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Integration of E-Discovery and FOIA
April 4, 2013
Tom Kennedy Director, Symantec Archiving and E-Discovery
Team
Digital Government Institute’s
Sample Enterprise and Government Customers
●
Manual - Emails &
Spreadsheets
Legal Hold
Identification & Collection
●
Data Collection
●
Ship to Outside
Counsel, or
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Ship to Vendor
Pre -Processing Processing & Analysis
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Process,
de-duplicate and
blind keyword
Review & Productio
n
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Linear Review
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Review and
Produce to
Outside Counsel
Preservation Legal Hold Identification & Collection Pre-Processing Analysis
Processing ProductionReview &
Clearwell Provides a Repeatable & Defensible Process
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Automated Legal
Hold
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Network Based
Collections
●
Predictable Costs &
Timelines
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Early Analysis &
Easy Filtering
●
Faster & More
Accurate Review
Lit Hold Templates
Survey Templates
Data Mapping
Custodian Interviews
Case Evaluation
Auto- Filters
Early Case Assessment
Transparent Search
Intelligent Review
Strategic Advantage
eDiscovery Has Become a Business Process
IP theft, inappropriate use
Wrongful termination, harassment
Fraud investigations
FOIA and Congressional
Inquiries
Electronically Stored Information (ESI)
Legal Forensics/
Security HR Audit Compliance
Symantec Provides the Platform for this Business
Process
Integration of eDiscovery and FOIA
Symantec provides the
eDiscovery platform for
enterprises, governments,
and law firms.
Legal Forensics/Security HR Audit Compliance
Electronically Stored Information (ESI)
Same Information, Separate Problems
We’re consolidating data
centers. Do I really need
to move all 3 PB of data
from my old DCs?
PII info was just leaked.
How did this happen
and how do we stop it?
I just spent $1 million to
sort through content for
a recent case. Why are
we keeping this stuff
anyway?
CISO
CIO
GC
Our agency information is
doubling every year, and
our FOIA requests are not
slowing down. how do I
keep up?
Chief Compliance Officer
Integration of eDiscovery and FOIA
Purge or Preserve Content (Reduce Risk) Find Repositories
Purge Content Secure Content
Purge Data (Reduce Cost) Backup
Compliance And Transparency
FOIA and discovery overlap
Exempt Information
Non-records
Irrelevant information
Growth In E-Discovery Driven By Growth In
Electronically Stored Information (ESI)
“The amount of digital information increases tenfold every five years”
But There’s A Catch: Information Overload
…how can I zoom into the tiny fraction of
Large volumes of ESI exist, but…
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A Case Study: NOAA and the BP Oil Spill
•
December 2010
–
Overwhelmed by FOIA requests
–
Preparing for complex litigation – litigation hold in place
–
Litigation needs had priority but FOIA was close behind
•
January 2011
–
Reviewed technology choices, consulted Gartner
–
Consistency, value - integrate with DOJ technology
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Clearwell pilot - Congressional request: success!!!
–
Congressional sanction avoided
•
February 2011
–
Clearwell installed and in use for BP FOIA processing
• Nov. 2011 - 76 request/visits to NOAA FOIA documents
• Dec. 2011 - 126 request/visits to NOAA FOIA documents
• Jan. 2012 - 16,835 request/visits to NOAA FOIA documents; frequently requested: 2010-00377 (14,494 requests), 2010-00372 (1,585 requests)
• Feb. 2012 - 285,980 request/visits to NOAA FOIA documents; frequently requested: 2011-00120 (155,521 requests), 2010-00531 (70,022 requests), 2011-00377 (25,188), 2010-00372 (19,794)
• Mar. 2012 - 14,642 request/visits to NOAA FOIA documents; frequently requested: 2010-00519 (10,550 requests), 2011-00120 (2,400 requests)
• Apr. 2012 - 2,764 request/visits to NOAA FOIA documents; frequently requested: 2011-00120 (2,073 requests), 2010-00377 (368 requests)
• May 2012 - 12,822 request/visits to NOAA FOIA documents; frequently requested: 2010-00519 (12,537 requests)
• June 2012 - 128,602 request/visits to NOAA FOIA documents; frequently requested: Sea Turtles (95,810 requests), Oil budget (32,300 requests)
• July 2012 - 203,345 request/visits to NOAA FOIA documents; frequently requested: Oil budget (179,558 requests), 2010-00519 (13,313 requests)
• Aug. 2012 - 134,446 - request/visits to NOAA FOIA documents; frequently requested: Sea Turtles (134,155 requests)
Total number of document views, Nov. 2011 - August 2012: 799,638
BP Oil Spill FOIA-released material by the numbers
General Public Usage Statistics of the NOAA FOIA document portfolios:
Nov. 2011 through August 2012
•
FOIA Compliance
vendor sampling
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FOIAXpress
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Privasoft
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Public Records Tracker
•
Electronic Discovery (E-Discovery)
vendor sampling
–
ASG
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Autonomy
–
Clearwell/Symantec
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EMC
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Open Text
What technology fits your needs?
Litigation
FOIA Requests
•
FOIA compliance software can
manage FOIA work- flow and applies FOIA
exemptions.
•
FOIA compliance software can’t
always manage FRCP rules requirements
e.g., metadata management and very large productions.
•
Discovery software can
manage both FOIA productions and Federal Rules
of Civil Procedure (FRCP) discovery-phase productions.
•
Discovery software can’t
manage FOIA timelines, work-flow, and
business-process management needs.
•
Save attorney time and cost
•
A record of pre-litigation content released and to whom
•
Ability to manage high-volume document production
–
de-duping
–
threaded conversations
–
attachments maintained with email
–
Redaction
–
Key-words-in-context searching
The value of using eD software for FOIA productions
Case Study: US Government Department
Workflow
•
Agency Profile:
–
100,000+ employees
–
16,000+ FOIA requests each year
–
Growing backlog of unresolved requests
Process
Request
Collect Data
Search
Review and
Redact
Produce and
Close
Receive request Process and assign to FOIA analyst Determine if delinquent on FOIA request payments
Visibility into data volume for cost estimation Collect from Exchange,
OpenText archive, SharePoint
Filter to only relevant information Deduplicate data Perform targeted keyword searches Single search interface for over 400 file types including PST/NSF email Perform redaction of personally identifiable information Capture exemption codes Generate an index that can be used as a Vaughn index
Multiple production options including redacted TIFF/PDF Treatment of metadata
Case Study: US Government Department
Results
Achieving Transparency through Archiving and eDiscovery 21
1
2
Average Search Time
Per FOIA Request
2 hours 41 minutes
Before
Clearwell
Average Efficiency Gain
with Clearwell
After
Clearwell
1 hour 2 minutes
61 percent
Case Study: US Government Department
Results
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More than 50% improvement in time to complete a FOIA
response
Presidential Directive: Call to Action
Decades of technological advances have transformed agency
operations, creating challenges and opportunities for agency
records management. Greater reliance on electronic
communication and systems has radically increased the volume
and diversity of information that agencies must manage. With
proper planning, technology can make these records less
burdensome to manage and easier to use and share. But if
records management policies and practices are not updated for
a digital age, the surge in information could overwhelm agency
systems, leading to higher costs and lost records.
Why Federal Agencies Use Clearwell
1.
Ease of Use and Intuitive Interface
2.
Market Leader in the Federal Space
3.
Visionary with workflow-based TPC and ECA tools
4.
Defensibility and chain of custody
5.
FOIA and Congressional Inquiry applications
Thank you!
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