2. This presentation does not reflect the views or opinions of the organization represented by the presenter. This presentation has not been approved, disapproved, or otherwise acted upon by any regulatory or legal body and is provided for your education and insight. This presentation should not be construed as professional advice, nor does it constitute a recommendation to achieve compliance with any applicable laws or regulations. If you wish to pursue compliance initiatives based upon this presentation, you must review and analyze the applicable laws and regulations and seek professional advice, as appropriate.

3. Contact Counsel Evaluate Subpoena Plan Document Search Gather Production Review and Release

4. Evaluate Subpoena

5. Who are the parties? Jurisdiction – where is the litigation taking place? Criminal vs. Civil court Production request analysis Customer notification requirement? Enforcement date – reasonable timeframe? Issue a Legal Hold notice for documents?

6. Contact Counsel

7. Subpoena evaluation issues Narrow subpoena focus Discuss system constraints Negotiate compliance date Stipulate to documents only Negotiate type of production Billing rates for time and materials

9. Plan Document Search

10. PLAN DOCUMENT SEARCH ElectronicHard Copy Archived Legacy Systems PLAN DOCUMENT SEARCH

11. Core SystemAccount DetailRelated PartiesClosed ArchiveReportsTransactions DATA MAP

12. Gather Production

13. GATHER PRODUCTION Communication plans for retrieval and research requests Tailored checklists for researchers Subpoena logging and tracking mechanism Tickler system for internal and external deadlines Motions to Quash considerations Production expectations = reality?

14. Review and Release

15. REVIEW AND RELEASE Implement two levels of review Standard subpoenas Complex subpoenas Information redaction Correspondence templates Invoice preparation Follow up and file closure Retention requirements

16. Standardize ProcessCreate Data MapsCommunicate with Counsel