Conducting Modern Investigations Analytics & Predictive Coding for Investigations & Regulatory Matters

Presentation Roadmap A Definition We Can Use Current Landscape Amongst Stake Holders Necessities, Tips &Traps Demonstrating Success & Gaining Acceptance Q&A Page 2

What is Predictive Coding? Something needs to change The cost of review is superseding the merits of the matter Large data volumes are drowning out substantive case issues, strategy, claims, and defenses

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A review methodology that amplifies the expertise of human reviewers using advanced classification and search technology What is Predictive Coding?

What are Conceptual Relationships? FrequencyProximity Concepts

Conceptual Relationships to Attorney Decisions Attorney Decisions

The Current Landscape Stakeholders & Their Position with Predictive Coding Page 9

Timely Resolution Compromise Original Scope of Inquiry The Starting Place on a Matter Page 10

Original Scope of Inquiry Revised Requirements Follow Up Requests Timely Resolution Compromise Where Many Matters Go Page 11

Variety of Stakeholders Page 12 Inquiry Corporate Client Auditors Forensic Accountants U.S. Agency Local Regulators Outside Counsel

Varied Levels of Knowledge Page 13 Disparate Local Regulators U.S Agencies with Limits Corporate Clients Sophisticated U.S. Agency Auditors & Forensic Accountants

Necessities, Tips & Traps Something needs to change The cost of review is superseding the merits of the matter Large data volumes are drowning out substantive case issues, strategy, claims, and defenses

Workflow Overview ExpertiseDocumentation Predictive Coding Analytics & Clustering Search Manual Review

Project Planning Define project goals Customize workflow to case needs Define target metrics Estimate scope of responsiveness Gauge expectations with team Project Setup Refine data selection Tune Analytics index Identify themes in context Establish starting points for review Train subject matter experts Refine approach to project reports Project Planning and Setup

Technology Leveraged Review

Enhancing Predictive Coding Evaluating Content Some documents cannot go through predictive coding Clustering and Categorization Automatically sort documents by topics More effectively segregate non-relevant docs Concept Search Find more relevant documents and less junk Faster and more accurate than elaborate keyword searches Focus on where concepts intersect with similar ones

1.Clearly define what a successful outcome would be for you 2.Do not rely exclusively on statistics in lieu of substance 3.Understand that it takes time to build a proper index 4.Understand that you may not run all documents through the process 5.Retain the right subject-matter experts from the start 6.The team must be trained to review documents for a technology accelerated workflow 7.Reviewers will disagree and confuse the system, which can cause high overturn rates - resolving disagreements takes time and is itself a process 7 Key Expectations

Screening for Privileged Material Think of this document you have seen: relevant content not apparently privileged, but there’s one additional recipient Traditional search mechanism for lawyer names, firms and common privilege terms are still critical Page 20

Demonstrating Success Gaining Acceptance from Inquiring Parties Something needs to change The cost of review is superseding the merits of the matter Large data volumes are drowning out substantive case issues, strategy, claims, and defenses

Effective Reporting Maintaining Your Defensibility Kit for Predictive Coding Analytics index construction Supporting metrics Review workflow Assisted review reports Data profile reports Support for defense

Precision: How frequently were the document decisions correct? Recall: Were all of the potentially responsive documents part of the set? Demonstrating Success

Defensibility Kit End to End Documentation Assisted Review Reports Page 24

End to End Documentation Database Profile Metrics Page 25 Defensibility Kit

End to End Documentation Database Profile Metrics Page 26 Defensibility Kit

Summary Predictive Coding is within your reach Stakeholders can accept a technology leveraged approach Expertise, workflow, stable technology, & a multifaceted approach minimizes risks Supporting documentation & metrics can lead to buy-in Page 27

Remaining Questions & Answers?

Conducting Modern Investigations Thank you for attending