Most law firms have information governance (IG) policies to determine document lifecycle and the limits of document retention, but they fail to implement the strategy or do so in an inconsistent manner. Big mistake. Firms that retain client information long after matters are closed, and documents reach the outer limits of retention, overpay for the cost of maintaining physical records and increase the risk that old client data, even corporate secrets, may be exposed to unauthorized access from e-discovery, a data breach, or malicious insider activity.

Client documents may also find their way beyond the law firm boundaries to e-discovery repositories, shared drives, and Web-based file-sharing services where they are no longer subject to retention policies. Out of sight and out of mind until a hacker, insider, or litigant brings them to the firm's attention. If you're looking for a silver bullet for these problems, investigate FileTrail's Governance Policy Suite (GPS), a purpose-built, Web-based platform designed to implement information governance (IG) and retention policies on physical and electronic records. GPS automatically classifies and applies retention policies to documents and automates the disposition, review, and destruction of documents with built-in workflows, email notifications, audit trails, and reports.

For more than 15 years, FileTrail has been developing and implementing enterprise information management products. The San Jose, California-based company launched and demonstrated GPS at Legalweek with a clear focus on the large law firm market in North America, and an eye toward firms in the United Kingdom. GPS can implement a firm's IG policy and incorporate corporate counsel guidelines into retention policies that operate across all local or internetwork repositories via connectors, which are core to the GPS platform.

Connectors discover and monitor documents, images, folders, and workspaces in repositories. Connectors pass metadata, such as URL, key title, and document size, to GPS to apply IG policies and compile audit trails of the disposition cycle to show records were destroyed according to policy. But connectors do not duplicate a DMS audit trail of who accesses what, when. FileTrail makes connectors for Box, HighQ, iManage (versions 5-10), Microsoft SharePoint, NetDocuments, and OpenText eDOCS. Future connectors will be client-driven.

FileTrail also makes connectors for off-site records storage services, such as DataSafe and Iron Mountain. These connectors allow users to request the pickup and retrieval of records within their DMS user interface (UI), and view file retention and disposition of physical and electronic records from GPS. But most attorneys will work natively in the GPS browser-based UI when they are alerted via email with a URL link to a pending disposition review of documents.

Hands-On GPS

Most attorneys will find the GPS UI a familiar place to engage and manage the disposition review process. The platform is permission-based and integrates with ethical walls systems, such as Intapp Walls, so attorneys only see and review matters within their purview.

The GPS platform automatically builds disposition review lists based on a user-defined review cycle. As review deadlines loom, the platform triggers a review workflow that automatically sends an email with a URL to the attorney reviewer. If the reviewer fails to complete the review workflow on time, the platform escalates the review to a substitute reviewer or records manager. Review escalation addresses the problem that many firms are presented with after an attorney leaves the firm: Who will review a departing attorney's matters for disposition?

When attorneys click the URL in the email to a disposition review, they are directed to the Disposition Manager. For the period under review, the Manager lists the clients and matters, indicating for each if there are applicable holds or outside counsel guidelines and the number of physical and electronic items to review. See Figure 1, below.

 

When attorneys open a matter for review, a list of items with metadata identifies the responsible department or practice, file type, location, media type (physical or electronic) and links to history and retention information. From the list, reviewers can select single or multiple items and mark them reviewed, add them to holds, or request the data for further investigation.

At the item level, attorney reviewers can review an audit report for defensible deletion and view properties that list, among other things, the responsible attorney and when the matter was closed. Item level reports can be downloaded in CSV, Excel, or PDF format.  Some firms simplify the review for attorneys and configure it to show the matter-level—not the individual documents. Reviewers' progress can be tracked using the Progress Monitor. See Figure 2, below.

Outside of disposition review, users may log in to an actionable dashboard that records tasks that need attention and critical metrics in reports. Many reports are aimed at IG staff who are overseeing disposition review and managing physical records.  Dashboard functions include, among other things, report fulfillment status of requests for item creation, destruction, pickup, and tasks (e.g., ship a copy); record items checked out and overdue; and account for items in carts. GPS uses a shopping cart analogy to store and track actions and requests for documents, such as creation and search. Once in a cart, users can add other tasks, such as check-in or check-out documents, to the initial action – thus creating a simple workflow.

The GPS UI sports a sticky ribbon across the top of Web pages to navigate to workspaces, create items, conduct searches, and generate reports. Like Internet browsers, the UI banner has tools to access Favorites and history of documents last accessed that remains persistent through login sessions. To further improve navigation, wherever the platform generates lists of users, clients, matters, or documents, users can apply filters and use a type-ahead function to narrow list items. See Figure 3, below.

The workspace button brings up a hierarchical view of matters that allows users to drill down into items and act on them, such as requesting the item from storage, obtaining an audit report, marking the item for destruction, merging the item with others, and more. The workspace button also has a handy function to create records or a series of records.

The Reports page supplies built-in reports and the ability to build custom reports using an ad-hoc reporting wizard with drag-and-drop functionality and SQL development tools. GPS can build records destruction and disposition reports and forecasts of future space savings. See Figure 4, below.

Other GPS reports include activity by repository, by physical media, and by records center to track items going in and out and costs. Built-in, custom, and graphical reports, and disposition forecasts can be added to dashboards and arranged by user preference.

Besides connectors for repositories and off-site storage services and integration with ethical wall products, GPS works with Intapp's Intake product to bring in rules from new matters. GPS also integrates with billing systems, such as Aderant Expert and Thomson Reuters Elite, to reduce redundant data entries and ensure accuracy bills.

The GPS platform, which comprises SQL databases and Web applications, is available in a private network on Azure or on-premises. The platform is developed on .Net Framework 4.5 and supports LDAP, Windows, and SAML v2 authentication. The Azure infrastructure protects against DDoS attacks, ensures private customer communications and provides disaster recovery. FileTrail encrypts data in transit for Web-based access (HTTPS), file transfers (FTPS), and data files (PGP/GPG) and uses Azure Disk Encryption for data at rest. For US clients, FileTrail stores data in the US. Data storage outside the US is only available for international clients.

FileTrail uses a baseline, annual subscription price for the application, a one-time pricing model for individual connectors, and user access licenses for four different levels of users, which reduces the total cost of ownership.

 

Sean Doherty is a sole practitioner and freelance writer based in Brooklyn, New York.