Capstone for
Records Management
DLT Solutions Company Background
•
Provider of best of breed IT solutions
•
Founded in 1991; headquartered in Herndon, VA
•
Privately held
•
Focused exclusively on Government
•
P&L divisions built around key strategic
partnerships
•
7x24 DLT Service Center (US citizen; US soil) since 2005
•
Multiple Government contract vehicles; 225+ employees; Facility CAGE
Code 0S0H9
•
Strong balance sheet and financially stable
8/20/14 DGI Agenda
• Managing Government Records Directive (M-12-18)
• Capstone in a Nutshell
Presidential Directive on Records Management
• Managing Government Records Directive (M-12-18)
The Directive focuses on modernizing the capture of federal records. The
goal was to reform records management policies & practices and move from
paper-based to digital management of records. Two Goals:
– By 2016 - Federal Agencies should manage both permanent and temporary e-mail records electronically in an accessible electronic format
– By 2019 – Agencies should manage all permanent records in an electronic format (and hopefully temporary records as well!)
• NARA Bulletin 2013-02 – Capstone
NARA published guidance outlining the
Capstone
approach to modernizing
the management of email records
– http://www.archives.gov/records-mgmt/bulletins/2013/2013-02.html
Capstone in a Nutshell
• Categorization of email based on the work and/or position of
the email account holders
• Two categories of account types:
– (1) Permanent
– (2) Temporary
• Schedule all email of Permanent accounts within the agency
or organizational unit as permanent email records
• Schedule remaining email as Temporary and preserve for an
established period of time based on agency need.
Goals of Capstone
• Simplified approach to managing email records
• Easy implementation
• Ensure compliance
• Provide flexibility in scope, deployment, end-user involvement
and what is captured
• Make records readily accessible to appropriate staff
• Leverage existing infrastructure where possible
• Address eDiscovery and FOIA needs
• Secure storage of e-mail to prevent unauthorized access and/or
destruction of records
• Capture and maintain required metadata
Capstone – Key Decisions
• How to capture the content?
• Accounts that need to be captured
• Use of automated classification
• End-user Involvement
Capstone Implementation
8 Data Classification Services EV Transfer End-User ClassificationContent is archived after reaching the end-user mailbox
Content can be selectively archived based on rules and Data Classification Services
Allows for end-users to over-ride default
retention
Content is copied to a journal mailbox and subsequently archived Content can be
selectively archived based Data
Classification Services
No ability for end-users to modify retention
Journaling Mailbox
Capstone Implementation – Account Types
Guidance
• Define permanent and temporary accounts • Permanent accounts should include:
• Officials at the higher levels of agencies or component organizations – including any secondary or alias accounts • Accounts of those authorized to communicate on high level
official’s behalf
• Staff members in positions that regularly create or receive email presumed to be of permanent value
• Anyone else who creates or receives email of permanent value
Enterprise Vault
• Provision groups for permanent & temporary • Assign appropriate retention categories for each
End-user Override of Defaults
Capstone for Records Management 10
•
“Permanent”
accounts will contain non-records
and
“Temporary”
account may contain records.
• For this reason, some level of
“culling”
should be
enforced to remove non-records and some form of automated
& end user record declaration may be needed
Capstone Implementation – Data Classification Services
EV Transfer End-User Classification Journaling Mailbox Data Classification Services• Use with Journaling and Mailbox archiving
• Search using predefined rules and keywords in the
subject and message body
• Proximity searching
• Trigger based on sender/recipient • Actions:
• Tag • Delete
Capstone Implementation – End-user Classification
Capstone for Records Management 12
EV Transfer Journaling Mailbox Data Classification Services
• Create folders with assigned retention
• Create a “Personal” Folder for Permanent Accounts • Create a “Records” Folder for “Temporary”
Accounts
• End User drags content to the appropriate folder • Setup rules to direct mail to a retention folder
• Mailbox archiving policy archives all other content
with default retention
Retention Folder in EV
Capstone Implementation – eDiscovery/FOIA
Capstone for Records Management 14
EV Transfer Journaling Mailbox Data Classification Services End-User Classification
• Capstone solution should be able to execute a litigation hold against selected custodians and provide efficient search results. It also must support the ability to export content in a suitable format.
• Agencies should also have a plan for destroying temporary records and non-records (defensible deletion) after they no longer need to be retained.
• All Symantec eDiscovery solutions have legal hold
• Enterprise Vault and EV.c conform to any existing or defined record retention schedules, enforcing expiry in accordance to the defined schedule
• Symantec eDiscovery Platform provides a managed
workflow approach to performing agency-wide searches for litigation purposes, FOIA requests, regulatory requirements, or investigations
What is Predictive Coding?
Leveraging
machine learning
to find small set of
relevant
documents
from a very large set of collected documents
System Training Applying Predictions Quality Control
Predictive Coding Results in Huge ROI
16
LINEAR REVIEW WORKFLOW
Total Documents After Initial Culling Linear Doc by Doc Review
Responsive Docs for Production 2M 700K Manual Review 480K
7,000 Hours
$700,000
Total Cost of Review Total Time of Review
PREDICTIVE CODING WORKFLOW
Total Documents After Initial Culling Linear Doc by Doc Review
Responsive Docs for Production
2M
700K
480K
180 Hours
$50,000
Total Cost of Review Total Time of Review
Priv Review
15K
90%
Time & Cost SavingsCapstone Implementation – Transfer to NARA
EV Journaling Mailbox Data Classification Services End-User Classification • NARA Bulletin 2014-04• Guidance for transferring permanent records to
NARA
• Leverage Discovery tools to find content that is
ready to send to NARA (ex. All records over 5 years old)
• Export to EML or a PST (will also accept MSG) • Attachments transfers in native format
• Ownership transfers to NARA
Capstone for Records Management 18
By 2019, all permanent agency records must be
managed electronically
Symantec Enterprise Vault Overview
Capstone for Records Management 20
f
File Servers
Social Media/IM
Partner Ecosystem
Outlook/OWA
Lotus Notes/DWA
Browser Search/
Archive Explorer
Windows Explorer
eDiscovery &
Compliance
SOURCES
ARCHIVE
ACCESS
Symantec Enterprise Vault - Leadership
Capstone for Records Management 22
