Policy for Joint Repositories
On a regular basis, Catalyst is asked to host a repository for multiple parties. In some cases, the parties are completely aligned in their interests. In others, the parties are partially aligned in their interests, for example, a joint plaintiff or defense group. In yet others, the parties are completely adverse, such as opposing parties sharing a central document repository. This document sets forth Catalyst's practices and procedures regarding the handling of joint repositories. These policies and procedures will be presented to our clients when we undertake a joint repository, and we will follow them in providing services for our clients. If you have any questions about these, please contact a Catalyst representative.
What is a Joint Repository?
Joint repositories involve documents and data that are shared jointly between more than one party in interest. A joint repository is shared by client entities that have an independent interest in retaining our services. The entities may be aligned with respect to their interests in the repository. They may be partially aligned-as in they may be partially adverse or could become adverse at a later time depending on circumstances-or they may be adverse. In any event, a joint repository occurs when Catalyst provides services to multiple parties through a common repository system or multiple systems that involve shared data or documents.
For purposes of clarity, joint repositories do not include situations where Catalyst has two separate clients and hosts data or documents that are managed independently. This includes cases where Catalyst is retained independently by multiple parties in a litigation (whether they are on the same or opposite sides of a case). Depending on the circumstances, we may or may not be at liberty to disclose the fact that we are acting for more than one party to a litigation. In that case we will take internal steps to make sure that information relating to one party is not shared with the other party, and will manage those systems on an independent basis.
Joint Repository Policies and Procedures
In situations where we are asked to host a joint repository we will do the following:
We will have joint discussions with representatives acting on behalf of all parties to discuss the circumstances of the engagement. If we are retained through a partner, we will take steps to assure ourselves that the partner is authorized to speak and act on behalf of all parties to the matter.
We will ask each party to designate a representative to speak on its behalf and to bind that party with respect to instructions to us. In the alternative, if the parties have directed one or more individuals to speak on behalf of the parties jointly (and unless we have specific reason to believe that person doesn't have joint authority), we will communicate with and take direction from that representative.
As the engagement progresses, we will work with the parties' representatives to determine and agree upon the scope of the joint engagement. This can vary depending on the circumstances and can range from providing all services on a joint basis to providing some individual services.
When we receive requests from our clients, or designated users that we believe are consistent with the terms and scope of the joint undertaking, we will fulfill those requests if we are able to do so. Examples include helping a user with technical issues, providing training, or uploading documents. We will provide notification of our actions (if required) in accordance with our clients' joint instructions.
When we receive a request from a client, or a designated user, that we believe is not or might not be consistent with the terms and scope of the joint undertaking or otherwise requires further authority, we will take these actions:
We will advise the person making the request that we believe the request might be outside the scope of our joint undertaking.
We will ask the person making the request to direct it to a person designated to speak for the parties jointly if such a person exists or we will call that person for instructions.
If there is no person designated to speak jointly on behalf of the parties, we will ask the person to speak with all other designated party representatives and to provide joint instructions regarding the request. The joint instructions will have to be made in some fashion that enables us to be assured that the instructions are joint, e.g. by phone or email.
If the person refuses to contact other designated representatives, or is unable to do so, we will contact all designated representatives to advise them of the request and ask for joint instructions. Except to preserve the status quo, we will take no other actions with respect to the request until we receive joint instructions.
If we do not receive joint instructions, we will ask the parties to take the issue to their governing judicial body for resolution. If they do so, we will cooperate with the governing judicial body at our regular hourly rates (plus expenses if travel is required) to help it determine a resolution. We do not normally charge for simple phone calls to discuss and resolve issues. We will charge for protracted conferences, depositions, hearings, etc.
If at all reasonably possible, we will then honor a final decision from the governing body. If extra work is required, we will charge for that based on our regular fee schedule or on an hourly basis per our agreement with our clients.
If all of these steps do not lead to a resolution, and the parties remain in conflict, we will terminate our services and return data and documents as directed by the parties.
If after electing to withdraw, the parties cannot agree on the disposition of their data, we will initiate an interpleader action in an appropriate court in Denver, Colorado.
Our point in issuing these policies and procedures is not to complicate our relationship with our clients or adopt an overly formulaic approach to our services in situations involving joint repositories. Rather, our intent is to reinforce our position as a neutral repository and to assure all parties involved that our actions will be fair and consistent to all.