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Practical eGRC: The First Step in Bringing eDiscovery, Investigations, and Governance Together with Archer and EMC SourceOne – Kazeon Prashanth Shetty General Manager, EMC SourceOne Kazeon Chris Dale eDisclosure Information Project Michael Teschner Business Development, RSA

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Agenda  The Legal GRC Imperative  What is Kazeon?  New Solutions  Discussion

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The Business Problem • Challenge: Just spoke with IT and there’s data scattered in network that I need to manage • The content is scattered across:

• • • • •

SharePoint (loosely managed at best) Email (PSTs/attachments) Lotus Notes (unique environment) File Shares (unmanaged, wild mess) Laptops (risk laden)

THE DATA POSES AN UNKNOWN RISK AND COMPLIANCE PROBLEM THAT NEEDS A MITIGATION PLAN

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Defining eGRC What is it? Enterprise Governance, Risk and Compliance (eGRC) is focused how an organization: • Defines the objectives, policies, procedures and standards • Manages risk within appetites set by the business • Demonstrates adherence to laws, regulations, policies, contractual obligations and industry standards • Protects the confidentiality, integrity and availability of information assets

Why it gaining momentum? • • • •

Information explosion in the enterprise Avalanche of regulations, globally and locally Hyper extended, virtual enterprise Heightened need for real-time visibility into exposures from stakeholders

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Governance Categories • Financial GRC – Chief Financial Officer •Operational GRC – Chief Operating Officer •Legal /reputation GRC – General Counsel, Chief Compliance Officer •IT GRC – Chief Information Officer/ Information Security Officer

EMC Information Governance solutions directly address legal and IT GRC

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Governance, Risk, and Compliance is complex! Law, Regulation, and Privacy Competition •1995 Data Protective Directive 95/43 EU •UK Civil Procedure Rules of England and Wales Part 31 & Data Protection Act 1998 •USA Federal Rules of Civil Procedure amendments - Dec 2006 •Canada - Personal Information Protection and Electronic Documents Act •UK Bribery Act

United States     

Common Law Broad, expansive discovery (eDiscovery) Generally each party bears fees and costs No Employee Privacy Data Ownership ‐ Employer

Canada   



Common Law Broad, includes e‐data Strong Employee Privacy Protection Data Ownership – Employee

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United Kingdom     

Common Law Reasonable discovery (eDisclosure) Loser pays discovery costs Strong Employee Privacy Protection Data Ownership ‐ Employee

France and Germany    

Civil Code Limited disclosure Strict Individual Privacy Rights Data Ownership ‐ Employee

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What's the worst that can happen? • Fines accorded to non-compliance • Costs of inefficient & ineffective eDiscovery/eDisclosure • Risk of sensitive information getting in the wrong hands • Risk of official records going unmanaged, getting lost or altered without notice

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EMC SourceOne Kazeon eDiscovery and File Intelligence An information management platform to identify, collect, search and discover information from unstructured data sources

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What does Kazeon do? • Identify and gain knowledge of electronic assets for file visibility and remediation • Define policies and processes to manage electronic information • Respond cost-effectively to eDiscovery, eDisclosure, and Regulatory requests and investigations with defensible process and chain of custody

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Intelligent Information Governance with EMC EMC SourceOne Kazeon Enables educated decision-making and policy creation Laptops and desktops

Identify, Collect, Deduplicate Legal Review

File systems

Analyze, Review, Build Policies E-mail servers Documentum

Documentum Microsoft SharePoint Third-party archives

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Copy/move to enable records retention Copy/move to archive storage

EMC VNX, Data Domain, Centera

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Records Remediation USE CASE

Business challenge • The process of manually searching through vast sums of content, identifying them as records, and processing them does not scale • Organizations do not have the resources to keep up with the huge volumes of content Solution EMC Kazeon’s full-text indexing and classification identifies content that needs to be managed as formal records and migrates it to EMC Documentum Records Manager

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Storage Utilization USE CASE

Business challenge Unmanaged file content uses valuable storage resources • How much is out there? • What is it costing the organization? • How do we know what to charge back? Solution IT can quickly understand how storage is being utilized with meta data indexing, and reporting capabilities of EMC SourceOne File Intelligence EMC SourceOne File Intelligence can then systematically migrate content to EMC VNX Centera or Data Domain storage

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New Solution: Advanced eDiscovery (EMC Legal Hold Management)

Archer For better collaboration and visibility across legal, risk and finance executives

SourceOne Kazeon eDiscovery Early case assessment, bridges legal and IT

• Combining best of breed capabilities of EMC Kazeon and RSA Archer • Kazeon collection and custodian management with Archer survey/workflow functionality with analytics • Addresses legal risk and rules of civil procedure by enabling best process preservation, legal notifications, survey management and tracking

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Case Study – Large Financial Services Firm EMC SourceOne Kazeon- File Intelligence automates information risk management using content indexing and policy-based remediation Third largest home mortgage provider in U.S Before Before

After After

Unlimited Unlimitedaccess accesstotodata data

Reduction Reductionininpotential potentialfor forlost/stolen lost/stolendata data

100 100TB TBofofunclassified unclassifieddata datainin99locations locations

PII* PII*located locatedand andrisk riskmitigated mitigated

Risk Riskofoflost lostdata, data,lost lostcustomers customers

Data Dataisissecured, secured,customer customerpiece pieceofofmind mind

*Personally Identifiable Information

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Practical Approach to eGRC Where is your business on the Info.Gov maturity curve?

Past • Adhoc • Home Grown • Manual • Outsourced • Reactive

Next Gen eGRC • Process & Metrics Driven Today • Platform based • Advanced Automation • Adhoc • Packaged Software • In-house • Limited Automation • Proactive • Context driven decision support • Reactive

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An Actionable 5-Step eGRC Plan • Identify your top risks - what prevents the achievement of corporate objectives? • Design policies and controls - what checks and balances should be put in place to mitigate risk?

• Re-engineer business processes - optimize for scale and competing interests

• Identify owners and accountability - Which stakeholders shall own the risk?

• Automate the execution, management and measurement - deploy EMC Kazeon for best-in-class information management © Copyright 2011 EMC Corporation. All rights reserved.

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SourceOne Kazeon/File Intelligence Benefits • “Drop-in” appliance • Minimize legal and information risk • Reduces the cost of risk management and compliance • Flexibility of deployment

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THANK YOU

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