EDRM Code of Conduct/Principle 5 - Cooperation

From Working EDRM

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Contents 1 Principle 1.1 The Principle 1.2 The Corollary 2 Discussion 3 Best Practices 4 Examples

Principle

The Principle

Service Providers should be mindful that the best interest of the client dictates that each Service Provider engaged in the EDD process should fully cooperate with each other in order to produce a quality deliverable in a timely manner. The best interest of the client should control the behavior among Service Providers engaged to work together on a matter.

The Corollary

Clients must understand that their best interests (and the best interests of their clients) necessitate allowing Service Providers to work together; and, consequently, Clients should encourage Service Providers to work together as much as is practicable.

Discussion

Clients frequently engage separate Service Providers to manage the different phases or tasks associated with the identification, harvesting, processing, loading into a litigation support application, reviewing and producing of both paper based and electronic evidence. By virtue of the fact that each Service Provider is a separate organization with its own processes, methods, protocols and personnel, it can be difficult to manage the effective handoff of the deliverable between each organization. Delay and a tendency to protect one's proprietary processes is a natural state for a Service Provider.

Service Providers who have been engaged to work together on different phase of a matter have a responsibility to make sure that their work product is performed and delivered in a manner that is consistent with the expectations of the Client and that the channels of communication stay open between all parties so that there are no surprises and the ultimate deliverable is produced on time and according to expectations of the Client.

We include the following best practices with the full knowledge that many clients, be they corporations or law firms, do not want their Service Providers in communication either directly or indirectly with their opponents. While we understand this attitude, we believe it is counterproductive. At the very minimum, the clients can monitor the interaction between Service Providers. Furthermore, many federal courts are now strongly encouraging information technology departments of parties to communicate with each other. See, e.g. Standing Order on Protocol for Discovery of Electronically Stored Information in Civil Cases before the Honorable Frank D. Whitney, W.D.N.C. Misc. No. 3:07-MC-47 at ¶ 9b (Filed 05/14/2007).

Best Practices

1. At the beginning of a matter, Service Providers should identify project managers who will be responsible to establish a scope of work and clear channels of communication among all parties to the engagement.
2. Service Provider’s Project managers should clearly identify the role of their company, the specifications of their deliverable, and the expectations of the timing required to hand off their work product to the next Service Provider.^[1]
3. Service Providers should be honest with each other and the client with respect to identifying realistic time lines and assumptions necessary to move the project from one Service Provider to the next.^[2]
4. Service Providers should communicate with each other openly, honestly and frequently in order to meet the demands of the Client.^[3]
5. If it appears that a Service Provider has not met the expectations set forth in the scope of work then it is incumbent upon the Service Providers to respond to the issues as soon as possible and let the Client know what the issues are, the remedies and the time frame for fixing.

Examples

1. ^  Example - Best Practice 2: Client engages Service Provider 1 to image paper documents and to process electronic documents. Client engages Service Provider 2 to perform subjective coding of documents. Project managers from each Service Provider should use a similar statement of work to communicate the parameters of their work to client.
2. ^  Example - Best Practice 3: Same as 2. Furthermore, both project managers should communicate with each other to ensure that data will be available to Service Provider 2 in a timely manner and in a usable format so as to meet client deadlines. They should communicate and update each other frequently. Service Provider 2's project manager should give feedback concerning any problems to Service Provider 1 in a timely manner.
3. ^  Example - Best Practice 4: Client 1 sues Client 2. Client 1 hires Service Provider 1 to process data for disclosure to Client 2 and to manage incoming information. Client 2 hires Service Provider 2 to process data for disclosure to Client 1 and to manage incoming information. Either with Client 1 and Client 2 being present, or without, but with both clients' permission, project managers from Service Provider 1 and 2 should work together to ensure that the production is as efficient and cost effective for all parties as possible.