LinkedIn - eReadiness 2012

2nd Annual eDiscovery for the
Life Science Industry Conference
Spiwe L.A. Pierce
February 28, 2012
© Spiwe L.A. Pierce

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Cleanup days
inconsistently followed
Not all areas of the company
followed document retention policy
High internal cost of collecting
documents for discovery
Data lost when employees exited
despite litigation holds
Functions overspending on
storing unnecessary documents
Document retention policy
in need of updating
Documents stored in environmentally
insecure facilities – risking loss
Uncertainty and lack of direction caused
employees to keep too much data
Risk
$

5
Product X Document Review Cost
First Line Review – English Language ($ per Document) $1.00
Number of Documents for John Doe 9,000.00
Number of Documents for Missy Mumford 5,000.00
Total Cost $25,000.00

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1. 1985: (UK) Where documents had not been preserved after the commencement of proceedings,
the defaulting party risked adverse inferences being drawn for such spoliation, Infabrics Ltd v
Jaytex Ltd
2. 2008: (US) $8.5 million sanction for Qualcomm’s failure to produce 46,000 emails that it had
3. 2010: (US) Creative Pipe sanctioned, and employee imprisoned for up to two years or until he paid
the Plaintiff’s attorney fees and costs for willful violation of serial Court orders related to
document production
4. 2010: (UK) The deliberate destruction of documents during a court proceeding gives rise to the
entry of a default judgment, Court ordered sanctions, and the striking of defenses to the claim.
5. 2010: U.S. courts can compel cross-border discovery despite foreign statutes barring production
of the requested information. See, e.g.,
 Devon Robotics v. DeViedma (denying motion for protective order because nonproduction
would undermine important U.S. interests and there was no evidence disclosure would
violate Italian law);
 In re Air Cargo Shipping Services Antitrust Litig., (granting motion to compel because U.S.
interest in enforcing antitrust laws outweighed South African interest in enforcing blocking
statute, in particular where prospect of criminal sanctions for violating South African statute
was "speculative at best").
 2011: Heraeus Kulzer, GMBH v. Biomet, Inc. in allowing discovery in U.S. federal court for
use in a German court, it was held that a litigant in a foreign country can seek discovery
related to that litigation in a federal district court and obtain as much discovery as it if it
litigation had been brought in that (US) court.

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Associate General Counsel
•Global litigation management for all
cases, including commercial
litigation, IP, personal injury,
product liability, workers’ comp
•Labor & employment matters for
North America
•Developing policies, practices &
procedures for management of
outside counsel, and litigation risk
mitigation across internal functions
•Periodic communications with
internal stakeholders and clients re:
litigation matters & disputes
•Legal Business Partner to 8
countries
Senior Paralegal
•Witness identification & assistance
with prep for trials & depos
•Investigating and triaging claims,
disputes, subpoenas, etc.
•Running mock trial & trial prep
calendars
•Communications with insurers,
internal stakeholders, outside
counsel and claimants
•Document production in litigation
matters and in response to third
party subpoenas
•Building and maintaining databases
for legal pleadings,
correspondence, documents,
exhibits, dockets, trial
calendars, litigation hold databases,
depositions, and
other discovery materials
•Coordinating with HR to ensure
proper retention of data
from departing employees
Junior Paralegal
•Updating & maintaining Legal
Intranet Site and shared drives
•Managing editorial calendar and
publishing Legal’s periodic
newsletter
•Reviewing, editing, and approving
all product labeling, product
advertising, and promotional
materials to ensure compliance with
the corporate labeling guidelines
and proper trademark usage
•Serving as liaison to field and
business personnel to address
routine questions and redirect to or
identify other legal resources
required to respond to more non-
routine matters
•Implementing department
strategies and objectives by
working with internal stakeholders,
field and business
personnel

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• An effective strategy and implementation plan
• Senior leadership support
• Employee compliance across multiple states and countries
• Resources!

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How do you achieve consistent document clean up across multiple
countries?
…in a highly regulated company?
…with conflicting Standard Operating Procedures?
…with three people?
…and employees who have their own day jobs?
…and an archaic document retention policy
…that even the lawyers don’t like to read?
…that is governed by a parent company’s document retention
policy?
…with no budget to outsource the updating?

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Litigation Holds CleanupRetention &
Management
The process of assessing/improving policies and practices for:
• storing
• maintaining
• and retrieving data…
…to increase preparedness for litigation, reduce cost of compliance,
and reduce risk of sanctions for non-compliance

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eReadiness Policy
Litigation Holds
Document Cleanup
Litigation Document Management and Production
Document
Retention Policy

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1. Coordinate and schedule cleanup periods for each site
2. Limit Phase 1 to a few manageable but typical sites
3. Make document retention policy user friendly
4. Retain and destroy stored documents per document retention policy
5. Move all storage documents from environmentally insecure facilities
6. Establish baseline measures for offline and electronic cleanup
7. Establish a single waste removal vendor and offsite storage provider across
the US

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VP RA/QA Global
VP Global Sales &
Marketing
VP Finance, Global
VP Global Operations Senior Business Partner VP HR Global
VP Global Product
Management
VP Strategy
Company President
Senior management support to roll out this strategy was critical to
cleanup success for pilot countries
Divisional GC

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Site Lead
• Conducts site-level clean-up for
each function
• Certifies completion to Function Lead
Function Lead
• Function-specific input
into preparation documents
• Oversees function clean-up
• Certifies completion based on Site Lead
Site Coordinator
• Manages logistics
• Issues site communications
• Liaison with Site and Function leads
• Provides input into documents
Senior Leadership
• Supports eReadiness Strategy
• Identifies Function Leads
• Kept abreast of developments
• Encourages compliance as needed
The eReadiness project involves these assigned roles

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Site Lead
Function Lead
Site Coordinator
Senior Leadership
Employee
• EVERYONE is an employee
• The employee’s role is the most critical to Smiths
Medical conducting effective document cleanup
• Employees must cleanup data according to
the Document Retention Policy and site SOP

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Senior Leader
VP
Function Lead
Site Lead
Toronto
Site Lead
Fresno
Site Lead
Dayton
Site Lead
Chicago
Site Lead
Keene
Site Lead
Norwell
Site Lead
Southington
Site Lead
Keene
Site Lead
Olive Branch
Site Lead
Rockland
Site Lead
Buenos Aires
Site Lead
Vernon Hills
For each function, Site Leads at each location were required to verify and
certify completion of their local cleanup, and the Function Lead certified
completion for the entire function© Spiwe L.A. Pierce

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Three employees in the Legal department now had…
105 Additional Members of the eReadiness
Team
…within every function
…at every target site

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Site Cleanup Period Final Completion Date
Canada May 16th-27th May 27th
Clinicians May 9th-20th May 20th
Connecticut May 9th-20th May 20th
Illinois May 9th-20th May 20th
Indiana May 16th-27th May 27th
Massachusetts May 9th-20th May 20th
Minnesota April 1st-15th April 15th
Mississippi May 9th-20th May 20th
New Hampshire May 16th-27th May 27th
Ohio May 9th- 20th May 20th
Sales Force May 16th-27th May 27th
1-day cleanup is insufficient to accommodate meetings, travel etc. Give
your employees a sufficient window to complete cleanup

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Engagement
• President communicated support &
encouraged compliance via Intranet
• Senior management led by example
• Function Leads encouraged
support & compliance
• Sites issued their own communications
Contribution
• VP’s identified Function Leads
• Function Leads identified Site Leads
• Site Coordinators picked Cleanup Periods
• At some sites, leadership did the training
Buy-in
• Senior management agreed
to support strategy
• President agreed to Jeans Day
on last day of cleanup

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For Legal: Assess/improve policies and practices for
storing, maintaining and retrieving data to increase
eDiscovery readiness and reduce risk of sanctions
for non-compliance
Benefit For Your Business: Reduce risk of inadvertent
document destruction, reduce cost of document
retention, reduce cost of complying with discovery
requests

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Proper document retention and destruction:
 Saves storage space and money
 Preserves company’s defenses against claims
 Provides details when memories have faded and
witnesses have left the company
 Demonstrates consistency and compliance with company
policies
 Eliminates unnecessary expense of retrieving documents
that should have been destroyed
 Significant penalties for non-compliance

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1. eReadiness Intranet Site – for all employees
 Cleanup Period Instructions
 Cleanup Schedule
 Contact Lists
 Doc control SOP’s
 Document Retention Policy
 FAQ’s
 Unlisted Document Form
2. SharePoint – for eReadiness Team Only
 Certification Forms
 Copy of Intranet Documents
 Feedback
 Site Level Communications
 Talking Points

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Timing Description
2 weeks before kickoff Email announcement to all employees
1 week before kickoff/
throughout
Postings on message boards/ common areas
1 week before kickoff/
throughout
Scrolling presentation in cafeteria (where available)
1 week before kickoff Email announcement to all employees
Kickoff day Email announcement to all employees
Kickoff day Kickoff cards and cookies outside cafeteria
Second Monday after kickoff Email reminder to complete cleanup this week
Thursday before Jeans Day Email reminder to drop everything and complete
cleanup on Jeans Day
Give your local sites discretion to tailor the standard communications
plan

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1. How to cleanup (desk and common areas)
2. What to cleanup (in Outlook and offline)
3. Where employees should cleanup
4. How to delete items (computer and Outlook)
5. Tips for cleaning up
Instructions

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• Agreements
• Case Files
• Day Planners
• Drafts, Final Versions
• FDA, QSR Manuals
• Field Notes
• Graphs, Charts, Spreadsheets
• Handwritten Notes, Work Papers
• Instant Messages
• Letters, Memos, Statements
• Meeting Minutes
• Notebooks
• Presentations, Books, Pamphlets,
Periodicals
• Project Documents
• Patent Applications
• Records and Reports
• Sales & Marketing Materials
• Voicemail Messages
• Videotapes, Audio Tapes
Document Retention Policy and Litigation Hold Memo on hand
throughout cleanup period

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The more fun, the greater the participation,
the higher the compliance
What is it The MANDATORY Period when EVERYONE
on site must review, retain and discard all data
according to Smiths Medical policy
When Check the previous slide for your site's
Cleanup Period
Jeans Day!  Final Cleanup date. Cleanup must be completed.
What to Do Clean up all data during two-week Cleanup Period
 Keep what you should
 Toss what you should

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• Hand out cookies and a reminder card the week before
cleanup period begins
• Have jeans day halfway through Cleanup Period to motivate
more cleanup activity
• Put popcorn machines around the campus on jeans day
• Give prizes to motivate desired behavior (e.g. dept with
highest participation, first dept to submit certifications, etc.)
• Link Cleanup Period with a relevant theme, e.g. Earth Day
• Communicate results in a fun way (e.g. “the biggest loser”)
• Personally recognize eReadiness team members who went
above and beyond

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• 53,000 lbs of paper (~26 Tons) shredded, recycled, and
trashed
• 762,000 MB or nearly 744 Gigabytes of space freed
• Top Three Participating Sites in FY11
• Site 1: 49.46lb/person (14,000lb total)

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• Rollout eReadiness program to more countries
in FY12
• Mandatory cleanup periods to occur across the
company annually
• The better we are at managing data coming in,
the easier annual cleanup will be
• Continuous Improvement: Feedback from
FY11 cleanup to help refine cleanup process
moving forward

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