PA

GE 1

www.DocuLynx.com

Emerging Technologies forInformation Governance

July 17, 2014

PA

GE 2

www.DocuLynx.com

ChallengesKey Information Management Challenges

• Legal eDiscovery and Regulatory Compliance continue to grow

• Access to information becomes more and more a key information security concern

PA

GE 3

www.DocuLynx.com

ChallengesKey Information Management Challenges

• 40% of a knowledge workers time is spent managing their documents. – Gartner

• 15% - 35% of a Knowledge Worker’s time is spent searching for information.

• 15% of the work week is spent reproducing information that already exists. – IDC 2010

PA

GE 4

www.DocuLynx.com

Trends That Intersect These Challenges

BIG D

ATA

CLOUDSE

CURI

TY

MOBILE

COMPLIANCE

PA

GE 5

www.DocuLynx.com

New deployment architectures emerging (private, public, and hybrid)

Security concerns as to what is in the cloud

Less IT control over content and systems

Trends: Cloud

PA

GE 6

www.DocuLynx.com

Mobile clients increasingly are replacing traditional modes of information access

Availability of legacy data on mobile devices

New security concerns surrounding information access and access controls

Trends: Mobile

PA

GE 7

www.DocuLynx.com

Firewalls become transparent with ever more forms of collaboration and exchange of information

Emergence of new platforms (Cloud) and devices

Need to identify and secure sensitive information, including corporate IP

Demands for new security concepts

Trends: Security

PA

GE 8

www.DocuLynx.com

Volume, Complexity, Variety, and Velocity

Inclusion of unstructured data in varied formats / 360⁰ view of the business

Demands for new applications including mash-ups and analytic capabilities with access to all relevant information

Trends: Big Data

PA

GE 9

www.DocuLynx.com

Ever increasing array of external regulations and internal policies

Applied to emerging platforms

Courts require increasing transparency of information for legal matters

ECM “one-size-fits-all strategy”, is not an effective solution

“Many organizations have fragmented approaches and platforms to support their ECM needs. Past Gartner surveys have shown that many organizations have an average over six different

ECM products in place while large organizations can have as many as 20.”-Kenneth Chin, Gartner

Trends: Legal and Regulatory Compliance

PA

GE 1

0

www.DocuLynx.com

“Enterprises need to build an information governance program (and supporting platforms -author)

with policies and processes to better manage all the content in the enterprise as well as outside the enterprise as social media, mobile, and cloud technologies increase the breadth of where the content exists.”

-Mick MacComascaigh, Gartner

PA

GE 1

1

www.DocuLynx.com

PA

GE 1

2

www.DocuLynx.com

Business Objective:Value-Based Information Management

Treating Information According to Its Value to the Enterprise

Agile Operational EnvironmentsManaging Risk Minimizing Information’s TCO

PA

GE 1

3

www.DocuLynx.com

• Integration–Process; Content; People–360⁰ view of information–Addressing Media discontinuity to leverage all relevant informational value in the enterprise

• Classification of information–For compliance controls–For security controls–For discoverability

Adapted Information Governance Model:Simplification

CLASSIFYCLASSIFY&&

INTEGRATEINTEGRATE

Policy IntegrationPolicy Integration

Process TransparencyProcess Transparency

PA

GE 1

4

www.DocuLynx.com

•Integration Process; Content; People 360⁰ view of information Addressing Media discontinuity to

leverage all relevant informational value in the Enterprise

Adapted Information Governance Model: Business Value & Legal & Compliance Risk

CLASSIFYCLASSIFY&&

INTEGRATEINTEGRATE

Policy IntegrationPolicy Integration

Process TransparencyProcess Transparency

PA

GE 1

5

www.DocuLynx.com

Today’s Information Intensive Application Environments

Dynamic and information-intensive processes

High degree of ad-hoc collaboration between knowledge workers

Incremental and progressive responses from knowledge workers

Event-driven Given context

Source: December 28, 2009, “Dynamic Case Management — An Old Idea Catches New Fire” Forrester report

PA

GE 1

6

www.DocuLynx.com

Challenges

Processing takes too much time

Workers can‘t acess all the data and forms they need

Workers can‘t effectively collaborate and share knowledge

Compliancy is an issue

Cases don‘t follow a fixed sequence or stucture

Hard to track who did what, when and why

No opportunity for improvement

Existing structures prevent flexibility

Can‘t identify patterns and learn from them

PA

GE 1

7

www.DocuLynx.com

Specialized.Apps Specialized

Apps

StandardApps

StandardApps

Today’s Business Models are based on Content and Process Silos

ApplicationsApplications

Business ModelBusiness ModelInno-vation

Markets

Products

PA

GE 1

8

www.DocuLynx.com

ApplicationsApplications

Process &Process &IntegrationIntegration

Business ModelBusiness Model

Customer

Inno-vationMarkets Products

The Missing Level: Process Management and Standard Integration

Specialized.Apps Specialized

Apps

StandardApps

StandardApps

PA

GE 1

9

www.DocuLynx.com

Every Level Requires Different Flexibility and Performance

ApplicationsApplicationsIndividual Applications Individual

Apps

StandardApps

StandardApps

Process and Process and IntegrationIntegration

Business ModelsBusiness Models

KundenNew Customer

MärkteNew Market

Inno-vation

NewInnovationProdukteNew

Products

Flexibility andFlexibility and CollaborationCollaboration

PA

GE 2

0

www.DocuLynx.com

ApplicationsApplicationsIndividual Applications Individual

Apps

StandardApps

StandardApps

Process Process IntegrationIntegration

Business ModelBusiness Model

KundenNew Customer

MärkteNew Market

Inno-vation

NewInnovationProdukteNew

Products

Flexibility andFlexibility and CollaborationCollaboration

Lifecycle for Agility and Collaboration

PA

GE 2

1

www.DocuLynx.com

• ... is available on all platforms(from Windows to Mainframe)

• … is installable onsite, in hybrid and in full cloud environments

• … is available also as SaaS and Volume based editions

• … is the platform for Information Modernization & Virtualization

• … from ECM Solution to Information Virtualization

• … ideal for the instantiation of CCAs

Next Generation Platform:Content Services Platform (CSP)

docHarbordocHaven

PA

GE 2

2

www.DocuLynx.com

– Make information available to the business processes

– Don’t shut down a repository unless you want

– Don’t be forced to migrate to a proprietary system and lose independence

– Connectors can hook in documents, data & workflows

– Centralized hub manages all communications

Core Components:Integration and Federation

docHarbordocHaven

PA

GE 2

3

www.DocuLynx.com

– Existing interfaces can be used and new capabilities plugged in

– New interfaces can be developed with rapid prototyping

– Based on Open Standards:• Win• Java• Web

– Supports the development of Mashups

Core Components:User Experience

docHarbordocHaven

PA

GE 2

4

www.DocuLynx.com

– Work Routing Automation– Business Process Automation• Scanning to ILM– Content-Centric Workflows– Ability to tie-in enterprise

standard workflow engines as needed

– Extraction automation

Core Components:Content Automation

docHarbordocHaven

PA

GE 2

5

www.DocuLynx.com

– Support for compliance (internal and external regulatory) policies

– Support for eRecords Management structures

– Process Monitoring– Audit Trails– Support for Content Analytics

on existing content

Core Components:Compliance and Analytics

docHarbordocHaven

PA

GE 2

6

www.DocuLynx.com

Use Case Example:Bank

PA

GE 2

7

www.DocuLynx.com

Use Case Example:Bank

PA

GE 2

8

www.DocuLynx.com

Use Case Example:Bank

PA

GE 2

9

www.DocuLynx.com

• Classification of Information and Long-term Preservation– For compliance controls– For security controls– For discoverability

Adapted Information Governance Model: IT Efficiency & Legal/ Compliance Risk

CLASSIFYCLASSIFY&&

INTEGRATEINTEGRATE

Policy IntegrationPolicy Integration

Process TransparencyProcess Transparency

PA

GE 3

0

www.DocuLynx.com

Some documents or emails contain sensitive information that needs to be retained for compliance or legal reasons, while other data is little used or redundant. The challenge is to identify what is what…

Adaptive auto-classification:•unstructured data , e-mails•Documents and Records•ERP data and SharePoint objects

Classification is an enabler for:•Archiving•Encryption •3’rd Party Applications

Combining classification and archiving is a big step forward for any enterprise faced with:•ongoing regulatory demands•staggering data storage costs•outdated or paper-based archiving processes

emails

documentsdata

voice

webcontent

video

Not all information is equal

PA

GE 3

1

www.DocuLynx.com

Toxicity of Information:Understanding the Risk of Information

Source: IRM Consulting

PA

GE 3

2

www.DocuLynx.com

Identifying the right filesOnly classification enables automation

• Critical information that should not be moved to the cloud.

• Sensitive information that needs to be encrypted before moving it to the cloud.

• Important information that needs to be archived.

• Passive information that is little used and could be moved to IRM immediately.

DocuClassifyDocuClassify

PA

GE 3

3

www.DocuLynx.com

Identifying the right filesAttaching the classification directly to the file creates …

Tell from the outside what is inside TransparencyTransparency

Every user and every application can use the information

SynergiesSynergies

Easy recognition of outliers and hotspots SecuritySecurity

Quick grouping for joint processing EfficiencyEfficiency

According to the same principle within the entire organisation

UniformityUniformity

PA

GE 3

4

www.DocuLynx.com

Classification FrameworkPerformance, Precision and Flexibility

Meta data based classification enables high performance on high volumes of data

Pattern Matching is performant and exact when using classification criteria that can be expressed in regular expressions

Machine Learning with linguistic-statistical analysis has universal applicability and delivers strong results with fuzzy classification criteria

Partnerships for Information Governance with the likes of:

• KPMG• Deloitte• Fontis International

metadata-based

metadata-based

... ...

Machine LearningMachine Learning

PatternMatchingPattern

Matching

PA

GE 3

5

www.DocuLynx.com

DOCUMENT CLASS

Identifying the right filesMore simplified creation of rules

Example for a meta data-based criterion

Example for the comparison with a training set

Assignment of classification properties

Example for a criterion with regular expressions

PA

GE 3

6

www.DocuLynx.com

(1) Any information object brings Metadata (e.g. location, name, creator etc.) with it. The actual set can vary with the type of information.

(2) Classification rule assigns a document type to the information object. Each DT comes with a set of properties which are used by the classification rule. The property values enrich the metadata of the information object.

(3) Any application can – based on the classification expressed in the properties values of a specific information object – trigger an action (e.g. archiving) for this object. This could be other dg suite modules or 3rd party applications.

(4)

Document Classes and the DocuClassify Cube®The Document Class Model

Document Class

Document Class Classification

PropertiesClassification

Properties

MetadataMetadata

(1)

Classification Rules

Information Object

(File, Mail, SP, ...)

Information Object

(File, Mail, SP, ...)

(2)

Property Values

Property Values

(3rd Party) Actions

(3rd Party) Actions

(2)

(3)

Document Class Metadata Properties Actions

Invoice Location Retention If (retention>0) then archive

Engineering Plan (CAD) Location User

Project IDRestrictedAccess

If (Restricted Access) then block access on mobile devices

PA

GE 3

7

www.DocuLynx.com

Assign Classification Properties Directly to the Information ObjectLeverage ADS, Security Descriptor, or eMail Headers

BC

AC

Security SettingSecurity Setting: Confidential : Confidential ComplianceCompliance: 5 year retention: 5 year retention

PA

GE 3

8

www.DocuLynx.com

Adaptive Auto Classification Process Steps:

• Identification of an eRecords Schema • Document Classes• Retention Periods

• System is trained to identify documents• File are automatically assigned to a Document Class

• Automatically• Auditable• High precision

• Execute Rule Set and classify documents• Development = 5 Years• Human Resources = 10 Years• Etc…

• Documents with Retention Period > 0 move to archive

• Retention Period is recognized and taken over by the archive

PA

GE 3

9

www.DocuLynx.com

Taxonomy Results based on information from Fontis:

Rule Identifierby Fontis

Document Class Name Relevant for Country Retention_Period /Years

SUP HUM 002 Compensation_Records Russia 25

Australia 10

Global 10

SUP HUM 007 Employee_Lists Global 5

SUP HUM 004 Health_HazMat Global 40

SUP HUM 001 Applicant_Records US 3

Germany 0.5

Global 10

• Taxonomy is performed

• Document Classes are defined

• Retention Times are defined

PA

GE 4

0

www.DocuLynx.com

Select Document ClassAccording to taxonomy results

Select list of Classification Properties to be applied

Enter IF Criteria to match•HSM Metadata•Content •AD based

Adaptive Auto Classification Rules

DOCUMENT CLASSESDOCUMENT CLASSES

IF CRITERIAIF CRITERIA

THEN CLASSIFICATION PROPERTYTHEN CLASSIFICATION PROPERTY

PA

GE 4

1

www.DocuLynx.com

File / Sharepoint Object Migration

Sharepoint

OfficeSharepoint…

Sharepoint

OfficeSharepoint…

docuOffice

Target ArchivesVariable Retention period

1 Year5 Years10 Years25 years…

Target ArchivesVariable Retention period

1 Year5 Years10 Years25 years…

1. Selection2. Transport3. Report Generation

PA

GE 4

2

www.DocuLynx.com

• Intelligent storage optimization through classification• More compliance through automated archiving of

relevant data• Higher security through access control with Dynamic

Access Control and/or automated encryption • Upload of files to SharePoint based on classification • Upload of files based on the classification into a

DMS/ECM • Classification as enabler for cloud approaches• Increases the efficiency of pre-culling for eDiscovery

Use Cases for ClassificationEnablement

DLP

Rights Management

Archiving

SharePoint Mgr

Cloud deployment

eDiscovery

PA

GE 4

3

www.DocuLynx.com

Unified Archiving

PA

GE 4

4

www.DocuLynx.com

Enterprise Information ArchiveUnified Approach for Long-term Audit-Proof Preservation

Other Apps

Production,Transaction Systems …

Other Apps

Production,Transaction Systems …

ERP

SAP, JDEdwardsMS Dynamics …

ERP

SAP, JDEdwardsMS Dynamics …

File Systems

Windows NTFS,NetApp ,…

File Systems

Windows NTFS,NetApp ,…

Mail

MS Exchange,IBM Lotus…

Mail

MS Exchange,IBM Lotus…

Sharepoint

Office, Sharepoint…

Sharepoint

Office, Sharepoint…

ArchivdataLivedata

Analyse

Classify

Enter. Search

Enables iterative search for discovery and supports initial phases of the EDRM Model including legal hold

Mobile Access

Federated Search across live and archive data

Fulfills all compliance requirements regarding long-term audit proof preservation

Enterprise-wide retention management methods can be established

Dramatic reduction in storage demand and associated costs due to single instancing and de-duplication

eDiscoveryeDiscovery Policy IntegrationPolicy IntegrationSingle Instancing

CentralPolicies

Central Retention

Create Records

Tagging and Indexing

Search across and within

PA

GE 4

5

www.DocuLynx.com

Unified Archive in Action

Business Challenges•Growth in eMails has resulted in a 30% volume expansion per annum requiring greater exchange capacity and resulting in greater administrative complexity•Regulations require 30 year retention of manufacturing information from ERP and CAD systems•eDiscovery needs required an ability to bring together emails, manufacturing data, CAD data, and transactional information from a search and legal hold perspective.

Solution•Phased implementation of Mail, ERP for SAP, and Connect for: •8500 mailboxes•27 SAP Systems•COLD documents /CAD Systems Documents

Impact•Overall infrastructure savings for Exchange and SAP Systems•Enabling cost-effective and compliant back-up windows•Meeting compliance requirements from an IT perspective•Enables end-users intuitive search capability on all information including mobile access.

PA

GE 4

6

www.DocuLynx.com

DocuLynx PortfolioAddressing Informance Governance and Lifecycle Challenges

DocuLynx Portfolio Enterprise Information Infrastructure

Solutions• Docu360⁰- a Content Services Platform for Smart

Applications• Active Information Archiving Platformo DocuSuiteo DocHarbor/Haven• DocuClassify• DocuSearch Enterprise Information Application

Solutions• AP Automation• E-Signature Information Conversion Services

(eg.Scanning)

PA

GE 4

7

www.DocuLynx.com

Questions?