJurisdiction AContent Bursting/Migration/Archiving
Content RetentionPoliciesControlEnforcement
ILM PoliciesControlEnforcement
Data PrivacyPoliciesControlEnforcement
E-Discovery & HoldsPoliciesControlEnforcement
Content Metadata RetentionPoliciesControlEnforcement
Digital Rights LifecyclePoliciesControlEnforcement
Information Governance ProgramContent RetentionContent Metadata RetentionData PrivacyILME-DiscoveryDigital Rights LifecycleAudit Trail Management
? ? ? ?
Corporate GovernanceIT GovernanceInformation GovernanceFinancial GovernanceOther
???
?
Majority of Information Governance policies are
defined at the Record Class level
RM + ECM EDD Systems
Records Retention Schedule
?
Corporate Information in
“Intelligent” Storage
Appliances
Collaborative Content in
ECM Systems
Business Operational and
Transactional Content in Archives
Corporate Information in Business Applications
Corporate Information
in Data Warehouses
Collaborative Content
scattered in Infrastructure
2009 - © RSD - 11
Multifaceted and Integrated Definitions of Lifecycle
Record Lifecycle:
1) Record Retention (RM): Capture/Declare Record - - Disposition -
2) Metadata Lifecycle: Metadata & Content Indexing Metadata Indexing - Basic Metadata Delete Metadata
3) Metadata Storage Lifecycle: Metadata on Tier 1 Archive Metadata Basic Metadata Delete Metadata
4) Content Storage ILM: Storage on Tier 1 Storage on Tier 2 - Delete, Expunge -
5) Vital Status: Vital Non-Vital - - -
6) Security Lifecycle: Security Classified - Security Declassified - -
7) Data Privacy Settings Lifecycle: Regulatory Controls ? Anonymize ? ?
8) Digital Rights Lifecycle: Assign Key ? Delete Key ? ?
9) Other (expandable - tbd): ? ? ? ? ?
metadataC
onte
nt
Va
lue
Collaboration Long-term Record Archival
days decadesweeks months years
Rec
ord
De
cla
ratio
n
Dis
po
sitio
n
Mile
sto
ne
#1
Mile
sto
ne
#2
2009 - © RSD - 12
Business Problems : pre-ECM
• Before you adopted Alfresco► Inconsistent business processes
• Document creation
• Content review and approval
• Publish, update, dispose (lifecycle management)
► Poor productivity• Many duplicate efforts
• Ineffective use of valuable resources
► Ineffective knowledge management• Intellectual property not discoverable
• Cannot be leveraged
2009 - © RSD - 13
Challenges Created by ECM Success
• Since Alfresco► More and more departments and users
• Success begets success
► More and more content being generated• New content types are more storage intensive
– Image, video, audio► Repository volumes expanding rapidly► Performance begins to suffer► New requirements
• COO and Compliance Officer: what about regulatory compliance?• Why can’t I see customer statements and other production
application data in my ECM?
2009 - © RSD - 14
Why is performance suffering?
• ECM systems designed to support “active content”► Content creation phase of the content lifecycle
• Frequent update and change• Multi-step workflow to obtain editorial approval
• Activity level dramatically lower post-approval► Most documents never changed after the approval cycle ► Yet they occupy space in ECM repository and database
• Alternative storage and retrieval services are required► To ensure that ECM is optimized to serve users needs : creating
and updating “active content”
2009 - © RSD - 15
New Compliance Questions
• Board and executive level pressure► Stakeholders need assurance business information is being handled
properly
• More content considered “business records”► Paper records, email, voicemail recordings, instant messages, blog
postings…
• Strict retention rules now required by law► Or by industry “best practice”
• Laws differ by jurisdiction► Regulations where content is stored tend to “trump” rules where content
is accessed► Content must be retained for specific time periods► Content must be disposed of after retention► Systems must support e-Discovery or litigation hold
– Which overrides retention and disposition rules
2009 - © RSD - 16
New Content Requirements
• ECM excels at organization of unstructured content
► Office documents, spreadsheets, other user-generated content
• Users want to see other relevant information… in one place
► Statements, reports, other data from datacenter business applications
• ECM systems do not span this “digital divide”
2009 - © RSD - 17
Robust Document Archiving Services are the Answer
• Design Center► Built specifically for the post-approval, post-publication phases of the
document and records lifecycle
► Proven to handle extremely high volume document and report environments, such as mission-critical business applications (billing statements, invoicing systems, payroll slips)
► Designed to supportmulti-level storage systemstypical of high volumecontent environments
2009 - © RSD - 18
A wide range of improvements
• Performance, scalability, user experience ALL improve► ECM database footprint dramatically reduced
• Bulk of inactive content retired; metadata remains in place
• Performance improves whereit counts: active content
► ECM servers can support more users
• Extending the lifetime (and value) of deployed servers
► Users see better response times, no loss of information
2009 - © RSD - 19
“Instantiated” mode
• Built on RSD Folders Z or Open Systems
• Indexes remain in Alfresco storage
Document Storage
Document Storage
Document Storage
Alfresco Explorer and/or Alfresco Share
DocumentMetadata
“Instantiated”
DocumentMetadata
“Instantiated”
“Instantiated”Documents
2009 - © RSD - 20
« Virtual Mode »
• Built on RSD Folders for Z or Open Systems
• All content is archived outside Alfresco (thus the name « virtual mode »)
Document Storage
Document Storage
Document Storage
Alfresco Explorer / Alfresco Share
“Instantiated”Documents
“Virtual”DocumentMetadata
“Virtual”DocumentMetadata
“Virtual” DocumentMetadata
“Virtual” DocumentMetadata
2009 - © RSD - 21
Integration of « external » documents
ArchLive for Alfresco brings to the collaborative workspace access to business documents which may be tens of thousands of pages in length.These “logical” documents are available to users without requiring “bursting” of the output stream into individual documents.
Structured DocumentsAnd
Logical Documents
Structured document flowSingle logical document
Alfresco Explorer / Alfresco Share
2009 - © RSD - 22
Document Capture
Performance and security:ArchLive for Alfresco can capture approximately 600 documents per second as compared to approximately 50 per second captured natively in Alfresco
Capture Rate
Alfresco Explorer / Alfresco Share
Document Storage Document Storage
RSD Database
2009 - © RSD - 23
Archiving
Scalability and cost control:ArchLive for Alfresco integrates with solutions like Tivoli Storage Manager (TSM), and cartridge or tape media.ArchLive also has strong integration with EMC Centera and Tivoli DR550
RSD Folders Data
Alfresco Data
Alfresco Explorer / Alfresco Share
Storage Flexibilty and Security
2009 - © RSD - 24
RSD ArchLive for Alfresco
• Robust document archiving service for Alfresco► Improves Alfresco performance
• By retiring large volumes of infrequently accessed content, reducing the “content footprint” of the Alfresco ECM repository and database
► Reduces operating costs
• By moving large volumes of content from expensive media to any major enterprise storage system
► Bridges the digital content divide, extending the Alfresco domain
• By delivering business information from enterprise business applications directly to ECM users