Life Cycle Management of Records in a Matter Centric Environment ILTA Records Management Peer Group Terrence Coan, CRM Orlando, Florida 2006 Baker Robbins & Company Agenda Current reality Why manage the complete client matter file? What and how are we managing? Systems used to manage client matter content? Classification issues Strategies and approaches Discussion 2006 Baker Robbins & Company 2 Current Reality 2006 Baker Robbins & Company 3 Company 1
e-records Imperative Knowledge workers spend over 50% of their day in email Meta Group Approximately 60% of business critical information is stored in messaging systems - IDC As much as 75% of a company s total knowledge exchange occurs via email; often, sole source of information - Gartner Group Without email and electronic document management, client file is incomplete Email accepted as official business record Fundamental shift in use of digital evidence for discovery 2006 Baker Robbins & Company 4 Current Reality in Legal Lawyers are receiving as many as 500 + emails daily Key correspondence not captured in matter file Draft documents managed outside of DMS Executed documents not consistently identified or accessible In litigation hold, must re-create official file from lawyer working files 2006 Baker Robbins & Company 5 What are we trying to do? Official File Content VetVetting & Classify Information Official File: Documentary materials that provide evidence of policies, procedures, business activities, events and transactions. Vet & Classify: Information is managed and classified according to its content and value to the business for operational, legal, fiscal and historical needs. Information: All material received in the course of business including official records and non-critical data. 2006 Baker Robbins & Company 6 Company 2
Progress? Physical Files Intermediaries Front & Center Client Records Email, attachments, documents Research & Due Diligence 2006 Baker Robbins & Company 7 Why Manage the Client/Matter File? 2006 Baker Robbins & Company 8 Improve Client Service Efficient leveraging of prior work product Confidence that information used for service is up-to-date and accurate Answer client questions quickly and accurately Minimize risks in how the firm manages its client records Information quality + timely service = satisfied clients 2006 Baker Robbins & Company 9 Company 3
Increase Employee Efficiency Faster, easier access to records Improved work team collaboration Reduce new lawyer learning curve Confidence that information is up to date and accurate Reduce personal information silos 2006 Baker Robbins & Company 10 Reduce Risk Provide advice based on complete information Respond to subpoenas with confidence Ability to reconstruct the history of deals/negotiations Solidify client relationships by maintaining a comprehensive matter file Ensure consistent destruction of records Limit chance of a tainted reputation 2006 Baker Robbins & Company 11 What and How are we Managing? 2006 Baker Robbins & Company 12 Company 4
What is the Client Matter Record? Physical files Electronic documents in the DMS Email Messages and attachments e-discovery collections Others? 2006 Baker Robbins & Company 13 Shifting Roles & Responsibilities Hardcopy records management roles Administrative assistants Project assistants Shared responsibility Paralegals Records personnel e-records management roles Attorney responsibility Sender/Recipient has direct responsibility Records Manager Provides consultative support for firm standards Develops and manages records policy and retention IT: leverage technology solutions to support Firm objectives Executive leadership is essential 2006 Baker Robbins & Company 14 Client Matter Repositories: Email Archive, DM, RM Systems Email Archive Document Management Records Management STORE Reduce costs & preserve performance by taking burden off servers MANAGE Extract maximum value from content by managing active content COMPLY Achieve regulatory compliance & support discovery processes Centrally stores emails and attachments Access is key in large-scale message store Manages work in progress Access and reusability is key Manages records based on legal, operational, and historical requirements Inalterability is key Organization (not classification) by author and full-text search Classification is by Client/Matter #, author, document type Classification is by Record Type Retention is based on last access date and storage availability Functionality is based on central storage and personal, transactional, requirements Retention based on potential future need Functionality is focused on creation, use and reuse of content Retention based on legal risk and business need and focuses on when record can be destroyed Functionality based on retrieval, preservation, and disposition of document in life cycle stages 2006 Baker Robbins & Company 15 Company 5
Life Cycle Management Reuse Create KM Redact or Generalize DM Work in Progress Matter Close Dispose Receive from client RM Store for Retention Period Dispose 2006 Baker Robbins & Company 16 Expanded Records Lifecycle That was then Create/ Receipt Use/ Circulation Maintenance Disposition this is now. Create/ Receipt Review Edit Finalize Declare Maintenance Disposition Use/Circulation 2006 Baker Robbins & Company 17 Classification Issues 2006 Baker Robbins & Company 18 Company 6
How to Classify Across Repositories Classification similarities and differences Client Matter number & name Case name Document type File Record Type Subject Others Central (single) repository Several repositories (under central control) 2006 Baker Robbins & Company 19 Classification Pitfalls Physical records are managed by container Electronic items are classified by individuals w/out controlled vocabulary Document types are too granular Different classification schemas used in each system with no crossapplication mapping 2006 Baker Robbins & Company 20 Classification Examples Common Types Corporate Transaction Litigation Intellectual Property Personnel Planning Project Worklist (searches) Correspondence Attorney Notes Client Materials Drafts Matter Administration Research Agreements Court Papers Prosecution Court Papers Closing Documents Discovery Searches Wills Due Transcripts Trusts Filings Trial Hot DOCS Forms Opinions 2006 Baker Robbins & Company 21 Company 7
Strategies and Approaches 2006 Baker Robbins & Company 22 Firms fail to pay enough attention to Having a unified client matter file management strategy Understanding the processes & systems that create these records Creating appropriate governance models and mechanisms 2006 Baker Robbins & Company 23 How Can We Help? Bring Focus to the Following: Users perceive the problem is primarily technology Management perceives the problem is that people just won t do it The technologists realize that without enterprise strategy any application & process will fail 2006 Baker Robbins & Company 24 Company 8
Sample approaches All physical items are managed in RMS; Documents are in DMS; Email in Archive All physical items are managed in RMS; Digital items managed in DMS All client matter records are managed in single repository 2006 Baker Robbins & Company 25 Potential Email Management Workflow Delete or leave in Inbox/Sent Items Purged by organization 1 If an email is not declared and classified within 60 days (by moving to DM RM repository) then it will be deleted from inbox, sent items. 2 If email is for convenience, it can be moved to personal folder where it will be moved within 120 days to an email archive. Within 2 years it can be declared and classified to the official repository or it will be purged. 3 Once in the official DM RM repository, it is managed according to retention business rules. 1 Non-Record Limited usefulness Email Created or Received Classify <= 60 Days 3 Official Record Preserve Move to official Organizational archive Life cycle retention managed systematically 2 Convenience Materials Useful for some period Move to Personal Folder Classify <= 2 Years Moved by organization >= 120 days to email archive Purged by organization >= 2 years 2006 Baker Robbins & Company 26 Document-to-Records Management Integration of container-based schedule with item-based File Plan Emails & documents filed in mattercentric folders Provides an online hierarchy that facilitates the filing of electronic documents Facilities subsequent search and retrieval activities via browsing Applies metadata: security and records retention 2006 Baker Robbins & Company 27 Company 9
Effective Solutions Are 2006 Baker Robbins & Company 28 What do we need to consider? In which applications do attorneys live How well accepted is the DMS as a primary access point Do attorneys & secretaries use the RMS What other technology platforms are deployed in the firm What is the firm s policy re: the complete client matter record 2006 Baker Robbins & Company 29 Records Management Ties it all Together 2006 Baker Robbins & Company 30 Company 10
Discussion Terrence Coan, CRM Baker Robbins & Company tcoan@brco.com www.brco.com 2006 Baker Robbins & Company 31 Company 11