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Litigation Readiness: Information Manager’s Role. By Helen Streck President/CEO Kaizen InfoSource LLC. Session Agenda. IM Impacts on Litigation and eDiscovery Relationship of IM and Litigation Role of Information Manager Summary. IM Impacts on Litigation and eDiscovery.
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Litigation Readiness: Information Manager’s Role By Helen Streck President/CEO Kaizen InfoSource LLC
Session Agenda • IM Impacts on Litigation and eDiscovery • Relationship of IM and Litigation • Role of Information Manager • Summary
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
Data Growth Challenges Multiple versions of same document 1 2 Ver. 3 Increase in repository redundancy
Data Growth Challenges Deteriorating media Multiple versions of same document Increase in repository redundancy
Data Growth Challenges System / application obsolescence Deteriorating media Multiple versions of same document Increase in repository redundancy
Data Growth Challenges Increase in Orphaned data System / application obsolescence Deteriorating media home Multiple versions of same document Increase in repository redundancy
Consequences are Clear • Consequence • Increased costs with backups • Increase in operating costs • Increase in operating time • Increase in cost & time of Discovery • Increase risks • Issue • Increase in redundancy • Increase in system silos • Improper decommissioning of systems • Poor classification of data
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 - repeatable • Training – how do employees know
IM Governance & Controls That Help • 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 Information Management
Good IM is Being Litigation Ready • Eliminates obsolete information • Ensures information ownership – avoiding abandoned data sets • Minimizes duplicates and versions • Communicates Litigation Hold requirements • Provides a mechanism for preserving information from departing employees • Promotes employee awareness
What’s the Bottom Line! 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
Role of the IM Manager • Develop the strategy for managing Information • Create and manage the rules and processes • Provide education and training • Monitor for compliance • Advice for application or implementation • Continuous program improvement
Good IM: Governance - Policy • Refer to records and information, not media type • Clarify IM Policy vs. Retention Policy • Include contractors and temporary workers • Include lifecycle requirements • Include “Employee” role in roles and responsibilities • Instruct regarding suspension for legal holds • Include protection requirements
Good IM: Governance - RRS • 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 IT • Reflective of the business and relationship of documents within a business group
Good IM: Processes & Controls • Processes that include all media types • Processes for creating, managing, storing and protecting information • Controls for accessing and sharing information • Protection controls • Controls for what tools are used for business information and how information comes into an organization
Good IM: Preserving & Protecting Questions or Issues • Will data be migrated • Some, All or None • Is data under legal hold • What is the retention period of the data • How old is the data now • Format of archived data • Who has the right to decide Specific Situations • System Decommissioning • Exiting Employees or Workers • Varied Environments
Example: Decommissioning Systems • Data • Software • Hardware • Software manuals and documentation included in retention • Age of the software • Availability of support • How was data, if any, archived
Example: Exiting Employees • Preserving electronic and paper records and information subject to litigation • Redistributing records and information to the next person • Contacting the legal department with questions regarding the legal holds • Applying IM policies, RRS, and procedures
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 ready • There 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