Information Governance & Records Management for Today's World

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1 May 19-22, 2014, Toronto ON Canada Information Governance & Records Management for Today's World Presented by Colin Cahill LI22 5/20/2014 1:15 PM - 2:45 PM The handouts and presentations attached are copyright and trademark protected and provided for individual use only.

2 Information Governance & Records Management (IGRM) For Today s World Agenda Introduction What is IGRM and what does it cover Benefits of IGRM Records retention and risk management Operational audits Conclusion

3 Introduction What is IGRM & what does it cover?

4 What is IGRM & what does it cover? an accountability framework to ensure appropriate behavior in the valuation, creation, storage, use, archiving and deletion of information. It includes the processes, roles and policies, standards and metrics that ensure the effective and efficient use of information in enabling an organization to achieve its goals Gartner Policy Document Mgmt Filing Facilitators Disposition Most effective when tools overlay all systems Ideally, best-of-breed systems can be used Provides internal knowledge management Extends information and services to business units

5

6 The Business Problem It s NOT only paper materials but also the electronic materials, which are everywhere! 12 Goals v. Reality There are many challenges to adoption. The primary goals for the firm in contrast with user mandates.

7 Benefits of IGRM Information Governance & Records Management Benefits of IGRM Information Governance and Records Management is a strategic initiative supporting: Cost Savings Certainty Client Service Risk Mitigation

8 Information Governance & Records Management Value Proposition Cost Savings Risk Mitigation Client Service Improve process efficiency and staff utilization Manage official records in electronic format Enhance hardcopy storage inventory management Recognize total cost of ownership Establish policies, retention schedules, security controls, and disposition practices Increase user compliance Improve accuracy and timeliness of file transfers Reduce exposure to discovery activities Increase client satisfaction by improving lawyer effectiveness and responsiveness Increase case management efficiency Observe compliance with client retention requirements Enhance competitive advantage against peer firms Benefits Lowered costs related to offsite and on-site storage FTE cap or reductions Increased accuracy and timeliness in information access and retrieval Lowered organizational risk as it pertains to legal compliance and malpractice Protected firm reputation Reduced data inventories minimizes discovery-related costs Improved service to clients Reduced hours spent looking for files and on administrative, non-billable activities Enhanced market position and offer competitive differentiator Records retention and Risk Management

9 Gone are the days of keep this forever. I keep it all Retain everything in or shared locations. File to DMS and classify because I might need it later. Retain what I need in accordance with IGRM policy and supporting retention schedule Records & Information Management Policy

10 Sample Administrative Records Retention Schedule Records Retention and Risk Management Defensible Disposition

11 DRAFT - INTERNAL Why Conduct a Defensible Disposition Initiative? Cost and Risk: Annual costs for holding material; data management; potential discovery costs Experience: Our experience indicates 20-50% opportunity to reduce inventory footprint resulting in significant long-term savings Financial Benefit: Short and long-term pay-offs; ROI perspective; vendor terms; cost recovery assessment Intangibles: Momentum, defensible disposition, client appreciation / competitive advantage; function effectiveness Key Results: Better managed inactive records, protection of client interests, honoring firm obligations to clients, control of records costs DRAFT - INTERNAL Strategic Approach Perspective Description Reviews Tier 1 Tier 2 Tier 3 Boxes containing files that are very old (e.g. more than 20 years old) with following characteristics: Absence of internal stakeholders (for instance timekeepers no longer with firm) Absence of external stakeholders (i.e. client ceases to exist) Boxes that contain files that have degrees of the following characteristics: Dated internal/firm files not required to be retained Identifiably containing copies or drafts Files in containers have no business or legal need (e.g. redundant information available electronically, non-current research files or referential material, superseded HR or marketing material) Boxes containing files eligible for disposition (transfer or destruction) based on applicable approvals Secure internal approvals to engage external stakeholders Engage external stakeholders to determine preference to destroy, retrieve or compensate for continued retention Tier 1 ~est. 5-20% of Inventory Tier 2 ~est % of Inventory Tier 3 ~est. 5-15% of Inventory Inventory Volume Reductions (20-50%)

12 DRAFT - INTERNAL File Level Inventory Profiling Administrative Files Age Reference rate Classification schema Duplicate sources (e.g. hardcopy time or billing reports available in billing system) Other Files Personal files Attorneys Department heads Other Events Unknown Client Files Client / matter status Active Semi-active Dormant Closed Source (client, third-party) Area of law (retention rules by state) Record / file / document types Original vs. copy Matter administrative (billing, engagement letter, conflicts report) Attorney working files or notes Drafts not reflecting substantive changes to originals Legal research including published material available elsewhere Internal memoranda Matter Analysis Matter Closed Age < 1 Year 1-5 Years Folder Age 5-10 Years > 10 Years N/A Total % of Total Open 50, ,451 80,923 25,915 1, ,830 34% Less Than 7 Yrs 12, , ,290 64,276 1, ,794 38% 7 to 10 Yrs 890 7,784 33,774 87, ,129 13% 10 to 15 Yrs 578 4,246 25,413 40, ,424 7% 15 to 20 Yrs 1,401 8,660 49,362 19, ,126 8% Over 20 Yrs % N/A % Total % of Total 66, , , ,470 3, , % 7% 32% 37% 24% 0% Matters Not Closed Age < 1 Year 1-5 Years Folder Age 5-10 Years > 10 Years N/A Total % of Total Less than 2 Yrs 28,245 23, ,293 18% 2 to 5 Yrs 8,987 78,354 8,615 2, ,798 34% 5 to 10 Yrs 6,722 44,749 45,388 1, ,563 34% Over 10 Yrs 6,390 33,482 26,853 22, ,176 31% Total % of Total 50, ,451 80,923 25,915 1, , % 18% 63% 28% 9% 0%

13 DRAFT - INTERNAL Approval Process Overall Process General Counsel or Risk Management Administrative Records Department managers Lawyer committee chairs Office administrators C level officers (CFO, CIO, CEO, CKO) Client Records Billing or relationship attorney (if absent then practice group leader) Client (if an acquired organization then new parent company) Operational Audits Monitor key information governance processes on a regular basis Establish network of IG coordinators (i.e. office, region, department) Develop quarterly IG compliance report cards and issue to firm management Implement technologies to automate the monitoring of content repositories

14 Conclusions HBR Consulting Timeline our strong legacy provides deep insights into the legal sector Bradford Hildebrandt forms Hildebrandt International Thomson Corporation acquires Hildebrandt International Hildebrandt International and Baker Robbins & Company merge and become Hildebrandt Baker Robbins; David Baker retires HBR celebrates third year as new consulting firm '75 '76 '77 '78 '79 '80 '81 '82 '83 '84 '85 '86 '87 '88 '89 '90 '91 '92 '93 '94 '95 '96 '97 '98 '99 '00 '01 '02 '03 '04 '05 '06 '07 '08 '09 '10 '11 '14 David G. Baker forms David Baker & Associates; Steve Falkin is DB&A first employee Brad Robbins partners with David Baker to form Baker Robbins & Company Thomson Corporation acquires Baker Robbins & Company Brad Robbins retires; Hildebrandt Baker Robbins becomes an independent consulting firm, renamed HBR Consulting Hildebrandt International Baker Robbins & Company

15 Information Governance & Records Management HBR Consulting Overview HBR CONSULTING is the independent global leader in law firm and corporate law department consulting with a specific focus on operational efficiency and effectiveness. We specialize in advising, implementing and providing support services across these offerings: Strategic Sourcing Services Strategic Sourcing Spend Analysis Cost Reduction + Contract Optimization Strategic Negotiations + Savings Implementation Demand Management Cost Recovery Procurement Solutions Transformation + Strategy Process Improvement + Technology Interim Management + Augmentation Group Purchasing Organizations (GPOs) Contract and Procurement Management Solutions (CAPMS) Strategy + Business Operations Legal/Business Process Planning & Improvement Operational Assessments + Redesign Workflow Mapping Resource Optimization Gap Analysis + Alignment with Best Practices Department + Support Services Reviews Merger Integration Outsourcing, Offshoring + Insourcing Information + Technology Services Direction + Strategy Business System Design + Implementation Document + Content Lifecycle Management Solutions Information Governance & Records Management Risk Management + Compliance Technical Infrastructure Design + Implementation Thought Leadership + Efficiency Solutions Benchmarking + Best Practices Data Aggregation, Metrics and Reporting Surveys Spending + Staffing Structural/Operational Management Metrics Products & Tools

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