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Electronic Data DiscoveryTechnology & Terminology
A Primer for In-House Counsel
July 26, 2007
Presented by theACC Litigation Committee and
Steptoe & Johnson LLP
Association of Corporate Counselwww.acc.com
Welcome!
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Today’s Panel
Stephanie Mendelsohn, Director of Corporate Records and ElectronicDiscovery, Genentech, Inc.
José Ramón González-Magaz, Partner, Steptoe & Johnson LLP
Mike Bergeron, Of Counsel, Steptoe & Johnson LLP
Sonya Sigler, General Counsel, Cataphora, Inc.
Bill Mooz, VP and General Counsel, Catalyst Repository Systems, Inc.
AgendaI. Key Process Steps for Running an Electronic Discovery Project
Identification, Preservation & Collection, Stephanie Mendelsohn, Genentech, Inc.
Review of eDiscovery Data, José González-Magaz & Mike Bergeron, Steptoe & Johnson LLP
II. Technology & Terminology
Collection, Culling & Analysis, Sonya Sigler, Cataphora, Inc.
Review & Production, Bill Mooz, Catalyst Repository Systems, Inc.
III. Q&A with Panel
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Identification, Preservation andCollection
Stephanie MendelsohnDirector of Corporate Records and
Electronic DiscoveryGenentech, Inc.
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Identify Data SourcesBefore any legal hold:
Prepare for early attention to ESI:Describe infrastructureIdentify most knowledgeableIdentify data sources
Document preservation and collection process
After a legal hold is initiated:Identify custodiansIdentify data sources
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Preservation ProcessInitiate legal hold to suspend routine disposition ofdocuments and ESI.Engage in custodian interviews.Provide repositories as needed.Document, document, document.
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What must be preserved?
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And Coming to a Phone Near You . . .
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Collection ProcessWho performs the collection?How is the collection performed?What is collected?
Identifying any sources of data that are not reasonablyaccessible.Prioritizing reasonably accessible data sources.
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Review of Electronic Discovery Data
José Ramón González-Magaz, PartnerSteptoe & Johnson LLP
Mike Bergeron, Of CounselSteptoe & Johnson LLP
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Reviewing the Data – Major Cost FactorsReviewing platform to be used.Native file review versus image-based review.Complexity of coding form.Degree of experience/
specialization of the reviewers.
Training of reviewers:Preparation of
project manual.Scale of supervision needed.Quality control.
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Training the ReviewersTechniques for reviewing documents/files/data efficiently and reliably.Detection of privileged materials and preparation of privilege log coding.Coding of data reviewed.Identification and handling
of “close-call” data.Substantive parameters of
the review.Use of the technology/
equipment.
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Data Review Progress ReportsReview rate assessment.Budget tracking.Substantive reports.Memorialization of project
developments.
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Review Rate EstimatesHigh
(basic coding)Average
Low
(advanced coding)
Review rate*
(electronic)800 600 400
Review rate*
(scanned with
objective coding**)
300 200 100
Review rate*
(scanned without
objective coding**)500 400 300
**objective coding = coding for Date, Document
Type, Title, Author, Recipient, Copyee, etc.
*Number of documents per 8 hour reviewer day
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Quality Control of Data ReviewConfirm supervision given during the review.Ensure all data were reviewed.Random check of
coding performed.Second level review ofodd tags.Client confirmation thatcorrect reviewing
parameters were properly applied.
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Collection, Culling & Analysis
Sonya SiglerGeneral Counsel
Cataphora, Inc.
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CollectionCollection Tools/Methods:
Mirror Image of Hard Drives or ServersSelf SelectionOthers
Data Mapping Appliances (ESI blueprint):KazeonDeep Dive
Forensic Analysis:Deleted or Missing DataNot What You Expected
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Collection PhilosophyNarrow Based Collection:
By Custodian - John DoeBy Date Range - January 1, 2002 - July 31, 2006Documents Pulled by Keywords - fraud, invoice
Broad Based Collection:Collect it ALLCull After Collection
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Culling GoalsReadily Accessible Data:
Readily Accessible under FRCP 34Not Readily Accessible:
Database dataSource Code, etc.
Reduce your Data SetMake it Manageable
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De-duplication MethodsMD5 hash values:
Do I need to know what this is???
De-duplication of Data Sets:Within custodian setsAcross custodian setsAcross all data sets
Near DuplicatesKnow what is being done to your data:
ALWAYS ask! Vendors need to explain this clearly.
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Duplicate Range
25%
90%
Broad Based Collection Restoring Back-Up Tapes
90%
25%
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Culling MethodologiesLinguistic Methods (Word Based):
KeywordOntologies
Statistical Methods (#s based):Topic Clustering:
Statistical SimilarityCounting #s of words, appearance together
Latent Semantic Indexing
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Keyword CullingCon
Over-inclusive: Disambiguate
Under-inclusive Word must be present Hard to craft Ineffective with short
messages, IMs
Pro Word Stemming:
Hous* - house, housemate,household.
Easy to use/explain/agree Familiar
Fast results
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Linguistic MethodsWhat are ontologies?
Combines previous methodsBuilt on continual improvement
Review privileged informationProduction by Ontology:
Automated ReviewTechnology Assisted Review
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Statistical MethodsTopical Clustering:
Statistical similarity:Royalty, Disney, high
Supervised clustering:Choosing the Topics to Cluster
Latent Semantic Indexing:Searches By Concept:
“Find Me More Like”
Simplified Searches:Natural LanguageEntire Documents
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Analysis Methods
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AnalysisGraphically Depicting Data and Connectionsin the Data:
Closeness AnalysisMap the Data SetMindshare AnalysisTone Detection
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Closeness Analysis
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E-Mail Communications:Map The Entire Dataset – Up Front
Green: Administration
Red: Legal
Blue: Accounting
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Mindshare Analysis
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Tone Detection
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ConclusionDon’t Be Afraid to AskEducate Yourself:
ACC WebsiteVendor’s Websites
Review & Production
Bill MoozVice President and General Counsel
Catalyst Repository Systems, Inc.
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Setting Up the Review: ToolsRepository or Review Platform: System of hardware &software used to store and review discovery data.
Enterprise Software: Software that runs on your hardware.Hosted Solution or Software as a Service: Review platformthat runs on providers’ infrastructure that you access remotely.
Web-Based: Access is via a browser.Terminal Service: A software layer that enables you to access asystem remotely; requires additional hardware & software.
Plug-Ins: Software loaded on user’s computer to access the reviewplatform; generally not required with web-based systems.
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Setting Up the Review: DataNative Files: The form in which the document was generatedoriginally. The default format for production under the new FRCP.
Conversion: Converting native files into TIFF (Tagged Image FileFormat) or PDF (Portable Document Format) for review orproduction; may or may not be required.
Metadata: Data about the document itself (e.g., date created,author, recipient, etc.). May be objective (residing in document itself)or subjective (identified by humans).
Processing: Extracting metadata from native files to enable thereview process.
FTP: File Transfer Protocol, a way to send electronic data via theinternet. Not effective for files greater than 2 gigabytes in size.
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Organizing the Review: BatchingLabor Arbitrage: Moving tasks to lower-cost providers; typicallyinvolves using contract attorneys (on-shore or off-shore) to conductfirst pass review.
Batching: Putting documents in logical groups for assignment toreviewers.
Concept Clustering: Using mathematical equations to sortdocuments into related groups.
Fielded Search: Searching document sets by meta data or acombination of meta data and text terms.
Filters/Navigators: Built-in tools for organizing search resultsinto subcategories like date ranges, author, recipient, etc.
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Organizing the Review: Folders & FormsFolders: Files for organizing documents. May be dynamic (autopopulatingbased upon criteria) or static. Security/access rights often administered at folder level.
Review Forms: What the reviewer sees on the screen when reviewingdocuments. Will include a variety of fields to be coded, often with check-the-box capability. Forms are customized by case and even level of review(first-pass, second-pass, etc.).
Fields: Document attributes that can be used to organize them. Examplesinclude date, bates number, author, hot doc, privilege, responsive, etc.
Private Fields: Fields that are restricted to specific users; essentialrequirement for sharing a repository.
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Conducting the ReviewLinear Review: The process of reviewing documents one-by-one.Can include multiple passes.
Bulk Tagging: Marking multiple documents all at once, e.g.,designating an entire folder of documents irrelevant with a singleaction.
Redaction Tools: Tools that enable you to redact sensitiveelectronic documents, preserving the original for control purposes.
Audit Trails: System-generated reports that enable you to reviewthe actions of review teams or individual reviewers.
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Multi-Language ReviewsASCII: American Standard Code for Information Interchange, the standardsystem for encoding characters in the English language for use by computers.
UTF 8: Unicode Transformation Format, the new global standard forencoding characters in all languages, including those with more than 26character sets.
CJK: Chinese, Japanese, Korean & Thai – languages that do not usespaces between individual characters or words.
Tokenization: The process of putting white space between charactersets in CJK documents to make them searchable.
Language Packs: Upgrades that allow software to work with foreignlanguages. Essential that reviewers have them on their systems.Available at http://en.wikipedia.org/wiki/Help:Multilingual_support.
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ProductionsExport: Get data out of a review platform for use elsewhere. Canexport in multiple different formats.
Conversion: Transforming a native file into another format,usually PDF or TIFF.
Blowback: Print a set of data back to paper.Subcollection: A sub-set of documents on a repository that ismade available to someone with a limited need-to-know. Usedincreasingly to produce documents to opposing parties, especiallyregulatory agencies.
Privilege Logs: Typically handled by exporting a limited set ofmetadata for the documents designated as privileged.
Q&A with PanelStephanie Mendelsohn, Director of Corporate Records and Electronic Discovery, Genentech, Inc.
José Ramón González-Magaz, Partner, Steptoe & Johnson LLP202-429-8110 / [email protected]
Mike Bergeron, Of Counsel, Steptoe & Johnson LLP301-610-2397 / [email protected]
Sonya Sigler, General Counsel, Cataphora, Inc.650-622-9840 x604 / [email protected]
Bill Mooz, VP and General Counsel, Catalyst Repository Systems, Inc.303-824-0842 / [email protected]
Thank you for your time!
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