Principle 4 - Sound Process

DRAFT – UNDER DEVELOPMENT – PLEASE COMMENT

The Principle

Service Providers should define, implement and audit documented sound processes designed to ensure the Legal Defensibility of their product and service offerings.

The Corollary

Clients should cooperate with Service Providers to ensure that auditable, documented sound processes, appropriate for each engagement, are defined and implemented by all concerned parties to ensure Legal Defensibility.

Guidelines

1. Service Providers who develop products for use in the legal or regulatory process should ensure that their product or products meet the minimum requirements of Legal Defensibility.




2. Service Providers who perform services in connection with the legal or regulatory process should ensure that their services meet the minimum requirements of Legal Defensibility.




3. Service Providers should exercise reasonable diligence to remain knowledgeable and competent in regards to best practices related to sound processes for ensuring Legal Defensibility.




4. Prior to the acquisition of a product created for use in the legal or regulatory process, the acquiring party should make reasonable inquiry of the developing Service Provider regarding the testing and scientific validity of the processes incorporated into the product.




5. Prior to sales, and upon inquiry, Service Providers who have developed a product for use in the legal or regulatory process should make reasonable disclosure of the processes incorporated into their product, including auditing features, to permit the acquiring party to determine if the product meets the minimum requirements for Legal Defensibility.




6. Prior to engagement, Clients should make reasonable inquiry of their Service Providers regarding the standard auditable, sound processes utilized by the Service Provider, as well as customizable sound process that can be implemented for that specific engagement.




7. Prior to engagement, and upon inquiry by a prospective Client, Service Providers should make full disclosure of all standard sound processes utilized by the Service Provider, including auditing, as well as customizable sound processes that may be available and recommended for that specific engagement.




8. Service Providers should implement documented sound processes, including auditing, to ensure Legal Defensibility of the work in each engagement.




9. Service Providers have the duty to promptly notify Clients of any known breakdown in a process during an engagement, including the timing and scope of the error, and response by the Service Provider.




10. Upon request of a Service Provider, Clients should not disclose to any unrelated party any proprietary information regarding the processes employed by the Service Provider in connection with the Legal Defensibility of their product and service offerings.

Discussion

This Principle rests on the overriding requirement that technology and processes must be meet the requirements of defensibility in connection with legal and regulatory matters. Legal Defensibility is measured by various rules of civil and criminal procedure, as well as standards for the admissibility of evidence in courts of law, alternative dispute resolution, administrative and legislative hearings. These rules require the application of scientific principles and practices to the legal process. Amongst these principles include defined repeatable processes, established procedures for testing and auditing results, and the potential for peer review.

A Service Provider developing a product for use in the legal and regulatory process should not hide behind a claim of trade secret to avoid disclosing details to determine defensibility of a product.

Examples

[under development]