PROACTIVELY DETERMINING POTENTIAL EVIDENCE ISSUES FOR CUSTODIAL SYSTEMS IN ACTIVE LITIGATION

• US 20080294492A1
• Filed: 06/26/2008
• Published: 11/27/2008
• Est. Priority Date: 05/24/2007
• Status: Abandoned Application

• Current Assignee: International Business Machines Corporation
• Original Assignee: International Business Machines Corporation
• Inventors: Simpson, Irina, Paknad, Deidre
• Application Number:
  US12/147,350
• Publication Number:
  US 20080294492A1
• Time in Patent Office: Days
• US Class Current: 705/7.13
• CPC Class Codes: G06Q 10/06311 Scheduling, planning or task assignment for a person or group
• CPC Class Codes: G06Q 10/06316 Sequencing of tasks or work
• CPC Class Codes: G06Q 10/10 Office automation; Time management

Abstract

The record of custodial systems'"'"' involvement in legal matters is coupled with a workflow that detects actual or planned changes affecting custodial systems themselves and/or their associations with other entities in the enterprise map, and that notifies the appropriate parties so the information is preserved.

Claims

1. A computer implemented method for proactively determining potential evidence issues for custodial systems in active litigation, comprising the steps of:

creating a record of custodial systems'"'"' involvement in legal matters;

providing a workflow that detects actual or planned changes affecting custodial systems themselves and/or their associations with other entities in an enterprise map;

coupling said record of custodial systems'"'"' involvement in legal matters with said workflow; and

notifying appropriate parties of said actual or planned changes affecting custodial systems themselves and/or their associations with other entities in an enterprise map.

2. The method of claim 1, further comprising the step of:

providing a legal communications and collections (LCC) application, said LCC providing a mechanism for allowing attorneys and paralegals to manage preservation and production of information, said LCC executing the steps of;

identifying and recording custodial systems involved or potentially involved in a legal matter and employees responsible for the systems;

sending legal notices to employees indicating actions to be taken, said action taken in connection with any of;

information by providing a hold notice indicating a requirement and obligation to preserve information;

knowledge by providing an interview request indicating a need to share or disclose knowledge; and

documents by providing a request to collect and produce information;

3. The method of claim 1, further comprising the step of:

providing sources of information about custodial system attributes, status, and associations with other entities in an enterprise map.

4. The method of claim 3, said sources of information comprising any of:

an application for allowing custodial system information, status changes or expected status changes, and associations between custodial systems/employees/OSCCs/departments to be entered;

a central application for aggregating status information from various sources; and

other system that can be a source of information.

5. A computer implemented method for proactively determining potential evidence issues for custodial systems in active litigation, comprising the steps of:

providing a legal communications and collections (LCC) application, said LCC providing a mechanism for allowing attorneys, paralegals, and other LCC users to identify custodial systems involved and affected by legal matters, as well as a list of employees involved due to their association with an affected custodial system;

storing said list per legal matter, said list comprising any of;

systems associated with departments involved in a matter;

global systems;

custodial systems mapped to information types relevant to a matter;

any other system intersecting a matter;

IT staff responsible for managing data or information repositories; and

records management staff responsible for information record keeping;

storing additional information about a matter, comprising any of an attorney, paralegal, and matter status (Active, Closed);

communicating, signaling, queuing, tagging, or otherwise indicating modifications in an appropriate system as custodial system attributes, status, or mapping associations change or are expected to change;

providing a change event that signals any of the following information for one or more custodial systems;

expected or actual status change indicating that a system is to be taken off line;

changes in relationships between custodial systems;

enterprise map changes that cause data migration; and

employee status or role assignment changes affecting custodial systems;

communicating custodial system change events to said LCC application, said events minimally comprising an ID or other unique identifier indicating which custodial system is affected, and optionally comprising any of an expected or actual end date of operation, which may be past or future, if known; and

other custodial system information, including associations with other entities in an enterprise map;

based upon said change events, said LCC application performing any of the following functions;

notifying appropriate parties of said event so that action can be taken to preserve information, wherein for each legal matter that is currently Active, a list of involved and affected custodial systems for a system indicated in said event is searched, and wherein if a system is found in a matter, then;

notifying (alerting) one or more individuals selected from among an Attorney, a Paralegel and other appropriate individuals on one or more notification lists;

sending a legal notice to appropriate staff associated with a custodial system informing them of preservation obligations regarding said system; and

if a legal notice was sent, recording said legal notice, date of transmission, and all notice recipients in said LCC application to create an audit trail;

triggering workflow processes to manage collection and processing, providing instructions, assignment, tracking of timely task completion, and exception handling for errors or incomplete tasks;

said LCC application creating workflow items to track status of information preservation, to prompt relevant employees to confirm and validate that actions have been taken, and to handle exceptions when this is not done in a timely manner;

providing search and reporting tools in connection with a list of all matters involving a custodial system, including status of information that may have been or may need to be collected/preserved.

6. A computer implemented method for proactively determining potential evidence issues for custodial systems in active litigation, comprising the steps of:

providing a legal communications and collections (LCC) application, said LCC providing a mechanism for allowing attorneys, paralegals, and other LCC users to identify custodial systems involved and affected by legal matters, as well as a list of employees involved due to their association with an affected custodial system;

communicating, signaling, queuing, tagging, or otherwise indicating modifications in an appropriate system as custodial system attributes, status, or mapping associations change or are expected to change; and

communicating custodial system change events to said LCC application, said events minimally comprising an ID or other unique identifier indicating which custodial system is affected.

7. The method of claim 6, further comprising the step of:

based upon said change events, said LCC application performing any of the following functions;

notifying appropriate parties of said event so that action can be taken to preserve information, wherein for each legal matter that is currently Active, a list of involved and affected custodial systems for a system indicated in said event is searched, and wherein if a system is found in a matter, then;

notifying (alerting) one or more individuals selected from among an Attorney, a Paralegel and other appropriate individuals on one or more notification lists;

sending a legal notice to appropriate staff associated with a custodial system informing them of preservation obligations regarding said system; and

if a legal notice was sent, recording said legal notice, date of transmission, and all notice recipients in said LCC application to create an audit trail;

triggering workflow processes to manage collection and processing, providing instructions, assignment, tracking of timely task completion, and exception handling for errors or incomplete tasks;

said LCC application creating workflow items to track status of information preservation, to prompt relevant employees to confirm and validate that actions have been taken, and to handle exceptions when this is not done in a timely manner;

providing search and reporting tools in connection with a list of all matters involving a custodial system, including status of information that may have been or may need to be collected/preserved.

8. The method of claim 6, said storing step further comprising the steps of:

storing said list per legal matter, said list comprising any of;

systems associated with departments involved in a matter;

global systems;

custodial systems mapped to information types relevant to a matter;

any other system intersecting a matter;

IT staff responsible for managing data or information repositories; and

records management staff responsible for information record keeping; and

storing additional information about a matter, comprising any of an attorney, paralegal, and matter status (Active, Closed).

9. The method of claim 6, further comprising the step of:

providing a change event that signals any of the following information for one or more custodial systems;

expected or actual status change indicating that a system is to be taken off line;

changes in relationships between custodial systems;

enterprise map changes that cause data migration; and

employee status or role assignment changes affecting custodial systems.

10. The method of claim 6, said custodial system change events further comprising any of:

an expected or actual end date of operation, which may be past or future, if known; and

other custodial system information, including associations with other entities in an enterprise map.

11. The method of claim 6, wherein custodial systems that are involved or affected by a legal matter comprise systems derived using a key player identification algorithms.

12. The method of claim 7, said notification step comprising any of the step of:

alerting an attorney and/or paralegal by email, pager, or any other common method; and

effecting escalation and wider alerting when very swift reaction by a legal team is required.

13. The method of claim 6, further comprising the step of:

sending a legal notice to appropriate staff;

wherein IT staff that assume system responsibility are notified of actions that must be taken, wherein a workflow is used to track action completion;

wherein in case of system retirement, IT staff responsible for a custodial system are notified of actions that must be taken, wherein a workflow is used to track action completion; and

wherein records management and compliance personnel responsible for stored information are notified, wherein appropriate parties are identified from a directory of records management/compliance personnel by organization.

14. The method of claim 6, further comprising the step of:

legal staff using said LCC application for actively monitoring custodial system attribute and status changes, and for processing said system attribute and status changes by any of the steps of;

subscribing to status change notifications and/or seeing summary reports of all status changes that have occurred, wherein said summary reports show any of custodial systems with outstanding collections, a list of affected custodial systems for a single matter, or any other permutation thereof;

seeing workflow status to identify any of whether preservation efforts have been taken and exceptions (overdue) actions;

providing dashboard functionality that summarizes said system attribute and status changes; and

providing review/audit capability for said system attribute and status changes.

15. The method of claim 6, further comprising the steps of:

creating a record (history) of all steps, intervention, and collection of information from a custodial system affected by changes during a matter; and

making said record part of a preservation and matter record.

16. An apparatus for proactively determining potential evidence issues for custodial systems in active litigation, comprising:

means for creating a record of custodial systems'"'"' involvement in legal matters;

a workflow that detects actual or planned changes affecting custodial systems themselves and/or their associations with other entities in an enterprise map;

means for coupling said record of custodial systems'"'"' involvement in legal matters with said workflow; and

means for notifying appropriate parties of said actual or planned changes affecting custodial systems themselves and/or their associations with other entities in an enterprise map.

17. The apparatus of claim 16, further comprising:

a legal communications and collections (LCC) application, said LCC providing a mechanism for allowing attorneys and paralegals to manage preservation and production of information, said LCC executing computer code for implementing the steps of;

identifying and recording custodial systems involved or potentially involved in a legal matter and employees responsible for the systems;

sending legal notices to employees indicating actions to be taken, said action taken in connection with any of;

information by providing a hold notice indicating a requirement and obligation to preserve information;

knowledge by providing an interview request indicating a need to share or disclose knowledge; and

documents by providing a request to collect and produce information;

18. The apparatus of claim 16, further comprising:

one or more sources of information about custodial system attributes, status, and associations with other entities in an enterprise map.

19. The apparatus of claim 18, said sources of information comprising any of:

an application for allowing custodial system information, status changes or expected status changes, and associations between custodial systems/employees/OSCCs/departments to be entered;

a central application for aggregating status information from various sources; and

other system that can be a source of information.

20. An apparatus for proactively determining potential evidence issues for custodial systems in active litigation, comprising:

a legal communications and collections (LCC) application, said LCC providing a mechanism for allowing attorneys, paralegals, and other LCC users to identify custodial systems involved and affected by legal matters, as well as a list of employees involved due to their association with an affected custodial system;

a memory for storing said list per legal matter, said list comprising any of;

systems associated with departments involved in a matter;

global systems;

custodial systems mapped to information types relevant to a matter;

any other system intersecting a matter;

IT staff responsible for managing data or information repositories; and

records management staff responsible for information record keeping;

a memory for storing additional information about a matter, comprising any of an attorney, paralegal, and matter status (Active, Closed);

means for communicating, signaling, queuing, tagging, or otherwise indicating modifications in an appropriate system as custodial system attributes, status, or mapping associations change or are expected to change;

means for providing a change event that signals any of the following information for one or more custodial systems;

expected or actual status change indicating that a system is to be taken off line;

changes in relationships between custodial systems;

enterprise map changes that cause data migration; and

employee status or role assignment changes affecting custodial systems;

means for communicating custodial system change events to said LCC application, said events minimally comprising an ID or other unique identifier indicating which custodial system is affected, and optionally comprising any of an expected or actual end date of operation, which may be past or future, if known;

and other custodial system information, including associations with other entities in an enterprise map;

based upon said change events, said LCC application executing computer code for performing any of the following functions;

notifying appropriate parties of said event so that action can be taken to preserve information, wherein for each legal matter that is currently Active, a list of involved and affected custodial systems for a system indicated in said event is searched, and wherein if a system is found in a matter, then;

notifying (alerting) one or more individuals selected from among an Attorney, a Paralegel and other appropriate individuals on one or more notification lists;

sending a legal notice to appropriate staff associated with a custodial system informing them of preservation obligations regarding said system; and

if a legal notice was sent, recording said legal notice, date of transmission, and all notice recipients in said LCC application to create an audit trail;

triggering workflow processes to manage collection and processing, providing instructions, assignment, tracking of timely task completion, and exception handling for errors or incomplete tasks;

said LCC application creating workflow items to track status of information preservation, to prompt relevant employees to confirm and validate that actions have been taken, and to handle exceptions when this is not done in a timely manner;

providing search and reporting tools in connection with a list of all matters involving a custodial system, including status of information that may have been or may need to be collected/preserved.

21. An apparatus for proactively determining potential evidence issues for custodial systems in active litigation, comprising:

a legal communications and collections (LCC) application, said LCC providing a mechanism for allowing attorneys, paralegals, and other LCC users to identify custodial systems involved and affected by legal matters, as well as a list of employees involved due to their association with an affected custodial system;

means for communicating, signaling, queuing, tagging, or otherwise indicating modifications in an appropriate system as custodial system attributes, status, or mapping associations change or are expected to change; and

means for communicating custodial system change events to said LCC application, said events minimally comprising an ID or other unique identifier indicating which custodial system is affected.

22. The apparatus of claim 21, further comprising:

based upon said change events, said LCC application executing computer code for performing any of the following functions;

notifying appropriate parties of said event so that action can be taken to preserve information, wherein for each legal matter that is currently Active, a list of involved and affected custodial systems for a system indicated in said event is searched, and wherein if a system is found in a matter, then;

notifying (alerting) one or more individuals selected from among an Attorney, a Paralegel and other appropriate individuals on one or more notification lists;

sending a legal notice to appropriate staff associated with a custodial system informing them of preservation obligations regarding said system; and

if a legal notice was sent, recording said legal notice, date of transmission, and all notice recipients in said LCC application to create an audit trail;

triggering workflow processes to manage collection and processing, providing instructions, assignment, tracking of timely task completion, and exception handling for errors or incomplete tasks;

said LCC application creating workflow items to track status of information preservation, to prompt relevant employees to confirm and validate that actions have been taken, and to handle exceptions when this is not done in a timely manner; and

providing search and reporting tools in connection with a list of all matters involving a custodial system, including status of information that may have been or may need to be collected/preserved.

23. The apparatus of claim 21, said memory further comprising:

a memory for storing said list per legal matter, said list comprising any of;

systems associated with departments involved in a matter;

global systems;

custodial systems mapped to information types relevant to a matter;

any other system intersecting a matter;

IT staff responsible for managing data or information repositories; and

records management staff responsible for information record keeping; and

a memory for storing additional information about a matter, comprising any of an attorney, paralegal, and matter status (Active, Closed).

24. The apparatus of claim 21, further comprising:

means for providing a change event that signals any of the following information for one or more custodial systems;

expected or actual status change indicating that a system is to be taken off line;

changes in relationships between custodial systems;

enterprise map changes that cause data migration; and

employee status or role assignment changes affecting custodial systems.

25. The apparatus of claim 21, said custodial system change events further comprising any of:

an expected or actual end date of operation, which may be past or future, if known; and

other custodial system information, including associations with other entities in an enterprise map.

26. The apparatus of claim 21, wherein custodial systems that are involved or affected by a legal matter comprise systems derived using a key player identification algorithms.

27. The apparatus of claim 22, said notification means comprising any of means for:

alerting an attorney and/or paralegal by email, pager, or any other common method; and

effecting escalation and wider alerting when very swift reaction by a legal team is required.

28. The apparatus of claim 21, further comprising:

means for sending a legal notice to appropriate staff;

wherein IT staff that assume system responsibility are notified of actions that must be taken, wherein a workflow is used to track action completion;

wherein in case of system retirement, IT staff responsible for a custodial system are notified of actions that must be taken, wherein a workflow is used to track action completion; and

wherein records management and compliance personnel responsible for stored information are notified, wherein appropriate parties are identified from a directory of records management/compliance personnel by organization.

29. The apparatus of claim 21, said LCC application further comprising:

means for legal staff to actively monitor custodial system attribute and status changes, and for processing said system attribute and status changes by any of;

subscribing to status change notifications and/or seeing summary reports of all status changes that have occurred, wherein said summary reports show any of custodial systems with outstanding collections, a list of affected custodial systems for a single matter, or any other permutation thereof;

seeing workflow status to identify any of whether preservation efforts have been taken and exceptions (overdue) actions;

providing dashboard functionality that summarizes said system attribute and status changes; and

providing review/audit capability for said system attribute and status changes.

30. The apparatus of claim 21, further comprising:

means for creating a record (history) of all steps, intervention, and collection of information from a custodial system affected by changes during a matter; and

means for making said record part of a preservation and matter record.