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Establish, implement, and maintain a document retrieval system to use during e-discovery.


CONTROL ID
00985
CONTROL TYPE
Systems Design, Build, and Implementation
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain an e-discovery program., CC ID: 00976

This Control has the following implementation support Control(s):
  • Establish, implement, and maintain e-discovery collection and production procedures., CC ID: 00986


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH



  • For the control of documented information, the organization shall address the following activities, as applicable — distribution, access, retrieval and use, — storage and preservation, including preservation of legibility, — control of changes, — retention and disposition, — retrieval and … (§ 7.5.3 ¶ 2, ISO 22301: Societal Security - Business Continuity Management Systems - Requirements, Corrected Version)
  • distribution, access, retrieval and use; (§ 7.5.3 ¶ 2 bullet 1, ISO 37301:2021 Compliance management systems — Requirements with guidance for use, First Edition, Edition 1)
  • distribution, access, retrieval and use; (§ 7.5.3 ¶ 2 Bullet 1, ISO 45001:2018, Occupational health and safety management systems — Requirements with guidance for use, First Edition)
  • The responding party must produce information in a form that is normally maintained or a form that is reasonably usable unless the court orders otherwise, when the request does not specify the form for the Electronically Stored Information. (Comment 3.b ¶ 4, The Sedona Principles Addressing Electronic Document Production)
  • The organization should only undertake extraordinary efforts when there is a substantial likelihood the information exists; the information would not remain in existence absent intervention; another, more accessible source cannot be found; and the preservation is likely to help resolve the litigatio… (Comment 5.e ¶ 1, The Sedona Principles Addressing Electronic Document Production)
  • The organization should evaluate the potential benefits of keeping the native files and metadata to ensure a documents authenticity and preclude evidence from being fraudulently created. (Comment 12.a ¶ 5, The Sedona Principles Addressing Electronic Document Production)
  • The organization should have 2 primary considerations when choosing the production form: the need for or the probative value of apparent and metadata; and the extent the metadata production will enhance the functional use of the electronic information and allow the parties a more cost-effective and … (Comment 12.b ¶ 4, The Sedona Principles Addressing Electronic Document Production)
  • The requesting party and legal counsel should base the determination of what form to produce the Electronically Stored Information in on what is most likely to provide the information that is needed to establish the relevant facts. (Comment 12.b ¶ 12(a), The Sedona Principles Addressing Electronic Document Production)
  • The requesting party and legal counsel should base the determination of what form to produce the Electronically Stored Information in on the need to organize the metadata and search the produced information. (Comment 12.b ¶ 12(b), The Sedona Principles Addressing Electronic Document Production)
  • The requesting party and legal counsel should base the determination of what form to produce the Electronically Stored Information in on whether the information is reasonably accessible in the requested form. (Comment 12.b ¶ 12(c), The Sedona Principles Addressing Electronic Document Production)
  • The requesting party and legal counsel should base the determination of what form to produce the Electronically Stored Information in on the requesting party's ability to effectively manage and use the information in the requested form. (Comment 12.b ¶ 12(d), The Sedona Principles Addressing Electronic Document Production)
  • Producing parties and legal counsel should consider the difficulties in redacting, tracking, and using native files. (Comment 12.b ¶ 13(b), The Sedona Principles Addressing Electronic Document Production)
  • A party should not be required to produce the same information in electronic format and hard copy or in native format and another electronic format, if the forms are reasonable. (Comment 12.d ¶ 1, The Sedona Principles Addressing Electronic Document Production)
  • The contents of voluminous records may be presented as a chart, calculation, summary, or other perceivable form in court. The original or duplicate data must be available for examining and/or copying. (Rule 1006, Federal Rules of Evidence, 2012)
  • Litigants can sometimes also indicate desired format upon initial request. The rule embodies procedures for the retrieval of discovery materials. A request for discovery materials must set forth the items to be inspected, and describe each with "reasonable particularity." The request shall state a r… (R34, Federal Rules of Civil Procedure (2007))
  • Procedures for retention and retrieval of original items. (App A Tier 2 Objectives and Procedures M.3 Bullet 3, FFIEC IT Examination Handbook - Retail Payment Systems, April 2016)
  • Taxpayers should establish a retrieval system for any electronic storage of books and records that must be made available to the IRS during discovery. (§ 4.01(1)(d), IRS Revenue Procedure: Retention of books and records, 97-22)