1. 1 E-Discovery Changes to Federal Rules of Civil Procedure Concerning Discovery of Electronically Stored Information (ESI) Effective Date: 12/01/2006 October, 2007

2. 2 Agenda Project Team Record Retention E-Discovery? Key Elements Questions and Discussion

3. 3 Project Team Executive Committee –Tom Cline, Office of General Counsel –Betty McPhilimy, Audit & Advisory Services –Patricia Todus, Information Technology Workgroup –Amy Mayber, Office of General Counsel –Mike Moody, Compliance / Audit & Advisory Services –Dave Kovarik, Information Security / Information Technology

4. 4 Record Retention Policies & Standards –Retention Many “Flavors” of Data Regulatory Requirements –Archiving What, When, and for How Long? Management & Retrieval –Deletion Training & Awareness

5. 5 E-Discovery? Amendments to the Rules of Civil Procedures that address electronic documents E-Discovery: effective 12/01/2006 Any process in which electronic data is sought, located, secured, and searched with the intent of using it as evidence in a civil or criminal legal case.

6. 6 Key Elements Electronically Stored Information (ESI) E-mail Data files Computer configurations Disk arrays Swap files Media (CDs, DVDs, tape, USB drives) Metadata Audit trails & system logs Access Control Lists (ACL) Voice, Video, Images Legacy systems Internet information Enterprise intranet Personal (Home) computers PDAs Backup and offsite storage “Deleted” files Peripheral storage devices Other than text And more…

7. 7 Key Elements Inventory – Data Repositories Widely Distributed Heterogeneous – Initial and Ongoing Documented Maintained Retained Access Controls

8. 8 Key Elements Litigation Hold Process –Retain & manage electronic records (ESI) –Determine if litigation is anticipated –Identify interested parties –Communicate order to preserve ESI –Suspend automated “disposal” processes –Preserve the ESI –Monitor the process –Determine & communicate retention –Communicate destruction of ESI

9. 9 Key Elements ESI Retention - Maintaining the Balance… Duty to preserve Regulatory requirements Sarbanes-Oxley et al have retention requirements Institution’s obligation to preserve evidence in discovery & litigation Continuing operations Normal system & business operations Data backups Data destruction

10. 10 Key Elements ESI Production –Identification - what information is accessible –Location - where and in what format –Retrieval - ensure integrity –Preservation - safekeeping –Analysis - retain relevant data –Sorting - remove privileged information –Delivery - agreed upon format

11. 11 Questions and Discussion Contacts Amy Mayber / OGC: (847) 491-5609 a-mayber@northwestern.edu Mike Moody / Compliance: (847) 491-4956 mjmoody@northwestern.edu Dave Kovarik / Info Security: (847) 467-5930 david-kovarik@northwestern.edu