Electric Insurance ESI Planning


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  • Electric Insurance ESI Planning

    1. 1. Electric Insurance ESI Needs Assessment April 21, 2009 John J. Jablonski, Esq. [email_address] 716.566.5469
    2. 2. Overview <ul><li>Duty </li></ul><ul><li>Triage </li></ul><ul><li>Plan </li></ul><ul><li>Execute </li></ul><ul><li>Educate </li></ul><ul><li>Compliance </li></ul>
    3. 3. 1. Duty - The Digital Haystack Documents, Books, E-mail, Word, Reports, Presentations, Backup Tapes, Intranet, Instant Messenger, Web Sites, Mail, Faxes, Cell Phones, Blackberrys, Newspapers, Court Decisions, Palm Pilots, Databases, Pagers, Voice Mail, Blogs, Discussion Boards, Paper, Extranets, Directories, Wikis, Adobe PDFs, CD-ROMs, Conferences, Temporary Internet Files, Magazines, Floppy Disks, Schedulers, Laptops, Networks Storage, Lexis, Westlaw, Web, Seminars, Hard Drives, RAM, System Log Data, ISP’s, Third Party Service Providers, PST files…
    4. 4. <ul><ul><ul><li>The Broad Standard of Discovery: </li></ul></ul></ul><ul><ul><ul><li>All documents “reasonably calculated to lead to the discovery of admissible evidence” per Federal Rule of Civil Procedure, Section 26(b)(1). </li></ul></ul></ul><ul><ul><ul><li>Duty to preserve v. duty to produce </li></ul></ul></ul>1. Duty - Discovery
    5. 5. Companies have a duty to: <ul><li>Know exactly how ESI is managed </li></ul><ul><li>Know how to prevent the computer system from destroying relevant ESI </li></ul><ul><li>Implement “Legal Holds” to prevent the destruction of relevant ESI when litigation is initiated, eminent or expected </li></ul><ul><li>Meet with key players to determine existence of ESI and stress preservation, Enforce Legal Holds </li></ul>
    6. 6. Companies have a duty to: <ul><li>Expand the scope of Litigation Holds if necessary </li></ul><ul><li>Retrieve and produce accessible ESI in a usable format </li></ul><ul><li>Identify not reasonably accessible ESI </li></ul><ul><li>Retrieve and produce not reasonably accessible ESI in a usable format if required by court order (there may be some cost shifting involved) </li></ul>
    7. 7. <ul><li>Failure to produce may result in severe sanctions for “spoliation.” </li></ul><ul><ul><li>Financial sanctions </li></ul></ul><ul><ul><li>Judicial sanctions </li></ul></ul><ul><ul><ul><li>Adverse inference jury instruction </li></ul></ul></ul><ul><ul><ul><li>Issue preclusion </li></ul></ul></ul><ul><ul><li>Jail! </li></ul></ul><ul><ul><li>Intangible costs </li></ul></ul>1. Duty – Failure Costs More Than $$$
    8. 8. <ul><li>Spoliation may result in “adverse inference” under which the finder of fact may infer that the destroyed evidence would have been favorable to the opposing side. </li></ul><ul><li>United Medical v. U.S., 77 Fed. Cl. 257 (U.S. Fed Claims 2007) </li></ul>1. Duty - Spoliation
    9. 9. 2. Triage: Benchmarking <ul><li>AIIM (Benchmark Surveys) </li></ul><ul><li>ARMA (Benchmark Surveys) </li></ul><ul><li>Huron / PSS Systems (Legal Hold Survey) </li></ul><ul><li>Vendor Resources (ESI and RIM) </li></ul>
    10. 10. Source: AIIM 2009 IT Survey
    11. 11. 2. Triage: Benchmarking <ul><li>Cohasset/ARMA/AIIM Records Management Survey 2007 </li></ul><ul><li>The survey's conclusions are based on data compiled from more than 1600 respondents in 2007 and a total of more than 5500 in the survey's four prior years – 1999, 2001, 2003 and 2005. </li></ul>
    12. 12. 2. Triage: Benchmarking
    13. 13. 2. Triage: Benchmarking
    14. 14. 2. Triage: Benchmarking
    15. 15. 2. Triage: Benchmarking Huron Consulting Benchmark Survey – Legal Holds – 2008
    16. 16. 2. Triage: Benchmarking Huron Consulting Benchmark Survey – Legal Holds – 2008
    17. 17. 2. Triage: Benchmarking Huron Consulting Benchmark Survey – Legal Holds – 2008
    18. 18. Kahn Consulting – 2009 2. Triage: Benchmarking
    19. 19. BUZZWORD <ul><li>Electronically Stored Information (“ESI”) </li></ul><ul><li>All encompassing term formalized in the revised FRCP, ESI replaces “Data Compilations” and other various terms adopted throughout the years. </li></ul>
    20. 20. Source: The Ingersoll Firm - 2009
    21. 21. 3. Plan: Discovery Capabilities <ul><li>Develop needs assessment </li></ul><ul><ul><li>Interviews key departments </li></ul></ul><ul><ul><li>Review key sample documents </li></ul></ul><ul><ul><ul><li>RIM policies & procedures </li></ul></ul></ul><ul><ul><ul><li>Other related policies & procedures </li></ul></ul></ul><ul><ul><ul><li>Implementation documents (notices, questionnaires, etc.) </li></ul></ul></ul><ul><ul><ul><li>Data Map </li></ul></ul></ul><ul><ul><li>Develop results of needs assessment </li></ul></ul><ul><ul><ul><li>Includes observations of status quo </li></ul></ul></ul><ul><ul><ul><li>Includes recommendations in order of priority </li></ul></ul></ul>
    22. 22. <ul><li>Develop E-Discovery policy </li></ul><ul><li>Develop E-Discovery procedures </li></ul><ul><ul><li>Electronic Discovery Resources © privileged guide </li></ul></ul><ul><li>Develop Legal Holds policy </li></ul><ul><li>Develop Legal Holds procedures </li></ul><ul><ul><li>Follow 7 Steps of book authored by Messrs. Isaza and Jablonski </li></ul></ul><ul><ul><li>Emphasize process for lifting of legal holds </li></ul></ul>3. Plan: Discovery Capabilities
    23. 24. <ul><li>Based on interviews (Needs Assessment) </li></ul><ul><ul><li>Recommendations for cross-functional team </li></ul></ul><ul><ul><li>Review existing organization chart and structure to arrive at recommendations </li></ul></ul><ul><ul><li>Review 7 Steps from book to address of all aspects of legal holds by recommended team </li></ul></ul>3. Plan: Discovery Capabilities
    24. 25. <ul><li>Leverage e-discovery experience </li></ul><ul><li>Develop systematic and repeatable approach for assessing e-discovery responses </li></ul><ul><ul><li>Develop written policy </li></ul></ul><ul><ul><li>Develop written procedures </li></ul></ul><ul><ul><li>Develop user-friendly questionnaires </li></ul></ul><ul><ul><li>Develop process documents </li></ul></ul>3. Plan: Discovery Capabilities
    25. 26. 3. Plan: Discovery Capabilities
    26. 27. <ul><li>Develop systematic and repeatable approach to meet and confer </li></ul><ul><ul><li>Ensure legally defensible approach </li></ul></ul><ul><ul><li>Leverage extensive experience from the trenches </li></ul></ul><ul><ul><li>Use Needs Assessment process to identify areas of vulnerability and repeatability </li></ul></ul><ul><ul><li>Targeted preservation / discovery strategy </li></ul></ul><ul><ul><li>Reduce costs by focused approach </li></ul></ul>3. Plan: Discovery Capabilities
    27. 28. <ul><li>Use systematic approach for developing a map of ESI (Electronically Stored Information) </li></ul><ul><li>Anticipated to Include Information in Databases, Network Shared Files, E-Mail, Intranet, Internet, SharePoint </li></ul><ul><li>Help create efficient scope analysis for preservation </li></ul>3. Plan: Discovery Capabilities
    28. 29. <ul><li>Identify locations of Relevant v. Non-Relevant Data </li></ul><ul><li>Identify Data that is not reasonably accessible </li></ul><ul><li>Identify Custodians of Relevant Data </li></ul><ul><li>Prepare for Rule 26 conference </li></ul><ul><li>Identify 30(b)6 witnesses </li></ul><ul><li>Reduce Risk of spoliation or missing ESI </li></ul>3. Plan: Data Map
    29. 30. <ul><li>Reduce cost of implementing a legal hold </li></ul><ul><li>Reduce costs of preservation, collection, review, and production stages of EDRM model </li></ul><ul><li>Create awareness in IT </li></ul><ul><li>Analysis of litigation portfolio/goals for organization </li></ul><ul><li>Create systematic approach to discovery </li></ul><ul><li>Create Electronic Discovery Resources © privileged guide to ESI preservation and disclosure </li></ul>3. Plan: Data Map ROI
    30. 31. 3. Plan: Data Map ROI <ul><li>Build a bridge between legal, records management and IT </li></ul><ul><li>Educate IT </li></ul><ul><li>Gap identification </li></ul><ul><li>Reduce risk of sanctions </li></ul><ul><li>Eliminate preservation / discovery “fire drills” </li></ul><ul><li>Less disruption to IT staff and business operations </li></ul><ul><li>Unify message delivered across litigated matters </li></ul><ul><li>Reduce costs by targeted preservation / discovery </li></ul>
    31. 32. <ul><li>Option 1 – Proactive Planning : </li></ul><ul><ul><li>Spend $$ now </li></ul></ul><ul><ul><li>Work in a controlled environment </li></ul></ul><ul><ul><li>Find the holes and plug them </li></ul></ul><ul><li>Option 2 – Reactive Identification: </li></ul><ul><ul><li>Spend $$$$ later </li></ul></ul><ul><ul><li>Rush, make mistakes, fix mistakes </li></ul></ul><ul><ul><li>Find the holes and beg for mercy </li></ul></ul>3. Plan: Discovery Capabilities
    32. 33. 4. Execution <ul><li>Develop sliding scale of needs </li></ul><ul><li>Address High Risk Immediately </li></ul><ul><li>Roll out Proactive Approaches Over Time </li></ul><ul><li>Goal to Save Money and Demonstrate ROI </li></ul><ul><li>5 Year Plan </li></ul><ul><li>Education </li></ul><ul><li>Compliance </li></ul>
    33. 34. 5. Education ESI Strategy
    34. 35. 6. Compliance <ul><li>Reinforce </li></ul><ul><li>Review </li></ul><ul><li>Retrain </li></ul><ul><li>Reliable </li></ul><ul><li>Right </li></ul><ul><li>Retool </li></ul>
    35. 36. Questions?
    36. 37. <ul><li>John Jablonski, Esq. </li></ul><ul><li>Goldberg Segalla LLP </li></ul><ul><li>665 Main Street, Suite 400 </li></ul><ul><li>Buffalo, NY 14203 </li></ul><ul><li>(716) 566-5469 Office </li></ul><ul><li>(716) 812-5237 Cell </li></ul><ul><li>[email_address] </li></ul>