Session Title Must Match the Title in Your Contract
LATERAL LAWYER TRANSFERS AND MATTER MOBILITY Terrence J. Coan, CRM, Senior Director Raymond Fashola, Director Robin Helburn, Manager September 19, 2013 LEARNING OBJECTIVES Our objectives today are to: Define the relevant policy positions that a law firm should consider to support matter mobility Apply practical, process-based steps to handle the release or acceptance of materials associated with a lawyer who is transitioning into or out of a firm Utilize lessons learned during the transition of millions of documents and files from Dewey & LeBoeuf to other firms
2 INFORMATION GOVERNANCE & RECORDS MANAGEMENT GUIDING PRINCIPLES Provide guidance to the firms lawyers and staff on the management of information and records Comply with state, federal, and international laws, regulations, and ethics rules Ensure that the policy is not overly restrictive
To the extent practical, provide flexibility in how lawyers and staff meet policy objectives Reduce risks and costs associated with the management of information and records Improve client service INFORMATION GOVERNANCE & RECORDS MANAGEMENT PROGRAM FRAMEWORK LEADERSHIP &
ACCOUNTABILITY Firm-wide executive leadership for the program COO, GCO, CIO, KM, IGRM Clearly communicated roles and responsibilities across the firm at all levels Office heads, administrative department leaders Practice chairs, matter billing / responsible lawyers Lawyers and staff Initial policy acknowledgement; ongoing compliance monitoring with periodic acknowledgements POLICY FRAMEWORK Directives that establish program authority and communicate firm guidelines and expectations covering these areas: Ownership of records and information Firm-approved repositories Confidentiality and security of records Transferring records into/from the firm
Legal holds Disposition Retention schedules that define time periods records and information will be kept considering: Ethics opinions and statutory/regulatory requirements Practice-area client-service requirements Business and operational reference needs Risk position RECORDS AND INFORMATION MANAGEMENT POLICY LIFECYCLE MANAGEMENT Reuse Created by the Firm
D Redact or Generalize for Know-How Electronic Files Email E A Drafts, Copies, Notes, Research
Hard-copy Files Active Matter Open B Matter Management Receive from client or third party H Billing, Conflicts,
Matter Admin Litigation Support Data F Matter Closed / G Cull convenience copies C F Protect and retain to satisfy retention requirements PROGRAM COMPONENTS A Matter Opening / Intake
E Active File Management B Ethical Walls & Matter-based Security F Legal Hold Processes C Lateral Hire G Matter Close D Attorney Departure & Client File Release H Retention and Disposition Dispose SYSTEMS & TECHNOLOGY: NO SILVER BULLET
Records Management Document Management Email Archiving Data Security Comply Collaborate Store Protect
Track circulation Drive sourcesystem retention Support discovery + legal holds Defacto go-forward email repository Provide team access Track work product versions Distinguish draft v. final Move aged email Protect mission critical messaging system
Dispose based on creation/receipt date Identify confidential information Establish ethical walls Protect personally identifiable information DATA & RECORDS What data does the firm have? Where does it reside?
Are there detailed information data maps prepared? Has the data been mapped to retention schedules? What system is the authority source for the data? Is there a single point of entry which then feeds all other systems? How does the data promulgate throughout the firm? Is the data accessible to those who need it, while also
being secured per privacy requirements and ethical wall restrictions? Do line of business applications support systematic disposition in accordance with policies? PROGRAM TRAINING AND ASSESSMENT Lawyers and staff are front line in managing electronic records and information
Training provided when the program is first implemented Continual, persona-based, just-in-time coaching as needed Real-time metrics and social monitoring RECORDS AND INFORMATION MANAGEMENT POLICY TRANSFER OF RECORDS
TO/FROM THE FIRM What will the firm accept/release? How will you treat materials with no client/matter #? Who will review and approve these materials? How will you process materials in electronic form vs. hardcopy?
What special handling is required for attorney personal materials? 1 LATERAL FILE TRANSFER PROCESS: INCOMING Process Materials Receive Client Materials from Prior Counsel Materials Authorized? yes
Receive Client Authorization Letters Return Unauthorized Materials Check and Resolve Conflicts Materials Accessible? no Coordinate Resources and Communication Lateral Accepts
Employment Offer no yes Address Layout + Content with Prior Counsel Ingest Materials into Firm Systems Materials Complete? no yes
Materials Organized? no Lawyer Organizes Set Up Off Network Access yes ELECTRONIC REVIEW TOOLS LOCATE DOCUMENTS CLIENT DOCS AUTHOR
REVIEW PROCESS APPROVAL ASSEMBLE DOCS REVIEW + APPROVE RELEASE RELEASE DOCUMENTS PACKAGE DOCS + META DATA Official Matter Files are increasingly electronic and require tools to help with the quick and easy review, release and ingestion of the matter file Retain folder organization and document metadata
Easy extraction and load to minimize lawyer downtime 1 DEWEY & LEBOEUF HBR RELATIONSHIP Initiated strategic sourcing initiative Conducted high-level RIM program diagnostic and later a detailed assessment Engaged to lead program development
Replaced back-office operational staff with strategicfocused team Drafted and initiated retention and disposition program 2 DEWEY & LEBOEUF THE BANKRUPTCY The numbers as of spring 2012 - 1000 lawyers, 300 partners - 44K clients and 280K matters Mass exodus of lawyers and clients to other firms required fast yet accurate transfer processes
Operational challenges resulting from bankruptcy and liquidation Records team from 24 to 3 2 DEWEY & LEBOEUF ELECTRONIC DATA Unstructured electronic data
Immature matter-centric deployment; limited email filing Dwindling and increasingly restricted system resources Limited IT support Likely that personal collections of electronic data walked out the door 2 DEWEY & LEBOEUF HARD COPY FILES
> 1.5M file folders indexed in RMS 450K offsite boxes ($1.5M annual spend) - 18 vendors, 30 facilities worldwide - Previously closed offices with unmanaged inventories 15K boxes onsite across 8 active US offices Historical filing nuances - Varied inventory indexing with sporadic details
- Mixed client materials across boxes/facilities 2 DEWEY & LEBOEUF THE APPROACH Court established file disposition process - Notice to clients - Client requests submitted/processed - Coordinate with 3rd parties to transfer files Team structure: administrative, operational, and technical Processed 2,500 clients with ~ 35,000 matter file transfer requests; coordinated with >100 law firms affecting >10TB of data and 80K boxes
2 DEWEY & LEBOEUF GREATEST CHALLENGES Coordinating with storage vendors who required up-front payment Departed lawyers who just want their files Automating the review with little to no IT support
Playing catch up with years of file processing backlog Lack of inventory detail for matter files and boxes with mixed clients 2 LATERAL LAWYER MOBILITY & MATTER TRANSFERS Terrence J. Coan, CRM, Senior Director [email protected] Raymond Fashola, Director [email protected] Robin Helburn, Manager [email protected]
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