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
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
Ver. 3
Increase in repository
redundancy
2
1
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
Multiple versions of
same document
Increase in repository
redundancy
home
Consequences are Clear
Issue
Consequence
1. Increase in
redundancy
1. Increased costs
with backups
2. Increase in system
silos
2. Increase in
operating costs
3. Improper
decommissioning of
systems
3. Increase in
operating time
4. Poor classification of
data
4. Increase in cost &
time of Discovery
5. Increase risks
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
• 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
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
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)
b)
c)
d)
e)
f)
g)
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
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
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
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
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