In the Event of an eDiscovery Emergency, Break Glass: Preparing for the Inevitable

The incredible information explosion of the last decade -- including the proliferation of collaboration tools such as Sharepoint and all other Web 2.0 applications, text messages, voicemails sent directly to email, social networking, IM messages -- together with the stiffening of records retention consequences and the increasingly stringent records requirements on corporations have all contributed to creating an Information Management Perfect Storm for today's corporation. Courts and regulators expect corporations to know what information and records they have, where same are located/stored, and also to be able to identify, collect, retain, and produce such information in a timely fashion and in a useful (i.e. native) format.

Not having a well thought out information management structure that is adhered to by all employees and a means for quickly organizing the various information repositories and tools can cost more than just money. It can also cost a corporation in terms of lost claims, insufficient defenses, tarnished reputation, and employee frustration and turnover.

Assuming that a corporation has done as much as it possibly can to organize its information and records in a logical fashion while at the same time capturing appropriate metadata and doing all of the other fundamental records management activities, here are two specific things that a corporation can do to prepare for the inevitable litigation, as it is only a matter of time before the corporation wants to sue or is itself sued by another corporation or individual.

Prepare an eDiscovery "Break Glass" Plan

The obligation to preserve records/evidence in any litigation matter arises when litigation has commenced (i.e. the statement of claim has been issued) or it is reasonably foreseeable that litigation will occur. So what happens then? Obviously, relevant records need to be preserved, but how does your corporation go about doing that? It is absolutely essential that an "In the Event of eDiscovery, Break This Glass and Follow These Steps" plan is prepared in close consultation with a corporation's in-house and external legal counsel.

Some of the items to consider in preparing the "Break Glass" plan are as follows:

1. Who is on the eDiscovery Dream Team and who is responsible for notifying them of the actual or threatened litigation? The eDiscovery Dream Team likely comprises your external counsel, who will in all likelihood be leading the charge, together with in-house counsel, IT professionals (system architects, records management system administrators), members of the business that were involved in a particular deal or matter during the honeymoon (which is now ending in divorce) and so on.

2. How will custodians of information/records be identified?

3. Who will prepare the preservation/hold letter or email to send to all custodians?

4. Who will be responsible for taking physical or electronic possession of all relevant records and information sources (i.e. hard drives, etc.)?

5. What procedures will IT use to ensure that all records are collected and stored, including how metadata will be managed, the format that files will take, and so on?

6. When and how will external vendors form a part of the process?

7. Depending on the matter (e.g. termination of an employee), what needs to be done forensically to restore hard drives?

8. What internal auto-deletion processes need to be turned off and for which users/custodians?

Test the "Break Glass" Plan: Carry Out an eDiscovery Fire Drill

It is one thing to have a plan in place, but how well does it work in reality? As the potential consequences of getting eDiscovery wrong can be quite disastrous (for example, imagine if the information collection process/tool changed all of the metadata and made it impossible for any of the records to be authenticated, meaning they were inadmissible in court? Imagine further that in this example, the amount of money at risk in the claim could make or break your company...), it is important that all players involved, from internal IT, Law, and Business groups to external counsel and eDiscovery/records vendors, know their roles and responsibilities and that there are back-up personnel in place in all key areas that know what needs to be done, as timing will be critical.

Make sure that your external consultants and counsel evaluate how well the plan worked and implement their suggestions to improve the process. Every eDiscovery will have its nuances, but if you can have a eDiscovery Break Glass Plan in place, it will at least cover the most important bases and drive your corporation to continually improve its eDiscovery and records management capabilities, which will minimize the cost of eDiscovery and put you in the best position possible to win or significantly reduce potential losses through litigation.

How to Drive Information Management Adoption

'Information Management' is a problem identified by many and you would think that IM adoption should be easy, but every organization I have consulted with suffers from an Information Management adoption problem.

All too often, IT-driven product evaluations focus on how well a tool supports managing, finding & retaining documents, leaving project teams in many enterprises surprised at how quickly users abandon what IT believes to be a superior Document Management/Records Management product. Here are some of the key lessons I have learned:

• What worked for one department doesn't/won't necessarily work for another - Focus on the business processes of a department and what they do on a day to day basis instead of taking a massive cookie cutter approach.

• Mandate from the 'Boss' negatively affecting users - Today's increasing focus on compliance and risk mitigation forces many enterprises to lock down and better manage documents located on the notorious shared drive. Properly mandating without change management is not going to cut it. Almost all effort is spent on rolling out the system and very little on Change Management, whereas my personal approach is to focus around 70-80% on Change Management.

• Poor usability plagues many IM initiatives - If the IM system does not integrate well with the most commonly used tools, then it can be a nightmare. Be very careful when selection a vendor/tool.

• Making everyone a Information Manager - When onboarding a group into an Information Management system, build solutions that reflect their business process and do not bog users down with useless classifications, categories or making them select individual documents and declaring them as records. Leave the job of RM with the records managers and focus instead on creating an information architecture for the particular user group that works for them.

Finally, all IM needs are not the same and make sure you gather requirements and answer key questions for each constituency. Rapid deployment of technology is the easy part, but deriving business value out of the deployment is the difficult part.