Lateral Lawyer Transfers and Matter Mobility

1. Lateral Lawyer Transfers and Matter Mobility Terrence J. Coan, CRM, Senior Director Raymond Fashola, Director Robin Helburn, Manager September 19, 2013

2. Learning Objectives Our objectives today are to: • Define the relevant policy positions that a law firm should consider to support matter mobility • Apply practical, process-based steps to handle the release or acceptance of materials associated with a lawyer who is transitioning into or out of a firm • Utilize lessons learned during the transition of millions of documents and files from Dewey & LeBoeuf to other firms 2

3. Information Governance & Records ManagementGuiding Principles • Provide guidance to the firm’s lawyers and staff on the management of information and records • Comply with state, federal, and international laws, regulations, and ethics rules • Ensure that the policy is not overly restrictive • To the extent practical, provide flexibility in how lawyers and staff meet policy objectives • Reduce risks and costs associated with the management of information and records • Improve client service

4. Information Governance & Records Management Program Framework

5. Leadership & Accountability • Firm-wide executive leadership for the program • COO, GCO, CIO, KM, IGRM • Clearly communicated roles and responsibilities across the firm at all levels • Office heads, administrative department leaders • Practice chairs, matter billing / responsible lawyers • Lawyers and staff • Initial policy acknowledgement; ongoing compliance monitoring with periodic acknowledgements

6. PolicyFramework • Directives that establish program authority and communicate firm guidelines and expectations covering these areas: • Ownership of records and information • Firm-approved repositories • Confidentiality and security of records • Transferring records into/from the firm • Legal holds • Disposition • Retention schedules that define time periods records and information will be kept considering: • Ethics opinions and statutory/regulatory requirements • Practice-area client-service requirements • Business and operational reference needs • Risk position

7. Records andInformationManagement Policy

8. Lifecycle Management Reuse Redact or Generalize for Know-How Created by the Firm Active Matter Management D Email Electronic Files E Matter Open A Matter Closed / Cull convenience copies Drafts, Copies, Notes, Research Hard-copy Files G B Billing, Conflicts, Matter Admin Litigation Support Data H Dispose F F Receive from client or third party Protect and retain to satisfy retention requirements C PROGRAM COMPONENTS E Matter Opening / Intake Active File Management A F Legal Hold Processes Ethical Walls & Matter-based Security B Matter Close Lateral Hire G C Retention and Disposition Attorney Departure & Client File Release H D

9. Systems & Technology: No Silver Bullet Document Management Records Management Email Archiving DataSecurity • Comply • Track circulation • Drive source-system retention • Support discovery + legal holds • Collaborate • Defacto go-forward email repository • Provide team access • Track work product versions • Distinguish draft v. final • Store • Move aged email • Protect mission critical messaging system • Disposebased on creation/receiptdate • Protect • Identify confidential information • Establish ethical walls • Protect personally identifiable information

10. Data & Records • What data does the firm have? Where does it reside? • Are there detailed information data maps prepared? • Has the data been mapped to retention schedules? • What system is the authority source for the data? • Is there a single point of entry which then feeds all other systems? How does the data promulgate throughout the firm? • Is the data accessible to those who need it, while also being secured per privacy requirements and ethical wall restrictions? • Do line of business applications support systematic disposition in accordance with policies?

11. Program Training and Assessment • Lawyers and staff arefront line in managing electronic records and information • Training provided when the program is first implemented • Continual, persona-based, just-in-time coaching as needed • Real-timemetrics and “social” monitoring

12. Records andInformationManagement Policy

13. Transfer of Records to/from the Firm • What will the firm accept/release? • How will you treat materials with no client/matter #? • Who will review and approve these materials? • How will you process materials in electronic form vs. hardcopy? • What special handling is required for attorney personal materials?

14. Lateral File Transfer Process: Incoming MaterialsComplete? MaterialsAccessible? Materials Authorized? ProcessMaterials Return Unauthorized Materials Check and Resolve Conflicts no yes yes yes Ingest Materials into Firm Systems no MaterialsOrganized? no Address Layout + Content with Prior Counsel Receive Client Materials from Prior Counsel Receive Client Authorization Letters Coordinate Resources and Communication Lateral Accepts Employment Offer yes no Lawyer Organizes Set Up Off Network Access

15. ElectronicReview Tools • Official Matter Files are increasingly electronic and require tools to help with the quick and easy review, release and ingestion of the matter file • Retain folder organization and document metadata • Easy extraction and load to minimize lawyer downtime RELEASEDOCUMENTS REVIEW PROCESS LOCATE DOCUMENTS REVIEW + APPROVERELEASE CLIENT DOCS AUTHOR APPROVAL ASSEMBLE DOCS PACKAGE DOCS + META DATA

24. Dewey & LeBoeuf – HBR Relationship • Initiated strategic sourcing initiative • Conducted high-level RIM program diagnostic and later a detailed assessment • Engaged to lead program development • Replaced back-office operational staff with strategic-focused team • Drafted and initiated retention and disposition program

25. Dewey & LeBoeuf – The Bankruptcy • The numbers as of spring 2012 • 1000 lawyers, 300 partners • 44K clients and 280K matters • Mass exodus of lawyers and clients to other firms required fast yet accurate transfer processes • Operational challenges resulting from bankruptcy and liquidation • Records team from 24 to 3

26. Dewey & LeBoeuf – Electronic Data • Unstructured electronic data • Immature matter-centric deployment; limited email filing • Dwindling and increasingly restricted system resources • Limited IT support • Likely that personal collections of electronic data “walked out the door”

27. Dewey & LeBoeuf – Hard Copy Files • > 1.5M file folders indexed in RMS • 450K offsite boxes ($1.5M annual spend) • 18 vendors, 30 facilities worldwide • Previously closed offices with unmanaged inventories • 15K boxes onsite across 8 active US offices • Historical filing nuances • Varied inventory indexing with sporadic details • Mixed client materials across boxes/facilities

28. Dewey & LeBoeuf – The Approach • Court established file disposition process • Notice to clients • Client requests submitted/processed • Coordinate with 3rd parties to transfer files • Team structure: administrative, operational, and technical • Processed 2,500 clients with ~ 35,000 matter file transfer requests; coordinated with >100 law firms affecting >10TB of data and 80K boxes

29. Dewey & LeBoeuf – Greatest Challenges • Coordinating with storage vendors who required up-front payment • Departed lawyers who “just want their files” • Automating the review with little to no IT support • Playing catch up with years of file processing backlog • Lack of inventory detail for matter files and boxes with mixed clients

30. Lateral LAWYER MOBILITY & Matter Transfers Terrence J. Coan, CRM, Senior Director TCoan@hbrconsulting.com Raymond Fashola, Director RFashola@hbrconsulting.com Robin Helburn, Manager RHelburn@hbrconsulting.com