1. By Helen Streck President/CEO Kaizen InfoSource LLC Litigation Readiness: Information Manager’s Role

2. Session Agenda  IM Impacts on Litigation and eDiscovery  Relationship of IM and Litigation  Role of Information Manager  Summary

3. IM Impacts on Litigation and eDiscovery

4. 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

5. Data Growth Challenges Increase in repository redundancy

6. Ver. 3 2 1 Data Growth Challenges Increase in repository redundancy Multiple versions of same document

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

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

9. Data Growth Challenges Increase in repository redundancy Multiple versions of same document Deteriorating media System / application obsolescence Increase in Orphaned data home

10. 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

11. Relationship of IM and Litigation

14. 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

15. 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

16. 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

17. 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!

18. Role of the IM Manager

19. 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

20. 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

21. 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

22.  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

23. 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

24. 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

25. 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

26. 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.

27. 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

28. 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

29. 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