While preparing for a merger, a global leader in the paper industry received a Hart-Scott-Rodino (HSR) Second Request from the DOJ and had a short window to respond in defense of the transaction. As is typical with HSR investigations, broad concerns drove the data set to be extremely large, and review and production was challenging due to complex privilege issues and common interest agreements.
With only 60 days to respond, the company faced tremendous time pressure to analyze and review more than 8 TB of data and produce the relevant documents to the DOJ.
The Lighthouse Review Solutions team used a combination of technology-assisted review (TAR) and analytic technologies, as well as a proprietary automated privilege review and privilege log creation tool, PrivSmart, to identify documents that require privilege review.
Prior experience with HSR Second Requests allowed the Lighthouse team to identify potential issues at the outset, including the requirement to submit a complex privilege log and accompanying names list at the conclusion of the project. Leveraging PrivSmart Review Solutions, Client Services, and Product Development teams, a custom-engineered tool was built to normalize the email strings and to pull sender and receiver information from lower threads to generate a comprehensive privilege log.
In three days, three attorneys reviewed 2,200 seed documents through a TAR workflow to train the system to rank the documents by potential relevance. Once the documents were run through the TAR process, the Lighthouse team conducted email threading and leveraged PrivSmart to identify documents that required privilege review.
Subsequent collection sweeps were conducted over the course of the investigation as additional subject matters and custodians were identified, leading Lighthouse to receive an additional 48 million records. The data reduction process was repeated for each of these collections, which included two separate TAR reviews and four “catch-up” TAR rounds.
Throughout the matter, Lighthouse worked closely with the client’s counsel to develop a TAR protocol to both meet their needs and satisfy the DOJ requirements. The Lighthouse team also assisted in providing technical and workflow details and participated in several calls with DOJ personnel to answer questions and address concerns. As part of the protocol, the DOJ requested random validation samples, which Lighthouse hosted for their review and provided statistical analysis of the results.
Overall, the Lighthouse team helped cull down the initial collection data set of more than 23 million documents by roughly 95%. Ultimately, approximately 1.7 million documents were produced over the course of a 20-day production window.
MATTER LENGTH IN DAYS
DATA SET REDUCTION
PRIVILEGE LOG ENTRIES
Right off the bat, the TAR workflow was able to reduce document volume by 50%. The document volume was further decreased by leveraging email threading and PrivSmart, leaving only 150,000 documents to review for privilege. Many of these documents could simply be spot-checked for verification, and the remaining 460,000 documents were produced to the DOJ without requiring expensive and time-consuming eyes-on review.
In addition to the produced documents, the custom tool built by the Lighthouse team generated an 800-page privilege log per requirement by the DOJ. The validation process was successful, and the DOJ was satisfied with the TAR process and results. This on-time production to the DOJ allowed the client to complete the merger in their desired timeline.
For 25 years, Lighthouse has provided innovative software and services to manage the increasingly complex landscape of enterprise data for compliance and legal teams. Lighthouse leads by developing proprietary technology that integrates with industry-leading third-party software, automating workflows, and creating an easy-to-use, end-to-end platform. Lighthouse also delivers unique proprietary applications and advisory services that are highly valuable for large, complex matters, and a new SaaS platform designed for in-house teams. Whether reacting to incidents like litigation or governmental investigations, or designing programs to proactively minimize the potential for future incidents, Lighthouse partners with multinational industry leaders, top global law firms, and the world’s leading software provider as a channel partner.