# Legal and Compliance - Phase 2 Processes Backlog

## Overview

This backlog contains key processes for the Legal and Compliance specialization, organized by functional area. These processes support contract management, regulatory compliance, intellectual property protection, litigation support, corporate governance, and privacy operations.

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## Contract Management Processes

- [ ] **Contract Drafting Automation** - Implement automated contract drafting using templates, clause libraries, and playbooks to accelerate agreement creation while maintaining legal standards. [Reference](https://www.americanbar.org/products/products_books/INV00002830/)

- [ ] **Contract Review and Analysis** - Establish systematic contract review workflows with risk assessment, term extraction, and deviation tracking for incoming and outgoing agreements. [Reference](https://www.worldcc.com/Resources/Contract-Management-Standards)

- [ ] **Contract Lifecycle Management (CLM) Implementation** - Deploy end-to-end CLM system covering request intake, authoring, negotiation, execution, obligation management, and renewal tracking. [Reference](https://www.icertis.com/)

- [ ] **Contract Negotiation Playbook Development** - Create comprehensive negotiation playbooks with fallback positions, escalation paths, and authority matrices for consistent deal-making. [Reference](https://www.amazon.com/Contract-Negotiation-Handbook-Getting-Company/dp/1461061083)

- [ ] **Contract Obligation Tracking** - Implement automated obligation extraction and tracking system to ensure compliance with contractual commitments and deadlines. [Reference](https://www.ncmahq.org/education-certification/cmbok)

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## Compliance Program Processes

- [ ] **Compliance Program Development** - Design and implement comprehensive compliance program aligned with ISO 37301, COSO framework, and DOJ evaluation criteria. [Reference](https://www.iso.org/standard/75080.html)

- [ ] **Compliance Risk Assessment** - Conduct systematic compliance risk identification, assessment, and prioritization across regulatory domains and business operations. [Reference](https://www.coso.org/guidance-erm)

- [ ] **Regulatory Change Management** - Establish process for monitoring regulatory changes, assessing organizational impact, and implementing required adaptations. [Reference](https://www.complianceweek.com/)

- [ ] **Compliance Training Program** - Develop role-based compliance training curricula with tracking, certification, and effectiveness measurement. [Reference](https://www.corporatecompliance.org/resources/books)

- [ ] **Compliance Monitoring and Testing** - Implement ongoing compliance monitoring, periodic testing, and control validation procedures. [Reference](https://www.justice.gov/criminal-fraud/page/file/937501/download)

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## Intellectual Property Processes

- [ ] **Patent Filing and Prosecution** - Establish invention disclosure capture, patentability assessment, application drafting, and prosecution management workflow. [Reference](https://www.nolo.com/products/patent-it-yourself-pat.html)

- [ ] **Trademark Registration and Protection** - Implement trademark clearance, application filing, monitoring, and enforcement procedures for brand protection. [Reference](https://store.legal.thomsonreuters.com/law-products/Treatises/McCarthy-on-Trademarks-and-Unfair-Competition-5th/p/100028885)

- [ ] **IP Portfolio Management** - Deploy systematic IP portfolio tracking, maintenance fee management, and strategic portfolio optimization processes. [Reference](https://www.aipla.org/)

- [ ] **Trade Secret Protection Program** - Establish trade secret identification, classification, access controls, and protection measures. [Reference](https://www.westacademic.com/Intellectual-Property-in-the-New-Technological-Age-9781647084400)

- [ ] **IP Licensing Management** - Implement inbound and outbound licensing workflows including negotiation, royalty tracking, and compliance monitoring. [Reference](https://www.wiley.com/en-us/Licensing+Intellectual+Property%3A+Law+and+Management-p-9781118432174)

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## Litigation and Dispute Resolution Processes

- [ ] **Legal Hold Implementation** - Establish legal hold procedures for document preservation including custodian identification, hold issuance, and compliance monitoring. [Reference](https://www.relativity.com/)

- [ ] **E-Discovery Management** - Implement e-discovery workflow covering data collection, processing, review, production, and defensibility documentation. [Reference](https://aceds.org/certification/)

- [ ] **Litigation Management System** - Deploy matter management for litigation tracking, budget control, outside counsel coordination, and outcome analysis. [Reference](https://www.mitratech.com/)

- [ ] **Alternative Dispute Resolution (ADR)** - Establish mediation and arbitration procedures as alternatives to litigation for efficient dispute resolution. [Reference](https://iccwbo.org/business-solutions/model-contracts-clauses/)

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## Corporate Governance Processes

- [ ] **Board Governance Framework** - Implement board meeting management, committee structures, documentation, and governance compliance procedures. [Reference](https://www.nacdonline.org/education/certification/)

- [ ] **Corporate Policy Management** - Establish policy lifecycle management including drafting, approval, distribution, acknowledgment, and periodic review. [Reference](https://www.frc.org.uk/directors/corporate-governance-and-stewardship/uk-corporate-governance-code)

- [ ] **Corporate Records Management** - Implement corporate records maintenance for minutes, resolutions, organizational documents, and regulatory filings. [Reference](https://www.lexisnexis.com/store/catalog/productdetail.aspx?ID=6849)

- [ ] **Entity Management** - Deploy subsidiary and entity tracking including formation, governance, compliance, and dissolution procedures. [Reference](https://www.americanbar.org/content/dam/aba/administrative/business_law/corplaws/2016_mbca.pdf)

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## Privacy and Data Protection Processes

- [ ] **GDPR Compliance Program** - Implement comprehensive GDPR compliance including lawful basis documentation, DPIA, cross-border transfers, and DPA liaison. [Reference](https://gdpr.eu/)

- [ ] **Data Mapping and Inventory** - Establish data processing activity mapping, data flow documentation, and records of processing activities (ROPA). [Reference](https://www.nist.gov/privacy-framework)

- [ ] **Data Subject Rights Management** - Implement procedures for handling access, deletion, portability, and other data subject requests within regulatory timeframes. [Reference](https://iapp.org/certify/cipp/)

- [ ] **Data Breach Response** - Establish incident detection, assessment, containment, notification, and remediation procedures for data breaches. [Reference](https://www.onetrust.com/)

- [ ] **Privacy Impact Assessment (PIA)** - Deploy privacy impact assessment methodology for new processing activities, systems, and vendors. [Reference](https://www.iso.org/standard/71670.html)

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## Summary

| Category | Process Count |
|----------|---------------|
| Contract Management | 5 |
| Compliance Program | 5 |
| Intellectual Property | 5 |
| Litigation and Dispute Resolution | 4 |
| Corporate Governance | 4 |
| Privacy and Data Protection | 5 |
| **Total** | **28** |

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## Implementation Notes

1. **Priority**: Begin with Contract Lifecycle Management, Compliance Program Development, and GDPR Compliance as foundational processes.

2. **Dependencies**: Legal Hold and E-Discovery processes should be implemented together for litigation readiness.

3. **Integration**: Contract management processes should integrate with procurement and sales workflows.

4. **Technology**: Consider CLM platforms (Icertis, DocuSign CLM), compliance platforms (NAVEX, OneTrust), and e-discovery tools (Relativity, Everlaw).

5. **Certifications**: Align processes with CCEP (compliance), CIPP/CIPM (privacy), and CCCM (contracts) certification requirements.
