Litigation Readiness: Information Manager’s Role
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Transcript of Litigation Readiness: Information Manager’s Role
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By
Helen Streck President/CEO
Kaizen InfoSource LLC
Litigation Readiness: Information
Manager’s Role
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Session Agenda
IM Impacts on Litigation and eDiscovery
Relationship of IM and Litigation
Role of Information ManagerSummary
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IM Impacts on Litigation and eDiscovery
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Information Management Impacts
93% of all records are created electronically & data growth
Decrease in information findability/accessibility*
75% of all corporate information are duplicates Increase in the number of lawsuits filed in US Increase in the frequency of
mergers/acquisitions and divestitures/business closure
More systems – lack of collaboration*minimal improvement in last 2 years
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Data Growth Challenges
Increase in repository redundancy
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Data Growth Challenges
Increase in repository redundancy
Multiple versions ofsame document
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Data Growth Challenges
Increase in repository redundancy
Multiple versions ofsame document
Deteriorating media
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Data Growth Challenges
Increase in repository redundancy
Multiple versions ofsame document
Deteriorating media
System / applicationobsolescence
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Data Growth Challenges
Increase in repository redundancy
Multiple versions ofsame document
Deteriorating media
System / applicationobsolescence
Increase in Orphaned data
home
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Consequences are Clear
Consequence
1.Increased costs with backups
2.Increase in operating costs
3.Increase in operating time
4.Increase in cost & time of Discovery
5.Increase risks
Issue
1.Increase in redundancy
2.Increase in system silos
3.Improper decommissioning of systems
4.Poor classification of data
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Relationship of IM and Relationship of IM and LitigationLitigation
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IM Issues in Discovery and Litigation
Governance – do you have a policy, retention schedule, procedures, and data map, implementation tools, guides
Content and Process – what did you say (procedures)
Findability and Accessibility – do you have a classification/taxonomy
Normal Business Process - repeatableTraining – how do employees know
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IM Governance & Controls That Help
Information
Management
• Implemented Retention Schedules
• Procedures and controls for archiving, decommissioning systems and removing inactive data
• Legal Holds target relevant data and suspend normal disposition
• Capturing data from exiting employees
• Training & Communication keep employees informed & aware
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Good IM is Being Litigation Ready
Eliminates obsolete informationEnsures information ownership –
avoiding abandoned data setsMinimizes duplicates and versionsCommunicates Litigation Hold
requirementsProvides a mechanism for preserving
information from departing employees Promotes employee awareness
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Processes and controls that manage records and information
throughout its lifecycle, aid in finding the relevant information
in the most cost effective manner and assuring its timely deletion
What’s the Bottom Line!
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Role of the IM ManagerRole of the IM Manager
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Role of the IM Manager
Develop the strategy for managing Information
Create and manage the rules and processes
Provide education and trainingMonitor for complianceAdvice for application or implementation
Continuous program improvement
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Good IM: Governance - Policy
a) Refer to records and information, not media type
b) Clarify IM Policy vs. Retention Policyc) Include contractors and temporary workersd) Include lifecycle requirementse) Include “Employee” role in roles and
responsibilitiesf) Instruct regarding suspension for legal holdsg) Include protection requirements
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Group record categories by business process – how the business works
Provide a list of examples of document types that is a sampling (not exhaustive)
Fewer record categories – involve ITReflective of the business and relationship of documents within a business group
Good IM: Governance - RRS
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Processes that include all media typesProcesses for creating, managing, storing
and protecting informationControls for accessing and sharing
informationProtection controlsControls for what tools are used for
business information and how information comes into an organization
Good IM: Processes & Controls
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Specific Situations
System DecommissioningExiting Employees or WorkersVaried Environments
Questions or IssuesWill data be migrated
Some, All or NoneIs data under legal holdWhat is the retention period of the dataHow old is the data nowFormat of archived dataWho has the right to decide
Good IM: Preserving & Protecting
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Example: Decommissioning Systems
Data Software Hardware
Software manuals and documentation included in retention
Age of the softwareAvailability of supportHow was data, if any,
archived
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1. Preserving electronic and paper records and information subject to litigation
2. Redistributing records and information to the next person
3. Contacting the legal department with questions regarding the legal holds
4. Applying IM policies, RRS, and procedures
Example: Exiting Employees
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IM’s Role in Legal Hold Process
• Assist in the drafting of the legal hold• Distribution and posting• Communication and reminders• Releases – following normal retention
requirements• Training: complying with the legal
hold• Simply receiving to put holds on data
sets
Remember!In-house
counsel will take the lead on Legal Hold.
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IM: Educating the Organization
• Tied to compliance education requirements
• Mandated for all employees, temporary workers, and contractors
• Increases employees awareness• Provides information about resources• Calls out expectations and consequences• Offer to new hires
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Specific Issue Training (If Needed)
Types of training that may be offered:
• How to archive paper records• Archiving electronic records and
information• Complying with a legal hold• How to implement a retention schedule• Indexing and classification• Managing information of departed staff
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In Summary
Good IM is being litigation readyThere are many processes and controls you can build today
Building a plan and these process will aid your company before it experiences discovery
Once discovery begins the controls added will help discovery teams