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 Manager  Summary

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

Ver Data Growth Challenges Increase in repository redundancy Multiple versions of same document

Data Growth Challenges Increase in repository redundancy Multiple versions of same document Deteriorating media

Data Growth Challenges Increase in repository redundancy Multiple versions of same document Deteriorating media System / application obsolescence

Data Growth Challenges Increase in repository redundancy Multiple versions of same document Deteriorating media System / application obsolescence 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 Litigation

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 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 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

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 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 a)Refer to records and information, not media type b)Clarify IM Policy vs. Retention Policy c)Include contractors and temporary workers d)Include lifecycle requirements e)Include “Employee” role in roles and responsibilities f)Instruct regarding suspension for legal holds g)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 IT Reflective of the business and relationship of documents within a business group Good IM: Governance - RRS

 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: Processes & Controls

Specific Situations  System Decommissioning  Exiting Employees or Workers  Varied Environments 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 Good IM: Preserving & Protecting

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

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 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