Review Second RequestCarefully review the Request to ensure no changes have been introduced to the specification.
Prepare List of ModificationsDuring review of the Request, document any instances in which there will be a deviation to specification. These modifications will need to be called out and negotiated with the Regulator.
Negotiate CustodiansCounsel will negotiate the appropriate custodians with the Regulator.
IT InterviewConduct an IT Interview with the eDiscovery Provider and the End Client's IT. Discuss all systems in use and have a baseline plan of attack for collecting data from all the relevant sources. Be sure to keep an open line of communication between the eDiscovery Provider and End Client IT Contacts as additional data sources or systems are introduced to ensure all data is properly collected.
Custodian InterviewsPrepare the custodian questionnaire. Distribute to the custodians for review and consideration in advance of the custodian interview. Schedule 30 minutes with each custodian to go through the questionnaire. Carefully document all answers and details about where the custodians relevant data exists (where are they accessing and saving information relevant to the deal).
Data TrackerCarefully document all custodians, roles, relevant dates of employment, predecessors/successors for the relevant time period, and any categories they fall into (e.g., priority). Document all data sources to be collected for each custodian, dates of collection, and any necessary follow-ups.
Conduct CollectionsExpert Forensic Analysts should be conducting the collection to ensure the integrity of the data is preserved. Details tracking what was collected, when, and using what methodology should be maintained.
Prepare Processing and Deduplication Methodology MemoMost Regulators require documentation outlining the processing and deduplication methodology being employed. Be sure this memo is shared with the Regulator in advance of conducting any processing.
Data ProcessingProcess the data to the review platform. Take care in ensuring the processing specifications meet the demands of the Request (e.g., embedded objects/documents).
Prepare TAR MemoMost Regulators require documentation outlining the Technology Assisted Review methodology and tools. Be sure this is prepared in advance of using TAR. Counsel and the Regulator shall agree upon how TAR is used, required reporting, and required elusion samples.
Negotiate Search TermsIn the event the matter intends to use Search Terms instead of TAR, be sure to follow the process of term negotiation with the Regulator before implementing terms to limit processing and/or review and productions.
Data QCs and ValidationBe sure to perform post processing QCs. Check for any anomalies or gaps in data to get ahead of any potential issues. Update the Data Tracker to track that all required data has been processed and accounted for in the review platform.
Prepare Data for TARRun Predictive Coding Indexing as needed, train documents as needed, score documents, and work to define the appropriate cutoff score that meets the agreed methodology as negotiated with the Regulator.
Prepare Data for SearchIf Search Terms are being used, execute the agreed upon terms, provide reporting, and begin to prepare counts to be disclosed to the Regulator as needed or agreed upon.
Prepare Data for ReviewCarefully track and prepare all relevant levels of review to ensure documents are going through the appropriate workflows based on search hits and/or coding as applied in earlier levels of review. Managed Review partners should be preparing daily review metrics to ensure the review is pacing along a timeline that will allow for productions to be submitted in accordance with any timing agreement or compliance date goals.
Prepare Sample ProductionAn initial Sample Production should be prepared and sent to the Regulator. The sample should be representative of all the various data sources and elements of the production specification. This is the Regulator's opportunity to inform your eDiscovery Provider of any necessary changes in their deliverable format.
Preproduction QCsCarefully QC the document universe before running productions. Ensure all required coding is present and all coding conflicts are cleared. Be sure families are complete and the set includes only the intended materials.
ProductionExecute the production in compliance with the agreed upon specification, accounting for any deviations agreed upon.
Production TrackerCarefully track all productions, both outgoing and any incoming (if in the litigation phase, expect incoming productions). Track details including Date, Production Volume, Production Date Ranges, Counts (image, native, text, placeholders), and any specifics about what the production volume is comprised of.
Post-Production QCsCarefully QC the final deliverable ensuring proper handling for all formats. Verify required natives are present, required images are present, translations are handled properly, redactions and necessary OCR are complete and in place, placeholders of all types (particularly privilege) are in place with proper Image, Native, Text, and DAT handling.
ReportingPrepare the final reporting regarding the data universe and all metrics agreed upon for disclosure.
Privilege Log / Redaction LogPrepare Privilege and/or Redaction Logs agreed upon. It is not uncommon for the Regulators to identify deficiencies in these logs. They should be reviewed and prepared with care.
Respond to any Deficiency NoticesBe prepared to respond to any alleged deficiencies the Regulator may send following substantial compliance.