Prepare for smooth sailing complying with government requests

Prepare for Smooth Sailing:
Complying with
Government Requests

Presentation TitlePrivate and Confidential – Copyright 2019
Private and Confidential – Copyright 2019
Looking Forward
Producing data and working with the government does not need to cause waves.
Whether it’s a routine document production, 2nd request, or investigation, we will
walk through everything to alleviate anxiety when working with the government.
Full steam ahead!

Presentation TitlePrivate and Confidential – Copyright 2019
Government Agencies
U.S. Securities and Exchange Commission (SEC)
Independent agency of the United States federal
government.
Holds primary responsibility for enforcing the
federal securities laws, proposing securities rules,
and regulating the securities industry, the nation's
stock and options exchanges, and other activities
and organizations, including the electronic
securities markets in the United States
•U.S. Department of Justice (DOJ):
•Federal executive department of the U.S.
government, responsible for the enforcement of the
law and administration of justice in the United States.
•It is comprised of a number of divisions:
•Antitrust Division
•Civil Division
•Civil Rights Division
•Criminal Division
•Environment and Natural Resources Division (ENRD)
•Justice Management Division (JMD)
•National Security Division (NSD)

DOJ Productions Specifications
U.S. Department of Justice Antitrust Division
Standard Specifications for
Production of ESI and/or Hard Copy as Images and Text
This document describes the standard specifications and
procedures for making an image-based production to the
Antitrust Division in the form of load files…

DOJ Production Specifications
1. Email, Attachments, and Other Electronic Messages
Email and other electronic messages (e.g., instant messages (IMs)) should be produced as
image files with related searchable text, metadata and bibliographic information.
A. Attachments.
Pay special attention to the PARENTID and ATTACHMENTIDS fields, which are used to track
email families. While this example relates to email families, all attachment relationships for all
responsive documents are to be produced in this format.

2. Electronic Documents
Electronic documents include word-processing documents, spreadsheets, presentations, and all
other electronic documents not specifically discussed elsewhere. Production of these items
should include image files with related searchable text, metadata, and bibliographic
information.
A. Spreadsheets
Spreadsheets should be produced in native format (e.g., as .XLSX files), with searchable
text for the entire document, metadata, and bibliographic information. Provide only a single
image of the first page of the spreadsheet or provide a single placeholder image. The linked
native file name should match the BEGDOC#/DOCID with the appropriate file extension.

B. Presentations
Presentations should be produced in full slide image format along with speaker notes (which
should follow the full images of the slides) with related searchable text, metadata, and
bibliographic information. Presentations should also be produced in native format.
C. Hidden Text
All hidden text (e.g., track changes, hidden columns, hidden slides, mark-ups, notes) shall be
expanded and rendered in the extracted text file. For files that cannot be expanded linked
native files shall be produced with the image files.

F. Proprietary File Types and Non-PC or Non-Windows Based Systems
Proprietary file types, such as those generated by financial or graphic design software, should
be discussed with the Division in advance of production to determine the optimal format
of production.
G. Archive File Types
Archive file types (e.g., .zip, .rar) must be uncompressed for processing. Each file contained
within an archive file should be produced as a child to the parent archive file. If the archive file is
itself an attachment, that parent/child relationship must also be preserved.

3. Hard-Copy (or Paper) Documents
Hard-copy documents are to be produced as black-and-white image files, except where noted
below, with related searchable OCR text and bibliographic information.
Special attention should be paid to ensure that hard-copy documents are produced as they are
kept, reflecting attachment relationships between documents and information about the file
folders within which
Where color is required to interpret the document, such as hard copy photos, and certain charts,
that image must be produced in color. These color images are to be produced as .jpg format.

5. Database Productions
Production of enterprise databases are not addressed in these specifications and must be
discussed with the appropriate government legal and technical staff to determine the
optimal production format.
6. Audio/Video Data
These specifications do not address the production of audio/video data. Care must be taken to
ensure that all responsive audio/video data and their metadata are preserved. These data types
may be stored in audio or video recordings, voicemail text messaging, and related/similar
technologies. However, such data, logs, metadata, or other files related thereto, as well as other
less common but similar data types, should only be produced after consultation with and
written consent of the Division as to the format for the production of such data.

B. De-duplication
Before doing any de-duplication, provide the Division with a written description of the method
used to de-duplicate (including which elements are compared and what hash codes are used),
and what is considered a duplicate.
1. Custodian Append File
A Custodian Append file is to be produced when de-duplicating ACROSS custodians (i.e.,
horizontal de-duplication) and data is produced on a rolling basis. The file must be provided on
an incremental basis starting with the second submission; as more custodians are discovered
for previously produced documents, this file is updated with only the new custodian information.

G. Deliverables:
A cover letter spreadsheet must be delivered with each submission and should provide
statistical information about the volume(s) and media produced. Provide this in hard copy format
and electronically on the deliverable media.
The Division accepts electronic productions loaded onto hard drives, CD-ROMs, or DVD-ROM
If the media is encrypted, please supply the tool for decryption on the same media, and
instructions for decryption. A separate email must be sent with the password to decrypt.

G. Deliverables:
Black-and-white Group IV Single-Page TIFFs (300 DPI). Color images should be provided in
.JPG format
File names cannot have special characters, not allowed in Windows file-naming convention. (, _
& / # + % ! : * ? “ < > | ~ @ ^)
The maximum number of native files in a subfolder should be limited to 5,000 per folder. Any
encryption or password protection will be removed from all native format files produced.

G. Deliverables:
There should be a single extracted/OCR text file per document.
The name of the text file should be the same as the document's first page/Bates number, with a
TXT extension:
Text files should include page breaks that correspond to the “pagination” of the image files.

Metadata Load File Delimiters and Configuration:
Field Separator ¶ (ASCII 020)
Text Qualifier þ (ASCII 254)
Substitute Carriage Return or New Line in data ® (ASCII 174)
Multi-value separator ; (ASCII 059)
Date Format YYYYMMDD (date type fields only)

Field Name Field Description
Field Type
Hard-
Copy Email
Other
ESI
Calendar
Items
COMPANIES
Company submitting data Multi-Entry X X X X
PHYSICALMEDIA The unique identifier on the physical piece of media Note Text X X X X
VOLUMENAME Production volume number Note Text X X X X
CUSTODIAN Custodian(s) / source(s) Multi-Entry X X X X
TIMEZONE TimeZone from which the native file was collected Note Text X X X
SPEC#
Subpoena/request paragraph number to which the document is
responsive Multi-Entry X X X X
HASHMD5
Document MD5 hash value (used for deduplication or other
processing) Note Text X X X
HASHSHA
Document SHA1 hash value (used for deduplication or other
processing) Note Text X X X
SEARCHVALUES List of search terms used to identify record as responsive (if used) Multi-Entry X X X X
BEGDOC# Start Bates (including prefix) -- No spaces or special characters Note Text X X X X
ENDDOC# End Bates (including prefix) -- No spaces or special characters Note Text X X X X

What if you have unique data, filetypes
etc. that cannot meet the production
specifications?
Can you just skip producing it, and hope
for the best?

SEC Production Specifications
How are the SEC Production
Specification similar?
Are there any differences?

U.S. Securities and Exchange Commission
Data Delivery Standards

Audio Files
Audio files from telephone recording systems must be produced in a format that is playable
using Microsoft Windows Media Player™. Additionally, the call information (metadata) related
to each audio recording MUST be provided. The metadata file must be produced in a delimited
text format. Fieldnames must be included in the first row of the text file. The metadata must
include, at a minimum, the following fields:
1) Caller Name: Caller’s name or account/identification number
2) Originating Number: Caller’s phone number
3) Called Party Name: Called party’s name
4) Terminating Number: Called party’s phone number
5) Date: Date of call
6) Time: Time of call
7) Filename: Filename of audio file

SEC and DOJ Specification Comparison

May 29, 2017 2:29 PM (AZ)
DOJ
Date format: YYYYMMDD 20170529
Time format: HH:MM:SS in 24-hour format
(Do not include AM, PM, or 14:29:00
Time zone indicators)
SEC
Date Format: MM/DD/YYYY 05/29/2017
Time Format: HH:MM AM/PM Time Zone
(Time zone in which the emails were
standardized during conversion) 02:29 PM AZ

Department of Justice
35 Fields
PGCOUNT
DATE_CREATED
INTMSGID
TIME_ZONE
FILE_NAME
PRINTED_DATE
FILE_EXTEN
MD5HASH
Securities Exchange Commission
56 Fields
NUMPAGES
DATECREATED
MESSAGEID
TIMEZOME
FILENAME
DATEPRINTED
FILEEXTENSION
HASHMD5
HASHSHA
VOLUMENAME
COMPANIES

Switching Gears
Has anyone ever worked on a Second
Request?
What exactly is a Second Request?

Hart–Scott–Rodino Antitrust Improvements Act
The HSR Act of 1976 provides that parties must not complete certain mergers, acquisitions or transfers of
securities or assets, including grants of executive compensation, until they have made a detailed filing
with the U.S. Federal Trade Commission and Department of Justice and waited for those agencies to
determine that the transaction will not adversely affect U.S. commerce under the antitrust laws.
In transactions where either the FTC or the Antitrust Division believes there may be significant anti-
competitive consequences, either agency may require that the parties submit more background
information by means of the second request process.

Merger Review
After the companies report a proposed deal, the agencies
will do a preliminary review to determine whether it raises
any antitrust concerns that warrant closer examination.
Transactions requiring further review are assigned to one
agency on a case-by-case basis depending on which
agency has more expertise with the industry involved
The vast majority of deals reviewed by the FTC and the
Department of Justice are allowed to proceed after the
first, preliminary review.
However, if a second request is issued, the companies
must provide more information.

FTC Resources
The Federal Trade
Commission issued a
revised Model Second
Request in August 2015

DOJ Antitrust Division Resources
Antitrust Division issued an
updated Model Second
Request in November of
2016
The revised Model reflects current
e-discovery practice and
requirements, including
instructions on the use of
predictive coding and search
terms.

Prepare for smooth sailing complying with government requests

Recommended

Recommended

More Related Content

Similar to Prepare for smooth sailing complying with government requests

Similar to Prepare for smooth sailing complying with government requests (20)

More from Ipro Tech

More from Ipro Tech (20)

Recently uploaded

Recently uploaded (20)

Prepare for smooth sailing complying with government requests

Editor's Notes