Why you should attend
Organizations create and store a growing volume of information on a daily basis. That information is used in all facets of an organization’s business. When government regulators seek access to that information, many questions can arise. Exactly what information might the government seek? What limits, if any, are there on the government’s request for electronically stored information? How might electronic information be reviewed prior to production and, when the review is completed, how might that information be produced? How are privileges and confidential information protected during an investigation? How can an organization negotiate effectively with the government over the production of electronic information?
Our faculty, which includes judges, regulators, and counsel experienced in government investigations, will answer these questions as they address the cutting-edge issues involved in how the government may seek, produce, and use electronic information in investigations.
What you will learn
- What triggers a government investigation
- What information the government may demand
- What limitations, if any, exist on the scope of government investigations
- What matters related to electronic information (including the “cloud” and social media) interest regulators
- What forms of electronic information federal agencies may seek
- What standards, if any, exist for production
- Cooperation or conflict? Which response might be most - and least - effective in responding to government requestsfor electronic information
- How an organization should negotiate with the government over the production of ESI
Who should attend
This program should be of interest to inside and outside counsel, as well as corporate compliance officers, who find - or have found - themselves involved in an investigation by a federal or state regulatory agency.
Please plan to arrive with enough time to register before the conference begins. A networking breakfast will be available upon your arrival.
Afternoon Session: 1:30 p.m. - 5:00 p.m.
1:30 The Scope of Government Investigations and Limits on Government Investigations
- Opening Remarks by Program Chair Ronald J. Hedges
- What makes the government decide to investigate?
- How and why agencies coordinate investigations
- How broad can an investigation be?
- When is a respondent’s duty to preserve triggered and what is the scope of that preservation?
- How can the respondent challenge scope?
- What judicial remedies are available?
Moderator: David C. Shonka
Speakers: Sarah D. Himmelhoch, Allison C. Stanton, Valerie Szczepanik, Kathleen T. Toomey
3:00 Responding to Government Requests for ESI: Providing Information, Handling the Investigation, and Ending the Case
- Preservation: When is the duty to preserve triggered?
- Negotiation: How to approach the government and see if there is room for negotiation
- Cooperation: Should you “cooperate” with the government?
- Meeting: Should you request a “meet-and-confer” if agency regulations or guidelines do not provide for one? How transparent should you be?
- Production: What goes into a production to the government?
- What are the “form or forms” of production?
- Protection: How to protect privilege and/or work product and avoid a waiver. What is the role of Federal Rule of Evidence 502?
- Ending the investigation:
- Knowing when it is over
- The end of the duty to preserve
- How and when parties can get their documents back
- Ensuring that your settlement will hold up
Moderator: Maura R. Grossman
Speakers: Hon. John M. Facciola, Manfred J. Gabriel, Peter C. Harvey, Justin P. Murphy, David C. Shonka
Sarah D. Himmelhoch
~ Senior Litigation Counsel for E-Discovery, Environment & Natural Resources Division, U.S. Department of Justice
David C. Shonka
~ Principal Deputy General Counsel, Federal Trade Commission
Allison C. Stanton
~ Director of E-Discovery, Office of the Assistant Attorney General, U.S. Department of Justice -- Civil Division
Valerie A. Szczepanik
~ Assistant Director, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Kathleen T. Toomey
~ Deputy Director, Professional Development Office, Civil Rights Division, U.S. Department of Justice
New York City Seminar Location
PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor), New York, New York 10019. Message Center, program days only: (212) 824-5733.
New York City Hotel Accommodations
The New York Hilton & Towers
1335 Avenue of the Americas, New York, NY 10019. 1 block from PLI Center. Reservations 1-800-HILTONS or, 1-877-NYC-HILT. Please mention that you are booking a room under the Practising Law Institute Corporate rate and the Client File # is 0495741. You can also make reservations
online to access Practising Law Institute rates.
The Warwick New York Hotel, 65 West 54th Street New York, NY 10019. 1 block from PLI Center. Reservations 800-223-4099 or, hotel direct 212-247-2700. Please mention that you are booking a room under the Practising Law Institute Corporate rate. Reservations on line at www.warwickhotelny.com Click reservations in menu bar on left. Select desired dates. In 'Special Rates' drop down window select Corporate Rate. In 'Rate Code' enter PLIN. Click search and select desired room type and rate plan. Or, you may email reservation requests to: email@example.com
Sheraton New York Hotel & Towers
, 811 7th Avenue, New York, NY 10019, 1-800-325-3535 or (212) 581-1000. When calling, please mention Practising Law Institute and mention SET#311155. You may also book online
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