Alexander Campbell, Ray Fashola, Marcus Maxwell, Leslie Lewis. Key Takeaways: - Conduct clean-up efforts now - Have a policy that covers disposition activities - Gather and analyze data - Develop a strategic plan - Establish budgets and set expectations - Plan for unexpected - Automate as much of the process as possible

1. Alexander
Campbell, Ray
Fashola, Marcus
Maxwell, Leslie
Lewis
Information
Governance in a
Time of Crisis: The
Dewey & LeBoeuf
Story

2. Dewey & LeBoeuf: Before and After
History
 Dewey Ballantine (1909)
 LeBoeuf, Lamb, Greene & MacRae (1929)
 Dewey & LeBoeuf – merger in 2007
 1,100 lawyers
 26 offices

3. Dewey & LeBoeuf: Before and After
Improvement Initiatives
 Policy development
 Program improvements (files intake, legal holds, dispositions)
 Team structure; new roles & responsibilities
 Inter-department coordination (IT, Litigation Support, Conflicts, HR, Administration)
Bankruptcy
 Key events: Spring 2012  May 2012 (signs as early as Fall 2011)
 450,000+ boxes in offsite storage (over 1.5 million file folders)
 20,000+ boxes of onsite files removed from closed offices
 2.000+ client-matter records requests

4. Firm Dissolutions: Overview
Firm dissolution warning signs:
 Partner departures or disagreements
 Financial instability
 Lack of planning / lack of growth
 Loss of clients / reduced client base

5. Firm Dissolutions: Overview
Preparing for client and firm administrative file dispositions:
 A large law firm will have significant storage volumes spread across various locations world-wide
~ typically 250-500K+ cartons at offsite storage facilities
 Firms that are a result of mergers or with many offices are likely to have complex or
disparate records functions with multiple vendors, inconsistent filing standards, and
unreliable records profile data
 A law firm going through a dissolution can expect between 15 – 20% of archived hard-copy
and electronic records to be requested by clients
 The process for facilitating client file transfer requests can be cumbersome due to poor data
management, loss of institutional knowledge, restricted resources and minimal support
 Legal, professional and fiduciary responsibility requires that appropriate efforts be made to
provide clients an opportunity to retrieve their records

6. Firm Dissolutions: File Disposition Key
Questions
 What steps are involved in the disposition of client and administrative files for a law
firm in dissolution?
 How long would it take to develop and carry out a file disposition plan to
conclusion?
 Who would be responsible for carrying out the steps involved in the disposition of
files?
 What are the Partners’ file management responsibilities to the firm, before, during
and after the dissolution?

7. Firm Dissolutions: File Disposition Key
Questions
What support system should be developed in order to
effectively implement the file disposition process?
Who will be the final decision making authority (e.g. the
Dissolution Committee, Bankruptcy Counsel or a
designated professional advisor)?
What expenses are involved in carrying out the file
disposition plan and how will those expenses be paid?

8. Ideal
State
 Firm culture; apathy or lack of vision
 Misalignment of firm and stakeholder values
 Inconsistent or lack of standards
 Policy compliance difficult to enforce
 Insufficient data / Ineffective systems
 Lack of resources or expertise (e.g. technical,
project management, subject matter
expertise)

9. File Inventory Disposition Approach
• Files eligible for disposition (transfer or destruction)
– Receive internal stakeholder approvals
– Engage external stakeholders to determine preference to
destroy, retrieve or compensate for continued retention
Client Files:
Tier 1
Tier 3
• Internal / firm files not required to be retained by law (e.g.
admin, finance, HR, operations or marketing)
• Files in containers that have no business or legal need
(e.g. redundant information available electronically, non-current
research files or reference materials)
• Copies, drafts, attorney notes and working files
Administrative or
Convenience Files:
• Internal stakeholder (partner) responsible for
files no longer with firm
• External stakeholder (client) ceases to exist
• Lack of information regarding files
• Excludes permanent retention files
Dated Legacy or
Personal Files:
Tier 2
Description Characteristics
* Inventory Nuance: Mixed content boxes (e.g. multiple clients or
firm files intermixed within the same box
© 2014 HBR CONSULTING LLC. All rights reserved.

10. Perspective: Considerations for Departing
Lawyers and Clients
 What material is released?
 Who reviews the materials to be released?
 Are copies retained?
 Is client authorization required to release?
 Where are the authorization documents filed?
LL

11. Perspective: Key policy considerations
 Statement of purpose
 Definitions (records, official vs. convenience/working copies,
legal holds, etc.)
 Governance and Accountability
 Ownership (client, firm, individual/personal)
 Official repositories (DMS, RMS, email archive, off-site storage,
other electronic repositories)
 Confidentiality and Security (PII, precedent)
 Transfer of Records to/from the Firm (lateral hire and departing
lawyers/clients)
 Disposition (client notice, use of engagement/disengagement
letters, notice at disposition time)
RF

12. )
 Data Gathering and Analysis
 Process Planning
 Vendor Coordination
 Client Data and File Management
 Communications Plan and Templates
 File Disposition Plan and Tools
 Data Processing Applications and Reporting
 Disposition Activity Tracking
• Action # 1
• Action # 2
• Action # 3
• Action # 1
• Action # 2
• Action # 3
• Action # 1
• Action # 2
• Action # 3
• Action # 1
• Action # 2
• Action # 3
• Action # 1
• Action # 2
• Action # 3
Issue #1
Issue #2
Issue #3
Issue #4
Vendor Invoice Request Process Steps
Step One Step Two Step Three Step Four Step Five Step Six Step Seven
6
Estimated Timeframe
2003 2004 2005 2006
F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D
J F
Package Selection
Prepare Phase
Redesign/Design Phase
Implementation Phase I:
 Configure Phase
 Deploy Phase
 Post Implementation
 Contingency
Implementation Phase II:
 Configure Phase
 Deploy Phase
 Post Implementation
Implementation Phase III:
 Configure Phase
 Deploy Phase
 Post Implementation
Project Management:
08201gr05 Estimated Timeframe
15
Litigation Hold Process
Litigation Hold Process
Issue Halt Monitor
Business Legal
Information
Technology
4.1 Litigation Or
Possible Litigation
4.2 Determine
Scope and Af ected
Individuals
4.4 Issue Litigation
Hold or Update Hold
Directive to
Relevant Individuals
(IT gets cc’d)
4.6
Acknowledgement
Receipt of Hold,
Suspend Routine
Record Cleanup, Add
names to Mail Meter
4.5 Acknowledge
Receipt of Hold &
Suspend Routine
Cleanup
4.7 A Business Unit
Lead is established
for the litigation
hold.
4.13 Monitor &
Track Litigation
Holds In Place
Yes
4.16 Sends Lift
Instruction to
Resume Data
Clean-up
4.17 Sends Lift
Instruction for Data
Storage
4.7.1.2 Changes to
Af ected Parties
4.3 Determine
Extent of Hold
Af ecting Electronic
Documents
4.8 Schedule
Interviews
4.10 Determine
Best Way to
Harvest and Store
Data
4.15 Determine
Need for
Reissuance
A
A
4.14 Monitor Cost
Associated with
Litigation Hold
4.12 IT Retains
Col ected Data and
Provides Status to
Legal Department
4.11 Determine
Best Way to Access
Data
4.9 Determine the
Data to be Col ected
4.18 Acknowledge
Litigation Lift
4.18 Acknowledge
Litigation Lift
4.19 Litigation
Hold is Lifted
Lift
Discovery
Process
Disposition Review Process
1.2 Draft Contract 1.3 Negotiate Contract 1.4 Execute Contract
16
1.1 Plan for Contract
3.2 Expire /
Terminate /
or Renew
• Research Opportunity
• Evaluate Strategy
• Financial Modeling
• Develop Customer Target
2.1 File Contract
2.2 Finance /
Accounting
2.3 Review
Performance
2.4 Compliance/
Enforcement
3.1 Amend or
update contract
• Negotiation Pre-work
• Develop Deal Terms
• Notify Stakeholders and Gain
Approvals
• Contact Customer
• Discuss Deal Points
• Determine Negotiable
Parameters
• Standard Boilerplate Contract
• Approve Changes w/ legal
• Reach Agreement
• Final Approval
• Signature
• Notify Key Stakeholders
• Log in System
• Storage
• File Original Contract
• Distribute Copies
• Issue Invoices
• Receive Payments
• Perform Collections
• Assess Penalties
• Validate Deductions
• Monitor Metrics
• Generate / Distribute Reports
• Update Forecast / Budget
• Dispute Resolution
• Manage Customers
• Enforce Contract Terms
• Amendment / Revision (Go to
Start)
• Approve New Terms
• Update File and Systems
• Send Notifications
• Manage Contract Expiry
• Termination
• Renewal
• Notification to Stakeholders
• Archive Contract
1.0 Initiate
2.0 Maintain
3.0 Track
Sub-tasks
36
Read Consent Order
and identify all specific
requirements and noted
deadlines.
Purpose
Develop and distribute Create master workplan
standardized templates
for requirement owners
For each requirement
assign a Executive
Sponsor, Responsible
Officer and if necessary,
a project Point of
Contact
Launch Project
Management Office
(PMO)
Consent Order
Reporting
Monitor implementation
plans
Identify the scope of all
the activities that are
required in order to
demonstrate
compliance
Sub-tasks
• Capture requirements
in an MS Excel
Spreadsheet
• Use a standard format
to simplify the upload
of data to a Project
Manager Software
Package
• Prepare list of issues
for clarification to
discuss with regulator
• Formally establish
project governance
including an Executive
Steering Committee
and project lead
• Formalize project
overall project
objectives and
expectations
Purpose
Create a centralized
function with
responsibility for
keeping the projects on
a measured timeline
Sub-tasks
• Staff PMO
• Develop standard
procedures
• Communicate PMO
roles, responsibilities
and value proposition
• Develop and begin
managing issues list
Purpose
Assign accountability for
ensuring that the project
tasks are completed
Sub-tasks
• Create standard
communication vehicle
that formally launches
effort and outlines
objectives, roles and
responsibilities, key
timing requirements,
and reporting
expectations.
• Meet with individuals
to launch effort
Purpose
Establish standardized
process and procedures
for managing the project
tasks and activities
• Assign PMO resource
to owners by key
functional areas
• Circulate templates
with instructions
including: action plans
to fulfill the obligation's
requirements; capture
status and issues
related to the
implementation
• Collect and review
completed templates -
update as necessary
to ensure consistency
• Surface early any
perceived concerns
with meeting deadlines
and begin to develop
mitigation plans
Purpose
Provide a schedule and
work plan to keep track
of activities and
progress towards
meeting the consent
order
Sub-tasks
• Assess and select
project management
tool currently licensed
by Company ( MS
Project)
• Upload data into tool
• Identify the critical path
and milestones, and
surface any key issues
and interdependencies
• Create "dashboard" to
monitor status and
reports to disseminate
information
Purpose
Ensure that the
obligations of the
consent order are being
properly fulfilled with
sustainable process
change
Sub-tasks
• Request and review
monthly status of
progress
• Update master
workplan with changes
• Facilitate the
resolution of issues
and interdependencies
• Provide assistance to
requirement owners to
meet deadlines
Purpose
Ensure proactive and
consistent reporting to
Regulator
Sub-tasks
• Prepare standard
Consent Order status
reports
• Circulate for comments
• Share reports with
Regulator
• Prepare adhoc
Consent Order status
reports
• Circulate for comments
• Share reports with
Regulator
• Communicate
Regulator’s
perspective and level
of satisfaction to
Requirement owners
• Update PMO tool with
changes to
implementation plans
Tool
Owner Comments /
Resolution
• Action # 1
• Action # 2
• Action # 3
Resolution Plan
Issue #5
Issue
Approach: Methods and Tools

13. Key Takeaways
 Conduct clean-up efforts now
 Have a policy that covers disposition activities
 Gather and analyze data
 Develop a strategic plan
 Establish budgets and set expectations
 Plan for unexpected
 Automate as much of the process as possible
AC