5 vital components of every custodian interview david meadows, pmp, managing director – discovery...
TRANSCRIPT
5 Vital Components of Every Custodian Interview David Meadows, PMP, Managing Director – Discovery Consulting, Kroll Ontrack
Dave Canfield, EJD, Managing Consultant – Discovery Consulting, Kroll Ontrack
2
David W. Meadows, PMP
• Managing Director – Discovery Consulting, Kroll Ontrack
• Experience with information planning, data preservation, data collection, data processing, and complex data analysis
• Broad technology background covering enterprise networking, software design and development, and system implementations
• Previous work: electronic discovery consulting director for an international consulting firm, senior manager of information systems for a fund management company, project manager developing enterprise applications and head of IT for a Chicago law firm
3
Dave Canfield, EJD
• Managing Consultant – Discovery Consulting, Kroll Ontrack
• Assists clients in the creation of discovery, data collection, case management, systematic processes, and documentation to support repeatable, efficient, and reliable e-discovery procedures
• Frequent expert witness for complicated IT systems
• Senior advisor in e-discovery for a global pharmaceutical company
• 20+ years experience in IT management and senior management
Discussion Overview
Introduction to Custodian Interviews
» 1. Location of Relevant Documents
» 2. Privilege Communication
» 3. Compliance with Policies
» 4. Other Important Custodians
» 5. Background Data
Other Considerations
Conclusion
4
5
Introduction
6
As every good lawyer knows…
Electronic information
must be preserved whenever
litigation is reasonably anticipated
7
Litigation is anticipated—now what?
Initiate a litigation hold
Critical aspect of a successful litigation hold: custodian interviews
Information gathered during custodian interviews:» Sets the stage for the entire e-discovery process across the EDRM
» Helps develop a detailed data map
» Aids in preparation for 30(b)(6) depositions
Remember: document all custodian interviews
5 Components of a Custodian Interview
» 1. Location of Relevant Documents
» 2. Privilege Communication
» 3. Compliance with Policies
» 4. Other Important Custodians
» 5. Background Data
8
9
#1: Location of Relevant Documents
10
Ask specific questions and walk through a comprehensive list of potential data sources, including:
» Business and personal:E-mail accounts
Computers, iPods, flash drives
Phone calls, voicemail, Skype
Databases, cloud services
Network servers, structured data systems
Social media sites
Text messages, instant messages
Document management tools
» Rule of thumb: anything with memory
Location of Relevant Documents
11
Location of Relevant Documents
Beware! Custodians will often identify only some of the locations where relevant documents could be stored
?
12
Do not forget the paper!
Location of Relevant Documents
» Ask where paper documents are stored and note the locations
» File cabinet, briefcase at home, box in trunk of car, etc.
13
Location of Relevant Documents
Case Study:» In Coleman (Parent) Holdings v. Morgan Stanley, a 2005
Florida case, Morgan Stanley was unaware of where it stored its electronic data, and was thus sanctioned for discovery abuses. A jury awarded the plaintiff $1.4 billion in compensatory and punitive damages.
14
#2 Privilege Communication
15
Privilege Communication
1. Inquire about whether the custodian communicated with attorneys in the matter
2. Create list of each attorney’s name and contact information
3. Identify and isolate potentially privileged documents
16
Privilege Communication
Benefits of separating privileged documents at the custodian interview stage:» Helps create an appropriate list of search terms to ensure
privileged documents are not overlooked
» Increases efficiency by saving time and money – teams can skip review of these documents
» Improves overall defensibility of litigation hold when privilege is meticulously addressed at the custodian interview stage
17
#3 Compliance with Policies
18
Compliance with Policies
Why is compliance more important now than ever in the e-discovery context?
» According to IDC:
Over 99% of all documents are
now created and stored
electronically
About 60 billion e-mails are created and
sent each day
19
Compliance with Policies: Document Retention
Ask whether the custodian is aware of the company’s document retention policy—especially when it comes to electronic documents
Note: companies are responsible for creating and instituting their own document retention policies specific to regulations for their specific company’s industry
20
Compliance with Policies: Legal Hold
Parties that fail to initiate a defensible legal hold face spoliation sanctions
A defensible legal hold starts with the custodian!
Case study:» In U.S. v. Philip Morris, the court
determined that Philip Morris destroyed e-mails on a monthly, system-wide basis for two months after a preservation order was issued. Sanctions imposed: $2,750,000, plus a $250,000 fine to each of the eleven corporate managers who failed to comply with the legal hold.
21
Compliance with Policies: Legal Hold
Recommendations» Give the custodian another copy of the latest litigation hold notice
» Remind the custodian of his/her preservation obligation
» Provide the custodian with basic information about the case
» Ask with whom (family, attorneys, co-workers, media, etc.) the custodian has discussed the matter
» Remind the custodian that the matter is sensitive and that it should not be discussed outside the company
» Answer any questions or direct the custodian to the appropriate resource
22
#4 Other Important Custodians
23
Other Important Custodians
“Who else knows about this matter?”
This question is a good start, but there is more to finding other custodians…
24
Depending on the nature of the matter, cover:» Outside vendors
» Consultants
» Contractors
» PR professionals
» Etc.
Other Important Custodians
Helps identify who should receive notice or third party subpoenas in some cases
Do not forget departed custodians who were present during the relevant period
25
#5 Background Data
26
Background Data
Provide to the custodian:
» Basic case information
» Client’s information
Obtain from the custodian:
» Name (and any previous names)
» Employment history for the relevant time period• Role
• Tenure
• Location
• Contact information
27
Other Considerations When Conducting Custodian Interviews
28
Other Considerations
It is not just the where—it is also the how» Ask the custodian how they organize their documents
» Determine whether there is a reliable organization structure and method; if not, you may have to arrange for organization
29
Other Considerations
Keep connected» Tell the custodian who to call with questions or concerns,
especially with regard to compliance issues
» Remind the custodian to call counsel if she/he remembers anything later
30
Other Considerations
Collection» Once potential sources are identified, it is recommended to
immediately do the collection, both paper and electronic, if possible
31
Q & A