Litigation Support & ediscovery Maturity Model: Moving from the Early to Intermediate Stage ACC Webcast March 22, Working Group Sponsor:

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1 Litigation Support & ediscovery Maturity Model: Moving from the Early to Intermediate Stage ACC Webcast March 22, 2018 Working Group Sponsor: 1

2 Working Group Members: Daniel Lee ediscovery Program Manager Experian Lisa Ripley Director - ediscovery and Information Governance Oracle Julie Richer Legal Operations & Discovery Manager American Electric Power Mike Russell Lean Leader Legal Operations Ingersoll Rand Karen Wagshul Corporate Counsel ediscovery and RIM Allstate Insurance Company Phil Algieri Vice President, Legal Services QuisLex Kendra Nowak Director Legal Operations Express Scripts Robert Coppola Associate VP, Legal Services QuisLex 2

3 EARLY INTERMEDIATE ADVANCED All ediscovery coordinated and overseen by outside counsel Litigation support activities (including document review) directly completed by outside counsel Processes are ad hoc and not consistently employed Organization is largely reactive, lacks systematic controls, and process outcomes are unpredictable ediscovery & Litigation Support Maturity Model Defined roles and responsibilities for internal personnel, including dedicated internal resources to coordinate ediscovery activities Processes for vetting, sourcing, and managing external ediscovery providers Efficient allocation of work among internal and external resources, including processes for vendor assignment decisions Standardized processes and workflows for matter initiation, set-up, and onboarding Standardized processes and workflows for matter oversight External validation of in-house processes as being defensible Organization-wide processes are not only established, but measured, controlled, and continuously improved Full end-to-end ediscovery program Use of predictive analytics and technologies Regular use of external vendors and experts Internal coordination with IT to identify potential ediscovery issues with new technologies 3

4 Characteristics of an Effective Process: Scalable Can be maintained with same level of efficiency even when completed frequently or by multiple constituents within organization Is not overly dependent on knowledge or involvement of any single person Repeatable Can be followed in same manner every time by both legal department and outside providers Can be applied to different matters without need for exceptions or deviations from normal process Comprehensive Provides all parties with the information and tools necessary for them to perform their job function Sets everyone up for success Expeditious Can be initiated and completed in as little time as possible Bottlenecks and wastage have been identified and eliminated Efficient Can be initiated and completed with as little burden as possible 4

5 EARLY INTERMEDIATE ADVANCED All ediscovery coordinated and overseen by outside counsel Litigation support activities (including document review) directly completed by outside counsel Processes are ad hoc and not consistently employed Organization is largely reactive, lacks systematic controls, and process outcomes are unpredictable ediscovery & Litigation Support Maturity Model Defined roles and responsibilities for internal personnel, including dedicated internal resources to coordinate ediscovery activities Processes for vetting, sourcing, and managing external ediscovery providers Efficient allocation of work among internal and external resources, including processes for vendor assignment decisions Standardized processes and workflows for matter initiation, set-up, and onboarding Standardized processes and workflows for matter oversight External validation of in-house processes as being defensible Organization-wide processes are not only established, but measured, controlled, and continuously improved Full end-to-end ediscovery program Use of predictive analytics and technologies Regular use of external vendors and experts Internal coordination with IT to identify potential ediscovery issues with new technologies 5

6 Job Description and Key Skills Help maintain litigation support databases and/or tracking mechanisms Partner with internal counsel and assist in defining document collection scope Distribute litigation hold notices to custodians as directed by counsel Communicate regular progress reports to counsel and / or management 6

7 Job Description Components & Key Skills Essential Functions Help maintain litigation support databases and/or tracking mechanisms Partner with internal counsel and assist in defining document collection scope Distribute litigation hold notices to custodians as directed by counsel Communicate regular progress reports to counsel and / or management Key Skills *A plus but not required Prior Legal experience* Familiarity with collecting or facilitating the collection of structured and/or unstructured data * Strong analytical skills with the ability to collect, organize, analyze, and disseminate significant amount of information with attention to detail and accuracy Strong verbal and written communication and organizational skills Demonstrated initiative, independent thinker, and worker 7

8 Finding the Ideal Candidate A Legal background is not always best Think about tapping those in cross-functional roles that know where your organization s data lives Client Audit Finance or Information Technology Cross-functional partners that you already work with! Common Strengths Amongst my Litigation Support Team (from Strengths Finder 2.0): Learner Intellect Input Start socializing your open role now it will take time for it to resonate with people Share an industry success story it will help frame the vision for this role 8

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10 Salary Reference Take the 2018 ACC Global Compensation Survey! 10

11 EARLY INTERMEDIATE ADVANCED All ediscovery coordinated and overseen by outside counsel Litigation support activities (including document review) directly completed by outside counsel Processes are ad hoc and not consistently employed Organization is largely reactive, lacks systematic controls, and process outcomes are unpredictable ediscovery & Litigation Support Maturity Model Defined roles and responsibilities for internal personnel, including dedicated internal resources to coordinate ediscovery activities Processes for vetting, sourcing, and managing external ediscovery providers Efficient allocation of work among internal and external resources, including processes for vendor assignment decisions Standardized processes and workflows for matter initiation, set-up, and onboarding Standardized processes and workflows for matter oversight External validation of in-house processes as being defensible Organization-wide processes are not only established, but measured, controlled, and continuously improved Full end-to-end ediscovery program Use of predictive analytics and technologies Regular use of external vendors and experts Internal coordination with IT to identify potential ediscovery issues with new technologies 11

12 Finding The Right External Partner(s) Discovery is complex, each organization is different and there are many different discovery models available. Before looking for external help perform internal assessment of what is needed: Data Collections Data Culling & Processing Data Review Mobile Device Management What internal factors will influence the discovery model decision: Internal resources Tolerance for risk Anticipated amount of work Level of expertise Budget 12

13 Finding The Right External Partner(s) Identify the purpose for the evaluation. The purpose of the evaluation should drive the entire process and keep focus on what criteria are most important. Establish an internal evaluation team that will be involved with the questionnaire creation and the answers scoring Identify who to include in the evaluation. Do your homework to ensure you include 4-7 candidates. Evaluation of responses should be mostly analytical but there will have to be an owner to break ties and end debates Rely heavily on references- provided by service providers and those gathered on your own. Off the radar connections are Ask your peers- at all stages, nothing is better than peer experience 13

14 EARLY INTERMEDIATE ADVANCED All ediscovery coordinated and overseen by outside counsel Litigation support activities (including document review) directly completed by outside counsel Processes are ad hoc and not consistently employed Organization is largely reactive, lacks systematic controls, and process outcomes are unpredictable ediscovery & Litigation Support Maturity Model Defined roles and responsibilities for internal personnel, including dedicated internal resources to coordinate ediscovery activities Processes for vetting, sourcing, and managing external ediscovery providers Efficient allocation of work among internal and external resources, including processes for vendor assignment decisions Standardized processes and workflows for matter initiation, set-up, and onboarding Standardized processes and workflows for matter oversight External validation of in-house processes as being defensible Organization-wide processes are not only established, but measured, controlled, and continuously improved Full end-to-end ediscovery program Use of predictive analytics and technologies Regular use of external vendors and experts Internal coordination with IT to identify potential ediscovery issues with new technologies 14

15 Allocation of Work What are your goals? Internal Resource(s) Know your limits Regularly test & validate SLAs to support ediscovery activities. External Resource(s) Depends on litigation profile & vendor panel Mapping Litigation Type to Vendors Sending first-level review to vendor Define a threshold (X Documents goes to a vendor) 15

16 Allocation of Work - Approved Activities Whodunit? Break down a matter by activity, and assign a responsible party Running Search Terms Use of Analytics/TAR Matter Oversight/Control Set Gates/Check-in s by Outside Counsel & Vendors Search & Batching Document Review Plan Productions Bill Review 16

17 EARLY STAGE INTERMEDIATE ADVANCED All ediscovery coordinated and overseen by outside counsel Litigation support activities (including document review) directly completed by outside counsel Processes are ad hoc and not consistently employed Organization is largely reactive, lacks systematic controls, and process outcomes are unpredictable ediscovery & Litigation Support Maturity Model Defined roles and responsibilities for internal personnel, including dedicated internal resources to coordinate ediscovery activities Processes for vetting, sourcing, and managing external ediscovery providers Efficient allocation of work among internal and external resources, including processes for vendor assignment decisions Standardized processes and workflows for matter initiation, set-up, and onboarding Standardized processes and workflows for matter oversight External validation of in-house processes as being defensible Organization-wide processes are not only established, but measured, controlled, and continuously improved Full end-to-end ediscovery program Use of predictive analytics and technologies Regular use of external vendors and experts Internal coordination with IT to identify potential ediscovery issues with new technologies 17

18 Essential Elements & Goals of a Matter Initiation Process No one size fits all approach elements in process will differ based on size of legal department, resources available, expertise, industry, etc. However, a few common elements exist to the new matter initiation process for most legal departments at the intermediate maturity stage: Process Mapping Conflicts Check Procedures Scoping and Budgeting Process Standard Kick-off Meeting/Call Procedures 18

19 Process Mapping Goals: Create and document standardized process that ensures the most streamlined and effective approach for initiating new matters Eliminate bottlenecks or confusion as to responsibilities or sequence of events Allow for a fast ramp-up period without sacrificing completeness Common Features: Includes required steps for all involved parties legal department, outside counsel, technology vendor, and document review provider Clearly identifies sequence of events and dependencies Includes (if applicable) expected turnaround times 19

20 Conflicts Check Procedures Goals: Ensure no stone left unturned and avoid running into sticky ethics situations down the road Eliminate common bottlenecks on both client and provider side Common Features: Processed via standard forms and templates Covers all required information i.e., matter description; full names of all involved parties, entities, or subsidiaries; outside counsel; case caption, complaint, or other supporting materials Designated points of contacts for processing form Agreed to turnaround times 20

21 Scoping and Budgeting Process Goals: Streamline collection of required project-related information at outset of new project Ensure thoroughness in collection of information Provide comprehensive information to internal and external players so they can plan better and prepare more accurate budgets Establish common framework for providing and receiving budgets to facilitate analysis and monitoring Common Features: Standardized scoping and budget request forms detailing required information (e.g., timelines, volumes, scope of work, data types) Standard format for project budgets 21

22 Standard Kick-off Meeting/Call Procedures Goals: Ensure everyone is on same page regarding scope of work, responsibilities, timelines, expectations, and overall plan of action Address issues relating to workflow, strategy, and overall planning Establish communication and reporting protocols Common Features: Mechanism for facilitating introductions and sharing of contact info Default standards for communication protocols, reporting, and progress updates Overview of case background Address workflow and specs relating to lit holds, collections, processing, review, and production Standard list of details that need to be confirmed (e.g., deadlines, scope of work, volumes) Discussion of strategy, approach, and overall workflow for review 22

23 EARLY INTERMEDIATE ADVANCED All ediscovery coordinated and overseen by outside counsel Litigation support activities (including document review) directly completed by outside counsel Processes are ad hoc and not consistently employed Organization is largely reactive, lacks systematic controls, and process outcomes are unpredictable ediscovery & Litigation Support Maturity Model Defined roles and responsibilities for internal personnel, including dedicated internal resources to coordinate ediscovery activities Processes for vetting, sourcing, and managing external ediscovery providers Efficient allocation of work among internal and external resources, including processes for vendor assignment decisions Standardized processes and workflows for matter initiation, set-up, and onboarding Standardized processes and workflows for matter oversight External validation of in-house processes as being defensible Organization-wide processes are not only established, but measured, controlled, and continuously improved Full end-to-end ediscovery program Use of predictive analytics and technologies Regular use of external vendors and experts Internal coordination with IT to identify potential ediscovery issues with new technologies 23

24 Matter Oversight Set expectations early with inside counsel, outside counsel and service providers for each matter. Templates Processes Preferred Service Providers Communication protocols Detailed & organized communication up front will reduce confusion, mistakes and spend in the long run. The corporation owns the data- don t be afraid to take the reins and guide your counsel and service providers. 24

25 Matter Oversight- Develop Personalized Toolkit ESI Protocol Protective Order (with Clawback) Rule_502(d) template Search Guide (best practices) Review Planning Form Document Review Protocol Confidentiality Review Guidelines Privilege Review Guidelines Review Workflow- Roles & Responsibilities QC Guidelines Production Workflow 25

26 EARLY INTERMEDIATE ADVANCED All ediscovery coordinated and overseen by outside counsel Litigation support activities (including document review) directly completed by outside counsel Processes are ad hoc and not consistently employed Organization is largely reactive, lacks systematic controls, and process outcomes are unpredictable ediscovery & Litigation Support Maturity Model Defined roles and responsibilities for internal personnel, including dedicated internal resources to coordinate ediscovery activities Processes for vetting, sourcing, and managing external ediscovery providers Efficient allocation of work among internal and external resources, including processes for vendor assignment decisions Standardized processes and workflows for matter initiation, set-up, and onboarding Standardized processes and workflows for matter oversight External validation of in-house processes as being defensible Organization-wide processes are not only established, but measured, controlled, and continuously improved Full end-to-end ediscovery program Use of predictive analytics and technologies Regular use of external vendors and experts Internal coordination with IT to identify potential ediscovery issues with new technologies 26

27 External Validation - Defensibility Process Map walk-through Audit collection chain of custody Resources Outside Counsel Consider any firm s involvement in active cases separation Numerous firms with Discovery Process Audit practices Consultants E&Y, Deloitte, etc. Know your Persons Most Knowledgeable Mock deposition of PMK 27

28 Questions? 28

2017 COMPENSATION TRENDS IN LEGAL TECHNOLOGY

2017 COMPENSATION TRENDS IN LEGAL TECHNOLOGY Survey Results Report The Cowen Group 747 Third Avenue, New York (212) 661 0025 Contact kayla@cowengroup.com 2 SURVEY RESPONDENT DEMOGRAPHICS Respondents Demographics