Rev 2.0 01102010 Copyright © Open Text Corporation. All rights reserved.

Evolving RM to Information Governance to Protect Your Organizations

Stephen LudlowTim Carroll

April 12, 2023

MANAGEMENT

MANAGEMENTRECORDS

INFORMATION

COMPLIANCE

LITIGATION RISKPCI

SECURITY

STORAGEEDISCOVERY

IP FCPA

Information Governance Paradigm Shift

3

Improved Compliance and Operational Efficiency & Reduced Litigation Risk, Storage Costs and eDiscovery Costs

Compliant Retention and Defensible Disposition - and Legal Hold

Classification as per Policy

Capture Content

Fundamental Shift in Focus for RIM Professionals

1. Work with IT to implement methods for capture of content

Signs You Have a Capture

ProblemFileservers PSTs

Tape

Desktops

Archives

The OpenText Approach

6

Messaging Microsoft Exchange Lotus Notes

DM & CollaborationSharePointeDOCS DM3rd Party DMs

ERPSAPOracle

PhysicalFolders, Boxes & Shelves

DAM, Social and Web Content

Put the user at the centre and embed information governance in the applications they use

Desktop ToolsMicrosoft OfficeSecure Synching

FilesharesShared Drives

FSA

Integration Centre

The OpenText Approach

7

Messaging Microsoft Exchange Lotus Notes

DM & CollaborationSharePointeDOCS DM3rd Party DMs

Desktop ToolsMicrosoft OfficeSecure Synching

PhysicalFolders, Boxes & Shelves

FilesharesShared Drives

FSA

Integration Centre

ERPSAPOracle

DAM, Social and Web Content

Capture content and manage using a single source of policy

Manage In Placevs

Centralized

Storage

Costs

Integration

Costs

Spoliation

Risk

ChangeMgmtCosts

MigrationCosts

HIGH

LOW

HIGH

LOW

Central Archive

Federated Records Management (MIP)

Manage in Place

Deployment Options

Storage

Costs

Integration

Costs

Spoliation

Risk

HIGH

LOW

ChangeMgmtCosts

MigrationCosts

HIGH

LOW

Manage in Place

Central Archive

Federated Records Management (MIP)

Deployment Options

Storage

Costs

Integration

Costs

Spoliation

Risk

HIGH

LOW

ChangeMgmtCosts

MigrationCosts

HIGH

LOW

Central Archive

Federated Records Management (MIP)

Manage in Place

Deployment Options

Storage

Costs

Integration

Costs

Spoliation

Risk

HIGH

LOW

ChangeMgmtCosts

MigrationCosts

HIGH

LOW

Central Archive

Federated Records Management (MIP)

Manage in Place

Deployment Options

Storage

Costs

Integration

Costs

Spoliation

Risk

HIGH

LOW

ChangeMgmtCosts

MigrationCosts

HIGH

LOW

Central Archive

Federated Records Management (MIP)

Manage in Place

Deployment Options

Managed Content• ECM Systems• Legacy Applications

Costly Content • Email• SharePoint• ERPContent at Risk• Desktop• File Server

Deepest Integration with lead applications

Standard and custom connectors

File Sync’ing

Disruptive

ECMTechnology

Secure File Synchronization

IT’S ALLABOUT

ME

EnterpriseFile Sync’ing

Fundamental Shift in Focus for RIM Professionals

2. Work with the Business, Legal and IT to understand the best way to classify large volumes of

content

Copyright © Open Text Corporation. All rights reserved. Slide 18

Classification drive Retention, Disposition and Security

Disposition reduces Litigation risk Storage Costs eDiscovery costs

For regular disposition, information classified must include: Business Records Transitory Content

Creating and applying an enterprise taxonomy is difficult

End-users must classify information

Classification impacts productivity

Users opt out Records Managers become

marginalized

The Classification Paradox

Auto-ClassificationNo easy buttonDifferent definitionsDifferent use-cases

It’s really all about capture & classification!

20

Multiple classification strategies must be employed

1. User-Driven Classification

2. Role-Based Classification

3. OCR/ICR Auto-Profiling

5. Auto-Classification

4. Process Driven Classification

User Driven - Inheritance and Automated Classify on File

PROS CONS Most trusted by records

managers Good for subjective

content, traditional records and traditional business processes

Well supported by existing technology

Capture - we are trying to manage ALL information

Downloads responsibility to end users

Not good for legacy and low touch content

User Driven ClassificationEmail messages can be classified in-place from the Outlook interface

22

User Driven SharePoint ClassificationDocuments can be classified from the Sharepoint interface

23

Role-based Classification

No user involvement Relative ease of

implementation

Risk Assumption Not content-based Under/Over retention Alignment to roles Difficult for legacy and

journaled email

PROS CONS

Role-based ClassificationDocuments can be classified according to the group to which the user belongs

25

OCR/ICR Auto-Profiling

Reduces manual workload and error

Critical to automating process

Bridges the paper world to the electronic

Not typically effective for email and ad-hoc communication

PROS CONS

OCR/ICR Auto-Profiling and IdentificationScan and index physical documents such as drawings, contracts and forms

27

Process-driven Classification

100% accurate Granular classification

possible Content can profiled at

the same time

Requires process automation and mapped classification

Not effective for email and other ad-hoc communication

PROS CONS

Process Driven ClassificationDocuments can be classified as part of a business process

29

Microsoft SharePoint Site Archiving

30

Capture and archive SharePoint sites, for defensible disposition

Content-based Automated Classification

No user involvement Content-based Good for legacy and low

touch content

Capture is required Tuning and quality Care and feeding Legal and organizational

buy-in

PROS CONS

Trust??

A transparent process such that the basis for automated classification decisions can be readily understood, tuned and explained

How do we do it? How do we prove it?

Records Manager’s Requirements for Auto-Classification

Facilitate adequate sampling to demonstrate both classification accuracy (precision) and completeness (recall) that aligns with the risk profile of the information

Set-Up Refine Sample & QA Apply

Transparent & Defensible Process for Auto-Classification

The first Auto-Classification application with Sampling and Review

OpenText Auto-Classification

Classifies content based on understanding of

the content, rules, or a combination of both

Critical for low touch, high volume content

Remove end-users from the equation

Good

40%

isGood Enough

How

?50% 60%70% 80% 90%

Benchmark - Document - Risk Assess

Admityou have a problem

Good Enough = Better than TodayDon’t let perfect be the enemy of good

Courts do not demand perfection – just reasonable, good-faith efforts

Is Perfection the Standard?

Auto-Classification demonstrates a

programmatic, consistent and thorough approach

to retention and disposition

Machine(challenger)

Human(reference)

Was Perfection Ever the Standard?

Accuracy Buy-In Relative Accuracy

90%

60% - 90%

50%

100%

45%

60% - 90%

Getting the Attention of IT and Legal

Uncomfortable Questions for IT and Legal

Are your storage and eDiscovery budgets increasing at the same rate as your overall budgets?

1.

5

Are we moving applications to the cloud?2.

Uncomfortable Questions for IT and Legal5

Are we asking end users to perform unnatural acts?3.

Uncomfortable Questions for IT and Legal5

Do we plan on keeping everything for ever?4.

Uncomfortable Questions for IT and Legal5

Is it going to get any easier?5.

Uncomfortable Questions for IT and Legal5

Find out more:www.opentext.com/informationgovernnace

QUESTIONS

BusinessThe

Copyright © Open Text Corporation. All rights reserved. Slide 47

LegalRisk Cost

Value

Risk

Cost Value

ITRisk

CostValue

RIMRisk

Cost

Value

OpenText Information Governance

Striking a balance between competing priorities in the

creation, retention and disposition of content

Find out more:www.opentext.com/informationgovernnace

THANKYOU