Predict Proves Effective Even With High Richness Collection

Finds 94% of the Relevant Documents Despite Review Criteria Changes

Our client, a major oil and gas company, was hit with a federal investigation into alleged price fixing. The claim was that several of the drilling companies had conspired through various pricing signals to keep interest owner fees from rising with the market.1 The regulators believed they would find the evidence in the documents.

The request to produce was broad, even for this three-letter agency. Our client would have to review over 2 million documents. And the deadline to respond was short, just four months to get the job done.

This wasn’t a case of finding a needle in a haystack. Rather, a wide range of documents were responsive. A sample of the initial collection suggested that as many as 45% of the documents would be responsive. One option was to produce everything but the client had a lot of confidential and proprietary information that it didn’t want in the hands of competitors or the public. The assignment was to produce responsive documents but only responsive documents.

Making Review Efficient

Our goal was simple. Use Insight Predict, our TAR 2.0 continuous active learning (CAL) algorithm to find the relevant documents as quickly and efficiently as possible. We matched our engine with the Catalyst Review Team, a bunch of well-trained Predict ninjas who are versed in getting the most out of our software.

We started using CAL from the beginning, no waiting around for a senior lawyer “subject matter expert” (SME) to wave hands of the document under the guise of training. Rather, the team got started right away using the responsive documents already identified for initial training.

The measure of a predictive review is how quickly the algorithm can surface relevant documents. Like a bloodhound with a hanky to its nose, Insight Predict started firing on all cylinders almost immediately.

Here is a chart showing the percentage of relevant documents Predict found on a batch by batch basis.

There were almost 5,000 batches in this review. Each blue line represented the percentage of relevant documents in the batch. In the early stages, the number reached 80% to 90%. That meant the reviewer found 80 to 90 responsive documents out of 100 in their batch. It also meant the reviewer saw only a few non-responsive documents, which was our ultimate goal. Make the reviewers as efficient as possible, to keep review costs as low as possible.

Review Efficiency

This is an important but seldom-discussed topic. How many non-responsive documents does the reviewer see for each responsive one?

When keywords are used to cull documents, reviewers typically have to look at as many as nine non-responsive documents for each responsive one. That means they are wasting their time for about 90% of their review efforts. With Insight Predict, our statistics show that the ratio is much narrower, about 2 to 1, which means the team finishes faster and bills less. We call this “review efficiency,” and it is an important ratio to consider when looking at e-discovery alternatives.

In this case, the team achieved a review efficiency of 1.33 to 1, which is pretty remarkable. That means that the review team looked at very few non-responsive documents over the course of the project. Taking the math up two decimals, the average team member only had to look at 133 documents to find 100 responsive ones. Not a lot of time wasted.

That’s why the chart showed batches that quickly approached 100% responsive. Interestingly, you will see a responsive rate dip early on in the project. That was because the team had to finish a couple key custodians first and when they started running out of relevant documents, the numbers dipped. When we opened the review back up to the entire collection, the responsive rate jumped as well. Some batches were 100% responsive.

You can also see that batch richness dropped at the end. This is to be expected. With CAL, the goal is to keep reviewing until you stop seeing responsive documents. Once the responsive rate drops substantially (say to a tenth of the high water mark), that is a signal that it is time to stop. In this case the team kept reviewing batches to make sure they were nearing the end.

Adding Documents at the End

A few spikes at the end of the process occurred because the team collected some additional documents and added them to the review. With Predict, rolling collections are not a problem. The added documents simply join the ranking and are promoted accordingly. That is what happened here. With TAR 1.0, in contrast, you have to start the training over again.

Changing Review Criteria

There was another wrinkle in the review process, although it is not uncommon. At a couple of points along the way, team leaders refined their view of responsiveness. This is a natural process as you learn more about your documents and about your case. Many call it relevance drift. The simple fact is that you know more about your needs at the end of the process than at the beginning. It is one of the biggest weaknesses of the old TAR 1.0 process. If all your training is done at the beginning, how do you account for what gets learned as you go along?

Catalyst’s TAR 2.0 algorithm is noise tolerant, which means that coder inconsistencies and even changes in direction do not adversely affect it. With CAL, every ranking starts fresh, with no memory of the previous one. That way, if you were to retag tens of thousands of documents, the next ranking would take it in stride. The same is true as the team refines its search objectives.

That happened several times in this case as understanding increased. Yet, we could see no adverse impact on performance.

The Results

The team achieved 94% recall in this review, far greater than that required by the courts. They did so having reviewed only 60% of the collection. You can see how efficient Predict was in the chart below:

This is a yield or gain curve. The x-axis shows the percentage of documents reviewed. The y-axis shows the percentage of responsive documents found.

The diagonal dashed line shows the expected progress of a linear review. In a linear review, if you look at 20% of the documents, you will expect to see, on average, 20% of the relevant ones. At 50%, 50%. At 100%, 100%.

The blue line shows a perfect ranking. It represents how the review would go if the algorithm pushed all of the responsive documents to the front and the reviewers never had to look at a single non-responsive document. Of course, this never happens.

The red line shows how this review went. Because richness was high (45%) you can’t expect the typical straight up rise you might see with lower richness (we have many examples including our TREC published work). Rather, the proper measure is how it compares to the alternative: linear review.

So, for example, in this case the team found 80% of the documents after reviewing just 45% of the population. To get to 80% in a linear review, you would have to review 80% of the documents, or an additional 370,000 documents. At an average of $1.50 per document reviewed (and QC’d), the client saved $550,000 dollars using a predictive review.

No algorithm can achieve perfection and the question to ask is how close did we come. In this case, the answer is pretty close. As we mentioned before, the team achieved a review efficiency of 1.33 to 1. That translates to viewing about 60% of the population to get better than 90% recall, which you can see in the chart. The review was about as efficient as it can be.

TAR 1.0 systems generally can’t handle low richness collections, requiring users to cull the population using keywords or otherwise until richness rises to 15% or higher. TAR 2.0 systems excel at low richness, which makes them a safer bet for overall e-discovery. This case study also showed us that TAR 2.0, at least in the form of Insight Predict, handles high richness collections as well.

The Catalyst review ninjas met their deadline with room to spare. Review costs were a lot lower than they would have been with linear review or keyword search.

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1. Party and claim facts have been changed to preserve client confidentiality. Our goal is to show the power of Insight Predict and not to comment about the specifics of any matter.

 

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About John Tredennick

A nationally known trial lawyer and longtime litigation partner at Holland & Hart, John founded Catalyst in 2000. Over the past four decades he has written or edited eight books and countless articles on legal technology topics, including two American Bar Association best sellers on using computers in litigation technology, a book (supplemented annually) on deposition techniques and several other widely-read books on legal analytics and technology. He served as Chair of the ABA’s Law Practice Section and edited its flagship magazine for six years. John’s legal and technology acumen has earned him numerous awards including being named by the American Lawyer as one of the top six “E-Discovery Trailblazers,” named to the FastCase 50 as a legal visionary and named him one of the “Top 100 Global Technology Leaders” by London Citytech magazine. He has also been named the Ernst & Young Entrepreneur of the Year for Technology in the Rocky Mountain Region, and Top Technology Entrepreneur by the Colorado Software and Internet Association. John regularly speaks on legal technology to audiences across the globe. In his spare time, you will find him competing on the national equestrian show jumping circuit or playing drums and singing in a classic rock jam band.

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About Andrew Bye

Andrew is the director of machine learning and analytics at Catalyst, and a search and information retrieval expert. Throughout his career, Andrew has developed search practices for e-discovery, and has worked closely with clients to implement effective workflows from data delivery through statistical validation. Before joining Catalyst, Andrew was a data scientist at Recommind. He has also worked as an independent data consultant, advising legal professionals on workflow and search needs. Andrew has a bachelor’s degree in linguistics from the University of California, Berkeley and a master’s in linguistics from the University of California, Los Angeles.