Enterprise eDiscovery Maturity Assessment

People
Process
Technology
Strategy

Your Current Maturity Level: Ad Hoc

Characteristics of A legal department at the Ad Hoc Stage of Casepoint's eDiscovery Maturity Model

In the Ad Hoc stage, the legal department is largely reactive. When discovery is required, an enormous amount of effort is requried to identify documents and eDiscovery processes are outsourced to outside counsel. Without defined roles and responsibilities, there is limited collaboration between individuals and departments. Processes are often done manually and performed without an appropriate in-house technology. The response strategy is therefore largely dependent on outsourcing. This lack of control and process carries substantial business risk, from data spoliation and loss of reputation, to higher costs and financial penalties.

People

All eDiscovery activity overseen by outside counsel with no formal guidance.
eDiscovery providers sourced and controlled by outside counsel.

Process

No processes.
Uncontrolled costs; lack of metrics on spend.
No controls around data security.

Technology

All technology outsourced through outside counsel.
Internal legal hold managed in spreadsheets.

Strategy

Completely outsourced technology model.

Recommendation

Your legal department is at the Ad Hoc stage, the earliest stage of operational maturity. The first step in the process toward higher levels of maturity should be self-evaluation of your legal department’s (or organization’s) capabilities in three main areas: people, and after processes, technology. By focusing on your current capabilities in these three areas, you can begin to ask and answer questions that will move you to the Aware stage.

People:

Identify key internal stakeholders in litigation, legal operations, risk, compliance, security, IT, data management, billing, third-party vendors, etc.
Assign people to roles and create responsibilities to evaluate key processes.

Process:

Establish baseline standards and assign responsibilities to key stakeholders to monitor and measure performance.
Look for opportunities to standardize internal processes.
Look for opportunities to standardize communication and workflows with outside counsel.

Technology:

Document the technology and data sources used by your organizations.
Begin to organize scope and requirements documents with input from all stakeholders.

Strategy:

Identify the business goals that would be most impactful for your department and company from a process, security, and risk management perspective.
Work with all stakeholders to focus on improvement projects based on feasibility and the areas of greatest potential impact at the departmental level and a strategic level.

Characteristics of A Legal Department at the Aware Stage of Casepoint's Operational Maturity Model

In the Aware stage of the maturity model, legal departments have some processes outlined but they are loosely defined and inconsistently followed. There might be a point person assigned to coordinate activities between internal and external resources but there are no dedicated personnel. Collaboration between IT and legal exists at a basic level but data processes are manual, require import and export processes which increases risk of data breach and spoliation. The overall legal operations strategy is still completely dependent on outsourcing. Although there are benefits from this early level of awareness, this stage still carries most of the same risks as the Ad Hoc stage. It is costly, and relies too heavily on the skill set of the individual point person, who is unaided by legal hold or eDiscovery technology.

People

Internal resource oversees outside counsel.
All eDiscovery activity and relationships, plural with eDiscovery providers are overseen and controlled by outside counsel.

Process

Ad hoc processes that are inconsistently employed.
eDiscovery providers bill legal department directly.
Uncontrolled costs; some metrics on spend.
No controls or accountability for data security.

Technology

All technology outsourced through outside counsel.
Internal legal hold managed in spreadsheets.

Strategy

Outsourced model with some oversight.

Recommendation

In the Aware stage of the maturity model, key stakeholders are becoming aware of opportunities for improved processes and business benefits to be gained by matuing their legal operations. Legal departments have some processes outlined but the overall legal operations strategy is still completely dependent on outsourcing and third parties. Since legal processes and workflows are still largely manual and inconsistently followed, this stage still carries most of the same risks as the Ad Hoc stage. Continue the process of self-evaluation in people, process, technology to look for opportuintites for standardized processes, better control and increased risk management.

People:

Assign a internal resource to provide oversight to outside counsel.

Process

Establish processes for vetting and managing external eDiscovery providers.
Create templates and protocols for the legal hold and discovery process.
Implement financial management tools and tracking.
Begin to establish data security requirements and hold accountable to stronger security standards.

Technology:

Research billing systems.
Research legal hold solutions.

Strategy:

Begin to assign oversight activities and put tools and processes in place to monitor and control key legal processes.

Characteristics of A Legal Department at the Repeatable Stage of Casepoint's Operational Maturity Model

Companies that have reached the Repeatable stage in the maturity model will typically have dedicated internal and external resources with defined roles and responsibilities for managing legal operations. Legal processes are documented and followed consistently, resulting in better coordination of resources and increased visibility into billing and cost tracking. Companies in the Repeatable stage begin to experience efficiency and cost savings although these are not yet optimized. Technology standardization is happening in the legal department from a billing perspective, and some processes, like legal hold management, are being brought fully in-house. Some standardization may also be starting internally or across in-house and external legal teams. Standardized and repeatable legal operations enables greater oversight and control of external resources and lowers the risk of litigation.

People

Dedicated internal resources to coordinate eDiscovery activities with defined roles and responsibilities.
Direct relationship with dedicated eDiscovery vendors.
Work allocated efficiently between internal and external resources.

Process

Processes for vetting, sourcing, and managing external eDiscovery providers.
Established Discovery templates and protocols.
Financial management protocols.
Require outside counsel and vendors to meet data security requirements.

Technology

Billing system in place with specific codes for vendors and law firms.
eDiscovery review technology outsourced.
Internal Legal Hold system.

Strategy

Outsourced with oversight and directed controls.

Recommendation

At the Repeatable stage of the maturity model your organization is starting to realize the benefits of standardization. There is at least one dedicated internal legal operations resource with defined roles and responsibilities. Continue to develop Subject Matter Experts (SME) to coordinate eDiscovery activities and manage standardized processes. This will ensure both internal and external resources follow documented processes and enable better opportunity to find areas to optimize. Technology is still largely outsourced so there are opportunities to adopt new solutions to gain oversight on processes and improve coordination/collaboration with internal and external resources. As more processes are standardized and workflows become repeatable your organization will continue to gain efficiency, risk controls and cost savings.

People:

Assess internal resources and continue to define roles and responsibilities as you build you Legal Operations Personnel to match your strategy.
Assign a internal resource to provide oversight to outside councel and vendors.

Process:

As eDiscovery performance is documented conduct regular audit of external resources against billing and costs.
Continue to standarize workflows and communication using templates.

Technology:

Look for opportunities to invest in technology with low risk and high feasibility to automate manual processes (i.e. Legal Hold)
Consider opportuntiies to strengthen data security posture throught advanced data collection integrations.
Organize a billing system that can track vendors and law firm work and output.

Strategy:

Conduct regular review of eDiscovery projects for key performance indicators across your eDiscovery providers.
Start to correlate the characteristics of eDiscovery projects to turnaround time, accuracy and costs.

Characteristics of A Legal Department at the Predictable Stage of Casepoint's Operational Maturity Model

At the Predictable stage of the Maturity Model all processes are well documented and every stakeholder knows what to do and how to execute their responsibilities, creating efficiency and lowering the cost of action. the cost of action lower. The organization has trained and dedicated resources with subject matter expertise focused on process optimization. Expanded adoption of technology provides data-driven insights delivered by the AI and analytics tools ready to meet requirements for tight controls, rigorous security, and ongoing process improvement of both insourced and outsourced resources. As a result, the legal team is able to coordinate resources faster and more efficiently, leading to productivity optimization and significant cost savings in both technology and overall legal spend.

People

Dedicated resources are SMEs who coordinate eDiscovery activities and manage standardized processes for matter initiation, set-up, onboarding, and oversight.
Internal coordination with IT to proactively incorporate features to assist with data retrieval.

Process

Processes in place directing outside counsel on eDiscovery process and strategy.
Full control over identification, preservation, collection, and delivery processes.
External validation of in-house processes as being defensible.
Strict controls around security requirements for data.
All processes documented, measured, controlled, audited, and continuously improved.

Technology

Billing system in place with specific codes for vendors and law firms.
Internal legal hold system.
Extensive use of technologies such as technology assisted review, predictive analytics, and artificial intelligence.
Ongoing research and piloting of emerging technologies to improve eDiscovery activities.

Strategy

Hybrid model with oversight, uniform directed controls, and accountability reporting.

Recommendation

The Predictable stage is still more about perfecting the eDiscovery process and getting control over eDiscovery operations than achieving future-focused decision-making. Organization’s at this stage have internal subject matter expertise that are focused on process optimization. At this stage the legal department is using a hybrid model of insourced and outsourced resources, but rely on data-driven insights delivered by mostly in-house technology with AI and analytics capabilities. In this stage, organizations have the systems and process to meet requirements for tight controls, rigorous security, and ongoing process improvement, to achieve the next stage of operational maturity.

People:

Continue to develop your legal operations staff and focus on SME for Litigation, eDiscovery and operations.

Process:

Assess your tools and reporting resources to focus on measuring key performance metrics and setting benchmarks.
Continue to inhance your data security by connecting eDiscovery directly to your internal data infrastructure.

Technology:

Look for opportunities to consolidate technology to improve collaboration internally and externally to gain more contol over data identification, preservation, collection, and delivery processes.
Explore opportunities to standardize on one technology to increase process consistency and efficiency.
Evaluate new ways to use technology to enhance processes and monitor how they are being adopted across the board.
Can my current tech stack Integrate with other enterprise tools and cloud data stores?
Can I see live status updates on each matter and project?
Can I direct conversations with internal teams or external law firms within documents or contracts?

Strategy:

Look for opportunites for technology consolidation.
Continue to optimize legal workflows that rely on outside vendors or resources.

Characteristics of A Legal Department at the Activating Stage of Casepoint's eDiscovery Maturity Model

This eDiscovery maturity stage is unique to the Casepoint process, reflecting the capabilities of our AI-based technology and the business transformations that are possible when an organization engages with the right partner and the right technology on the maturity journey. As organizations arrive at the Activating stage, they become future-ready: they are positioned to withstand the shocks and surprises of a dynamic global business environment using the insights enabled by AI-driven processes, and they can quickly adjust and refine enforcement throughout all the business areas that legal needs to influence in the realm of eDiscovery. Dedicated internal and third-party teams work within well-defined parameters in a process of continuous improvement, innovation, and added value. Activities are supported by advanced, cloud-based technology leveraged across the enterprise and external parties to deliver control over security and processes and achieve significant time and cost savings. The legal department becomes a more powerful contributor to the legal and financial health of the organization, which is now positioned to react more flexibly to challenges or opportunities in other areas.

People

Internal dedicated expert-level resources on litigation and eDiscovery processes and technology.
Trusted technology partner.
Partner contracted review attorneys or litigation support.
Outside counsel focused on legal strategy.

Process

Innovation processes in place with a trusted technical partner.
AI-driven processes used regularly and enforced with outside counsel.
Outcome measurements in place and automated.
Applying outcome analysis and predictive models to data in order to manage risk budget, and decisions.
Strict controls around security requirements for data with required security certifications.
Procurement processes in place that consider eDiscovery for any system.

Technology

Internal legal hold system.
Internal eDiscovery data management platform.
Technology legal stack is in the cloud and SaaS applications are integrated.
Open API system with key connectors to relevant data stores.

Strategy

Partnership model, with all logistics, technology, data, data security, and processes internally controlled.

Recommendation

Congratulations, based on your responses to the questionnaire, your organization has achieved the Activating stage of eDiscovery maturity! Your legal department has internal and third-party teams working within well-defined parameters in a process of continuous improvement, innovation, and added value. In this stage you are positioned to withstand the shocks and surprises of a dynamic global business environment and can more easily quickly adjust your operations to manage evloving eDiscovery, compliance and security risks.

Strengthen your legal operations team by assigning responsibilities for emerging areas like compliance, security, and privacy.
Continue to monitor evolving data and technology trends and forecast potential impact and risk.
Look for opportunities to take advantage of technology innovations to improve processes and workflows.
Continue to evaluate your technology and look for ways to integrate systems and automate processes.
Monitor security threats and find ways to mitigate data risk.

What is Casepoint’s eDiscovery Maturity Model?

This maturity model is for legal department leaders including GCs, AGCs, and Legal Operations Professionals who understand the importance and value of transforming their roles and that of their teams in order to address the myriad challenges faced by their company.

By addressing eDiscovery first, corporations can see immediate benefits from a risk and cost perspective. By taking a holistic approach to people, process, technology, and strategy, legal operations can transform from a reactive, ad hoc organization to a proactive, mature team utilizing our model and approach.

Download the Casepoint Maturity Model

5 Reasons Why You Should Prioritize eDiscovery When Pursuing Operational Maturity

There are many competing priorities within corporate law departments. Jostling for position are contract lifecycle management, matter management and billing, compliance software, data security and compliance, and eDiscovery. For many organizations, eDiscovery may be on the list, but not at the top. However, if you are pursuing a strategy that matures your entire legal operations, focusing on eDiscovery will have the biggest impact on your operations in the shortest amount of time. Here’s why:

1. Realize Immediate Impact

Focusing on eDiscovery maturity first allows you to immediately address, and have a significant impact on, critical risk and cost functions in the face of increased litigation investigations, compliance oversight, and data-based risks.

2. Achieve EDRM Compliance

A strong extensible technology that covers the full Electronic Discovery Reference Model (EDRM) not only ensures that a corporation reduces risk by maintaining control of data through the full eDiscovery lifecycle, it also assists legal ops practitioners with EDRM tasks that fall within their purview, such as legal hold, preservation, collection, internal investigations, Legal Ops, claim management, and matter management.

3. Take Control of Your Data

eDiscovery as a practice impacts all other areas of legal operations. When you are able to understand and manage the data you control across the entire eDiscovery lifecycle, you are automatically in a better position to address other data-intensive practices, including matter management, contract lifecycle, compliance, and data security.

4. Improve Legal Operations

Having the people, processes, and technology in place for mature eDiscovery supports the primary function of the legal department as a whole. In addition, the talent spawned from litigation support and eDiscovery industry gives you the most well-rounded, skills-diverse candidates who can negotiate the full spectrum of Legal Ops decisions.

5. Consolidate Your Tech Stack

Having the right set of tools and capabilities in place — including secure and scalable cloud-computing, a flexible and extensible platform, and AI technologies and analytics — will reduce your overall tech stack. It will also help you respond to unanticipated challenges with more speed and agility.

Standardizing on one technology allows legal departments to maintain process consistency and efficiency, both internally and among external providers. Choosing an experienced technology partner, such as Casepoint, to deploy that technology is an essential step in standardizing on an extensible technology.