snw fall 2009

Pocket Protector Meets Briefcase:

IT Meet Legal

Jeff KubackiChief Information Officer

Kroll, a Marsh & McLennan Company

[email protected]

Company Overview &

Technology Environment

� MMC is a global professional services firm providing

advice and solutions in the areas of risk, strategy and

human capital

� Parent company of a number of the world’s leading risk

experts and specialty consultants, including

- Marsh, the insurance broker and risk advisor

Marsh & McLennan at a Glance

- Marsh, the insurance broker and risk advisor

- Guy Carpenter, the risk and reinsurance specialist

- Mercer, the provider of HR and related financial advice and services

- Oliver Wyman, the management consultancy

- Kroll, the risk consulting firm

� Through our market leading brands, and over 50,000

colleagues in more than 100 countries, MMC helps clients

identify, plan for and respond to critical business issues

and risks

� With offices in more than 60 cities in the U.S. and abroad, Kroll

can scrutinize accounting practices and financial documents;

gather and filter electronic evidence for attorneys; recover lost or

damaged data from computers and servers; conduct in-depth

investigations; screen domestic and foreign-born job candidates;

protect individuals; and enhance security systems and

procedures

Kroll at a Glance

The Americas

� U.S.

� Argentina

� Brazil

� Canada

� Colombia

� Eastern Caribbean

� Mexico

Europe/Middle East

/Africa

� Austria

� France

� Germany

� Italy

� Poland

� Russia

� South Africa

� Spain

� Switzerland

� United Arab

Emirates

� United Kingdom

Asia/Pacific

� Australia

� China

� Hong Kong

� India

� Japan

� Singapore

� South Korea

Kroll

Background

Screening

Investigations,

Financial Advisory

& Security

Kroll’s Principal Services

Background

Screening

Legal Technologies

& Data Recovery

• Business Intelligence

• Due Diligence and

Transaction Advisory

• Forensic Accounting

• Fraud Prevention and

Detection

• Investigations

• Litigation Support and

Dispute Advisory

• Security

• Employee Screening

• Right-to-Work

Verification

• Identity Fraud Solutions

• Employment Physicals

• Substance Abuse

Testing

• Vendor Screening

• Data Recovery

• Paper and Electronic

Discovery

• Computer Forensics

• Electronically Stored

Information Consulting

• Jury Consulting and

Trial Presentation

Services

Kroll IT’s Six Point Strategy for Business Alignment

� Globalize and simplify the IT infrastructure

� Become a process driven organization (ITIL & MSIO)

� Develop an integrated business/IT strategic plan

� Upgrade organizational capabilities

(IDP, Metrics)

� Provide cost effective

stewardship of IT assets

� Rationalize and standardize

the application portfolio

Kroll’s Technology Environment

� Global Data Center Footprint – Minnesota, Tennessee, UK

� Over 1,400 physical servers and 1,200 virtual servers

� Over 12 petabytes of storage

� 2,300 HP CCI blades to support grid computing

� Over 15,000 Microsoft SQL databases

� Over 850 networking devices

� AD, Exchange 2007, SharePoint 2007, Office 2007 & OCS

� Cisco IP Telephony, routers, switches, global MPLS

network using Verizon

� 19 Data Recovery labs around the globe

� 400 IT colleagues globally

Pocket Protector Meets Briefcase:

IT Meet Legal

Learning Objectives

1. ESI Strategy: Essential Step for Any Organization

2. Bridge the IT-Legal Gap: Communication Strategy

3. Focus Point: Implementing Technological Solutions to

Increase Efficiency

ESI Strategy: Why is this Essential?

� Electronic data proliferation is

economically neutral – it grows

exponentially in good times or

bad

� Significant majority of all

information is digitally created information is digitally created

and stored

� Planning ahead and creating

an ESI strategy prior to

engaging in litigation will save

the organization time and

money down the road

ESI Strategy Formation: Who is Responsible?

� 35% of US companies

attribute responsibility to IT

– Up from 18% in 2007

� Trend is testament to the

technical nature of ESI

� An ongoing marriage

between IT and the legal

team is essential to ensure

that the plans put in place

are adequate, all-

encompassing and feasible

when a legal crisis breaks

Source: Second Annual ESI Trends Report, Kroll Ontrack (2008)

ESI Strategy: Convergence of IT & Legal

� Few in-house attorneys understand the technical

intricacies of IT, and few IT professionals understand

the complexity of procedural and discovery rules in

litigation

� Recognition of IT’s importance marks a shift towards a

more collaborative and team-oriented approach to e-more collaborative and team-oriented approach to e-

discovery

� Counsel must work with IT to ensure proper e-

discovery and litigation measures are in place – before

the process server steps off the elevator

ESI Strategy: Key Actions

� IT resources should be contacted early

� Systems that support e-discovery should be developed

under a joint set of requirements from IT and Legal

� IT should be involved in all litigation matters (not just

the large cases) to ensure consistency is maintainedthe large cases) to ensure consistency is maintained

� Litigation response plan should be jointly developed,

tested and maintained through periodic review

ESI Strategy: Form a Response Team

� Organizations should coordinate an e-discovery

response team to assist in formulating document

retention and litigation response policies

� No “one-size fits all” approach to these problems

� Search high and low to find the best alternatives to your � Search high and low to find the best alternatives to your

organization’s needs

ESI Strategy: Response Plan

� Given the current constraints on budget and available

resources, what value does a response plan provide?

� Having a response plan in place in preparation for

future litigation can:

- Expedite data identification to commence collection - Expedite data identification to commence collection

efforts more quickly, allowing more time for limited

resources to complete their collection

- Present thoughtful accessibility determinations, reducing

or eliminating the need to collect inaccessible sources

- Save expenses on future projects by being prepared

- Take action to ensure preservation of necessary data to

help avoid costly sanctions!

Learning Objectives




Increase Efficiency

Bridge the IT-Legal Gap: Communication Strategy

IT Legal

� IT and Legal don’t speak the same language

IT’s strength lies with

charts and technical Legal’s strength lies with

“legalese”charts and technical

language“legalese”

Use “simple” talk to convey points, and eliminate

acronyms and highly technical or legal language


� Early engagement between IT and Legal is incredibly

important

- Know who the key people in each department are

� Establish the goals of each project:

- Why are we doing this?

- What do we hope to achieve?- What do we hope to achieve?

� Institute written policies and procedures, making them

easily accessible to members of both IT and Legal


� Schedule regular meetings between IT and Legal to

update project and technology development

- Technology constantly changes – meetings allow

both departments to stay on top of the trends

- Discuss projects that are coming down the pipeline

� Develop “information sheets” based on each major � Develop “information sheets” based on each major

application within the company that is routinely involved

in e-discovery

How Should IT Communicate with Legal?

Repeat

• Repeat any request received from Legal and

Establish

• Clearly establish and define the project timeline

Understand

• Understanding the request fully will help cut down on Legal and

double-check what the precise request was

• Helps with planning and ensuring work is completed efficiently

project timeline cut down on amounts of non-relevant data returned to Legal

• In turn, this will help decrease mistakes and costs

IT Can Help Educate Legal

� IT can help educate counsel as follows:

All operating systems, software applications and

hardware formerly and currently in use;

The flow of data into, within and out of the

company;

Disk or tape labeling conventions, file name Disk or tape labeling conventions, file name

customs, location-saving rules;

Corporate document retention policies and the

current enforcement status of those policies; and

Corporate policies regarding employee use of

company computers and data

Third-Party IT/Legal Liaison

� If budget allows, organizations should have one person

who straddles the line between IT and Legal

- Should possess a working knowledge of both fields

� It may be prudent to engage a third-party IT/Legal

liaison or expert to facilitate communication

- Liaison can offer best practices on consulting and - Liaison can offer best practices on consulting and

e-discovery management within the organization

� Working with IT and counsel, these liaisons can be

critical to managing collection, and facilitating review

and production of responsive data

Learning Objectives



3. Focus Point: Implementing Technological

Solutions to Increase Efficiency

Biggest E-Discovery Challenges

� Percent of respondents who

cited “unmanageable

volumes of ESI” as the

biggest challenge for their

legal department over the

next five years. next five years.

� Utilizing new technological

advancements will help

decrease the volume of ESI

that needs to be passed

through the e-discovery

process, presenting cost and

time savings

Source: Second Annual ESI Trends Report, Kroll Ontrack (2008)

Implementing Technological Solutions to Increase Efficiency

� E-discovery technology has pressed ahead with

advancements making e-discovery faster, easier and

less expensive

� Important emerging technologies are:

- Early case assessment and e-mail analytics

- Near de-duplication and e-mail threading- Near de-duplication and e-mail threading

- Integrated archiving (e-mail and file)

E-Discovery Process Overview

SecureWeb-Based Repository

Printed Paper

LitigationSupportDatabase

Legal and Technical Consulting

DataCollection

DataFiltering

DataProcessing

Review & ProductionOptions

Early Case Assessment

� Vital first step in investigation or litigation process

- Scope of potentially relevant data can be narrowed

prior to e-discovery processing

- Results in cost and time savings

� Aids counsel in deciding whether to proceed with

lawsuitlawsuit

� Can help make decision to settle based on existence of

damaging evidence (may identify the “smoking gun”

document)

Early Case Assessment & E-Mail Analytics

� E-mail analytics is a technology-enabled process

where e-mails in your document set are organized and

analyzed

� E-mail analysis tools recognize and visually represent

relationships between people, events, timelines and

communication patterns through advanced communication patterns through advanced

visualizations

- Helps legal teams know what data they have and

see patterns in an unstructured maze of data

� Allows all players with e-discovery responsibilities to

analyze e-mails, form legal case strategy, investigate

internal incidents and intelligently collect data in

preparation for discovery


� Helps answer the “who, what and when” questions

involved in early case assessment:

- Who authored the e-mail and to whom was it sent

- What were they talking about

- When did they talk


� Example: Who Was Talking to Whom?

Near De-Duplication

� Tools use conceptual search to identify near duplicates,

which are documents that differ by simple formatting,

document type, or a difference between few words or

paragraphs

� Common in digital age where document may be

created, then edited, then sent around to a team of

people to perhaps be edited againpeople to perhaps be edited again

E-Mail Threading

� Tools identify threads based on the document’s

content, which allows all related e-mail, sent and

received, in a single conversation thread to be viewed

Integrated Archiving (E-Mail & File)

� Technology driven method of saving a point-in-time

version of electronic files incorporating high

performance data content and index management

� Enables organizations to apply policies to these files,

therefore providing compliance mechanisms to meet

corporate, legal, industry and government requirementscorporate, legal, industry and government requirements

� Helps companies streamline the use of their data and

contain costs around data-related tasks and

infrastructure that historically have been highly

inefficient and expensive

Integrated Archiving (E-Mail & File)

� Provides organizations with a mechanism to efficiently

capture, store, search and categorize their data to meet

e-discovery, investigative, compliance, records

management and myriad other needs

� Through single instance storage and de-duplication

technologies, data archives help IT managers reduce technologies, data archives help IT managers reduce

their storage footprint, resulting in marked cost savings

and operational efficiency

Learning Objectives | Summary




Increase Efficiency

Thank You!

Jeff KubackiChief Information Officer

Kroll, a Marsh & McLennan Company

[email protected]

snw fall 2009

Documents

early case

implementing

response plan

communication

integrated

learning objectives

kroll ontrack

esi strategy