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LinkedIn - eReadiness 2012
This document summarizes a presentation on improving a company's ediscovery readiness through better document retention policies and practices. It notes that currently document cleanup is inconsistently followed across locations and functions. It recommends establishing a cross-functional team to update the document retention policy, coordinate a global document cleanup effort, and improve practices for placing litigation holds and managing documents involved in legal matters. With senior leadership support and employee participation, the strategy aims to reduce discovery costs and legal risks from non-compliance.
LinkedIn - eReadiness 2012
- 1. 2nd Annual eDiscoveryfor the Life Science Industry Conference Spiwe L.A. Pierce February 28, 2012 © Spiwe L.A. Pierce
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- 4. 4 Cleanup days inconsistently followed Notall 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 $ © Spiwe L.A. Pierce
- 5. 5 Product X DocumentReview 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 © Spiwe L.A. Pierce
- 6. 6 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. © Spiwe L.A. Pierce
- 7. 7 Associate General Counsel •Globallitigation 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 © Spiwe L.A. Pierce
- 8. 8 • An effectivestrategy and implementation plan • Senior leadership support • Employee compliance across multiple states and countries • Resources! © Spiwe L.A. Pierce
- 9. 9 How do youachieve 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? © Spiwe L.A. Pierce
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- 11. 11 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 © Spiwe L.A. Pierce
- 12. 12 eReadiness Policy Litigation Holds DocumentCleanup Litigation Document Management and Production Document Retention Policy © Spiwe L.A. Pierce
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- 15. 15 1. Coordinate andschedule 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 © Spiwe L.A. Pierce
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- 17. 17 VP RA/QA Global VPGlobal 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 © Spiwe L.A. Pierce
- 18. 18 Site Lead • Conductssite-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 © Spiwe L.A. Pierce
- 19. 19 Site Lead Function Lead SiteCoordinator 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 © Spiwe L.A. Pierce
- 20. 20 Senior Leader VP Function Lead SiteLead 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
- 21. 21 Three employees inthe Legal department now had… 105 Additional Members of the eReadiness Team …within every function …at every target site © Spiwe L.A. Pierce
- 22. 22 Site Cleanup PeriodFinal 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 © Spiwe L.A. Pierce
- 23. 23 Engagement • President communicatedsupport & 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 © Spiwe L.A. Pierce
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- 25. 25 For Legal: Assess/improvepolicies 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 © Spiwe L.A. Pierce
- 26. 26 Proper document retentionand 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 © Spiwe L.A. Pierce
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- 28. 28 1. eReadiness IntranetSite – 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 © Spiwe L.A. Pierce
- 29. 29 Timing Description 2 weeksbefore 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 © Spiwe L.A. Pierce
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- 31. 31 1. How tocleanup (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 © Spiwe L.A. Pierce
- 32. 32 • Agreements • CaseFiles • 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 © Spiwe L.A. Pierce
- 33. 33 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 © Spiwe L.A. Pierce
- 34. 34 • Hand outcookies 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 © Spiwe L.A. Pierce
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- 36. 36 • 53,000 lbsof 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) • Site 2: 25.92lb/person (13,300lb total) • Site 3: 16.48lb/person (7,632lb total) © Spiwe L.A. Pierce
- 37. 37 • Rollout eReadinessprogram 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 © Spiwe L.A. Pierce