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Litigation Response Planning:eDiscovery Best Practices

Stephen O’LearySr. eDiscovery and Compliance ConsultantEMC Corporation

2© Copyright 2008 EMC Corporation. All rights reserved.

Policy Mgmt of

Information

Customer goal: move from reactive outsourced model, to in-house policy and records management, and repeatable process for identification, collection and preservation/hold

Post-notice Discovery Process

Step 1Reduce theamount ofretained data

Step 2Reduce cost and improve the quality/auditability of eDiscovery

Electronic Discovery Reference Model (EDRM)

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1. Make a business case for support from a high-level officer

1. ROI associated w/ ILM for unstructured sources (i.e. email, file shares, SharePoint and desktops)

2. Operational Efficiencies including back-up windows, higher availability and less management

3. Organizational Risk associated with cost of collection, review and dominant liability of content

2. Requires executive sponsorship (at the highest level)

1. Personal preference is General Counsel

3. Form a standing task force (cross functional)

1. Senior Level representation from Legal, IT, Compliance, Records Management, Security and a line or two of the business

4. Appoint an eDiscovery coordinator and/or Legal IT person (i.e. Records Manager) to maintain data maps and document processes

Litigation Response Planning – Take Charge!

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Task Force Goal and Objectives – Develop LRP

Goal: Develop a Litigation Response Protocol (LRP) “Playbook”

– Documented, validated and repeatable business process

LRP is a lifecycle of activities from matter identification through to matter disposition and closure, focused on eDiscovery requirements

Organic reference guideObjectives: Identify existing people, process and technology involved in Litigation

Response– Identify gaps between current capabilities and target capabilities; IT capabilities and

Legal requirements

Document the target state for end-to-end Litigation process beginning with identification of a matter through closure of the matter.

Assimilate process to technology; identify and invest in tools where gaps may occur.

The key is to bring eDiscovery “in-house” an enable eDiscovery within the IT infrastructure/investments in infrastructure.

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Process Steps

1. Define 4. Validate

2. Assess 5. Educate

3. Document 6. Remediate

Executive Summary............................................................................................................... 7

Objectives and Scope ........................................................................................................................ 7

Document Overview.......................................................................................................................... 7 INTRODUCTION ............................................................................................................................................................7

Litigation Response Protocol Framework ........................................................................... 8

Section Overview............................................................................................................................... 8 Engage..........................................................................................................................................................................8 Disengage.....................................................................................................................................................................8 Escalate ........................................................................................................................................................................8 Policies.........................................................................................................................................................................8 Key Performance Indicators (KPI) and Metrics ..........................................................................................................8

Litigation Response Processes ......................................................................................................... 9

Roles and Responsibilities .............................................................................................................. 10

Litigation Response Protocol Description ........................................................................ 11

Matter Notification ......................................................................................................................... 11 Objective ....................................................................................................................................................................11 Procedural Checklist & Forms ..................................................................................................................................11 Inputs Used During Process.......................................................................................................................................11 Process Workflow Summary.......................................................................................................................................11 Procedural Workflow .................................................................................................................................................12 Procedural Worksteps with Stored IQ........................................................................................................................13 Review ........................................................................................................................................................................13 Accept.........................................................................................................................................................................13

Custodian Identification................................................................................................................. 14 Objective ....................................................................................................................................................................14 Procedural Checklist & Forms ..................................................................................................................................14 Inputs Used During Process.......................................................................................................................................14 Process Workflow Summary.......................................................................................................................................14 Procedural Workflow .................................................................................................................................................15 Procedural Worksteps with Stored IQ........................................................................................................................16 Review ........................................................................................................................................................................16 Accept.........................................................................................................................................................................16

Information Identification and Topology ..................................................................................... 17 Objective ....................................................................................................................................................................17 Procedural Checklist & Forms ..................................................................................................................................17 Inputs Used During Process.......................................................................................................................................17

SAMPLE

Kick-Off

Project Kick-Off

Finalize Runbook

Complete Self-Directed Questionnaires

Verify & Validate

Data Gathering

Week 1

Revisions based on review, turn-over to steady state team

Week 2 Week 3

Draft Runbook

Desktop & Tool Walkthrough

Build LRP eDisco SIQ Runbook

Integrate Org. Roles, Process & Tool

Current Environment Analysis

Finalize Runbook

Validate Runbook

Week 4 Week 5 Week 6

On-Site Workshops & Interviews

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Define Targeted State - Perform Assessment

1. Define and Scope Project Parameters

2. Assessment

Operational Capabilities (Identify, gather, review, confirm)– Organizational structure, roles, and responsibilities related to litigation

response– Litigation Hold policies and procedures– Legal Department processes related to eDiscovery– Records Management policies and procedures– IT Department processes related to eDiscovery– Archive Policies and Procedures– Back-up Policies and Procedures

IT Systems Capabilities (same)– Evaluate eDiscovery indexing, search and collection tools– eDiscovery data segregation and protection systems and tools– Evaluate unstructured ESI sources/systems (dimensions should include

policy procedure, consistency, enforcement)

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Document Litigation Response Protocol & Validate

Lay out specific steps and assignments (by role) for every step in the process

– Notification, collection, preservation

Establish a written protocol to follow upon receipt of a discovery request, preservation order or other similar item

Develop a procedure for actively managing and monitoring compliance

Enable a procedure for lifting the litigation hold and restoring the records management program

Confirm and Validate against capabilities

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Vital LRP component - Data Source Map (s)

Create Data Source Map - Information systems topology– System of record– Systems w/ convenience copies – Archives– Disaster recovery copies / back-ups

Understand the universe of potentially responsive ESI– Potentially create ESI Inventory

Understanding of ESI Accessibility

Potentially Develop Litigation Profiles and Source Maps per Litigation Type

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Additional Elements of the LRP “Playbook”

1. Defined Key Players in the process

2. Documented processes.1. Records management program2. Litigation Hold (you will need this for court)

3. ESI Inventory– Understanding of potentially responsive ESI– Understanding of ESI Accessibility

4. Data source map by litigation type/profile

5. Know your email system!

6. Document and Validate Preservation Steps Undertaken

7. Interview and select outside vendors

8. Educate key stakeholders including outside counsel

9. Prepare 30(b)(6) witnesses

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Go Back and Correct what is Broken

Limit places where Email can reside

Policy mange your File Shares

Separate Back-up from Archives

Address Legacy Systems

Invest in eDiscovery Collection tools– Collection v. analytics

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