Detailed Document Review Process:
1. Planning and Preparation:
a. Define the Purpose and Scope
Clearly identify why you're doing the review:
o Legal case (e.g., litigation, investigation, arbitration)
o Contract analysis
o Regulatory compliance (e.g., GDPR, HIPAA)
o HR or policy audit
Determine:
o Which documents are in scope (emails, contracts, reports, etc.)
o What time period is covered
o Who are the custodians (authors or recipients )
b. Build a Review Strategy
Choose a review method: manual, semi-automated, or software-assisted
Decide on review criteria, like:
o Relevance
o Confidentiality
o Privilege
o Responsiveness to request (e.g., from court or regulator)
2. Collection and Organization of Documents:
a. Data Collection
Collect documents from relevant sources:
o File servers
o Email systems
o Cloud drives (Google Drive, SharePoint, etc.)
o Databases or CRM systems
o Physical documents (scan and digitize)
b. Data Processing
Convert documents to consistent, reviewable formats (e.g., PDF, DOCX, TXT).
Apply OCR (Optical Character Recognition) to scanned documents.
c. Organize Documents
Create folders based on:
o Custodian (who owns or sent the document)
o Type (e.g., contract, email, report)
o Date
o Topics or issues
3. Pre-Review Setup:
a. Set Review Criteria
Define exactly what reviewers are looking for. For example:
Relevance: Does it relate to the issue being investigated?
Privilege: Is it a lawyer-client communication?
Confidentiality: Does it contain personal data, trade secrets?
Responsiveness: Is it responsive to a legal or compliance request?
b. Create a Review Protocol
Draft written guidelines so that reviewers are consistent.
Include:
o Definitions
o Examples of what to mark as “relevant” or “privileged”
o Tagging conventions
o Review workflows
c. Choose Technology (if applicable)
Document Review Software: e.g., Relativity, Everlaw, Logikcull, Casepoint
Contract Analysis Tools: e.g., Kira, Luminance, Ironclad
Features to use:
o Keyword search
o Redaction tools
o Auto-tagging
o Audit logs
4. Review Execution:
a. First-Level Review (FLR)
Review documents for basic criteria:
o Relevant / Irrelevant
o Responsive / Non-responsive
Apply tags or labels
Flag unclear documents for second-level review
b. Second-Level Review (SLR)
Usually performed by more experienced reviewers or legal professionals
Look for:
o Privileged documents (e.g., legal advice)
o Confidential or sensitive material
o Deeper analysis of relevance or risk
Decide on redactions (e.g., blacking out personal data)
5. Quality Control (QC):
Spot check a sample of documents reviewed
Use a second reviewer to double-check key decisions
Confirm:
o Tags are applied correctly
o No privileged or sensitive documents were missed
Maintain an audit trail of decisions
6. Analysis and Reporting:
Summarize findings:
o How many documents reviewed?
o How many were relevant?
o What patterns or themes emerged?
Create a report with metrics and key documents
Prepare summary charts or visuals if needed
7. Finalization and Handoff:
Export relevant documents
Redact sensitive content as needed
Deliver final set to:
o Legal team
o Compliance officer
o Regulator
o External counsel
Ensure data security and proper archiving of documents
✅ Best Practices:
Area Best Practice
Consistency Use a documented review protocol
Efficiency Use keyword search and tagging tools
Accuracy Include a second-level review and QC
Compliance Ensure proper handling of personal and confidential data
Documentation Log decisions, reviewers, and timestamps for audit trails
