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eDiscovery Leaders Live: Dave Rogers of Kroll

George Socha
April 19, 2022

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Dave Rogers, ‪a Managing Director at Kroll, joins George Socha, Senior Vice President of Brand Awareness at Reveal, for ACEDS #eDiscoveryLeadersLive.

Dave Rogers is a managing director with Kroll, in Data Insights and Forensics practice, based in Dallas. Dave is an information technology professional with over 20 years of experience working on high-profile matters, supporting multinational corporations by providing innovative solutions to complex compliance and legal technology business problems. He has expertise managing large teams in the investigation and litigation consulting area, with an emphasis on digital forensics, incident response, compliance and regulatory investigations, and electronic discovery.

Dave started by offering his take on recent Justice Department comments on compliance programs. He then turned to investigations. Dave talked about the effectiveness of different approaches to investigative activities, focusing on the value of investigative reports, inquisitive mindsets, and bottoms-up approaches. Dave then discussed what to expect with a regulator comes knocking, and the benefits of a consultative response. Dave closed with thoughts on the challenges and possibilities of today’s environment where electronic communications go beyond email as well as on what he thinks is hot moving forward.

Key Highlights

  • [3:40] Thoughts on Assistant Attorney General Kenneth A. Polite Jr.’s 3/22/2022 ACAMS comments on certifying the efficacy of compliance programs.
  • [6:59] What the proposed certification process might look like and the challenges it faces.
  • [8:17] Perhaps time to return to investigative reports and the insights they offer.
  • [9:51] Adopting an inquisitive approach for investigations.
  • [13:33] The advantages of a bottoms-up (“tell me something I don’t know”) over a top-down (“find more like this”) approach.
  • [15:29] Inquiring minds want to know: Using every tool and technology available.
  • [16:38] What happens when a regulator comes knocking on the door.
  • [19:26] Taking a consultative approach to working with regulators…and auditors.
  • [21:39] Implications of the reactions to AAG Polite’s remarks.
  • [24:12] Dealing with the world of electronic communications beyond email: Challenges and possibilities.
  • [26:14] What’s hot moving forward: Dealing with cryptocurrency; advances in remote data collection; improvements in review and analysis platforms.

Key Quotes by Dave Rogers

  • “We live in an age right now where there’s more data available than there ever has been to effectively determine who knew what when and as trusted advisors it is our responsibility to help our clients, help external counsel, to understand all those sources of information available and to determine processes to make it the most effective to present that one source of truth.”
  • “We’ve spent 10 to 15 years really perfecting the process to transform data into documents, to enable review and production. There’s a lot of technology out there these days; they just really don’t require that specific process. I think we may be coming back into the time where the good old investigative report becomes important.”
  • “Starting off with the dataset you have, using data visualization technologies you can see patterns. It becomes very clear. ‘Why don’t we have anything from 2014 in this dataset?’ There are things that [with] the investigative mindset you’ll notice, taking the bottoms-up approach. Understand the dataset. Identify clearly non-responsive information…. Get all that stuff out and then start running your clustering looking for categorization, similar documents. Maybe apply a few keywords to hone in the set a little further. We’ve had a good result in taking that bottoms-up approach across all our investigations.”
  • “Especially on investigations, the holy grail has always been marrying up transactions with communications or chats or Bloomberg to show the pattern. At the end of the day, that’s what we’re trying to show - who knew what when – and we have so much more capability now than we ever had in the past to really do that, to paint the picture.”

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