By

Helen Streck President/CEO

Kaizen InfoSource LLC

Litigation Readiness: Information

Manager’s Role

Session Agenda

IM Impacts on Litigation and eDiscovery

Relationship of IM and Litigation

Role of Information ManagerSummary

IM Impacts on Litigation and eDiscovery

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

Data Growth Challenges

Increase in repository redundancy

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1

Data Growth Challenges

Increase in repository redundancy

Multiple versions ofsame document

Data Growth Challenges

Increase in repository redundancy

Multiple versions ofsame document

Deteriorating media

Data Growth Challenges

Increase in repository redundancy

Multiple versions ofsame document

Deteriorating media

System / applicationobsolescence

Data Growth Challenges

Increase in repository redundancy

Multiple versions ofsame document

Deteriorating media

System / applicationobsolescence

Increase in Orphaned data

home

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

Relationship of IM and Relationship of IM and LitigationLitigation

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

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

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

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!

Role of the IM ManagerRole of the IM Manager

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

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

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

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

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

Example: Decommissioning Systems

Data Software Hardware

Software manuals and documentation included in retention

Age of the softwareAvailability of supportHow was data, if any,

archived

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

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.

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

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

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