Legal Discovery, e-Discovery and Records Management at National

GypsumARMA Meeting

National Gypsum Company is a fully integrated building products manufacturer

Headquartered in Charlotte, NC with mines and quarries, and manufacturing plants across North America

What about Records Management?

NGC Environment - History

▪ Founded in 1925, the company has been privately held since 1995. (1990’s Bankruptcy)

▪ Basic records management processes and procedures in place since 1988.▫ File plan covers paper and electronic records▫ Small dedicated staff available within Legal group

▪ Recently IT systems and procedures have been affected by new discovery rules and legal holds. ▫ Backup tapes held rather than scratched / re-used▫ Unplanned IT efforts required to search content▫ “Privileged Access” required for many searches

Managing Electronic Records?

EDCAR and Office 2003

▪ Office 2003 introduced to NGC users, with TrueArc ForeMost records management and custom developed software called EDCAR▫ Forced early classification of every Office file▫ Electronic version of Records Plan classification▫ Supported other files indirectly

▪ Linked to overall Records Management

▪ Very limited compliance by most end users

▪ Some technical issues with tools

▪ EMC acquires TrueArc as we finish deployment

“DART” – 2008 & 2009 Timeframe

▪ Discovery Action Response Team

▪ Reaction to More Complex e-Discovery Rules

▪ Legal and IT Working Jointly with Custodians

▪ ESI Data Mapping and Basic Search Tools

▪ “IT Super Powers” and Lots of Labor Needed

▪ External Legal / e-Discovery Experts Helped

▪ Foundation of Cooperation (for Survival)

▪ Painful and Expensive Exercise!

ESI Mapping and Checklists

Graphical and Excel Based Mappings – Checklist used for Discovery Efforts

Managing “Departing Employees” – Checklist used for IT, Legal and Managers

E-Discovery Roadmap

▪ Increase in litigation and IT issues due to Legal Holds (backup tapes, disk consumption)

▪ LARGE investment needed to address issues and need for comprehensive approach to content management / records management

▪ 5 Year Roadmap Developed – Legal and IT Partnership

▪ Experience Dealing With Discovery / ESI and Working Together (DART)

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Strategic Planning Process

EstablishingContext

Why do we need an

eDiscovery Strategy?

DefiningShared Vision

What are we trying to

achieve around eDiscovery?

Whatoutcomes?

IdentifyingGaps

What’s missing

between our current and

future vision?

DevelopingRoadmap

How will we achieve our

vision?What is

required?

1 2 3 4

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Establishing Context: eDiscovery Strategy and Information Lifecycle

A Roadmap for Bridging 2 Operational Scenarios

Business UsersCreate ESI

ESI TYPES SOURCES

Unstructured Data Messages (email, v-mail, IM) Documents, Media, Logs, etc.

PCs, Servers, SharePoint, etc.

Structured Data Invoices, POs, Credit Memos, etc.

Enterprise Systems, SAP, POPS/MIDAS, NGC4ME, etc.

Scenario 1: Normal OperationsGoverned Under “Safe Harbor”

POLICIES & PROCEDURES

Legal Department Information Systems

Records Management Storage, Backup, Archiving, Deletion

1) ESI – Electronically Stored Information2) Safe Harbor – Possible protection from sanctions if ESI is destroyed as a result of routine policies and procedures3) Duty to Preserve – A defendants obligation to preserve evidence in advance of litigation

Scenario 2: eDiscoveryGoverned Under “Duty To Preserve”

LegalHold

Issued

PossibleLegalAction

ESISources

DiscoveryScope

Determined

Search

Hold

ProcessReviewDeliver

ESI Discovery Process

OureDiscovery

Strategy

providesa framework to

addresseDiscovery

in thecontext of

NormalOperations

Policies & Procedures Dictate theInformation Lifecycle Under “Normal Operations”

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Vision: Provide an Information Lifecycle Management environment that promotes legal compliance, and facilitates efficient and accurate eDiscovery responses.

1. Provides a Strong Legal Compliance Position

2. Compares well with standards and supports collaboration with 3rd parties.

3. Provides well-defined and supported eDiscovery systems and processes.

4. Drives efficiency in our Legal eDiscovery effort and our IT operations.

Defining A Shared VisionCreating an eDiscovery Ready Environment

Our Solution

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eDiscovery Roadmap

2H 2009 1H 2010 2H 2010 1H 2011 2H 2011 1H 2012 2H 2012 1H 2013 2H 2013 1H 2014 2H 2014

Phase 1: Documentum

Phase 2a: Email

Phase 2b: eDiscovery

Team & Process

Phase 3: NGC

Associate Compliance

Phase 4: Centralize Content

Phase 5: Enhance

Capabilities

Phase 6: Structured Content

Validation Point

Initial Project – Late 2009 – Early 2010

▪ Documentum D6 replaced EMC Records Manager so that NGC would have a fully supported ECM / Records Repository – EDCAR upgraded.

▪ Comprehensive Policy and Procedures Review Completed - Executive Commitment

▪ Robust filing support / Management commitment – Electronic filing working well!

▪ Updates to Exchange 2007 – Mailbox Quota Enforced for First Time

“Whole System” Approach

▪ Policy reviewed at Executive Level – C-level management commitment

▪ Legal / Records and IT Partnership on Roadmap, Projects and Ongoing Operations

▪ Technology Supported, Working Well

▪ HR Evaluations Have New Addition for Compliance with Policy / Procedures for All Employees

Next Projects – Planning for 2011

▪ Archiving technology to automate timely removal of email and other electronic content from production systems to static, managed archive

▪ Policy based management of content – legal holds without need to use backup tapes

▪ More search capability / legal team management of ESI – esp. if tied to Legal Hold

▪ Email – Shared files – SharePoint Archiving “Content Centralized” and Managed

Lessons Learned So Far

▪ C-Level Execs and Line Managers must understand the issues and provide clear support

▪ Legal / records management and IT must be in partnership; shared accountability

▪ “Whole Systems Approach” Needed▫ Policy / Procedure / Job evaluations linked▫ Easy to use technology helps

▪ Avoid too much customization – HUGE IT SUPPORT Burden

Questions?

EDRM Model