mastering internal investigations

Presenters

Paul RodriguesTracy DrynanJohn Tredennick

WEBINAR

Mastering Internal InvestigationsUsing advanced technology to find answers

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Presenters

Paul Rodrigues | Senior Director | The BERO Group

Tracy Drynan | Senior Attorney | Drinker Biddle & Reath LLPTracy has extensive experience across the e-discovery lifecycle including, interpreting requests for information and complaints, to identifying sources of relevant information, developing strategies for targeting and gathering data, performing custodial interviews, and managing the collection of information.

Paul is a certified fraud examiner and Chair of the Forensic Accounting Practice of the BERO Group, an internationally known accountancy and forensic investigative group. He has more than 25 years of investigative experience, spanning all aspects of digital and expert witness testimony.

John Tredennick | Founder & CEO | CatalystA nationally known trial lawyer and longtime litigation partner at Holland & Hart, John founded Catalyst in 2000 and is responsible for its overall direction, voice and vision. He been widely honored for his achievements. In 2013, he was named by The American Lawyer as one of the top six “E-Discovery Trail Blazers.”

Agenda

1. A hypothetical: misconduct by a high-ranking officer2. How to discreetly conduct an investigation and

preserve key data3. Setting the stage for the investigation4. Using advanced search techniques5. Applying visual analytics and other tools6. Using Machine Learning to find what matters7. Tips and tricks for successful investigations

Scenario

You’ve been asked to investigate a tip alleging fraud and misconduct by a high-ranking corporate officer (Georgia).

Challenges and Competing Objectives

1. Find the proverbial smoking gun(s) (Or prove the negative)2. Identify the nature and types of schemes committed3. Quantify damages4. Show scienter (intent to deceive)5. ID the perpetrators and complacent individuals 6. Do all the above quickly and discreetly

How?

Cast a wide net and winnow it down quickly.

In the Georgia scenario, wide refers to multiple divisions involved in the investigation and deep refers to the years of data to identify. In this case, it's not feasible to do a linear review of every single document.

The only way to meet the competing objectives is to use the proper methodology in combination with technology solutions and a skilled team.

Investigate Without Tipping Off Potential Targets

• Methodology • People • Money

Analyze the context of the allegation or complaint to develop strategy for collecting data.

Setting the Stage

Tailor Collection/Investigation to Client or Circumstance

• Who made the allegation? • Who must be involved in the identification and collection?

○ In-house counsel ○ IT

• What is the allegation and are there reporting requirements?

• Develop a cover story, where needed ○ Can set the stage for custodial interviews or reason for

data extraction

Investigative Strategy: Capitalizing on Skills and Science

● Source of the Allegation

○ Where are we at in the suspicion?

● What is the timeline?

○ Do we have a weekend to investigate?

● What is at stake?

○ Whistleblower—government contractor

○ Whistleblower—medical research company

○ M/A—disgorgement purchase price

What is Known and Unknown

● Collection—usually running fast and hard

○ Email—fingerprints

○ Servers

● Information available

○ Helpful—less information may be more

● Approach to data

○ Wide net

○ Patterns present themselves

○ Terms are always imperfect—the data will speak for itself

Diving into the Data

● Communicants (Positive)

○ Interviews

○ Every approach has similar themes, but the quality of the data often determines whether a specific approach is feasible

○ Fraud very rarely occurs between more than a few individuals

● Low-hanging fruit—culling (Negative)

○ Daily conversations

○ Substantive NR

● Proving the negative—most difficult

Creative Collaboration: Solving the Riddle of the Data

● Non-linear attack against the data

○ Science and art combine

○ Highly collaborative investigative team

○ No batching, simply diving into the data

○ As themes present themselves, develop expertise—and pair off

○ Develop issues—that may or may not directly relate to the allegations and often include unknown issues that the company must be aware of

● Partnership between the investigative team and the technology

Quickly find what’s important

Using Facets and Keyword Search Effectively

Use Advanced Search Techniques

Use Advanced Search Techniques

Was Georgia sending emails to outside addresses obtained from the background check?

Applying Visual Analytics

Click the bubble

Machine learning becomes your Dr. Watson for complex investigations

Using AI to Find What Matters

Not that Watson! (Sorry IBM)

Predictive Analytics and Artificial Intelligence

• Synthetic seeds—CAL instead of random sampling

• Inculpatory scenarios/predictions of alleged/possible actions

• Use the complaint, background checks and other relevant evidence obtained

Final Tips

Create issues to code on the fly as you uncover them.

Investigate in Real Time

Edit Form to Create a New Issue

Add an Issue

Miss-Code Issue?

It’s a simple fix.

Problems Encountered in Miss-Coding

Simple solutions using filters, bulk updates and QC review

Questions?

Paul Rodrigues [email protected]

262-337-0458

Tracy Drynan [email protected]

202-842-8800

John [email protected]

303-824-0840

Introducing Catalyst Insight and Insight Predict

Coming Soon …

• April 26, 2017 | 1 p.m. ET

• A live demo with ACEDS

• We’ll include a registration link in tomorrow’s resource email.

Presenters

Paul RodriguesTracy DrynanJohn Tredennick

WEBINAR

Mastering Internal InvestigationsUsing advanced technology to find answers