w w w. d i n s l a w. c o m e-discovery and document retention patrick w. michael, esq. dinsmore...

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E-Discovery andDocument Retention

Patrick W. Michael, Esq.Dinsmore & Shohl LLP

101 South Fifth Street

Louisville, KY 40202

(502)581-8022

[email protected]

September 25, 2009

© 2009 Dinsmore & Shohl LLP

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Records Management

Records Management IdentificationIdentification

PreservationPreservation

CollectionCollection

ProcessingProcessing

ReviewReview

AnalysisAnalysis

ProductionProduction PresentationPresentation

Document Retention & Electronic Discovery Model

DocumentRetention

Litigation DiscoveryProcess

Trial


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Electronic DocumentRetention

I Should Just Keep Everything, Right?


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Benefits of a Comprehensive DRP

How we create & store information

– 93% of all business documents created electronically

– Only 30% printed to paper


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More efficient information management

– Streamline storage costs

– Spend less time and money managing data

– Greater ease in finding important info


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Streamline response to litigation or investigations

– Avoid settling defensible cases merely because of ESI problems


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Creation &

Implementation

of DRP


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Records Management





ReviewReview

AnalysisAnalysis


Electronic Discovery Model

DocumentRetention


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Creating the Data Map1. Identification

Where is it located?

What do we have?

2. Preservation What do we have to keep?

3. Collection Where do we store it?


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Identification – Where is it Located?

– Hardware & software Locations

Legacy systems

– People working from home

– PDA’s & Cell Phones


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Identification – What Do We Have?

– Identify all sources of data

– Structured Data Accounting & Financial

Data Base

Industry-based systems


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– Semi-Structured Data E-Mail

– Unstructured Data User created documents

– Word

– Excel

– PowerPoint


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– Unstructured Data

– Divide information Legal

Business

Everything Else


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Preservation – What Do We Have To Keep?

Legal– Tax Records: 7 yrs.

– Audit Records: 7 yrs.

– Employment Records: statutory requirement

– Regulatory & Compliance: statutory requirement


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Business– Contracts: end date + SOL (15 yrs.)

– IP Records: life of patent + SOL

– Real estate: ownership + SOL

– Corporate Records: permanent

– Other categories – for litigation Design drawings Risk management Product Safety


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Business– E-Mails & Correspondence (by category):

Contract IP Real Estate

Everything Else– E-Mails

– Correspondence


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Top Ten Tips for Effective Electronic Data Management

1. Make EDM a business initiative supported by corporate leadership

2. Litigation Response Team

3. Create a document review, retention & destruction policy (Document Retention Policy – DRP)

4. Create DRP procedures for employees

5. Create employee training program


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Top Ten Tips for Effective Electronic Data Management

6. Document all ways data can be transferred

7. Keep records of all hardware & software

8. Document the DRP

9. Be aware of electronic “footprints” – delete does not always mean delete

10. Cease document destruction policy at notice of lawsuit


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E-Discovery

Obligations


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The Five Concepts:

1. Requires production of electronically stored information

2. Early focus on discovery plans

3. Early focus on privilege considerations

4. Accessibility as key factor in production

5. Specified formats for production


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LitigationHold

LitigationHold

Meet &Confer

Meet &Confer

PlanningReport

PlanningReport

SchedulingOrder

SchedulingOrder

Initial Disclosures

Initial Disclosures ProductionProduction

Lawsuit: The Initial Steps

ReasonablyAccessible


PrivilegeDocuments

PrivilegeDocuments

ResponseTeam

OutsideCounsel

OutsideCounsel


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LitigationHold

LitigationHold

Meet &Confer

Meet &Confer

PlanningReport

PlanningReport

SchedulingOrder

SchedulingOrder

Initial Disclosures





PrivilegeDocuments

PrivilegeDocuments

ResponseTeam


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Litigation Hold

&

Preservation

Obligations


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LITIGATION HOLD

Litigation is reasonably anticipated

Lawyer sends “Litigation Hold” letter

Parties required to preserve relevant data

– preservation of ESI that is reasonably accessible

– Must suspend document destruction/retention program


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Response Team

Document Retention Policy

– Flow Chart procedures

– Identify Technical person

– Identify computer systems

Training Program


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Assessment by Response Team

Identify “key players”

– Individuals

– Work groups

– Departments

Identify relevant time period


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Identify categories of information relevant to claims

– E-mail

– Financial data

– Calendars & contacts

– Database information

– Word processing documents


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Identify “systems” with relevant data

– Individual PCs/Laptops

– Network file servers

– PDAs/cell phones/ Blackberries

– Home computers

– Back-up systems


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Implement Response Plan

Advise key players of preservation obligation

– written notice to employees likely to have documents & ESI

Describe the nature of claims

Describe the ESI or other documents for preservation


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Implement Response Plan

Segregate & preserve relevant data

Issue periodic reminders

Record all decisions & rationales


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Meet

&

Confer


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LitigationHold

LitigationHold

Meet &Confer

Meet &Confer

PlanningReport

PlanningReport

SchedulingOrder

SchedulingOrder

Initial Disclosures





PrivilegeDocuments

PrivilegeDocuments

OutsideCounsel


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MEET & CONFER

Planning Report - Timing

– 90 days after the appearance of defendant

OR

– 120 days after service of complaint


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MEET & CONFER

Planning Report - Content

– identification of electronically stored information

– the form for production

– Agreements for claims of privilege


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What does your lawyer need to know:

Respective computer systems

– Current and former

Software

Types of Data


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Document retention policies

Archiving procedures

Accessible and inaccessible data

Production format


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Process for production

Cost allocation

Actions of your Response Team


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Reasonably

Accessible

ESI


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LitigationHold

LitigationHold

Meet &Confer

Meet &Confer

PlanningReport

PlanningReport

SchedulingOrder

SchedulingOrder

Initial Disclosures





PrivilegeDocuments

PrivilegeDocuments


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Examples of reasonably accessible sources

– Individual PC’s/laptops

– Network file servers

– Accounting data servers

– E-mails servers

– PDA’s/cell phones/Blackberries


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Examples of Not Reasonably Accessible sources

Magnetic backup tapes

Legacy data that is unintelligible

Fragmented data after deletion


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Sources that are not reasonably accessible

No requirement to produce

– Must “identify” those sources

– Identify by “category or type”


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Cost of Production

Reasonably accessible data

– Responding party bears the cost

Not reasonably accessible data

– Court determines who pays the costs


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Attorney-Client

Privilege

&

Trial Materials


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LitigationHold

LitigationHold

Meet &Confer

Meet &Confer

PlanningReport

PlanningReport

SchedulingOrder

SchedulingOrder

Initial Disclosures





PrivilegeDocuments

PrivilegeDocuments


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Records Management





ReviewReview

AnalysisAnalysis


Electronic Discovery Model

Review for Privilege Documents


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ATTORNEY-CLIENT PRIVILEGE

Review each document before production

– time consuming

– costly

Result = inadvertent release of ESI


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FRE 502 - Attorney-Client Privilege & Work Product

Inadvertent Disclosure – not a waiver of privilege

Producing party took reasonable steps to prevent disclosure

Promptly took reasonable steps to rectify error


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“Claw-Back” Agreements

Recipient must return or destroy the document

– realizes it contains privileged matters

or

– upon request within a reasonable time


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Form

Of

Production


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LitigationHold

LitigationHold

Meet &Confer

Meet &Confer

PlanningReport

PlanningReport

SchedulingOrder

SchedulingOrder

Initial Disclosures





PrivilegeDocuments

PrivilegeDocuments


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FORM OF PRODUCTION

Request may specify the form

Forms

– Native File

ESI in original file format

– Quasi-Native

database converted to EXCEL


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Forms

– Image File

native file converted into a TIFF or PDF file

– Paper


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FORM OF PRODUCTION

No form is specified, you may state the form

OR

Produce in the form ordinarily maintained

Only need to produce in one form


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Lessons from Qualcomm

1. Do not penalize outside counsel for pursuing the evidence

2. Respond to outside counsel questions and document requests

3. Closely supervise e-discovery and document production – you are on the hook

4. Consistent coordination of e-discovery and document production

5. Document the document search


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QUESTIONS?

E-Discovery

and

Document Retention

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Patrick W. Michael, Esq.Dinsmore & Shohl LLP101 South Fifth StreetLouisville, KY 40202

(502)[email protected]

w w w. d i n s l a w. c o m e-discovery and document retention patrick w. michael, esq. dinsmore...

Documents

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paper slide

statutory requirement

emails correspondence

important info slide

electronic document

ip records

document review