The document outlines the overview and technology environment of Marsh & McLennan Company and its subsidiary Kroll, highlighting their roles in risk consulting and legal services. It emphasizes the importance of developing an Electronic Stored Information (ESI) strategy to bridge the communication gap between IT and legal teams, ensuring efficient collaboration in e-discovery processes. Additionally, it discusses technological advancements that can streamline data management and e-discovery, ultimately leading to cost reductions and improved operational efficiency.

2. Pocket Protector Meets Briefcase:
IT Meet Legal
Jeff Kubacki
Chief Information Officer
Kroll, a Marsh & McLennan Company
jkubacki@kroll.com

3. Company Overview &
Technology Environment

4. Marsh & McLennan at a Glance
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
- 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

5. Kroll at a Glance
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
The Americas Europe/Middle East Asia/Pacific
/Africa
U.S. Austria South Africa Australia
Argentina France Spain China
Brazil Germany Switzerland Hong Kong
Canada Italy United Arab India
Colombia Poland Emirates Japan
Eastern Caribbean Russia United Kingdom Singapore
Mexico South Korea

6. Kroll’s Principal Services
Investigations, Kroll
Background Legal Technologies
Financial Advisory Background
Screening & Data Recovery
& Security
Screening
• Business Intelligence • Employee Screening • Data Recovery
• Due Diligence and • Right-to-Work • Paper and Electronic
Transaction Advisory Verification Discovery
• Forensic Accounting • Identity Fraud Solutions • Computer Forensics
• Fraud Prevention and • Employment Physicals • Electronically Stored
Detection • Substance Abuse Information Consulting
• Investigations Testing • Jury Consulting and
• Litigation Support and • Vendor Screening Trial Presentation
Dispute Advisory Services
• Security

7. 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

8. 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

9. Pocket Protector Meets Briefcase:
IT Meet Legal

10. 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

11. 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
and stored
Planning ahead and creating
an ESI strategy prior to
engaging in litigation will save
the organization time and
money down the road

12. 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)

13. 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-
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

14. 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 maintained
Litigation response plan should be jointly developed,
tested and maintained through periodic review

15. 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
organization’s needs

16. 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
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!

17. 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

18. Bridge the IT-Legal Gap: Communication
Strategy
IT and Legal don’t speak the same language
IT Legal
IT’s strength lies with Legal’s strength lies with
charts and technical “legalese”
language
Use “simple” talk to convey points, and eliminate
acronyms and highly technical or legal language

19. Bridge the IT-Legal Gap: Communication
Strategy
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?
Institute written policies and procedures, making them
easily accessible to members of both IT and Legal

20. Bridge the IT-Legal Gap: Communication
Strategy
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
application within the company that is routinely involved
in e-discovery

21. How Should IT Communicate with Legal?
Repeat Establish Understand
• Repeat any • Clearly • Understanding
request establish and the request
received from define the fully will help
Legal and project timeline cut down on
double-check amounts of
what the non-relevant
precise data returned
request was to Legal
• Helps with • In turn, this will
planning and help decrease
ensuring work mistakes and
is completed costs
efficiently

22. 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
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

23. 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
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

24. 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

25. 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.
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)

26. 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
- Integrated archiving (e-mail and file)

27. E-Discovery Process Overview
Secure
Web-Based
Repository
Litigation
Support
Database
Legal and Data Data Data Review &
Technical Collection Filtering Processing Production
Consulting
Options
Printed
Paper

28. 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
lawsuit
Can help make decision to settle based on existence of
damaging evidence (may identify the “smoking gun”
document)

29. 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
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

30. Early Case Assessment & E-Mail
Analytics
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

31. Early Case Assessment & E-Mail
Analytics
Example: Who Was Talking to Whom?

32. 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 again

33. 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

34. 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 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

35. 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
their storage footprint, resulting in marked cost savings
and operational efficiency

36. Learning Objectives | Summary
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

37. Thank You!
Jeff Kubacki
Chief Information Officer
Kroll, a Marsh & McLennan Company
jkubacki@kroll.com