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Data Management and Compliance

Data Management and Compliance. Jay Tuseth Director, Data Protection & Availability Asia Pacific Japan Region EMC. Today’s Challenges . Historic Emails. To: Paula Fr : Dave Date: 2010 . . . Great sex under [that] desktop . . . From: VB To: Legal

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Data Management and Compliance

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  1. Data Management and Compliance Jay Tuseth Director, Data Protection & Availability Asia Pacific Japan Region EMC

  2. Today’s Challenges

  3. Historic Emails To: Paula Fr: Dave Date: 2010 . . . Great sex under [that] desktop . . . From: VB To: Legal They want to pay just the way we have it set up, they will not pay all upfront. But if finance has to write it that way for rev rec then I can explain that. …. All good. It will take some explaining to [customer] on why they need to keep the invoice notice for close to 4 years. :-) To: Morgan Stanley Team Fr: Phil Blumberg, VP Date: 3/16/07 What should we name these mortgage-backed securities? How about: - Nuclear Holocaust? - Mike Tyson’s Punchout? CIA Director David Petraeus email to mistress Forced resignation of the top US Spy BP Oil Spill Litigation The Largest ever eDiscovery case $4B penalty; $8B Settlement Autonomy Revenue Recognition Issues Contributed to HP write-down of $8.8B Morgan Stanley CDOs Emails are centerpiece of $240M lawsuit by purchaser, CDIB (Taiwanese Bank) To: Bill Fr: George Geologist Date: February 2010 Thanks for the shitty cement job.

  4. Social Media Usage Fulbright and Jaworski, 7th Annual Survey Litigation Trends Survey Report, October 2010 (US & UK Respondents)

  5. March 2014: Microsoft announced that it accessed an individual's Hotmail and Windows Live accounts in an effort to stop a leak of proprietary software Microsoft defended its actions as reasonable and permissible under its terms of service The Basic Terms of Service for O365 reference the same Online Services Use Rights Agreement Could Microsoft Read Your 365 Mail? • “We will not monitor your use . . . nor will we view . . . Except to: . . . Protect the rights or property of Microsoft or others, including the enforcement of our agreements or policies governing use of the online service . . . “ 7

  6. Being Proactive

  7. Electronic Discovery Reference Model (EDRM) eDiscovery with Discovery Manager & Kazeon SourceOne for Email & Data Parser

  8. Data Retention

  9. SOX eDiscovery ESI 17a-4 / RIA/DF Books & Records Patient Info General Business Records Potential Compliance Penalty For Loss Retention Time Fileshares Social Media Web Info Email

  10. Email Retention • Movement to enable central management • Shorten general retention to 6 months – 3 years • Enable longer-term saving as needed (UDAs)

  11. Segment Data by Business Value Business records (e.g., automated message capture of strategic departments/users) Business important e-mails/docs (e.g., automated message capture of strategic departments/users or as part of a Discovery Manager search) Large-volume e-mails / docs (e.g., routine business e-mail archived as part of good information governance and regulatory compliance) Require drag-and-drop to long- term retention folder Compliance Archive • Official business record • Long-term retention Capture and retain for X months; start long and shrink - Adjust period based upon risk! Compliance or Native Archive • Referential • Modest retention • Required for discovery Native Archive • Non-record • Enforced deletion

  12. Deletion: A Balancing Act… Storage savings Backup windows and operational costs Reduce e-Discovery Cost and Complexity Simplify KM and re-use Stale data can create liabilities Fail To Meet Compliance Requirements e-Discovery Risk (spoliation) Loss of Institutional Knowledge Big Data Deletion Takes Work and Risk - who signs off?

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