The Clearwell E-Discovery Platform v7.1.2 -...

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The Clearwell E-Discovery Platform v7.1.2 - Product Review Guide

Clearwell provides a single product for the identification, collection, processing, analysis, review, and production phases of e-discovery that dramatically reduces the cost, time, and complexity of e-discovery. Whether deployed within the corporation or hosted by a Clearwell certified service provider, the Clearwell E-Discovery Platform:

1. Enables IT or Legal teams to easily identify and collect from all critical data sources in a forensically sound manner

2. Accelerates document processing, allowing users to gain immediate visibility into case facts and estimate the size and cost of e-discovery

3. Brings a new level of transparency to e-discovery search, enabling a more collaborative and defensible process

4. Delivers interactive analysis and culling capabilities to prune large datasets to much smaller, more relevant ones

5. Enables a flexible end-to-end e-discovery workflow, from identification and collection to review and production, eliminating the costly movement of data across multiple, disparate tools

6. Provides comprehensive case management, auditing, and reporting capabilities, enabling users to monitor case progress in real-time across the entire e-discovery lifecycle

This document can be used to guide you through the Clearwell E-Discovery Platform’s various capabilities. Working through the guide’s suggested workflow will provide reviewers with a good sense of the typical e-discovery process using Clearwell. The guide uses a fictional case, SEC v Tamas Corp., in which you are the Director of E-Discovery, Scott Miller, in order to demonstrate this workflow. As you know, every case is different and there are several features and capabilities not covered throughout the guide. We encourage users to go through the workflow described in this guide first and then explore the application in more detail.


Clearwell within the EDRM

The Clearwell E-Discovery Platform is available as an easy to administer physical or virtual appliance that is up and running quickly with minimal IT resources. Since the product’s web-based interface is extremely intuitive and user-friendly, most attorneys, litigation support professionals, and IT / security teams are productive immediately with minimal training. As an end-to-end e-discovery solution, it allows users to streamline their entire e-discovery process from identification & collection through review & production with a single product. The following instructions will guide you through a typical e-discovery workflow, beginning with identification and working all the way through production.

Figure 1: Clearwell provides a single, integrated platform for end-to-end e-discovery, from identification through production.


Case Overview: SEC v Tamas Corp.

You are Scott Miller, working for the Tamas Corporation as Director of E-Discovery. Mike Tamas, David Carter, Phil Smith, and Sally Burton are key employees with the Tamas Corporation and are alleged by the SEC to be involved in an accounting scheme that resulted in falsified 2008 earnings. Your team has decided to target approximately 20 key custodians and is looking for documents created in 2005 and forward stored a variety of different sources.

For this lab, the data has already been collected using Clearwell Collection modules and added to the case ready for processing.

Throughout the guide, you will:

1. Audit the new collection to ensure that it is complete and all necessary data is available

2. Perform intelligent culling to quickly identify and remove non-relevant documents

3. Utilize Clearwell’s Transparent Search for keyword searching generation of defensible search reports 4. Analyze email Discussion Threads to help perform an early case assessment 5. Utilize term analysis to understand additional keywords relevant to the case 6. Use an integrated review module to rapidly review and redact relevant documents

7. Produce a responsive document

8. Review produced documents before sending them to opposing counsel


Getting Started

Clearwell’s web-based platform makes accessing the Clearwell appliance and your case data easy from anywhere. In this section you will:

Log into the Clearwell appliance


Login to the Clearwell E-Discovery Platform

First, access the Clearwell application using your web browser. Login using User “clearwell” and password “clearwell”. The application is provided as a web-based solution for which administrators assign users with appropriate access control rights. Users can login anywhere that has a secure Internet connection Summary of Benefits: Enables effective collaboration between IT, litigation support professionals, and inside and outside counsel.

1. Enter Clearwell

2. Enter Clearwell and click

Log In

Identification - Collection - Pre-Processing - Processing - Analysis - Review - Production


Pre-Processing

The Clearwell Pre-Processing Module provides you with a holistic view of all collected Electronically Stored Information (ESI) prior to processing. You can filter case data and audit the collection phase, thereby reducing data volumes and lowering the risk of sanctions. Furthermore, understanding total data volumes allows legal teams to better estimate the cost and duration of downstream e-discovery phases. In this section you will:

Analyze a new data collection and determine exactly how much data will be sent down-stream for processing and review in order to provide accurate case budget and timeline estimates

Filter unnecessary file types from the collection in order to reduce downstream costs

Audit a new data collection to ensure that all required data is available thereby avoiding sanctions



Analyze the New Collection You’ll notice that Collection 3 has yet to be processed based on the Progress meter (0%). Select this collection to analyze and audit it before processing. Clearwell supports more than 400 files types including Guidance LEF (L01) and E01 files. Summary of Value: Provides ability to quickly check the status of processing jobs and directly access evidence files.

1. Click on Pre-

Processing Options



Analyze the New Collection

Now, isolate Collection 3 and optimize the viewing range.

1. Click none to de-select all the collections. Then, checking the box Sales Managers to isolate collection 3

2. Select Relative from the

Data Axis drop-down menu

3. Expand the Processing Options pane by clicking on the separation line and dragging it down



Filter by File Type

Here you will filter the data prior to processing by Date Range, Size, or File Type to reduce downstream data volumes. You have determined that .ppt and multimedia files are not relevant to the case, so you want to eliminate them before processing. The graph below shows the effects of various processing actions and stages and provides the total data volume to be processed. Summary of Value: Allows users to reduce data before processing, saving processing costs. Additionally, Clearwell’s pre-processing statistics show you exactly how much data will be processed, which is instrumental in estimating downstream e-discovery costs and developing case budget and timelines.



1. De-select Microsoft Power Point and All Multimedia Files (sound and video) to exclude them from processing

2. Click Apply

Amount of data collected

Data volume after un-compression (extracting compressed files such as .zips)

Data volume after de-NISTing (removal of system-generated files)

Data volume after applying processing filters

Final data volume to be processed. This will be used to estimate downstream costs and timeline

3. Note that the amount of data to be processed should be

740.4 MB



Analyze the New Collection You can analyze the new collection using various graphs such as Summary, Document Type, Custodian, and Timeline.

1. Select different graph options using the Analysis drop-down menu. Finish

by selecting Timeline



Audit the New Collection

For this collection, you’ve asked IT to collect data from December 2004 to December 2008. Using Timeline analytics you can verify that data has been collected over that range. However, when you zero-in on David Carter’s collection you can identify that 4 months of data is missing – good catch! This issue can now be addressed at the beginning of the case. Summary of Benefits: Ensures that there are no data “time gaps” and that sanctions are avoided.

1. De-Select Sales Managers. Then click on the + icon to expand “Carter, David”. Then select all for “Carter, David”

2. Select All Dates instead of Dates with Data in the

Show Drop-down Menu

4. Click on Search & Analysis to navigate to next functional area

3. Scroll to the right to find the timegap between 4/07 and 8/07

The grey area represents data excluded from processing options. The yellow represents data selected for processing.



Processing

The Clearwell E-Discovery Platform intelligently filters and processes case datasets in hours instead of days. As a result, you can analyze relevant case data sooner and gain insight into case facts almost immediately.

3-5X faster processing than competitors

Comprehensive de-duplication across all case documents

Automated processing, eliminating manual effort

For the purposes of this review we will not actually process the documents. They have been processed ahead of time.


Analysis

The Clearwell E-Discovery Platform reduces downstream review workload by enabling users to rapidly search and cull-down case datasets to only the relevant data—typically 10-20% of the original case dataset. As a result, you review only what is relevant. During Processing, the Clearwell Platform performs additional analysis on the case data to power a unique set of analysis features. These features allow users to “slice-and-dice” case data in dozens of different ways to uncover case facts and review information in context. In this section you will:

Perform intelligent culling to quickly identify and remove non-relevant documents

Utilize Clearwell Transparent Search for targeted keyword searching

Generation a defensible search report detailing keyword searches and refinements

Analyze email Discussion Threads to perform early case assessment

Utilize term analysis to understand additional keywords that might be relevant to the case



Search & Cull-Down - Perform a Search for All Case Documents

First, pull up the view of all case documents.

Click Go



Perform Intelligent Culling

The search metrics towards the top of the screen reveal that there are 14,102 documents in this case. Our users regularly use the Clearwell E-Discovery Platform for cases with 1M-10M documents. First, use Clearwell’s Auto-Filters to explore the case and look for ways to cull non-relevant documents. A great place to start is often in identifying irrelevant email. Irrelevant email messages generate false positives during keyword searching so it is beneficial to identify and cull them out upfront. For this case you will remove all email coming from irrelevant domains.

1. Click the Sender Domain arrow to expand the list of sender domains

4. Click the Apply Filters button to only return email from the selected non-relevant domains

2. Click the none link to de-select all domains

3. Which email domains look like obvious spam senders? Select wsj.com, espn.com, ebay.com, itunes.com, amazon.com



Bulk Tag Non-Relevant Documents

Note the updated search counts after filtering for just the non-relevant domains. Approximately half of the case documents consist of email from irrelevant domains. You will now bulk tag these emails as Not Relevant. By clicking the Detail button, you can review the content of the email to confirm that it is irrelevant. Summary of Value: Bulk tagging irrelevant documents at the beginning of the process allows you to significantly reduce the number of irrelevant documents sent downstream to review, drastically reducing the overall cost of e-discovery.

1. Click Actions and select Tag



2. Select Tag only the document parents – choose Next.

3. The sample screen allows you to select a random sample of documents – typically for Quality Control checks.



4. Expand Early Case Assessment and select Not Relevant – Check.

Then click Next.

5. The Confirm screen provides a summary of selections.

Click Finish to perform the tag operation.



Perform a Basic Keyword Search

Note the updated search counts. Next, you will perform Basic Keyword Searching against the untagged documents. You are interested in finding documents related to falsified earnings. But you need to make sure you find all related word variations (falsify, falsification, falsifies, earning, earnings, etc). As a result, you will initially perform a wildcard search for fals* AND earn*.

1. In the Search field, enter the following exactly as it appears (case sensitive): fals* AND earn* 2. Click Go



Evaluate the Results

You’ll notice 997 documents were returned for the search query false* AND earn*. Examine the first few results and confirm that there are some false positives (files that do not relate to falsified earnings) included in the results

1. Click Detail to expand the content of the message or file. Notice that search terms are highlighted in the email and in any attachments. Also notice that the content does not relate to falsified earnings (Dale Earnhardt is not part of this investigation), i.e. it is a false positive

2. In order to refine these results using Transparent Search, click the Advance Search button



Perform Transparent Keyword Searching

Now you will use Clearwell’s Transparent Search to conduct the same search. Transparent Search allows you to:

Preview search hits to eliminate false positives before searching.

Efficiently sample search results to determine relevancy of terms and support defensibility of the search process. (Not demonstrated in this workflow)

Generate a defensible search report documenting all aspects of the search.

Perform multiple searches simultaneously, saving significant time during search and during review of search results. (Not demonstrated in this workflow)

First, you will use Search Preview to identify wildcard hits within the dataset and select relevant term variations only.



1. Click the Search Preview icon to preview the search term matches before re-executing the search



Perform Search Preview

The Search Preview window displays all of the wildcard matches exactly as they exist in this case along with corresponding hit counts for emails and files. This will allow you to zero in on the intended variations and eliminate a significant amount of terms that would have returned false positives and identify relevant case facts more rapidly.

1. Click the top checkbox to de-select all Variations 2. Scroll down in the list and check only falsification,

falsifications, falsified, falsify, falsifying, falsity

3. Drop down this selection and select earn*



Perform Search Preview

1. Click the top checkbox to de-select all Variations 2. Scroll down in the list and check only earning, earnings=(price[month]-co…, earnings, earnings-at-ris, earnings-at-risk, earnings-enhancing,

earnings.xls, earnings-$36

3. Click the OK button



Perform the Keyword Search

You selected only 14 of 47 possible term variations. The Search Preview allowed us to exclude 33 terms that would have generated a significant number of false positives. Summary of Value: Reduces the downstream review volume, lowering the total cost of e-discovery. Also enables users to more rapidly identify pertinent documents, thereby accelerating early case assessments. Now, perform the search.

1. Click the Run Search button



Evaluate Transparent Search Results

Notice that there are 79 documents returned after using Transparent Search, as opposed to the 997 documents returned using basic keyword search. Also, notice the term falsified earnings now appearing in the first document. Nice work using transparent search to rapidly identify the relevant evidence! After this, you will view the automatically generated Search Report. Summary of Value: Transparent Search reduces false positives – in this case there was a 91% reduction in the number of potentially relevant documents to review, significantly reducing downstream review costs. Transparent search also allowed you to quickly identify relevant documents, which accelerates early case assessments.

1. Notice the reduced document account and relevant keyword hits

2. Click the Report link to generate a search report based on the search queries and results



Generate a Search Report

Once you’ve completed your Transparent Search, you will generate a search report. Clearwell provides a search report based on all of the search queries, refinements, and their results. The report can be exported so you will share this with your outside counsel and you’ll be bringing a copy of this report to the Meet & Confer. Summary of Value: Automatic reporting proves invaluable in bolstering the defensibility of your search process.

1. Click Show Keyword Detail to expand the detail for each search query 2. Examine the detail. Along with detailed counts, this report includes the term variations that were included/excluded using Search Preview.

3. Click 79 Documents link to navigate back to the search results



Bulk Tag Responsive Documents

Once you are back in the search results view, you will tag the 79 documents as Potentially Responsive. You will use the same workflow used when bulk tagging the not relevant documents before. You’ll ask your outside counsel to review and redact all the documents tagged here.

1. Click the word Tag to reveal tagging options. 2. Click Potentially Responsive then click Check 3. Select the radio button for 100 % of documents 4. Click the Apply button



1. Choose Tag only the document parents. 2. Click on Tags. This shows you can skip the sample section if you wish.

3. Expand early case assessment and choose potentially responsive Click Next.

4. Check the summary then click Finish.



Perform Discussion Thread Analysis

Clearwell provides a variety of features to perform deep analysis of case documents. These features allow users to establish timelines and chains of events, uncover additional key custodians, and identify important keywords. Read through the content of the first document in the list. “Wall Street Earnings numbers”!?! - it looks awfully suspicious and deserves some additional analysis.

2. Read through the content of the first email in the list with the subject Wall Street Earnings Numbers 3. Click the Discussion (15) link. This means this email is part of an email thread with 15 emails.

1. Click the Detail link to view the contents of the email



Perform Thread Analysis

During processing, Clearwell identifies email threads across emails, files, and custodians and then graphically represents the thread timeline. This email thread was started by Phil Smith. He initially sent the email to Bernie, Jenny, Robert, and Matt and each of those people took action by forwarding/replying to the email. This allows you to determine who knew what, and when. Summary of Value: Viewing a visual thread makes it easy for you to develop a chronology of actions and identify custodians involved and how they relate to one another. This is extremely valuable when conducting early case assessments and when trying to identify all relevant custodians in a case.

1. Examine the individuals in the thread tree. This gives us insight into other important custodians that are involved 2. Hover over a Mike Tamas to see all email aliases associated with this custodian 3. Click on a few of the names in the discussion thread to examine their correspondences in this discussion



Perform Term Analysis

During processing, Clearwell’s Term Analysis extracts key terms and phrases from documents and then presents them chronologically. You’ve just uncovered the secret project name “Project Football”, unraveling a whole trail of evidence. Summary of Value: Helps uncover code words or secret project names that weren’t previously considered for keyword searching.

1. Click the Terms tab and review the list of terms. Which term in the list seems suspiciously out of place?

2. Click the arrow next to the term project football payment to expand the snippet view. This is a code phrase the executives were using to hide their activity.


Review

The Clearwell Review Module is designed to accelerate the document review process, improve reviewer consistency, and support a flexible e-discovery workflow. The Review Module supports native review and does not require prior conversion of documents to TIFF. In this section you will:

Explore Clearwell’s review module features including Decision-Tree Tagging, Persistent Hit-Highlighting, Related Items Window, and Breadcrumb Navigation.

Review a document and tag it using Decision-Tree Tagging

View the document natively within Clearwell’s integrated Native Viewer

Apply a redaction and assign a reason code



Navigate to the Review Document Batch

You’re now moving from ECA mode to legal review mode. Review Mode allows the user to rapidly review and tag documents. First, select the document set to review.

1. Open the Documents drop-down menu and expand the Review menu by clicking on the + button to the left of Review. 2. Expand Review Set #1 3.Select Batch-001 4. Click GO



Select Review Mode and Optimize Settings

The Clearwell E-Discovery Platform provides a fully integrated review module that you will navigate to with the click of a mouse. First, you want to highlight your search terms and optimize the review screen real estate to accelerate review. You can simultaneously highlight hits in different colors from multiple queries. Summary of Value: Integrated review module enables simple and rapid iteration between phases and eliminates manual errors encountered when exporting and importing data between multiple, disparate tools.

4. Click to change to the right-most Viewing Mode which opens the Review Mode view

3. Click the Filter Close Arrow to collapse the filter pane and increase screen real estate for the reading pane

1. Check the Previous Search: [Any: fals*AND..]

2. Click Actions then select Highlight terms



Review and Tag a Document

Clearwell’s review module and allows you to rapidly review and tag documents. The Review Module supports both HTML (shown below) and native file review. Clearwell’s Decision-Tree Tagging provides the ability to tag documents using a customizable, multi-layer tree structure that directs reviewers into key decision points. Below, you’ll notice the Related Items window and Breadcrumb Navigation feature. Summary of Value: Decision-Tree Tagging Prevents errors and minimizes the number of clicks needed to accurately tag a document. Related Items makes it easy for you to review files in context with other related files, and Breadcrumb Navigation ensures you never get lost while navigating through related items.

Decision-Tree Tagging Window with customizable tags. The Tagging and Related Items windows can be popped-out to maximize screen real estate

The Related Items window automatically displays documents related to the document being reviewed. Reviewing related documents together improves consistency, eliminates redundant review, and enables bulk decisions

Breadcrumb Navigations tool provides a quick and simple way to navigated between related items

Document review window featuring multi-search hit highlighting



Review and Tag a Document

Now, you will apply a tag to this document. Evaluating this document, it appears to be both Responsive and Attorney-Client Privileged. When clicking the Attorney Client tag you’ll notice that the appropriate parent tags above are automatically applied. Summary of Value: Improves the speed and accuracy of tagging decisions.

1. Expand the Tagging pane by clicking on the separation line and dragging it down

2. Click the + icons next to Review to expand the options. Click the + icons next to Responsive and Privileged as well to view all the tagging options

3. Check Attorney Client. This automatically applies the Privileged and Responsive tags



View the Document File Natively

Next, you will view the document natively. Clearwell provides the ability to review documents in their native format without requiring each application to be loaded on a reviewer’s workstation. Both text search and hit highlighting within documents are also available. Summary of Value: Accelerates location of pertinent terms within documents.

1. Click the Text button and select Native/Image *Note* You may need to install ActiveX Control the first time you view a document natively. If your web browser asks you to install the Bravia Client please allow it to do so and click Install Document Viewer and then click Run



Redact Privileged Information

Clearwell enables reviewers to quickly and easily redact documents in multiple colors, apply reason codes, and verify redactions prior to production. The redaction menu provides tools for manually redacting specific text, pages, or areas within a document or for performing search and auto-redactions for keywords, phrases, and personal information.

1. Click the Native button and select Redaction, then Default. This displays the redaction menu.

2. Select the redaction tool by clicking on the circled icon

3. Click on the top left corner of this box and drag the bottom right corner to redact this selection of text

4. Type attorney client as the reason code and click OK



Redact Personal Information

In this case personal information, such as email addresses, must be redacted. In order to find all instances of the personal information, you will use the Redact Privacy Info feature. Summary of Value: Reduces risk and saves time for reviewers by ensuring that all instances of personal information is located and automatically redacted.

1. Select the Redact privacy Info tool by clicking on the circled icon.

2. Check the Email address box. 3. Select the color green for the redaction 4. Type personal information in the Reason box 5. Click Redact


Production

Clearwell further streamlines the e-discovery process by offering efficient, scalable document production capabilities that integrate directly with the Clearwell E-Discovery Platform. The document production features allow you to complete the entire legal e-discovery workflow within the Clearwell solution. In this section you will:

Review Production options

Lock and produce a document

Review the produced document’s Bates Stamps, headers, and watermarks before sending to opposing counsel

Due to time constraints, we will not perform a full production. A production output can be reviewed as follows:

Go to the Folders menu, expand Productions, click on Production Batch 1 then click Go.

In review mode, from the View menu, select production then– production batch 1.

Here you can see the results of a production with headers and footers which are configurable.


Case Analytics

Clearwell tracks key e-discovery metrics and provides automatically generated e-discovery reports in real-time. In this section you will:

View end-to-end e-discovery lifecycle reporting in automatically generated graphical reports


View End-to-End E-Discovery Lifecycle Reporting

Now, you can access Clearwell’s Lifecycle Reporting which provides integrated dashboards and reporting for each stage in the e-discovery process from collection through production.

1. Click Case Home to access end-to-end reporting.

2. Click Data Analytics to view the graphical reports.


3. This provides an end to end summary report and by choosing the tabs, more details per stage.


View End-to-End E-Discovery Lifecycle Reporting

With Clearwell’s end-to-end reporting you can track several key e-discovery metrics throughout the entire e-discovery lifecycle. You can examine an overview report documenting data volumes throughout each stage of the e-discovery process and drill down into additional reports of documents collected, processed, and reviewed. Summary of Value: Summarizes case status from collection through production in a single dashboard, enabling unparalleled visibility into every stage of e-discovery.

1. Click the Orange Dot to drill down into the processed graph. 2. Explore the other graphs available for each stage of the e-discovery process.


Congratulations Scott Miller – Director of E-Discovery!

You’ve now completed your e-discovery tasks using Clearwell’s E-Discovery Platform. You have:

Utilize an Interactive Data Map to identify relevant data sources for a targeted collection

Defensibly collect data from a variety of sources and schedule, analyze, and filter the collection

Analyzed a new collection to determine the impact of the additional data

Audited the new collection to ensure that it is complete and all necessary data is available

Performed intelligent culling to quickly identify and remove non-relevant documents

Utilized Clearwell Transparent Search for keyword searching generation of defensible search reports

Analyzed email Discussion Threads to help perform an early case assessment

Utilized term analysis to understand additional keywords relevant to the case

Used an integrated review module to rapidly review and redact relevant documents

Produced a responsive document

Reviewed produced documents before sending them to opposing counsel

The Clearwell E-Discovery Platform v7.1.2 -...

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