CHAPTER GOALS AND OBJECTIVES2➢ What is the key fu

CHAPTER GOALS AND
OBJECTIVES
2
➢ What is the key functional
area for IG impact?
➢ How does IG impact legal
functions in an organization?
➢ What are the Federal Rules
of Civil Procedure (FRCP)?
➢ How is e-discovery affected
by the FRCP?
➢ Outline the holding of
Zubulake v.
UBS
➢ Know the facts and how it
affects IG and e-discovery

➢ What are currently e-
discovery techniques
CHAPTER GOALS AND
OBJECTIVES…Continued
3
➢ What is the e-discovery
reference model?
➢ What is it used for?
➢ How does IG impact E-
Discovery?
➢ What is a record retention
policy?
➢ What are the benefits of a
record retention policy?
➢ What is predictive coding
➢ What case law impacted the
use of predictive coding?

➢ What is Technology Assisted
Review
➢ What are the 8 steps to
defensible disposition of
information?
Key Legal Processes Impacted
by IG
4
➢ E-Discovery
➢ Legal Hold Notification
➢ Defensible Disposition
➢ Use of new technology to comply with E-discovery
“Discovery”:
Pretrial procedure in a lawsuit in
which each party, through the law of
civil procedure, can obtain evidence

5
from the other party or parties by
means of discovery devices such as a
request for answers to Interrogatories,
Requests for Production of Documents,
Request for Admissions and
depositions. Discovery can be obtained
from non-parties using subpoenas.
When a discovery request is objected
to, the requesting party may seek the
assistance of the court by filing a
motion to compel discovery.
Wikipedia https://en.wikipedia.org/wiki/Discovery_(law)
E-DISCOVERY
The Federal Rules of Civil
Procedure govern civil proceedings in the
United States district courts. Their
purpose is "to secure the just, speedy,

and inexpensive determination of every
action and proceeding." Fed. R. Civ. P. 1.
The rules were first adopted by order of
the Supreme Court on December 20,
Congress on1937, transmitted to
January 3, 1938, and effective
September 16, 1938.
http://www.uscourts.gov/rules-policies/current-rules-
practice-procedure/federal-rules-civil-procedure
http://www.uscourts.gov/rules-policies/current-rules-
RELEVANT 2006 CHANGES TO THE
RULES OF CIVIL PROCEDURE
6
➢ Revisions applicable to
preservation of electronic records in
the litigation process
➢ Revisions applicable to the discovery
of electronic records in the litigation

process
Applicable to “ESI”- Any information that is
created or stored in electronic form
GOAL of 2006 revision:
✓ Recognize importance of ESI
✓ Respond to increasingly prohibitive costs
of document reviews
✓ Protection of privileged information
FRCP AMENDED 2006 ARE
APPLICABLE TO WHAT?
7
➢ Cases in Federal Court
➢ Civil Cases
➢ All types of e-documents stored on all types of storage
devices and communication devices
➢ All content on those devices including metadata

Consider the Impact of “Big Data”
8
➢ The average Employee creates roughly 1 gig of data annually
(and
growing)
➢ Costs associated with “dark data”
➢ Unknown or useless data
➢ Identify which data is important and relevant and classify,
prioritize, and
schedule the systematic disposition of other data in a legally
defensible
way
➢ Statistics: Approximately 25 % has real business value. 5 %
required to be
retained as business records. 1% retained due to litigation
hold.—On the
average 69% has no business, legal or regulatory value, and
could be a
legal liability to the company
REVISED FEDERAL RULES OF CIVIL

PROCEDURE
9
How does this involve IG ?
➢ IG must make sure information is organized in a way that it
can be accessed quickly
FRCP 1 – Scope and Purpose: To secure the just, speedy, and
inexpensive determination of every action.
(Volonino and Reddpath, e-Discovery for Dummies,
www.dummies.com/how-to/content/ediscovery-for-
dummies-cheat-sheet.html(accessed January 20, 2018)
http://www.dummies.com/how-to/content/ediscovery-for-
FRCP 1
Rule 1. Scope and Purpose
10
These rules govern the procedure in all civil actions and
proceedings
in the United States district courts, except as stated in Rule 81.
They
should be construed, administered, and employed by the court
and
the parties to secure the just, speedy, and inexpensive
determination
of every action and proceeding.

PROCEDURE
11
How does this involve IG
➢ Court expects IT and
network literacy of both
sides, so that pretrial
conferences regarding
discoverable evidence are
productive
Pretrial Conferences,
Management.
FRCP 16 –
Scheduling;
Guidelines for preparing for and
managing the e-discovery process.

www.dummies.com/how-to/content/ediscovery-for-dummies-
cheat-sheet.html(accessed January 20, 2018)
dummies-
PROCEDURE
12
FRCP 26 – Duty to Disclose; General Provisions Governing
Discovery
www.dummies.com/how-
to/content/ediscovery-for-dummies-cheat-sheet.html (accessed
January 20, 2018)
➢ Protects litigants from costly and burdensome discovery
requests,
given certain guidelines
http://www.dummies.com/how-

PROCEDURE
13
FRCP 26(a)(1)(c) Requires initial discovery to be made no later
than
14 days after initial meeting(Rule 26(f).
cheat-
sheet.html (accessed January 20, 2018)
can be
accessed quickly
dummies-cheat-
FRCP 26(A)(1)(C)
14
(C) Time for Initial Disclosures—In General. A party must
make the
initial disclosures at or within 14 days after the parties’ Rule
26(f)

conference unless a different time is set by stipulation or court
order, or unless a party objects during the conference that initial
disclosures are not appropriate in this action and states the
objection in the proposed discovery plan. In ruling on the
objection, the court must determine what disclosures, if any, are
to be made and must set the time for disclosure.
REVISED FEDERAL RULES OF
CIVIL PROCEDURE
15
FRCP 26(b)(2)(B): First introduces the concept of not
reasonably
accessible ESI. Provides procedures for shifting the cost of
accessing
not reasonably accessible ESI to the requesting party
cheat-

➢ IG must justify why this ESI is not reasonably accessible
dummies-cheat-
REVISED FEDERAL RULES OF
CIVIL PROCEDURE
16
FRCP 26(b)(5)(B): Gives Court a clear procedure for settling
claims when you hand over ESI to requesting party that you
shouldn’t have.
www.dummies.com/how-to/content/ediscovery-for-
dummies-cheat-sheet.html (accessed January 20, 2018)
you
should not have
FRCP 26 (b)(5)(B)
17

FRCP 26 (b)(5)(B) Information Produced. If information
produced
in discovery is subject to a claim of privilege or of protection as
trial-preparation material, the party making the claim may
notify
any party that received the information of the claim and the
basis
for it. After being notified, a party must promptly return,
sequester, or destroy the specified information and any copies it
has; must not use or disclose the information until the cl aim is
resolved; must take reasonable steps to retrieve the information
if the party disclosed it before being notified; and may promptly
present the information to the court under seal for a
determination of the claim. The producing party must preserve
the information until the claim is resolved.
PROCEDURE
18
FRCP 26(f): Requires parties to meet within 99 days of filing

suit
and at least 21 days before scheduling conference.
cheat-
can
be accessed quickly
dummies-cheat-
PROCEDURE
19
FRCP 33 – Interrogatories to parties: Gives definitions of
business e-
records that are discoverable and the right of opposing parties
to
request and access them.

cheat-
sheet.html(accessed January 20, 2018)
➢ IG must have clear policy for retention and justifiable
procedure for
destruction
dummies-cheat-
PROCEDURE
20
FRCP37 – Sanctions: Safe Harbor Rule. Keeps the court from
imposing sanctions when ESI is damaged or lost through routine
“good faith” operations.
cheat-sheet.html (accessed January 20, 2018)
➢ IG must have good legally defensible document management

program
dummies-
PROCEDURE
21
FRCP 34 – Producing documents, Electronically Stored
Information
and Tangible Things or Entering onto Land for Inspection and
Other
Purposes. Addresses the format for requests and require that e-
records be accessible without undue difficulty.
cheat-
dummies-cheat-sheet.html

E-DISCOVERY REFERENCE MODEL
Visual Planning Tool Created by EDRM.net to assist in
identifying and clarifying the
stages of the e-discovery process.
[email protected] Asante 2019
3
5
7 Steps in the E-Discovery Process
Present at
trial if your
case hasn’t
settled.
Judges have
little to no
patience
with lawyers
who appear
before them
not
understandi
ng e-
discovery
and the ESI

of their
clients or
the opposing
side.
7
Clawback
the ESI that
you
disclosed to
the
opposing
party that
you should
have
filtered out,
but didn’t.
Clawback is
not
unusual,
but you
have to
work at
getting
clawback
approved,

and the
court may
deny it.
6
Produce the
remaining
ESI, after
filtering out
what’s
irrelevant,
duplicated,
or
privileged.
Producing
ESI in native
format is
common.
5
Review and
analyze the
filtered ESI
for privilege
because
privileged
ESI is not

discoverabl
e, unless
some
exception
kicks in.
4
Process and
filter the
ESI to
remove the
excess and
duplicates.
You reduce
costs by
reducing
the volume
of ESI that
moves to
the next
stage in the
e-discovery
process.
3
Identify the

relevant
ESI,
preserve
any so it
cannot be
altered or
destroyed,
and collect
all ESI for
further
review.
2Create and
retain ESI
an
enforceable
electronic
records
retention
policy and
electronic
records
management
(ERM)
program.
Enforce the

policy and
monitor
compliance
with it and
the ERM
program.
1
according to
23
GUIDELINES FOR E-DISCOVERY PLANNING
Implement an
IG Program
Inventory ESI
Create and Implement
a comprehensive
records retention
policy-including email
a legal bold
policy that
is
enforceabl

e,
auditable
and legally
defensible
Leverage Technology
Develop and
Execute e-
discovery plan
24
IG IMPACT ON E-DISCOVERY
25
➢ Cost Reduction
➢ Risk Management
➢ Better Litigation win rates
➢ Strategic Planning for Matters
based on Merit
➢ Strategic Planning for Matters
based on Cost
➢ Litigation Budget Optimization

The Legal Hold Process….
26
How Should It Work?
ESI must be preserved in place and no longer edited or altered
so it
can be reviewed during discovery
How Does It Work?
Just the opposite of how it should! Employees quickly edit and
delete relevant e-documents that may implicate them
what is it?
Formal system of policies, processes, and controls to notify
key employees of civil lawsuits or potential suits, and the set
of documents that must be put on legal hold.
LEGAL HOLD NOTIFICATION
27
This is a very discreet IG project

Absolute minimum an organization should do to meet the legal
guidelines
Where to start?
KEY: Must not be outsourced!
Get over the perception that this is too expensive and too
difficult to
deploy
• Define the Requirements
• Define the Ideal Process
• Select the Technology
DEFENSIBLE DISPOSITION OF
INFORMATION
28
➢ Begin with legal hold management.
➢ Law requires a “reasonable effort”
➢ Prioritize what information to delete
➢ Don’t try to delete across the entire organization at
once
➢ Put systematic rules in place for deletion

➢ Hint: Most companies begin with email
DESTRUCTIVE RETENTION
PROGRAM
29
An approach to e-mail archiving where e-mail messages are
retained for a limited time followed by the permanent
manual or automatic deletion of the messages from the
organizational network, so long as there is no litigation hold
or e-mail has not been declared a record.
SO…. How long is the retention period?
➢ Varies by Company.
➢ 25 % of companies delete after 90 days
➢ Heavily regulated industries archive for 1 year
➢ Traditionally 7 years but changing.
What Can I Do To Make E-
Discovery Easier?

30
Apply newer technologies
• Can speed up the document review process
• Improve the ability to be responsive to discovery requests
Examples:
❑ Predictive Coding
❑ Technology Assisted Review
PREDICTIVE CODING
31
Used for document review-Teaches software what
to look for.
Software with the goal of reducing the total group
of documents that a legal team needs to review
manually by finding the gross set of documents that
are relevant or responsive to the case at hand –
reducing billable attorney hours and costs.
Technologies Involved?

• Machine Learning (AI)
• Workflow Software
• Text Analytics
• Keyword Searches
• Pattern Matching
• Sampling
• Filtering
LEGAL MILESTONES IN PREDICTIVE
CODING FOR E-DISCOVERY
Global Aerospace, Inc., et al. v. Landow Aviation, PL et al.
Consol. Case No. CL 61040, 2012 WL 1431215 (Va. Cir. Ct.
Apr.
23, 2012).
32
The first State Court Order approving the use of Predictive
Coding by the producing party, over the objection of the
requesting party, without prejudice to the requesting party
raising an issue with the Court as to the completeness or the

contents of the production, or the ongoing use of Predictive
Coding.
Basic argument favoring predictive coding was that
predictive coding is capable of locating upward of 75% of
the potentially relevant documents and can be effectively
implemented at a fraction of the cost and time of linear
review and keyword searches.
TECHNOLOGY-ASSISTED REVIEW
(Computer-Assisted Review)
33
• This is not the same thing as predictive coding!
• Includes aspects of nonlinear review – culling, clustering,
and de-duplication
• Does not meet the requirements of predictive coding
Mechanisms of TAR
• Rules Driven-Team creates a set of rules for document
review which is essentially a coding manual which are fed

into the software
• Facet Driven – Tool analyzes documents for potential
items of interest or groups potentially similar items
• Propagation Based – Propagating what is known based on
a sample set of data to the rest of the documents.
DEFENSIBLE DISPOSITION
34
Technology, policies, procedures and management controls
designed to ensure that records are created, managed, and
disposed of at the end of their life cycle.
Why do we need to do this?
➢ Big Data – huge growth of information
➢ Record and Information Management isn’t working well
➢ Volumes of information are adversely affecting effectiveness
DEFENSIBLE
DISPOSITION…continued

35
➢ New Information Custodians---it’s a problem
➢ Users aren’t trained on records management principles and
have
no incentive to manage or dispose of records
➢ Use of proper technology to manage digital records properly
➢ Auto-classification and analytics
➢ Remember –You must defend your policy. It must be
defensible…not perfect
Select practical assessment/classification process
Develop/document essential aspects of the disposition program
Develop a mechanism to modify, alter or terminate components
when required
Assess content for eligibility for disposition
Test, validate and refine the efficacy of content assessment
Apply disposition methodology to content as necessary
Repeatedly, verify and document the efficacy and results
8 STEPS TO DEFENSIBLE

DISPOSITION
Define a reasonable diligence process
RECORD RETENTION
37
How to Increase Defensibility of Destroying Records?
✓ Authority to destroy records is identified on retention
schedule
✓ Retention requirements have been met
✓ Records are slated for destruction in normal course of
business
✓ There are no exiting legal or financial holds
✓ All records of the same type are treated consistently
and systematically
Retention Policy
38
➢ Meet the legal limitation period
➢ Conduct research in each jurisdiction (venue) where the

business
operates
➢ Maintain a records retention schedule
➢ Note: Retention schedules are developed for records series,
categories,
functions or systems and not for individual records, i.e.
Functional
Retention Schedule, or Master Retention Schedule
➢ Record Retention Schedules are kept for ALL records, not
just
electronic records
BENEFITS OF A RETENTION
SCHEDULE
Reduces Legal Risk and liability exposure
Supports legally defensible records management program
Improves IG thru uniformity and standardization
Improves search quality and reduces search time
Provides higher quality records information and decision
support
Prevents inadvertent, malicious or premature destruction of

records
Improves accountability for Life Cycle Management of records
Improves security of confidential records
Reduces and minimizes costs for maintaining records
Determines which records have historic value
Saves hardware utility and labor costs by deleting records after
their life span
Optimizes use of online storage and access resources
39
THE END
40
Scenario:
You have recently been hired as a Chief Information
Governance Officer (CIGO) at a large company (You may
choose your industry). This is a newly created position and
department within the organization that was founded on the
need to coordinate all areas of the business and to provide
governance of the information. You will need to hire for all
positions within your new department.
The company has been in business for more than 50 years and i n
this time has collected vast amounts of data. Much of this data
has been stored in hard copy format in filing cabinets at an
offsite location but in recent times, collected business data is in

electronic format stored in file shares. Customer data is being
stored in a relational database, but the lack of administration
has caused data integrity issues such as duplication. There are
currently no policies in place to address the handling of data,
business or customer. The company also desires to leverage the
marketing power of social media, but has no knowledge of the
types of policies or legal issues they would need to consider.
You will also need to propose relevant metrics that should be
collected to ensure that the information governance program is
effective.
The CEO and Board of Directors have tasked you to develop a
proposal (paper) that will give them the knowledge needed to
make informed decisions on an enterprise-wide Information
Governance program, addressing (at a minimum) all of these
issues, for the company.
Requirements:
The paper should include at a minimum of the following
sections:
a. Title page
b. Executive Summary (Abstract)
c. Body
i. Introduction (including industry discussion – 1-2 pages)
ii. Annotated Bibliography (2-3 pages)
iii. Literature review (2-3 pages)
iv. Program and technology recommendations, including:
1. Metrics
2. Data that matters to the executives in that industry, the roles
for those executives, and some methods for getting this data
into their hands.
3. Regulatory, security, and privacy compliance expectations
for your company
4. Email and social media strategy
5. Cloud Computing strategy
d. Conclusion

e. References
2. You must include at least two figures or tables. These must
be of your own creation. Do not copy from other sources.
3. Must cite at least 10 references and 5 must be from peer
reviewed scholarly journals (accessible from the UC Library).
4. This paper should be in proper APA format and avoid
plagiarism when paraphrasing content. It should be a minimum
of 8 pages in length (double-spaced), excluding the title page
and references.
Milestones:
· Week 3 – Introduction Section - A 2-3 page paper describing
the industry chosen and potential resources to be used. 100
pts.
· Week 5 - Develop a full annotated bibliography (3-4 pages)
and develop the literature review (3-4 pages). 200 pts.
· Week 7 - Completed final research paper (both milestones
combined together and include the last sections as discussed in
the list above). 300 pts.
Total: 600 pts
As outlined within this week's topic, there are several benefits
as well as challenges associated with the use of Big Data
Analytics in the e-Healthcare industry. Pick one of the four
concepts below and then identify the benefits and challenges
associated with that concept. Do not simply list the benefits and
challenges but detail them in a substantive, thorough post as it
relates to that concept in the e-healthcare industry.
· Data Gathering
· Storage and Integration
· Data Analysis
· Knowledge Discovery and Information Interpretation

Chapter Eight (8): Information Governance and Legal
Functions: According to the authors, Smallwood, Kahn, and
Murphy, IG is perhaps one of the functional areas that impact
legal functions most. Failure to meet them could be literally put
an organization out of business or land executives in prison.
Privacy, security, records management, information technology
(IT), and business management functions are very important.
However, the most significant aspect of all of these functions
relates to legality and regulatory compliance from a critical
perspective.
For this discussion, identify the industry you will be writing
(SOCIAL Media – Facebook) about in your final paper and
discuss the regulatory compliance requirements that the
company has to meet and the corresponding security, privacy,
and records management functions that would need to be
enabled for that organization.

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