Process Analysis Essay Sample on the Concept of the Electronic Discovery Reference Model Process

Introduction

The concept of the Electronic Discovery Reference Model process follows various steps; however, the practice of e-discovery may vary with some steps being repeated and others bypassed (DeFazio et al.2010). The model further shows how electronically stored information (ESI) is managed within the legal procedure. The EDRM process is further categorized into various steps which includes: information governance(IG),identification,collection,processing,review,analysis,production and presentation(Smyth,2005).

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Step 1: Information Governance (IG)

IG is a set of procedures and controls used to manage a firm's information. Information governance forms the basis for the e-discovery process, and when is adequately presented, it enhances efficient and proportional e-discovery throughout the EDRM process. The IG helps electronic house in order and mitigate risk and expenses in case e-discovery faces an issue, from initial formulation of ESI (electronically stored information) through its ultimate disposition. Information Governance is a more holistic strategy of dealing with organizational information compared with the more traditional Records Management. The main elements are the formulation of information its application and archiving and deleting and also covers the storage, security of the information, metadata and legal aspects

The Information Governance Reference Model (IGRM) project begins from interest by EDRM members in formulating a model that effectively frame the discussion and debate of information management. It needs much more than simply a better description of the Information Management node of the EDRM, and again, the Information Management node requires a reference model for itself.

The IGRM group has a relatively different membership thus the conversation is much broader and different. Various individuals can be invited to participate and bring a different point of view and experience to the shared effort in collaboration.

Most business formulates information in the course of daily operations, and IT departments have an obligation to manage the logistics; however, some of the modern organizations tend to stop individuals from storing and securing of information in excess. Moreover, it requires a well-coordinated effort of all the groups involved to defensibly dispose of particular information that has outlived its helpfulness, and maintain what IS useful in a manner that enhances accessibility and usability for the business users.

Effective information management is about conceiving a relatively complicated set of interoperable procedures, and implementing the process and putting them into practice. It needs an understanding of the business imperatives; knowledge about the best tools for managing information, and being sensitive to the various legal and regulatory obligations that have to be complied with by the business (Segal et al.1995). Nevertheless, IT organizations must manage the information appropriately and ensure there are privacy and security and also effective retention as stipulated by both business and regulatory requirements. However, most information management efforts are experiencing the challenge of inadequate by collaboration among key stakeholders.

Step2: Identification

When litigation tends to be reasonably predictable, then the parties have a legal responsibility to preserve relevant ESI and have to identify what's relevant. E-Discovery teams use different strategies to determine sources of potentially relevant ESI such as reviewing case facts and assessing the data.

Identification is used to determine potential sources of relevant information such as people, IT systems or files. Getting to know about the location of discoverable data is fundamental to issue legal hold. Identification needs to be comprehensive and well conducted. Carry out interviews with key stakeholders to determine what kind of records them possess that may be relevant. Interviews with IT expert can be used to find more about the storage of data, the set retention policies, inaccessible data and the kind of tools and strategies used to assist in the identification process.

The scope of data subject to preservation and disclosure can be uncertain in the early stages of a legal dispute since the nature of the conflict and the people engaged can change as litigation progresses. The identification team needs to anticipate change and have a strategy ready for capturing any newly identified information. Identification requires active investigation and analytical thinking process. The lesser timing initiated by litigation can only be met with an exclusive involvement of an internal individual who can give authority and direction to the internal experts and custodians to consider identification as a business priority.

There are several factors to put into consideration for identifying potential sources of relevant information, the factors include: creating the Identification Strategy and Plan, find the Identification Team, Identify and Certify Potentially Relevant ESI Sources

Step3: Preservation

When the relevant ESI has been identified, it requires to be protected from any form of alteration and destruction. There are several ways of conducting the preservation such as the legal hold process which a formal communication that is sent from the legal team to the prescribed data owners and giving directives that a particular ESI should not be destroyed or deleted. The preservation aims at protecting potentially relevant information or data in ways that are auditable, legally defensible and mitigate risks. The preservation in EDRM is conducted following specific steps which include: developing a preservation strategy, suspend destruction of information, preparing preservation plan, and selecting preservation method and finally executing the preservation plan.

Step4: Collection

The collection methodology for getting ESI in litigation matters and internal investigations in a legally defensible manner has to be done effectively and professionally.

In Collection, there is an acquisition of potentially relevant electronically stored information (ESI) as described in the identification stage of the e-discovery process. The facts of litigation, governmental inquiries, and internal investigations need that ESI and its related metadata have to be collected in a way which is legally defensible, proportionate, and auditable. The process of collecting ESI gives a response to the identification function that may affect and increase the scope of the electronic discovery process. Relevant ESI has to be gathered and centralized and the approach applied should be legally defensible and ensuring that the contents and metadata are never altered due to the collection process.

Step5: Processing

The processing phase involves preparing collected ESI for attorney analysis and review. Typically performed by specialized software, processing might entail extracting files from folders, deleting meaningless system data, or converting specific file formats in preparation for attorney review. During the processing stage in the e-discovery process, after preservation, identification, and collection it is crucial to process data. Primary objectives of processing are to record all item-level metadata as it existed before processing and to enhance defensible minimization of data by selecting only the relevant items to review. The processing needs to be conducted with adherence to process auditing; quality control; analysis and validation.

Data at the processing stage can be in different formats like legacy mail formats and legacy file formats and thus require to be restored first. Specific files and e-mail can be extracted from container files such as PST, NSF, or zip and data may have to be converted to enhance further processing. During the processing phases, items are cataloged, and their related metadata is captured. Processing is subdivided into four sub-processes which include: Assessment; Preparation; Selection; and Output. Assessment allows for a determination that a particular data need not proceed; Preparation encompasses performing roles against the data which later allow for extraction and indexing; Selection involves searching, de-duplication, and analytical strategy for choosing items to continue; Output enhances for transport of reviewable items to the next step.

Step6: Review

The review involves evaluating ESI for relevance and attorney-client privilege. However, technologies enhance the application of artificial intelligence (AI) tools to distinguish relevant and non-relevant documents. A review is an essential element to most litigation and is applied to determine responsive documents to provide documents to withhold. There are various strategies implemented for reviewing documents in readiness for production versus reports given by opposing counsel. To conduct a review effectively, one has to understand the scope of the evaluation; to have in place supervision and strategies for managing the reviewers and finally to select the useful tools for the review. In this step several factors are put into consideration in preparing for a document review and managing it, the factors include Developing Review Plan, Setup Review Training, conducting Data Analysis, Carrying out the Review, and Evaluate Plan and then Wrap-up.

Spet7: Analysis

Analysis deals with evaluating ESI for contexts such as topics, key patterns, and discussion. Analysis can appear on the EDRM Framework after Review, and it is deployed in various stages of discovery as well as pre-discovery. As e-discovery tools and processes have taken root, complicated analytics strategies are applied to assist in the phases of development that is depicted in the EDRM framework.

Step8: Production

Due to the increase in the number of electronically stored information (ESI) that is being produced and stored in the corporate society, there has been an emphasis on how the data that has been collected and reviewed is then produced in civil litigation and regulatory investigations. The production of ESI continues to present problems in the discovery process. ESI identified to be relevant have to be constructed for use as potential evidence, and the E-Discovery rules show how documents need to be produced. However, the following step have to adhere to during the production: confirm forms of production, analyze the records and determine production forms, identify production requirements, prepare the files, copy files to the media, document the history of both paper-based and electronic-based document productions, conducting quality control and validation, receipt of production and finally conducting risk analysis.

Step9: Presentation

The presentation is how electronic evidence is laid out as evidence at hearings, and depositions. The presentation process has varied significantly from paper to electronic evidence. The presentation is conducted post discovery. This takes place in various steps which include: identification of exhibit, developing a strategy, testing, and delivery, present, and store.

References

Smyth, Z. A. (2005). Implementing EDRM: has it provided the benefits expected?. Records...