As regulatory environments become increasingly complex, inadvertent violation of critical regulations becomes an increasingly likely possibility, regardless of the scale and scope of any company. This places a high value on your ability to proactively identify and respond to risks—before they impact the business.
This intelligent risk management capability is at the core of our Riskcovery® platform. Riskcovery is a patented, proprietary technology that uses advanced analytics to become your early warning risk smoke detector:
Riskcovery is built on industry-leading, AI-powered, conceptual analytics technology—this means it can accurately capture abstract meanings of written communications, regardless of language and without the need for time-consuming manual intervention.
Built-in portability means the platform can be used on-demand within our highly secure environment or behind your firewall for optimal control.
Our trained Riskcovery expert advisors work with you and your counsel, IT department and compliance team to:
Unlike TAR platforms, which attempt to control costs during the review stage, Riskcovery is intended to proactively reduce collection of non-relevant information, far upstream from review and analysis. This means reduced cost and complexity and faster time-to-detection of relevant trends and potential risk within an organization. And reusable conceptual searches allow for repeat triage – saving time and money.
Riskcovery Case Study - Sexual Harassment Taxonomy
A corporate client received a complaint from a former employee claiming that she had
been harassed by her supervisor. The complaint alleged that the supervisor would email
and text at all hours asking for the employee to meet him for non-work related reasons.
There were also allegations that the supervisor was using inappropriate language and
offering raises and promotions if she complied with his advances.
In less than three hours, Advanced Discovery ingested 37.4 GB of text messages and email into its patented Riskcovery conceptual analytics platform. The communications were sorted into conversations in week-long groups, identifying patterns of communication during and after appropriate work hours. Advanced Discovery then applied a proprietary Sexual Harassment Taxonomy that included sample text and concepts describe inappropriate patterns of behavior. The taxonomy comparison returned 893 documents that were indicative of potential sexual harassment.
A report was sent to the client highlighting specific instances of the manager engaging in inappropriate conversations with the former employee, such as sexual jokes, advances, and descriptions of employees unsuitable for the workplace. The analysis uncovered additional inappropriate conversations with other employees who had not come forward – a strong indicator that this was not an isolated incident.
Within two days of the initial complaint, the client was able to determine that there was indeed evidence to support the complaint. The supervisor was let go and the client quickly settled the case, avoiding unnecessary litigation and mitigating future risk of continued harassment. Advanced Discovery’s client wanted to understand the situation before moving forward with processing, hosting and a full review of the supervisor’s electronic data.
By using Riskcovery, the client was able to get an early indication of the accuracy of the accusations and make an early, data-driven decision based on the facts of the case. What could have taken weeks to uncover in a linear review process was done quickly and efficiently to minimize risk and business impact.
Riskcovery Case Study
The U.S. government requested that the client look into potential violations of the Stark Law—a regulation that prohibits physician referrals of designated health services (“DHS”) for Medicare and Medicaid patients if the physician (or an immediate family member) has a financial relationship with that entity.
Specifically, the DOJ was interested in claims that the hospital had accepted free testing materials from a specific lab, with the understanding the hospital’s tests and analyses would subsequently be performed by that lab.
The client suspected that a recently terminated employee had made the accusation and believed that only a few individuals had knowledge of the hospital’s relationship with the lab. The client’s data retention policy mandated that all employee email and e-files must be archived, so they were able to provide Advanced Discovery with the terminated employee’s email and all data from his laptop.
Our client engaged us to help validate (or invalidate) the accusations and, if necessary, determine the potential extent of the violations. To accomplish this, our experts ingested the data into our patented Riskcovery® platform, which was kept at the client site throughout the engagement in order to maintain compliance with HIPAA regulations. After ingestion, we used text from the original Civil Investigative Demand, along with other conceptual samples, to create a custom classification program describing the ideas of interest.
The Riskcovery platform identified and prioritized documents and emails conceptually similar to those in the custom classification program. The second highest ranking document was an email from the suspected employee to the lab in question, detailing an agreement to send all analyses to the lab if testing materials were provided free of charge.
Using Riskcovery, Advanced Discovery determined that during the last three months of employment, the suspected employee had sent over 3,000 emails to a personal email account. These emails contained information not only about the hospital’s agreements with various labs, pharmaceutical companies, and partners – but they also included information about specific patients. This was a clear violation of HIPAA regulations by the employee, and the client requested a complete export of all data for further review.
Given our findings, the client and counsel were able to justify the need for further investigation of all of the custodians that Riskcovery identified. Additionally, by using Riskcovery, our expert was able to assist the client in its response to the DOJ and provide a clear and detailed roadmap for necessary action items for counsel.
Riskcovery Case Study - High School Harassment
A concerned parent of a high school student approached a school district after finding questionable text messages between a teacher and the student. Unfortunately, because the student recently obtained a new phone, the parent did not have access to the full historical record. The teacher refused to turn over his own cell phone. The school district, therefore, wanted a forensic image of the teacher’s laptop along with analysis and investigation to see if there might be any evidence of misconduct.
Advanced Discovery used a combination of forensic tools and its patented Riskcovery risk assessment platform to help the school district identify documents and communication that might indicate unsuitable behavior.
A forensic analysis of the image taken from the laptop uncovered many pictures – most of which were school and classroom related. Data from the laptop, including backups of the school-issued email account and webmail fragments from a personal Gmail account, was then ingested into Riskcovery for a communication analysis.
The search was narrowed to exclude school district email domains. A proprietary taxonomy for sexual harassment that included both keywords and sample documents was then applied, which identified 118 suspect communications with students, parents and another teacher. Inappropriate pictures of the teacher were found along with suggestive language and attempts to make plans to meet outside of school hours.
Within a week of receiving the teacher’s laptop, Advanced Discovery identified potential victims of sexual harassment and abuse and identified enough evidence to suggest wrongdoing and to warrant action.
A report was sent to the school district highlighting the inappropriate communication of the teacher. The teacher was fired and a report was sent out to all the parents of the involved students. Additional legal action was eventually taken against the teacher.
The Riskcovery analysis provided early insight into the situation before the school district incurred any additional risk – and students additional harassing behavior.
To see Riskcovery in action, click here to set up a demo with one of our experts advisorys.
of Sexual Harassment
Goes Unreported at Work
Identify and assess patterns of inappropriate workplace behavior within an organization’s electronically stored information (ESI).
Our new sexual harassment taxonomy is one of several Riskcovery conceptual analytic templates, including Foreign Corrupt Practices Act (FCPA) and Departed Employee Protocol.
Advanced Discovery expert advisors can also consult to create custom taxonomy templates to address a company’s specific GRC requirements.