Presentation on theme: "Lateral Lawyer Transfers and Matter Mobility"— Presentation transcript:
1 Lateral Lawyer Transfers and Matter Mobility Terrence J. Coan, CRM, Senior DirectorRaymond Fashola, DirectorRobin Helburn, ManagerSeptember 19, 2013Slide 1: Title SlideInsert the ARMA approved title for your session (this title can be found in your contract).Insert the facilitator’s name.If you choose, insert the facilitator’s job title and company name.Insert the Education Code (this will be provided to you at a later date).
2 Learning Objectives Our objectives today are to: Define the relevant policy positions that a law firm should consider to support matter mobilityApply practical, process-based steps to handle the release or acceptance of materials associated with a lawyer who is transitioning into or out of a firmUtilize lessons learned during the transition of millions of documents and files from Dewey & LeBoeuf to other firmsSlide 2: Learning ObjectivesThe second slide of your presentation must be your ARMA approved learning objectives. (These learning objectives can be found in your contract)2
3 Information Governance & Records Management Guiding Principles Provide guidance to the firm’s lawyers and staff on the management of information and recordsComply with state, federal, and international laws, regulations, and ethics rulesEnsure that the policy is not overly restrictiveTo the extent practical, provide flexibility in how lawyers and staff meet policy objectivesReduce risks and costs associated with the management of information and recordsImprove client service
4 Information Governance & Records Management Program Framework The Records Management Program framework is built to align with Law Firm Information Governance principles and covers these six key elements:GovernancePolicyRetention ScheduleProcessSystems & TechnologyTraining & AssessmentWe will now cover each of these elements in greater detail
5 Leadership & Accountability Firm-wide executive leadership for the programCOO, GCO, CIO, KM, IGRMClearly communicated roles and responsibilities across the firm at all levelsOffice heads, administrative department leadersPractice chairs, matter billing / responsible lawyersLawyers and staffInitial policy acknowledgement; ongoing compliance monitoring with periodic acknowledgementsGovernance sets the stage for a compressive and actable records management programGovernance ties most directly to the GARP principles of Accountability and TransparencyWhat makes RM unique to law firms is the management of client information, which is based in part on lawyer's professional judgment, but it must also protect the risk management interests of the firm.Administrative records are governed by operational needs as well as statutory and regulatory requirements.Clients also expect that their records will not be retained indefinitely – it is wholly appropriate that law firms implement a consistent retention and disposition of records. We increasing hear from our law firm clients that their clients are asking about the firm’s RM policy and retention practices, wanting to ensure that they are defined and followed.
6 Policy FrameworkDirectives that establish program authority and communicate firm guidelines and expectations covering these areas:Ownership of records and informationFirm-approved repositoriesConfidentiality and security of recordsTransferring records into/from the firmLegal holdsDispositionRetention schedules that define time periods records and information will be kept considering:Ethics opinions and statutory/regulatory requirementsPractice-area client-service requirementsBusiness and operational reference needsRisk position
7 Records and Information Management Policy Highlight Ownership. Of this list, that is the most unique to law firms.Most organizations need to define ownership between the organization and it’s employees.For law firms they must also define the ownership of the materials by the client, and what is or is not released to the client upon request,
8 Lifecycle Management Active Matter Management PROGRAM COMPONENTS Receivefrom clientor third partyMatter OpenCreated bythe FirmMatter Closed /Cull convenience copiesRedact orGeneralize forKnow-HowProtect and retain to satisfy retention requirementsDisposeReuseDElectronicFilesEADrafts, Copies,Notes, ResearchHard-copyFilesBGLitigationSupport DataBilling, Conflicts,Matter AdminHFFCPROGRAM COMPONENTSAMatter Opening / IntakeEActive File ManagementBEthical Walls & Matter-based SecurityFLegal Hold ProcessesCLateral HireGMatter CloseDAttorney Departure & Client File ReleaseHRetention and Disposition
9 Systems & Technology: No Silver Bullet RecordsManagementDocumentManagementArchivingData SecurityComplyTrack circulationDrive source-system retentionSupport discovery + legal holdsCollaborateDefacto go-forward repositoryProvide team accessTrack work product versionsDistinguish draft v. finalStoreMove agedProtect mission critical messaging systemDispose based on creation/receipt dateProtectIdentify confidential informationEstablish ethical wallsProtect personally identifiable informationRecords management is not a single technology or repositoryFirms have various content repositories and business applications that must be managedAdditionally technologies are used to automate processesEnterprise searchLegal holdInformation security
10 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?
11 Program Training and Assessment Lawyers and staff are front line in managing electronic records and informationTraining provided when the program is first implementedContinual, persona-based, just-in-time coaching as neededReal-time metrics and “social” monitoring
12 Records and Information Management Policy Highlight Ownership. Of this list, that is the most unique to law firms.Most organizations need to define ownership between the organization and it’s employees.For law firms they must also define the ownership of the materials by the client, and what is or is not released to the client upon request,
13 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?
14 Lateral File Transfer Process: Incoming Lateral Accepts Employment OfferCoordinate Resources and CommunicationReceive Client Authorization LettersReceive Client Materials from Prior CounselProcess MaterialsnoReturn Unauthorized MaterialsyesMaterials Authorized?Check and Resolve ConflictsMaterials Accessible?Ingest Materials into Firm SystemsMaterials Complete?Address Layout + Content with Prior CounselMaterials Organized?Set Up Off Network AccessLawyer OrganizesChallenges:No transfer standards; Time is of the essence; Every step needs to be trackedFor outgoing transfers – same issues but you have to first locate the relevant materials for release
15 Electronic Review Tools AUTHORCLIENT DOCSLOCATE DOCUMENTSAPPROVALASSEMBLE DOCSREVIEW PROCESSREVIEW + APPROVE RELEASERELEASE DOCUMENTSPACKAGE DOCS + META DATAOfficial Matter Files are increasingly electronic and require tools to help with the quick and easy review, release and ingestion of the matter fileRetain folder organization and document metadataEasy extraction and load to minimize lawyer downtime
24 Dewey & LeBoeuf – HBR Relationship Initiated strategic sourcing initiativeConducted high-level RIM program diagnostic and later a detailed assessmentEngaged to lead program developmentReplaced back-office operational staff with strategic- focused teamDrafted and initiated retention and disposition program
25 Dewey & LeBoeuf – The Bankruptcy The numbers as of spring 20121000 lawyers, 300 partners44K clients and 280K mattersMass exodus of lawyers and clients to other firms required fast yet accurate transfer processesOperational challenges resulting from bankruptcy and liquidationRecords team from 24 to 3
26 Dewey & LeBoeuf – Electronic Data Unstructured electronic dataImmature matter-centric deployment; limited filingDwindling and increasingly restricted system resourcesLimited IT supportLikely that personal collections of electronic data “walked out the door”
27 Dewey & LeBoeuf – Hard Copy Files > 1.5M file folders indexed in RMS450K offsite boxes ($1.5M annual spend)18 vendors, 30 facilities worldwidePreviously closed offices with unmanaged inventories15K boxes onsite across 8 active US officesHistorical filing nuancesVaried inventory indexing with sporadic detailsMixed client materials across boxes/facilities
28 Dewey & LeBoeuf – The Approach Court established file disposition processNotice to clientsClient requests submitted/processedCoordinate with 3rd parties to transfer filesTeam structure: administrative, operational, and technicalProcessed 2,500 clients with ~ 35,000 matter file transfer requests; coordinated with >100 law firms affecting >10TB of data and 80K boxes
29 Dewey & LeBoeuf – Greatest Challenges Coordinating with storage vendors who required up-front paymentDeparted lawyers who “just want their files”Automating the review with little to no IT supportPlaying catch up with years of file processing backlogLack of inventory detail for matter files and boxes with mixed clients
30 Terrence J. Coan, CRM, Senior Director Raymond Fashola, Director Lateral LAWYER MOBILITY & Matter TransfersTerrence J. Coan, CRM, Senior DirectorRaymond Fashola, DirectorRobin Helburn, ManagerSlide 7: Closing SlideInsert title of your session, facilitator’s name and contact information (if you’d like).If desired, insert the facilitator’s job title and company name.Insert your Education Code.This slide must be used as the closing slide.