Monday, 14th May 2012: Pre Conference Workshops
Workshop A: Responding to a Regulatory Investigation in multiple jurisdictions: Developing and implementing a successful response strategy
Using a hypothetical case study, this workshop will talk participants through the essential
legal and technical steps during a regulatory investigation. Points of discussion will include:
Securing Evidence
- Maintaining privilege and protecting against disclosure
- “Preservation” vs “data collection”
- Identifying potential issues relating to data privacy, access to information and cultural differences
- Incentivising cooperation from key employee witnesses
- New sources of evidence - instant messaging, SMS (text messages), social media
- Implications of dealing with parallel criminal and civil investigations
- Planning and implementing workflow and technical measures to deal with these challenges
Review and analysis
- Effective strategies for locating evidence in custodian data
- Controlling the cost of a document review exercise
- Using a staged approach to the investigation
- The role of technology
- Impact of multiple languages on the process
- Use of economic analysis
Reporting and disclosure
- The leniency decision - self reporting to regulators and prosecutors?
- Co-ordinating competing legal priorities across jurisdictions
- Internal updates and final reporting – to whom and when?
- Ensuring the defensibility of the review processes employed
- Preparing for defence of follow on actions
- Criminal aspects and individual representation
Drew Macaulay
Director
First Advantage Litigation Consulting
Andrew Hockley
Partner
Berwin Leighton Paisner
Jérôme Torres Lozano
Director
First Advantage Litigation Consulting
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Workshop B: When Volumes Get Large: How to Keep Control of your eDisclosure
As the volumes of electronic documents that are generated by today’s multinational
corporations continue to expand on a seemingly exponential basis, the solutions that need
to be employed during a litigation, regulatory enquiry or internal investigation to preserve
and review these growing document populations must also develop and advance.
Whilst the traditional e-mail archives and word processed documents remain at the core
of these matters, their numbers are continually expanding. New data sources are also
coming to the fore, such as SharePoint sites, SAP and Oracle databases, finance systems
and cloud based applications; each of which bring their own challenges with large data
volumes. During the course of this workshop delegates will explore with our panel
of experts the current best practices and strategic approaches during collection,
processing, searching and review to ensure that the eDisclosure process can be
completed in defensible, efficient and cost effective manner.
Key topics that will be covered during the workshop include:
- Making defensible scope decisions
- Handling database systems and bespoke applications
- Analytical methodologies to target relevant documents
- Effective document review strategies
Craig Earnshaw
FTI Technology
Nick Athanasi
FTI Technology
[External panel members to be confirmed]
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Workshop C: Internal audits and the investigation of corporate wrongdoing: What can companies do internally?
The European Commission has recently released guidance to help companies stay out of trouble and ensure compliance with EU competition rules. Monitoring and auditing are recommended by the EC as effective tools to prevent and detect anti -competitive behaviour inside the company. Early detection allows companies to benefit from the EC’s leniency programme. In this interactive and practical workshop the focus will be on how advanced technology can be used to enhance internal audits and investigate potential infringements and best practices. A thought provoking case study will be used as a framework for sharing the insights of a panel of experts and for participant discussion.
Key topics covered will include:
- Implementing robust compliance programmes and internal audit plans
- Carrying out internal audits to ensure compliance and detect anti-competitive behaviour
- How advanced technology tools can enhance audit processes and uncover wrongdoing
- Budgeting and controlling the costs of internal audits
- Optimising internal resources and knowing when to call on external expertise and technology
- Internal audit best practices to establish effective internal controls
- What happens when a proactive audit turns into an investigation
- Forensic techniques and tools for in-depth investigations
- Handling new challenges in the evidence trail - iPads, the Cloud, social networking
- Responding to regulatory requests and preparation of leniency applications
Patrick Bock
Associate
Cleary Gottlieb
Jason Yalen
Legal Consultant
Kroll Ontrack
Tony Dearsley
Manager of Computer Forensics
Kroll Ontrack
Moderator:
Daniel Kavan
Manager – Electronic Disclosure Consultancy
Kroll Ontrack
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Workshop D: When U.S. Courts are Knocking at the Door: Practical Steps for Managing the Tension between U.S. Discovery Obligations and Cross-Border Privacy Laws and Regulations
U.S. Courts are demonstrating increasingly less tolerance for discovery issues relating to
the production of documents that are protected by foreign privacy law. This session will
address different ways of managing that tension.
Explanation of the tension between U.S. Courts and foreign privacy laws
How to raise the issue of discoverable documents residing outside of the United States
with U.S. courts.
- Federal Rule of Civil Procedure Rule 26 Early Disclosures
- Early case management conference strategy
- Procedural Motion Practice
- Alternative sources of additional information
- Accelerating of the review and production of documents residing outside of the U.S or in cloud.
- Negotiation with foreign privacy commissions and agencies
Mark Yacano
Executive Vice President
Hudson Legal
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Workshop E: Designing an information governance programme
- Defining an information governance structure and associated roles and responsibilities
- Working with multiple stakeholders, policies, IT systems and processes
- Creating an information governance culture: what’s required?
- Drafting a statement of principles, setting policies and standards
- Conducting an annual strategy review
- Assessing the governing rules, regulations and compliance factors not only with regards to potential disclosure, but also length of retention and data privacy issues
- Managing governance policies and processes across multiple jurisdictions
Sanjay Bhandari
Partner, Forensic Technology and EDisclosure Services
Ernst & Young
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Workshop F: Information Governance: Effectively moving from design to deployment to enable enhanced eDisclosure readiness
- Review regulatory and eDisclosure drivers that are leading organizations to explore more proactive measures to manage critical information risks;
- Review a ‘day-in-the-life’ in managing the early stages of eDisclosure, and highlight the efficiency gains and risk mitigation achievable with Proofpoint Enterprise Archive;
- Demonstrate the ability to track critical information living ‘in the wild’, and control that information in place with Proofpoint Enterprise Governance
- Discuss techniques to break internal stakeholder stalemates in defining governance priorities
- Highlight techniques to build your governance business case
Robert Cruz
Senior Director of eDiscovery Solutions
Proofpoint
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Workshop G: Pricing, process and technology: Budgeting for eDisclosure
- eDisclosure models that are focussed on cost control
- Predicting costs more accurately: making eDisclosure a standardised business process
- Choosing the right budgeting model for your business – depending on the matters your company faces
- The latest budgeting models that increase control, enhance transparency and reduce risk
W. Belt, Jr.
Attorney at Law
LeClairRyan
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Workshop H: Information Management Innovation workshop: Top 10 tips all in-house lawyers need to know
UK case-law indicates that legal departments need to have an ‘effective and efficient’ information management system in place to deal with the disclosure process in litigation or regulation – but what should that look like? The session will focus on real life examples of KPMG working with in-house legal teams to develop a consistent, defensible and cost-effective approach to e-disclosure and regulatory response. Even if you do not want to completely overhaul your organisation’s approach to information governance, KPMG will share the Top 10 tips to avoid common pitfalls, and advise how best to ensure the solution is right for your organisation.
- Developing in-house protocols for data preservation and collection;
- Creating efficient and defensible processes;
- Useful documentation to have on the stocks;
- Current technology trends – e.g. automated review, statistical sampling, structured databases, voice data and instant messaging.
Alex Dunstan–Lee
Director Forensic Technology
KPMG
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See the Full Conference programme
Take me to Main Conference Day One
Visit the FREE Exhibition