Case Study
IQ.AI by FTI Technology Enables Rapid Response to Whistleblower Complaint and Improvement in Compliance Monitoring
A company in the life sciences industry had established a robust compliance monitoring and internal investigations program to manage whistleblower claims and a wide range of internal risks. The organization sought guidance from FTI Technology to determine whether it could save time and money in these processes through the implementation of generative AI-powered workflows. FTI Technology’s experts introduced IQ.AI as a solution to respond to a timely internal investigation within the organization and provide a template for the use of IQ.AI across the client’s compliance monitoring and investigations activities.
Situation
As the client was considering a pilot project to integrate generative AI into compliance monitoring, an internal whistleblower complaint emerged. The team needed to quickly investigate the claims and determine next steps before the issue escalated, which presented a prime opportunity to leverage generative AI for quick insights and to serve as a test case for a broader solution.
Investigating the complaint required review of more than 25,000 documents in English and Mandarin for key information. The organization needed to quickly, efficiently and cost-effectively determine the validity of the claim and identify any supporting evidence.
Our Role
As a longstanding client having worked with FTI Technology as a trusted advisor and provider of solutions across compliance, legal operations, e-discovery, information governance and investigations, the organization was open to guidance on how to incorporate generative AI into its traditional workflows.
FTI Technology’s team approached this matter with a multi-step process, which included:
- Use of search terms and example key documents from past investigations to provide guidance for prompt engineering.
- Establishing an IQ.AI for Investigations framework within the client’s environment, to allow for collaborative use and iteration across legal and compliance stakeholders.
- Creation of a bilingual prompt to find key information related to the whistleblower’s claims.
- Prompt refinement against a random sample of 500 documents from the original set, with results verified against a separate control set.
Through several short validation exercises, the FTI Technology worked closely with the client’s in-house attorneys to review the prompt and results for quality control. Within days, the client was able to use the customized IQ.AI workflow to apply the prompt against the full set of documents. IQ.AI uncovered 4,000 relevant documents, eliminating 75% of the population from additional review. With the support of FTI Technology’s analytic reviewers and researchers, the data was narrowed down further to only 110 key documents.
Our Impact
With IQ.AI and FTI Technology’s expert advising, the client investigated an internal whistleblower claim in a matter of days, without requiring significant time from internal or external legal teams. The exercise served as a test case for applying IQ.AI across compliance monitoring and internal investigations functions, so the organization has a more efficient approach for conducting quarterly compliance reviews and responding to inbound complaints.
With IQ.AI as a foundation for continuous improvement and quality control across compliance processes, the client can maximize internal resources, maintain control over internal investigations and effectively integrate generative AI without undermining thoroughness or accuracy.