electronic discovery 11/09/17 deskbook · litigations and dealing with a wide range of related...

ELECTRONIC DISCOVERY

DESKBOOK

2nd

Pro

ofs

11/0

9/17

PLI's Complete Treatise Library (standard page size).fm Page i Thursday, October 12, 2017 4:03 PM

2nd

Pro

ofs

11/0

9/17

PLI’S COMPLETE LIBRARY OF TREATISE TITLES

ART LAWArt Law: The Guide for Collectors, Investors, Dealers & Artists

BANKING & COMMERCIAL LAWAsset-Based Lending: A Practical Guide to Secured FinancingEquipment Leasing–Leveraged LeasingHillman on Commercial Loan DocumentationHillman on Documenting Secured Transactions: Effective Drafting and LitigationMaritime Law Answer Book

BANKRUPTCY LAWBankruptcy DeskbookPersonal Bankruptcy Answer Book

BUSINESS, CORPORATE & SECURITIES LAWAccountants’ LiabilityAnti-Money Laundering: A Practical Guide to Law and ComplianceAntitrust Law Answer BookBroker-Dealer RegulationConducting Due Diligence in a Securities OfferingConsumer Financial Services Answer BookCorporate Compliance Answer BookCorporate Legal Departments: Practicing Law in a CorporationCorporate Political Activities DeskbookCorporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank EraCovered Bonds HandbookCybersecurity: A Practical Guide to the Law of Cyber RiskDerivatives Deskbook: Close-Out Netting, Risk Mitigation, LitigationDeskbook on Internal Investigations, Corporate Compliance, and White Collar IssuesDirectors’ and Officers’ Liability: Current Law, Recent Developments, Emerging IssuesDoing Business Under the Foreign Corrupt Practices ActEPA Compliance and Enforcement Answer BookExempt and Hybrid Securities OfferingsFashion Law and Business: Brands & RetailersFinancial Institutions Answer Book: Law, Governance, ComplianceFinancial Product Fundamentals: Law, Business, ComplianceFinancial Services Mediation Answer BookFinancial Services Regulation DeskbookFinancially Distressed Companies Answer BookGlobal Business Fraud and the Law: Preventing and Remedying Fraud and CorruptionHedge Fund RegulationInitial Public Offerings: A Practical Guide to Going PublicInsider Trading Law and Compliance Answer BookInsurance and Investment Management M&A DeskbookInternational Corporate Practice: A Practitioner’s Guide to Global SuccessInvestment Adviser Regulation: A Step-by-Step Guide to Compliance and the LawLife at the Center: Reflections on Fifty Years of Securities RegulationMergers, Acquisitions and Tender Offers: Law and StrategiesMutual Funds and Exchange Traded Funds RegulationOutsourcing: A Practical Guide to Law and BusinessPrivacy Law Answer BookPrivate Equity Funds: Formation and OperationProskauer on Privacy: A Guide to Privacy and Data Security Law in the Information AgePublic Company Deskbook: Complying with Federal Governance & Disclosure

RequirementsSEC Compliance and Enforcement Answer BookSecurities Investigations: Internal, Civil and Criminal

PLI's Complete Treatise Library (standard page size).fm Page ii Thursday, October 12, 2017 4:03 PM

2nd

Pro

ofs

11/0

9/17

Securities Law and Practice HandbookThe Securities Law of Public FinanceSecurities Litigation: A Practitioner’s GuideSocial Media and the LawSoderquist on Corporate Law and PracticeSovereign Wealth Funds: A Legal, Tax and Economic PerspectiveA Starter Guide to Doing Business in the United StatesTechnology Transactions: A Practical Guide to Drafting and Negotiating Commercial

AgreementsVariable Annuities and Variable Life Insurance Regulation

COMMUNICATIONS LAWAdvertising and Commercial Speech: A First Amendment GuideSack on Defamation: Libel, Slander, and Related ProblemsTelecommunications Law Answer Book

EMPLOYMENT LAWEmployment Law YearbookERISA Benefits Litigation Answer BookLabor Management Law Answer Book

ESTATE PLANNING AND ELDER LAWBlattmachr on Income Taxation of Estates and TrustsEstate Planning & Chapter 14: Understanding the Special Valuation RulesInternational Tax & Estate Planning: A Practical Guide for Multinational InvestorsManning on Estate PlanningNew York Elder LawStocker on Drawing Wills and Trusts

HEALTH LAWFDA Deskbook: A Compliance and Enforcement GuideHealth Care Litigation and Risk Management Answer BookHealth Care Mergers and Acquisitions Answer BookMedical Devices Law and Regulation Answer BookPharmaceutical Compliance and Enforcement Answer Book

IMMIGRATION LAWFragomen on Immigration Fundamentals: A Guide to Law and Practice

INSURANCE LAWBusiness Liability Insurance Answer BookInsurance Regulation Answer BookReinsurance Law

INTELLECTUAL PROPERTY LAWCopyright Law: A Practitioner’s GuideFaber on Mechanics of Patent Claim DraftingFederal Circuit Yearbook: Patent Law Developments in the Federal CircuitHow to Write a Patent ApplicationIntellectual Property Law Answer BookKane on Trademark Law: A Practitioner’s GuideLikelihood of Confusion in Trademark LawPatent Claim Construction and Markman HearingsPatent Law: A Practitioner’s GuidePatent Licensing and Selling: Strategy, Negotiation, FormsPatent LitigationPharmaceutical and Biotech Patent LawPost-Grant Proceedings Before the Patent Trial and Appeal BoardSubstantial Similarity in Copyright LawTrade Secrets: A Practitioner’s Guide

PLI's Complete Treatise Library (standard page size).fm Page iii Thursday, October 12, 2017 4:03 PM

2nd

Pro

ofs

11/0

9/17

LITIGATIONAmerican Arbitration: Principles and PracticeClass Actions and Mass Torts Answer BookElectronic Discovery DeskbookEssential Trial Evidence: Brought to Life by Famous Trials, Films, and FictionExpert Witness Answer BookEvidence in Negligence CasesFederal Bail and Detention HandbookHow to Handle an AppealMedical Malpractice: Discovery and TrialProduct Liability Litigation: Current Law, Strategies and Best PracticesSinclair on Federal Civil PracticeTrial Handbook

REAL ESTATE LAWCommercial Ground LeasesFriedman on Contracts and Conveyances of Real PropertyFriedman on LeasesHoltzschue on Real Estate Contracts and Closings: A Step-by-Step Guide to Buying and

Selling Real EstateNet Leases and Sale-Leasebacks

TAX LAWThe Circular 230 Deskbook: Related Penalties, Reportable Transactions, Working FormsThe Corporate Tax Practice Series: Strategies for Acquisitions, Dispositions, Spin-Offs, Joint

Ventures, Financings, Reorganizations & RestructuringsForeign Account Tax Compliance Act Answer BookInternal Revenue Service Practice and Procedure DeskbookInternational Tax & Estate Planning: A Practical Guide for Multinational InvestorsInternational Tax Controversies: A Practical GuideInternational Trade Law Answer Book: U.S. Customs Laws and RegulationsLanger on Practical International Tax PlanningThe Partnership Tax Practice Series: Planning for Domestic and Foreign Partnerships, LLCs,

Joint Ventures & Other Strategic Alliances Private Clients Legal & Tax Planning Answer BookTransfer Pricing Answer Book

GENERAL PRACTICE PAPERBACKSAnatomy of a Mediation: A Dealmaker’s Distinctive Approach to Resolving Dollar Disputes

and Other Commercial ConflictsAttorney-Client Privilege Answer BookDrafting for Corporate Finance: Concepts, Deals, and DocumentsPro Bono Service by In-House Counsel: Strategies and PerspectivesSmart Negotiating: How to Make Good Deals in the Real WorldThinking Like a Writer: A Lawyer’s Guide to Effective Writing & EditingWorking with Contracts: What Law School Doesn’t Teach You

Order now at www.pli.eduOr call (800) 260-4754 Mon.–Fri., 9 a.m.–6 p.m.

Practising Law Institute1177 Avenue of the Americas

New York, NY 10036

When ordering, please use Priority Code NWS9-X.

ELECTRONIC DISCOVERY

DESKBOOK

Third Edition

MAYER BROWN LLP

Edited byMichael E. Lackey

Eric B. EvansEthan A. Hastert

Incorporating Release #1November 2017

#208771

Practising Law InstituteNew York City

#192746

2nd

Pro

ofs

11/0

9/17

This work is designed to provide practical and usefulinformation on the subject matter covered. However, it issold with the understanding that neither the publishernor the author is engaged in rendering legal, accounting,or other professional services. If legal advice or other expertassistance is required, the services of a competent profes-sional should be sought.

QUESTIONS ABOUT THIS BOOK?

If you have questions about replacement pages, billing, orshipments, or would like information on our otherproducts, please contact our customer service departmentat [email protected] or at (800) 260-4PLI.

For any other questions or suggestions about this book,contact PLI’s editorial department at: plipress.edu.

For general information about Practising Law Institute,please visit www.pli.edu.

Legal Editor: Jacob Metric

Copyright © 2009, 2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017 byPractising Law Institute.

First edition 2009Second edition 2013

All rights reserved. Printed in the United States of America. No part of thispublication may be reproduced, stored in a retrieval system, or transmitted inany form by any means, electronic, mechanical, photocopying, recording, orotherwise, without the prior written permission of Practising Law Institute.

LCCN: 2008943411

ISBN: 978-1-4024-2751-0

2nd

Pro

ofs

11/0

9/17

About the Editors

ERIC B. EVANS is a partner in Mayer Brown’s Palo Alto office andconcentrates his practice on complex litigation, internal investigations,electronic discovery and data strategy advising, and intellectualproperty matters. He represents major companies in large-scale federalfalse advertising and antitrust class actions, as well as patent and tradesecret matters. He is West Coast co-chair of the firm’s ElectronicDiscovery & Information Governance practice and a member of theCyber Security and Data Privacy Practice.

ETHAN A. HASTERT is a litigation partner in Mayer Brown’s Chicagooffice and is a member of Mayer Brown’s Electronic Discovery &Information Governance practice. Mr. Hastert represents clients incommercial litigation and enforcement actions, with a focus on cross-border data protection and e-discovery issues. Mr. Hastert has alsocounseled multi-national companies on the creation and design ofelectronic discovery programs.

MICHAEL E. LACKEY is a litigation partner at Mayer Brown in itsWashington, D.C. office, where he focuses his practice on civil andcriminal litigation and electronic discovery, primarily representinglarge companies in complex proceedings such as multi-district andclass action litigation. As a member of the firm’s Electronic Discoveryand Information Governance practice, he is nationally recognized forhis knowledge of electronic discovery issues and frequently speaks onthe subject. In addition, he is a member of the Board of Advisors to theGeorgetown University Law School Advanced E-Discovery Institute.

vii(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

2nd

Pro

ofs

11/0

9/17

About the Contributors

JAMES ANCONE (chapter 1) is an associate at Mayer Brown’s New Yorkoffice, and a member of the Electronic Discovery and InformationGovernance practice. He has previously published an article on statee-discovery rules.

MICHAEL D. BATTAGLIA (chapters 7 and 8) is an intellectual propertyassociate in Mayer Brown’s Palo Alto office. Michael frequently assistsclients with discovery issues, including designing and implementingprocedures relating to the preservation, collection, review, and produc-tion of electronically stored information. Additionally, he advises clientson a variety of electronic discovery issues including discovery sanctions,privilege, and the efficient use of technological resources in litigation.

MICHAEL BORNHORST (chapter 2) is a senior associate in the litigationpractice of Mayer Brown’s Chicago office and is a member of thefirm’s Consumer Litigation and Class Action Defense Group. Inaddition to his consumer class defense practice, Michael representsbusinesses and individuals in complex commercial disputes involvingsoftware licensing and franchise agreements. Michael is also a memberof the firm’s Electronic Discovery and Information Governancepractice.

TIFFANY BROWN (chapter 6) is an associate in Mayer Brown’sWashington, D.C. office. Ms. Brown focuses her practice on intellec-tual property matters and a variety of business transactional matters.

CORWIN CARR (chapter 3) is an associate in Mayer Brown’s Chicagooffice and a member of the Litigation & Dispute Resolution practice.

ROBERT ENTWISLE (chapter 10) is a litigation associate who representsmultinational corporations and other clients in antitrust matters,securities litigation, government and internal investigations, andcomplex commercial litigation. He has considerable experience repre-senting clients in large-scale litigation matters, class actions, andmulti-district litigation. Bob also regularly advises clients on the

ix(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

implementation of policies and procedures designed to assist in meet-ing information preservation and electronic discovery obligations.

KYLE E. FRIESEN (chapter 11) is an intellectual property associate inMayer Brown’s Houston office specializing in IP enforcement litigation.He has experience managing electronic discovery in large patentlitigations and dealing with a wide range of related issues that ariseduring litigation.

PATRICK GARBE (chapters 4, 5, and 7) is an eDiscovery Knowledge& Strategy Manager at Mayer Brown LLP and a member of the firm’sElectronic Discovery and Information Governance practice group.Patrick is a former paralegal with over thirty years of experience indiscovery services, legal management and paralegal support. He worksclosely with clients and legal teams on the development and imple-mentation of discovery plans in commercial litigation, internal in-vestigations and antitrust matters. Mr. Garbe is a specialist in helpingclients and case teams manage the complexities of e-discovery.

MICHAEL GILL (chapter 10) is a partner in the Chicago office of MayerBrown. He has more than thirty years’ experience as a trial lawyer,many of his cases involving technology-related disputes. He regularlycounsels clients with respect to e-discovery issues and establishinge-discovery programs. As a member of the firm’s Electronic Discoveryand Information Governance practice, he has been retained on anumber of occasions to defend critical sanctions motions allegingspoliation.

ELSPETH V. HANSEN (chapter 14) is an associate in Mayer Brown’s PaloAlto office and a member of the Litigation & Dispute Resolutionpractice. She is a member of the Young Lawyer Advisory Panel for theABA Antitrust Section Civil Practice and Procedure Committee. Priorto joining Mayer Brown in 2014, Elspeth served as a law clerk to theHon. Roger T. Benitez of the United States District Court, SouthernDistrict of California. During law school, she served as ExecutiveEditor for the online portion of Harvard Law School’s NationalSecurity Journal.

MENACHEM HASOFER (chapters 12 and 14) is a partner in the Litiga-tion Department in Mayer Brown JSM’s Hong Kong office and isresponsible for its Electronic Discovery and Information Governancepractice in Asia. He has substantial experience in the conduct of

ELECTRONIC DISCOVERY DESKBOOK

x

2nd

Pro

ofs

11/0

9/17

large-scale, document-intensive planning and construction litigationand arbitration, and is a regular speaker on the topic of ElectronicDiscovery in Asia.

MARK C. HILGARD (chapter 14) leads the litigation and arbitrationpractice of Mayer Brown in Germany. He regularly publishes andspeaks on electronic discovery, data protection, and informationretention, management, and disclosure both in litigation and inarbitration. He is past president of the Litigation Commission of theUnion International des Avocats (UIA) and serves as Chairman of theCorporate and Business Law Committee of the American Chamberof Commerce in Germany (AmCham). He is a member of the SedonaConference Working Group 6, and chairs Mayer Brown’s GermanElectronic Discovery and Information Governance practice.

MATTHEW INGBER (chapter 14) is a partner at Mayer Brown and amember of its Electronic Discovery and Information Governancepractice. He has advised several clients, including those in the tech-nology and banking industries, on e-discovery protocols and haslitigated a number of matters involving complex e-discovery issues.

JASON I. KIRSCHNER (chapter 4) is a litigation partner in MayerBrown’s New York office and a member of the firm’s ElectronicDiscovery and Information Governance practice. He advises financialinstitutions, technology companies, and other corporations on elec-tronic discovery issues.

SUE KNOX (chapter 14) is a foreign-qualified lawyer and manages thelitigation support function in Mayer Brown’s London office. Ms. Knoxprovides practical support and guidance to internal and externalclients in connection with matters involving investigations and dis-closure. Ms. Knox also prepares regular briefings on best practices,policies and procedures.

KIM LEFFERT (chapters 2 and 3) is a counsel in Mayer Brown’s Chicagooffice and she has been a member of the Mayer Brown ElectronicDiscovery and Information Governance practice since 2003. She hassubstantial experience assisting clients with information governancematters, including defensible destruction of data, document retentionpolicies and procedures, and records management programs, as well asdeveloping electronic discovery programs. She is one of the editors ofMayer Brown’s Electronic Discovery and Information Governance


xi(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

“Tip of the Month,” and her article “Cutting to the ‘DocumentReview’ Chase” appeared in the November/December 2008 editionof Business Law Today.

NOAH LIBEN (chapter 4) is a litigation senior associate in MayerBrown’s New York office and a member of the firm’s ElectronicDiscovery and Information Governance practice. His core practiceconsists of representing companies in complex commercial disputes.In the financial services sector, a significant portion of his practiceconsists of representing institutions in securities litigations, govern-ment investigations, and other disputes including actions pertainingto benchmark rate-setting and the marketing and sale of residentialmortgage-backed securities. Noah regularly advises clients on bestpractices for document preservation, collection, and production.

MEYTAL MCCOY (chapters 6 and 9) is counsel in Mayer Brown’sWashington, D.C. office, where she focuses on all aspects of antitrust,including litigation, merger clearance and antitrust business coun-seling. Ms. McCoy handles all aspects of civil litigation, includingmotions practice, discovery, and electronic discovery. Ms. McCoy alsohas significant experience with electronic discovery, includinge-discovery practice before the Federal Trade Commission and Depart-ment of Justice, and e-discovery in civil litigation.

B. CLAYTON MCCRAW (chapters 8 and 10) is a senior associate inMayer Brown’s New York office and is a member of the IntellectualProperty practice group. He is a registered patent attorney withexperience in district court and ITC patent litigation, PTAB proceed-ings, patent prosecution, and patent licensing and other transactionalmatters. Clayton’s experience spans a wide array of technologiesincluding computer software, electrical engineering arts, medicaldevices, automotive components, business method patents, anddesign patents. Clayton is also a former USPTO Patent Examiner.

MARK MICHELS (chapter 15) is a Managing Director in DeloitteTransactions and Business Analytics LLP. Mark specializes in advisingon electronic discovery management related to complex litigation,patent litigation, class actions, commercial disputes, pre-mergerreviews, and internal investigations. Mark is also a nationally recog-nized expert on in-house e-discovery implementation, patent litigationdiscovery management, and litigation cost control. Since 2005,


xii

2nd

Pro

ofs

11/0

9/17

Mr. Michels has been a member of the Georgetown Law Advanced E-Discovery Institute Advisory Board.

RICHARD E. NOWAK (chapter 13) is a Litigation Dispute Resolutionassociate in Mayer Brown’s Chicago office. Mr. Nowak has significanttrial experience in state and federal court and his practice focuses onlabor and employment, ERISA, and other commercial disputes.Mr. Nowak represents clients in matters brought under Title VII ofthe Civil Rights Act, the Employee Retirement Income Security Act(ERISA), Fair Labor Standards Act, National Labor Relations Act,Americans with Disabilities Act, and other state and federal discrimi-nation laws. Mr. Nowak also assists clients with internal investiga-tions and advises on internal policy and procedural issues, includingelectronic communications, electronic discovery, employee monitor-ing, social media and other pre- and post-employment considerations.

ORAL D. POTTINGER (chapters 1 and 6) is a senior associate in MayerBrown’s Washington, D.C. office. He specializes in mergers andacquisitions, civil and criminal antitrust investigations, antitrustcounseling, and Federal Communications Commission (FCC) cableand media representation. Oral also has extensive experience inadvertising and consumer protection matters and has served as atrusted advisor to corporate clients identifying and implementingeffective e-discovery solutions addressing any complex legal matter,including government investigations; class action discovery; and othercomplex commercial matters; addressing client needs, from infor-mation risk management and data-retention planning to discoveryplanning, e-discovery collection, processing, data analytics, managedelectronic review and production.

TONY REID (chapter 15) is a Principal with Deloitte and is theNational Practice leader for Legal Management Consulting Services(LMC). The LMC practice focuses on providing services to corporatelaw departments in the areas of records and information management,electronic discovery preparedness, law department operations andtechnology, and claims analysis and administration. Mr. Reid providesstrategic and tactical solutions that address complex problems at anumber of Fortune 100 companies across a variety of industries.

JARMAN D. RUSSELL (chapters 5 and 8) is a senior associate in the NewYork office of Mayer Brown’s Litigation & Dispute Resolution practicegroup. He is also a member of Mayer Brown’s Electronic Discovery &


xiii(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

Information Governance practice. His practice includes litigation instate and federal courts, commercial arbitration, and internal investi-gations. He also advises clients across a variety of industries oncomplex electronic discovery and preservation issues.

ED SAUTTER (chapter 14) is a partner in the Litigation Department ofMayer Brown’s London office and heads up Mayer Brown’s U.K.Electronic Discovery and Information Governance practice. Hespecializes in the handling of financial disputes and contentiousregulatory matters. He is a regular speaker and writer on e-discoveryand data retention issues in the U.K.

ALLISON STOWELL (chapter 12) is a member of Mayer Brown’s Inter-national Arbitration practice. She has represented Latin American,Caribbean and U.S. clients in the oil and gas and banking and financeindustries in arbitrations under the auspices of the ICDR, ICC andother arbitral institutions. Allison has also represented pro bonovictims of human trafficking in asserting trafficking claims againsttheir employers. From 2009 to 2010, she served as a clerk for JudgeSusan P. Read of the New York Court of Appeals.

MICHELLE N. WEBSTER (chapter 9) is an associate in Mayer Brown’sWashington, D.C. office specializing in civil litigation and regulatorymatters, with a focus on government investigations and class actionlitigation. Michelle has represented a wide range of clients in mattersinvolving consumer class actions, employment and benefits, antitrust,and securities enforcement and investigations.

LORI A. ZAHALKA (chapter 13) is a partner in Mayer Brown’s Chicagooffice. She helps clients in the financial and food industries, amongothers, navigate issues related to electronic communications, privacyand data management in the global workplace. She provides advice onglobal strategies for addressing these concerns, including developingstrategic plans related to the acceptable use of employers’ electroniccommunication systems, social media use inside and outside of theworkplace, monitoring of and discipline for employees’ electronic com-munications, and post-employment considerations related to accountownership and the application of restrictive covenants to social mediaactivity. She also provides clients with counsel and advice on otheremployment-related matters such as employee discipline and termi-nation, employment policies, employment agreements, separationagreement and covenants not to compete.

xiv

ELECTRONIC DISCOVERY DESKBOOK2n

d P

roof

s 11

/09/

17

Table of Chapters

Chapter 1 The 2006 and 2015 Amendments to the FederalRules of Civil Procedure, the 2008 Amendmentsto the Federal Rules of Evidence, and the SedonaPrinciples

Chapter 2 Information Management Policies and Procedures

Chapter 3 Litigation Management Policies and Procedures

Chapter 4 Preservation Obligations

Chapter 5 Managing the Meet-and-Confer Process

Chapter 6 Collection of Electronically Stored Information

Chapter 7 Review and Production of Electronically StoredInformation

Chapter 8 Third-Party Practice

Chapter 9 Regulatory and Government Investigations andActions

Chapter 10 Managing Spoliation Claims and Defenses

Chapter 11 Electronic Discovery in Specific Areas of Practice

Chapter 12 Arbitration

Chapter 13 The Next Generation of ESI: Social Media,Web-Based Collaboration Applications, CloudComputing, and Mobile Technologies

Chapter 14 International Issues

Chapter 15 Technology Considerations

xv(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

2nd

Pro

ofs

11/0

9/17

Table of Contents

About the Editors ............................................................................vii

About the Contributors ...................................................................ix

Table of Chapters............................................................................xv

Foreword...................................................................................... xxxix

Chapter 1 The 2006 and 2015 Amendments to the FederalRules of Civil Procedure, the 2008 Amendmentsto the Federal Rules of Evidence, and theSedona PrinciplesEric B. Evans, James Ancone & Oral D. Pottinger

§ 1:1 Introduction.................................................................... 1-2§ 1:2 The 2015 E-Discovery Amendments.............................. 1-6

§ 1:2.1 Background ............................................................... 1-6§ 1:2.2 Scope and Proportionality ......................................... 1-7§ 1:2.3 Failure to Preserve ESI .............................................. 1-7§ 1:2.4 Other Discovery Rules .............................................. 1-8

[A] Early Permissible Document Requests...................... 1-8[B] Promotion of Early Case Management ..................... 1-8[C] Objection with Specificity ......................................... 1-9

§ 1:3 The 2006 E-Discovery Amendments.............................. 1-9§ 1:3.1 Background ............................................................... 1-9§ 1:3.2 Preservation and the Amendments......................... 1-10§ 1:3.3 Discovery of Electronically Stored Information ...... 1-12§ 1:3.4 Scope of Party-Managed Discovery:

Inaccessible Sources of Information........................ 1-14§ 1:3.5 Discovery Management: Early Attention to

Contentious Issues ................................................. 1-17§ 1:3.6 Discovery Management: Forms and Formats

of Production .......................................................... 1-19§ 1:3.7 Other Discovery Rules ............................................ 1-20

[A] Initial Disclosures................................................... 1-20[B] Clawback of Production of Privileged

Communications or Trial Preparation Materials ..... 1-21

xvii(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

[C] Responses to Interrogatories Based onBusiness Records..................................................... 1-22

[D] Third-Party Practice ................................................ 1-22§ 1:4 The 2008 and 2017 Evidence Amendments ................ 1-22§ 1:5 E-Discovery in State Courts ......................................... 1-25§ 1:6 Other E-Discovery Rules............................................... 1-31

Chapter 2 Information Management Policies andProceduresKim Leffert & Michael Bornhorst

§ 2:1 Introduction.................................................................... 2-3§ 2:2 Managing Data Systems to Anticipate Litigation........... 2-4

§ 2:2.1 Internal Witness Preparation .................................... 2-4[A] Questions About Email Storage ................................ 2-5[B] Questions About Laptops ......................................... 2-6[C] Questions About Desktops ....................................... 2-7[D] Questions About Procedures for Retaining Data

for Departing Employees........................................... 2-8[E] Questions About Records Management and

Document Retention Policies ................................... 2-8[F] Questions About Home Computers ....................... 2-10[G] Questions About Portable Media ............................ 2-10[H] Questions About Handheld Devices ....................... 2-10[I] Questions About Internet and Intranet

Usage and Social Media.......................................... 2-11[J] Questions About Web Meetings and

Collaboration Tools................................................. 2-12[K] Questions About Backup Systems .......................... 2-12[L] Questions About Preservation ................................ 2-14[M] Questions About Collection ................................... 2-15[N] Questions About Group (Shared) Network

Drives ..................................................................... 2-16[O] Questions About Structured Databases .................. 2-17

§ 2:2.2 Data Source Catalogs.............................................. 2-18§ 2:3 Records Management Policy ......................................... 2-20

§ 2:3.1 Email and Other Communication.......................... 2-20§ 2:3.2 Disaster Recovery Data........................................... 2-24

[A] Implementing a Retention Plan.............................. 2-26[B] Consideration of Relevant Regulations ................... 2-27[C] Regular Recycling and Destruction ......................... 2-27[D] Dealing with Litigation Holds ................................ 2-28

§ 2:3.3 Databases................................................................ 2-30§ 2:3.4 Data Privacy............................................................ 2-31


xviii

2nd

Pro

ofs

11/0

9/17

§ 2:4 Remediation of Legacy Data ......................................... 2-33§ 2:4.1 Nature of Legacy Data ............................................ 2-33§ 2:4.2 Costs and Risks Associated with Legacy Data........ 2-33

[A] Costs and Risks of Storage and DataManagement ........................................................... 2-34

[B] Costs and Risks of Disclosure ................................ 2-34[C] Costs and Risks of Production................................ 2-35

§ 2:4.3 Remediation Prerequisites....................................... 2-35§ 2:4.4 Measuring Success of Remediation......................... 2-36

[A] Litigation Holds Management System.................... 2-36[B] Legacy Data Maintenance....................................... 2-36

§ 2:4.5 Remediation of Different Types of Data ................. 2-37[A] Centralized Data..................................................... 2-37[A][1] Matter-Specific Data............................................. 2-37[A][2] Custodian-Level Data........................................... 2-38[A][3] Organizational-Level Data.................................... 2-38[A][4] Media-Level Data (Including Backup Tapes) ........ 2-38[B] Noncentralized Data............................................... 2-39

§ 2:4.6 Legal Standard for Knowledge About LegacyData ........................................................................ 2-39

§ 2:4.7 Remediation of Backup Tapes ................................. 2-42[A] Objectives................................................................ 2-42[B] Steps ....................................................................... 2-43[B][1] Gather Information.............................................. 2-44[B][1][a] Tapes and Systems............................................ 2-44[B][1][b] Holds ................................................................ 2-45[B][2] Conduct a Backup Tape Sweep............................. 2-46[B][3] Create a Taxonomy of Backup Tapes and

Holds.................................................................... 2-46[B][4] Gather Information on Tape Use and Policies ..... 2-47[B][5] Exclusion and Inclusion of Tapes or Tape Sets..... 2-47[B][6] Additional Inclusion and Exclusion

Techniques............................................................ 2-48[C] Results of the Inclusion-and-Exclusion Process ...... 2-49[D] Resumption of Recycling of Daily Backup Tapes .... 2-49

§ 2:4.8 Remediation of Accumulated Images ofHard Drives and Other Custodian-Level Data ....... 2-50

§ 2:4.9 Remediation of Legacy Data in Possession ofEmployees ............................................................... 2-51

[A] Challenges .............................................................. 2-51[B] Approaches.............................................................. 2-52[B][1] Centralization ...................................................... 2-52[B][2] Data Remediation by Personnel ........................... 2-53

Table of Contents

xix(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

[B][3] Office-by-Office, Person-by-PersonRemediation ......................................................... 2-53

[B][4] Exclusion of Personnel Data from AnyRemediation Project ............................................. 2-54

§ 2:5 Trends ........................................................................... 2-54§ 2:5.1 Managing Risks of Deletion of ESI......................... 2-54§ 2:5.2 Requiring Investment in Technology ...................... 2-58§ 2:5.3 Internal Social Media Policies................................. 2-59

Chapter 3 Litigation Management Policies andProceduresKim Leffert & Corwin Carr

§ 3:1 Introduction.................................................................... 3-2§ 3:2 Legal Department Role ................................................... 3-2

§ 3:2.1 Overview ................................................................... 3-2§ 3:2.2 Managing Risk.......................................................... 3-3§ 3:2.3 Achieving a Reasonable, Good Faith Approach

to Preservation .......................................................... 3-6§ 3:3 Corporate Policies ........................................................... 3-7

§ 3:3.1 Confidential Information.......................................... 3-7§ 3:3.2 Attorney-Client Privilege and Work Product

Doctrine.................................................................. 3-10§ 3:3.3 Preservation ............................................................ 3-12§ 3:3.4 Collection ............................................................... 3-13§ 3:3.5 Review and Production ........................................... 3-14

§ 3:4 Litigation Holds............................................................ 3-16§ 3:4.1 Timing .................................................................... 3-17§ 3:4.2 Process for Issuing a Hold ...................................... 3-18§ 3:4.3 Scope of the Hold ................................................... 3-19

§ 3:5 Corporate Compliance.................................................. 3-20§ 3:5.1 Employee Training .................................................. 3-20§ 3:5.2 Monitoring and Updating ....................................... 3-21§ 3:5.3 Integration of Outside Counsel and

E-Discovery Vendors ............................................... 3-21

Chapter 4 Preservation ObligationsJason I. Kirschner, Noah Liben & Patrick Garbe

§ 4:1 Introduction.................................................................... 4-4§ 4:2 Boundaries of the Duty to Preserve ................................ 4-4

§ 4:2.1 Triggering of Preservation Obligations ...................... 4-5[A] Notice of the Duty to Preserve ................................. 4-6


xx

2nd

Pro

ofs

11/0

9/17

[B] Reasonably Anticipated Future Litigation ................. 4-7[B][1] “Potential” Versus “Anticipated” Litigation ............ 4-7[B][2] Factors That May Trigger a Duty to Preserve ...... 4-10[B][2][a] Fear of Future Litigation ................................... 4-10[B][2][b] Retention of Counsel or Other Experts ............ 4-11[B][2][c] Notice of Conduct Underlying a Potential

Claim................................................................ 4-12[B][2][d] Litigation Has Become Commonplace

Under Similar Circumstances .......................... 4-13[C] Best Practices for Determining the Triggering

of an Obligation...................................................... 4-14[C][1] Develop Information About the

Organization’s Exposure to TypicalTriggering Events .................................................. 4-15

[C][2] Develop a Process for the Notificationof In-House Counsel of Triggering Events............ 4-15

[C][3] Take Steps to Analyze Costs and Risksto Organization .................................................... 4-15

§ 4:2.2 Scope of Preservation Obligations........................... 4-16[A] Types of ESI That Must Be Preserved ..................... 4-18[B] Identifying Sources of ESI Likely to Contain

Discoverable Information ....................................... 4-22[B][1] Accessible Versus Inaccessible Data ..................... 4-24[B][2] Routine Operations .............................................. 4-28[B][3] Email .................................................................... 4-30[B][4] Handheld Devices ................................................ 4-31[B][5] Websites ............................................................... 4-32[B][6] Group/Shared Drives ............................................ 4-32[B][7] Determining Key Players and Relevant Time

Frames.................................................................. 4-33[B][8] Former Employees ................................................ 4-34[B][9] Custodians’ Personal Data ................................... 4-35[B][10] Data Sources Frequently Relevant in

Similar Litigations................................................ 4-36[C] Raising Preservation Issues..................................... 4-38

§ 4:2.3 Search Technology................................................... 4-39§ 4:2.4 Form of Preservation............................................... 4-40§ 4:2.5 Methods of Preservation ......................................... 4-43

[A] Manual Copy .......................................................... 4-44[B] Active Data Copy.................................................... 4-44[C] Forensic Image Process ........................................... 4-44[D] End-User-Driven Process ........................................ 4-45[E] Supervised Tape Archive Process............................. 4-45[F] Records Management.............................................. 4-46[G] Individual Computer Backup.................................. 4-46

Table of Contents

xxi(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

§ 4:3 Types of ESI .................................................................. 4-46§ 4:3.1 Voice Mail ............................................................... 4-46

[A] Discoverability ........................................................ 4-46[B] Best Practices for Preservation ................................ 4-48

§ 4:3.2 Instant Messaging................................................... 4-48[A] What Is Instant Messaging? ................................... 4-48[B] How Does Instant Messaging Work?...................... 4-50[C] Expansion into the Corporate World ...................... 4-50[D] Treatment of Instant Messaging in Discovery ........ 4-51[D][1] Discoverability...................................................... 4-51[D][2] Duty to Preserve................................................... 4-52[D][3] Regulatory Guidance ............................................ 4-54[D][4] Practical Considerations....................................... 4-55[E] Best Practices for Preserving Instant Messages ....... 4-55[E][1] Evaluate Need for an IM System.......................... 4-55[E][2] Install Corporate IM System and

Prohibit Use of Public IM .................................... 4-55[E][3] Establish a General IM Policy .............................. 4-56

§ 4:3.3 Backup Media ......................................................... 4-56[A] The Nature of Backup Tapes and Their

Limitations in Discovery ........................................ 4-57[B] Duty to Preserve ..................................................... 4-60[B][1] Common Law Preservation Obligation ................ 4-60[B][2] Application of Preservation Duty to

Backup Tapes........................................................ 4-60[C] Best Practices for Preserving Backup Media............ 4-65[C][1] Obtain Comprehensive Understanding of

Disaster Recovery Systems ................................... 4-65[C][2] Develop Policies and Procedures for Backup

Media, Including Preservation Guidelines ........... 4-65[C][3] Object to, and Consult About, Preservation

of Backup Data As Soon As Practicable ............... 4-66[C][4] Develop Standard Disclosure Documents ............ 4-66

§ 4:3.4 Hard Drives and Images of Hard Drives ................ 4-67[A] Mirror Imaging ....................................................... 4-67[B] Demands for Mirror Imaging ................................. 4-68[C] Best Practices .......................................................... 4-70[C][1] Develop and Follow Guidelines for When to

Preserve Hard Drives or Take Images................... 4-70[C][2] Develop a Process for Managing Hard

Drives and Images................................................ 4-71§ 4:3.5 Data in Dynamic or Transitory Systems ................ 4-71

[A] Preserving Dynamic Data ....................................... 4-71[B] Best Practices .......................................................... 4-72


xxii

2nd

Pro

ofs

11/0

9/17

[B][1] Obtain Comprehensive Understandingof Relevant Systems ............................................. 4-72

[B][2] Develop and Follow Guidelines for When toPreserve Data ....................................................... 4-72

[B][3] Deal with the Preservation of Data fromDynamic and Transitory SystemsAs Soon As Practicable......................................... 4-73

[B][4] Develop Standard Disclosure DocumentsRegarding Data from Dynamic and TransitorySystems ................................................................ 4-73

§ 4:3.6 Legacy Data ............................................................ 4-74[A] Preservation ............................................................ 4-74[B] Best Practices .......................................................... 4-74

§ 4:3.7 Emerging Technologies: Social Networkingand Other Web-Based Technologies ........................ 4-75

[A] The Next Generation of ESI ................................... 4-75[B] Examples of Emerging Technologies ....................... 4-75[B][1] Social Networking and Video-Sharing Sites ......... 4-75[B][2] Web-Based Collaboration Applications................. 4-76[B][3] Cloud Computing ................................................ 4-77[C] Emerging Technologies in Discovery ...................... 4-78[D] Best Practices for Preservation ................................ 4-78[D][1] Understand How Emerging Technologies

Are Used .............................................................. 4-79[D][2] Evaluate the Business Need.................................. 4-79[D][3] Educate Employees ............................................... 4-79[D][4] Establish Policies Regarding the Use of

Web-Based Technologies ....................................... 4-79[D][5] Include Emerging Technologies in Legal

Hold Notices ........................................................ 4-79[D][6] Negotiate Contractual Agreements with

Cloud Computing Providers................................. 4-80[D][7] Develop Procedures for Capturing

Web-Based or Third-Party Hosted Data ............... 4-80[D][8] Audit Compliance with Policies ........................... 4-80

§ 4:4 Legal Holds ................................................................... 4-81§ 4:4.1 Executing Legal Holds............................................. 4-81

[A] Contents of Preservation Notice............................. 4-83[B] Recipients of Preservation Notice ........................... 4-84[C] Auditing Compliance with Preservation Notice ..... 4-86[D] Best Practices .......................................................... 4-87

§ 4:4.2 Evergreen Holds ...................................................... 4-88[A] Determining Whether an Evergreen Hold Is

Necessary ................................................................ 4-88

Table of Contents

xxiii(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

[B] Best Practices .......................................................... 4-89§ 4:4.3 Lifting Legal Holds.................................................. 4-90

[A] Termination When Matter Is UltimatelyConcluded............................................................... 4-90

[B] Changes in Scope of the Legal Hold ....................... 4-91[C] Additional Considerations ...................................... 4-92

Chapter 5 Managing the Meet-and-Confer ProcessJarman D. Russell & Patrick Garbe

§ 5:1 Introduction.................................................................... 5-1§ 5:2 Responsibilities of Counsel............................................. 5-4

§ 5:2.1 Outside Counsel’s Responsibility.............................. 5-4§ 5:2.2 Relationship Between In-House and Outside

Counsel..................................................................... 5-9§ 5:2.3 Best Practices in Preparing for a Meet and

Confer ..................................................................... 5-11§ 5:3 Key Issues for Discussion ............................................. 5-14

§ 5:3.1 Use of Search Terms and Advanced SearchTechnology .............................................................. 5-17

§ 5:3.2 Privilege Protocols................................................... 5-20[A] Clawback Agreements............................................. 5-24[B] Quick-Peek Agreements .......................................... 5-24[C] Use of Search Terms or Data Analytics .................. 5-25[D] Privilege Logs .......................................................... 5-25[E] Privilege and Metadata Review ............................... 5-29

§ 5:3.3 Form of Production................................................. 5-30§ 5:3.4 Preservation ............................................................ 5-34§ 5:3.5 Metadata ................................................................. 5-39

§ 5:4 Direct Access ................................................................ 5-43§ 5:5 Identification Requirements.......................................... 5-47§ 5:6 Inaccessible Sources...................................................... 5-49§ 5:7 Initial Disclosures......................................................... 5-53

Chapter 6 Collection of Electronically Stored InformationMichael E. Lackey, Ethan A. Hastert, Meytal McCoy,Oral D. Pottinger & Tiffany Brown

§ 6:1 Introduction.................................................................... 6-2§ 6:2 Legal Requirements......................................................... 6-2

§ 6:2.1 Meeting Discovery Obligations................................. 6-3§ 6:2.2 Overcoming Claims of Under-Collection ................. 6-6§ 6:2.3 Ensuring the Admissibility of Collected ESI ............. 6-8

§ 6:3 Overview of the Collection Process .............................. 6-10


xxiv

2nd

Pro

ofs

11/0

9/17

§ 6:3.1 Who Should Collect? .............................................. 6-11§ 6:3.2 What Should Be Collected?..................................... 6-11§ 6:3.3 When Should Collection Occur? ............................ 6-12§ 6:3.4 Where Should the Collection Team Look for

Relevant ESI? .......................................................... 6-13§ 6:4 Basic Collection Process ............................................... 6-14

§ 6:4.1 Locating Relevant Files ........................................... 6-14[A] Overview of Automated Search Methods................ 6-17[B] Choosing a Search Method..................................... 6-18[C] Designing the Query............................................... 6-20

§ 6:4.2 Common Data Types.............................................. 6-22[A] Basic Data Files ...................................................... 6-22[B] Email Journaling ..................................................... 6-22[C] Instant Message Logging......................................... 6-23[D] Application Metadata and Version Control ............ 6-24[E] Databases................................................................ 6-24

§ 6:4.3 Handling Identical and Distinct Files..................... 6-27§ 6:4.4 Storing Collected ESI .............................................. 6-28

§ 6:5 Challenges to Collection............................................... 6-29§ 6:5.1 Privacy Concerns .................................................... 6-29§ 6:5.2 Reasonable Accessibility.......................................... 6-31

[A] Active, Online Data ................................................ 6-33[B] Near-Line Data ....................................................... 6-35[C] Offline Storage and Archives .................................. 6-36[D] Backup Tapes .......................................................... 6-37[E] Erased, Fragmented, or Damaged Data................... 6-39

§ 6:5.3 Unsearchable Data.................................................. 6-41[A] Nontextual Data ..................................................... 6-42[B] Unknown and Unsupported File Types .................. 6-43[C] Compressed and Encrypted Files ............................ 6-44[D] Corrupt Files........................................................... 6-44

Chapter 7 Review and Production of ElectronicallyStored InformationMichael E. Lackey, Michael D. Battaglia &Patrick Garbe

§ 7:1 Introduction.................................................................... 7-2§ 7:2 Review Application Options ........................................... 7-3

§ 7:2.1 Pre-Review Considerations ....................................... 7-3§ 7:2.2 Selecting a Review Tool............................................. 7-4§ 7:2.3 Technology-Assisted Review and Predictive

Coding ...................................................................... 7-5§ 7:2.4 Managing Costs ........................................................ 7-8

Table of Contents

xxv(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

§ 7:3 Requests for Production and Responses........................ 7-11§ 7:3.1 Requests for Production .......................................... 7-11

[A] The 2006 Amendments.......................................... 7-12[B] The 2015 Amendments.......................................... 7-14[C] Drafting the Request ............................................... 7-15

§ 7:3.2 Responses................................................................ 7-17[A] Applicable Rules...................................................... 7-17[B] Best Practices .......................................................... 7-22

§ 7:4 Preemptive Court Access .............................................. 7-23§ 7:4.1 The Federal Rules ................................................... 7-23§ 7:4.2 Early Preservation Orders ....................................... 7-25§ 7:4.3 Letter Requests and Expedited Discovery................ 7-30§ 7:4.4 Ex Parte Orders ....................................................... 7-31

§ 7:5 Cost-Shifting and Allocation ........................................ 7-33§ 7:5.1 Rule 26.................................................................... 7-33§ 7:5.2 The Zubulake and McPeek Tests............................ 7-34§ 7:5.3 Cost-Shifting Trends ............................................... 7-36§ 7:5.4 Award of Costs for E-Discovery Under

Rule 54(d)(1) and 28 U.S.C. § 1920(4) ........................ 7-40§ 7:5.5 Best Practices .......................................................... 7-42

§ 7:6 Privilege and Work Product Review .............................. 7-44§ 7:6.1 Pre-Review Preparation ........................................... 7-45

[A] ESI Collection ......................................................... 7-46[B] Privilege Review Work Flow.................................... 7-46

§ 7:6.2 Defining the Privilege ............................................. 7-48[A] Attorney-Client Privilege......................................... 7-48[B] Work Product Doctrine ........................................... 7-51

§ 7:6.3 Privilege Log............................................................ 7-51§ 7:6.4 Waiver ..................................................................... 7-53

§ 7:7 Form of Production....................................................... 7-56§ 7:8 Production of ESI to Multiple Parties,

Including Public Entities............................................... 7-59§ 7:8.1 Applicable Rules...................................................... 7-59§ 7:8.2 Risks ....................................................................... 7-60§ 7:8.3 Selective Waiver Doctrine ....................................... 7-62§ 7:8.4 Centralization and Continued Retention ............... 7-67§ 7:8.5 Production Protocol ................................................ 7-68

§ 7:9 Expedited and Time-Sensitive Reviews......................... 7-69§ 7:9.1 Preliminary Assessment.......................................... 7-69§ 7:9.2 Selecting a Review Option ...................................... 7-70§ 7:9.3 Review Phase .......................................................... 7-70

[A] Meet with Integrated Review Team ........................ 7-70[B] Meet with Electronic Vendor .................................. 7-71[C] Establish a Quality Control Procedure.................... 7-71

§ 7:9.4 Production Phase .................................................... 7-72


xxvi

2nd

Pro

ofs

11/0

9/17

Chapter 8 Third-Party PracticeEric B. Evans, Michael D. Battaglia, B. Clayton McCraw &Jarman D. Russell

§ 8:1 Introduction.................................................................... 8-2§ 8:2 Preservation Obligations of a Third Party ...................... 8-3

§ 8:2.1 The Obligation Is Limited ........................................ 8-3§ 8:2.2 Triggering the Obligation .......................................... 8-5§ 8:2.3 Scope of the Obligation............................................. 8-6

§ 8:3 Production Obligations of a Third Party......................... 8-8§ 8:3.1 Rule 45 and Requests for Production of ESI ............. 8-8§ 8:3.2 Third-Party Production of ESI and Cost-Shifting..... 8-13

§ 8:4 Lifting Legal Holds for Third-Party Subpoenas............. 8-17§ 8:5 Best Practices ................................................................ 8-19

§ 8:5.1 Best Practices for Third Parties Subject toSubpoena................................................................. 8-19

[A] Consider Whether the Organization WillBecome a Party to the Litigation............................. 8-19

[B] Raise Objections Quickly........................................ 8-19[C] Act Promptly to Comply with the Subpoena.......... 8-20[D] Negotiate Limitations on Preservation and

Production .............................................................. 8-20[E] Take Appropriate Steps to Lift Legal Holds

Related to the Subpoena ......................................... 8-20§ 8:5.2 Best Practices for Party Requesting Documents

from a Third Party ................................................... 8-21[A] Use a Court Order to Preserve Documents ............ 8-21[B] Do Basic Homework to Narrow Objections

Before You Draft Your Requests .............................. 8-21[C] Draft Narrow Requests ........................................... 8-21[D] Negotiate Limitations on Preservation and

Production .............................................................. 8-21

Chapter 9 Regulatory and Government Investigations andActionsMichael E. Lackey, Michelle N. Webster &Meytal McCoy

§ 9:1 Introduction.................................................................... 9-1§ 9:2 Preservation Obligations................................................. 9-4

§ 9:2.1 Criminal Penalties As a Means of Enforcement ....... 9-6§ 9:2.2 Record-Keeping Regulations As a Means of

Enforcement.............................................................. 9-7§ 9:3 Formulating a Preservation and Collection Plan .......... 9-11

Table of Contents

xxvii(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

§ 9:3.1 Planning to Respond to a GovernmentSubpoena................................................................. 9-13

§ 9:3.2 Planning to Respond to a Second Request.............. 9-13§ 9:4 Meet-and-Confer Process.............................................. 9-14§ 9:5 Productions................................................................... 9-15§ 9:6 Lifting Legal Holds ....................................................... 9-16§ 9:7 Development of a Discovery Protocol........................... 9-19§ 9:8 Criminal Investigations ................................................ 9-20

Chapter 10 Managing Spoliation Claims and DefensesB. Clayton McCraw, Michael Gill & Robert Entwisle

§ 10:1 Introduction.................................................................. 10-2§ 10:2 Legal Standards............................................................. 10-4

§ 10:2.1 Court Authority to Impose SpoliationSanctions ................................................................ 10-4

[A] Federal Rules of Civil Procedure ............................. 10-4[B] Inherent Authority .................................................. 10-6[C] Statutory Authority ................................................. 10-7

§ 10:2.2 Due Process Limitations ......................................... 10-9§ 10:2.3 The Spoliation Standard ....................................... 10-10

[A] Culpability ............................................................ 10-12[A][1] Willful or Bad-Faith Spoliation........................... 10-12[A][2] Negligent Spoliation ........................................... 10-13[B] Prejudice ............................................................... 10-13

§ 10:3 Prosecution of Spoliation Claims ............................... 10-14§ 10:3.1 Potential Impact of Spoliation Claims.................. 10-14

[A] Tactical Effects ...................................................... 10-14[B] Spoliator ’s Loss of Credibility............................... 10-15[C] Sanctions .............................................................. 10-17[C][1] Monetary Sanctions ........................................... 10-17[C][1][a] Fines ............................................................... 10-18[C][1][b] Fees................................................................. 10-19[C][1][c] Cost-Shifting................................................... 10-20[C][2] Adverse Inference ............................................... 10-21[C][2][a] Intent.............................................................. 10-24[C][2][b] Content .......................................................... 10-27[C][3] Striking Pleadings............................................... 10-27[C][4] Exclusion of Evidence......................................... 10-28[C][5] Loss of Attorney-Client Privilege or

Work Product Protection .................................... 10-29[C][6] Dismissal or Default Judgment.......................... 10-30


xxviii

2nd

Pro

ofs

11/0

9/17

§ 10:3.2 Discovery and Perfection of Spoliation Claims..... 10-32[A] Court Orders and Preservation Statutes ............... 10-32[B] Depositions and Third-Party Discovery................ 10-34[C] Experts .................................................................. 10-35

§ 10:4 Defending Spoliation Claims...................................... 10-36§ 10:4.1 Scope of Preservation Obligation .......................... 10-36

[A] Implementation of the Litigation Hold ................ 10-36[B] Timing and Scope of the Litigation Hold ............. 10-38[B][1] Audio Recordings................................................ 10-38[B][2] Metadata ............................................................ 10-39[B][3] Backup Tapes...................................................... 10-39

§ 10:4.2 Traps for the Unwary Litigator ............................. 10-40[A] Work Product Protection....................................... 10-40[B] Automated Email Deletion ................................... 10-41[C] Ephemeral Storage Issues...................................... 10-41[D] “Control” over ESI ................................................ 10-43

§ 10:4.3 Proper Documentation ......................................... 10-44§ 10:5 Expedited Access to Courts ........................................ 10-45

Chapter 11 Electronic Discovery in Specific Areas ofPracticeKyle E. Friesen

§ 11:1 Introduction.................................................................. 11-2§ 11:2 Accountants’ Liability ................................................... 11-3

§ 11:2.1 Nature of Discovery ................................................ 11-3§ 11:2.2 Relevant Data Sources ............................................ 11-3§ 11:2.3 Issues Regarding Preservation and Production........ 11-4

§ 11:3 Antitrust ....................................................................... 11-5§ 11:3.1 Nature of Discovery ................................................ 11-5§ 11:3.2 Relevant Data Sources ............................................ 11-6§ 11:3.3 Issues Regarding Preservation and Production........ 11-6

§ 11:4 Bankruptcy.................................................................... 11-7§ 11:4.1 Nature of Discovery ................................................ 11-7§ 11:4.2 Relevant Data Sources ............................................ 11-8§ 11:4.3 Issues Regarding Preservation and Production........ 11-9

§ 11:5 Class Actions.............................................................. 11-11§ 11:5.1 Nature of Discovery .............................................. 11-11§ 11:5.2 Relevant Data Sources .......................................... 11-12§ 11:5.3 Issues Regarding Preservation and Production...... 11-12

§ 11:6 Construction............................................................... 11-13§ 11:6.1 Nature of Discovery .............................................. 11-13§ 11:6.2 Relevant Data Sources .......................................... 11-13§ 11:6.3 Issues Regarding Preservation and Production...... 11-14

Table of Contents

xxix(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

§ 11:7 Contracts .................................................................... 11-14§ 11:7.1 Nature of Discovery .............................................. 11-14§ 11:7.2 Relevant Data Sources .......................................... 11-15§ 11:7.3 Issues Regarding Preservation and Production...... 11-15

§ 11:8 Divorce ....................................................................... 11-16§ 11:8.1 Nature of Discovery .............................................. 11-16§ 11:8.2 Relevant Data Sources .......................................... 11-16§ 11:8.3 Issues Regarding Preservation and Production...... 11-17

§ 11:9 Employment ............................................................... 11-17§ 11:9.1 Nature of Discovery .............................................. 11-17§ 11:9.2 Relevant Data Sources .......................................... 11-18§ 11:9.3 Issues Regarding Preservation and Production...... 11-19

§ 11:10 Government Contracting............................................ 11-21§ 11:10.1 Nature of Discovery .............................................. 11-21§ 11:10.2 Relevant Data Sources .......................................... 11-24§ 11:10.3 Issues Regarding Preservation and Production...... 11-25

§ 11:11 Intellectual Property.................................................... 11-25§ 11:11.1 Nature of Discovery .............................................. 11-25§ 11:11.2 Relevant Data Sources .......................................... 11-28§ 11:11.3 Issues Regarding Preservation and Production...... 11-29

§ 11:12 Pharmaceuticals.......................................................... 11-34§ 11:12.1 Nature of Discovery .............................................. 11-34§ 11:12.2 Relevant Data Sources .......................................... 11-34§ 11:12.3 Issues Regarding Preservation and Production...... 11-35

[A] Product Liability Cases ......................................... 11-35[B] Patent and Regulatory Cases................................. 11-36

§ 11:13 Product Liability ......................................................... 11-37§ 11:13.1 Nature of Discovery .............................................. 11-37§ 11:13.2 Relevant Data Sources .......................................... 11-37§ 11:13.3 Issues Regarding Preservation and Production...... 11-37

§ 11:14 Securities .................................................................... 11-38§ 11:14.1 Nature of Discovery .............................................. 11-38§ 11:14.2 Relevant Data Sources .......................................... 11-38§ 11:14.3 Issues Regarding Preservation and Production...... 11-39

§ 11:15 Tax .............................................................................. 11-40§ 11:15.1 Nature of Discovery .............................................. 11-40§ 11:15.2 Relevant Data Sources .......................................... 11-40§ 11:15.3 Issues Regarding Preservation and Production...... 11-41

Chapter 12 ArbitrationMenachem Hasofer & Allison Stowell

§ 12:1 Introduction.................................................................. 12-2§ 12:2 Arbitral Institution Rules.............................................. 12-2


xxx

2nd

Pro

ofs

11/0

9/17

§ 12:2.1 American Arbitration Association (AAA)................ 12-3[A] Document Exchange ............................................... 12-4[B] Costs....................................................................... 12-4

§ 12:2.2 International Centre for Dispute Resolution(ICDR) .................................................................... 12-5

[A] Document Exchange ............................................... 12-5[B] Costs....................................................................... 12-5

§ 12:2.3 International Chamber of CommerceInternational Court of Arbitration (ICC)................ 12-6


§ 12:2.4 London Court of International Arbitration(LCIA) ..................................................................... 12-7


§ 12:2.5 International Centre for Settlement ofInvestment Disputes (ICSID) ................................. 12-7


§ 12:3 Arbitration Associations’ Guidelines ............................ 12-8§ 12:3.1 International Bar Association (IBA) ........................ 12-8


§ 12:3.2 Chartered Institute of Arbitrators (CIArb) ............ 12-10[A] Document Exchange ............................................. 12-10[B] Costs..................................................................... 12-10

§ 12:3.3 International Institute for ConflictPrevention and Resolution (CPR) ......................... 12-11

[A] Document Exchange ............................................. 12-11[B] Costs..................................................................... 12-12

§ 12:3.4 College of Commercial Arbitrators (CCA)............ 12-12[A] Document Exchange ............................................. 12-13[B] Costs..................................................................... 12-13

§ 12:4 Best Practices .............................................................. 12-13§ 12:4.1 Contracting ........................................................... 12-13§ 12:4.2 When a Dispute Arises ......................................... 12-14

[A] Notification of Arbitration.................................... 12-14[B] Negotiations with Opposing Counsel ................... 12-16[C] Constitution of Arbitral Tribunal ......................... 12-17[D] Prehearing Conference .......................................... 12-17

§ 12:4.3 Disclosure ............................................................. 12-17

Table of Contents

xxxi(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

Chapter 13 The Next Generation of ESI: Social Media,Web-Based Collaboration Applications,Cloud Computing, and Mobile TechnologiesMichael E. Lackey, Ethan A. Hastert, Lori A. Zahalka &Richard E. Nowak

§ 13:1 Introduction.................................................................. 13-2§ 13:2 Emerging Technologies at the Forefront of ESI............. 13-3

§ 13:2.1 Social Media and Video-Sharing Sites .................... 13-3§ 13:2.2 Web-Based Collaboration Applications ................... 13-4§ 13:2.3 Cloud Computing................................................... 13-5§ 13:2.4 Mobile Technologies ............................................... 13-7

§ 13:3 Emerging Technologies and Business Operations ......... 13-8§ 13:3.1 The Line Between Business and Personal

Communications .................................................... 13-8§ 13:3.2 Evaluating the Business Need and Legal

Implications ............................................................ 13-9[A] Social Media ........................................................... 13-9[B] Web-Based Collaboration Applications ................. 13-11[C] Cloud Computing................................................. 13-11[D] Mobile and Wearable Technologies ....................... 13-12

§ 13:3.3 Establishing Policies and EducatingEmployees ............................................................. 13-13

§ 13:3.4 Auditing Compliance and Reviewing Policies....... 13-14§ 13:4 Emerging Technologies in Discovery .......................... 13-14

§ 13:4.1 Use of Data from Emerging Technologiesin Litigation .......................................................... 13-14

§ 13:4.2 Applicable Statutes, Rules, and Regulations ......... 13-18[A] Electronic Communications Privacy Act .............. 13-18[B] Regulatory Guidance............................................. 13-20

§ 13:4.3 Possession, Custody, and Control......................... 13-21[A] Control of Data Hosted or Managed by

Third Parties ......................................................... 13-22[B] Shared Services and Affiliated Company Data ..... 13-24

§ 13:4.4 Data Privacy.......................................................... 13-25§ 13:4.5 Ethical Issues and Attorney-Client Privilege......... 13-26

[A] Factual Investigations ........................................... 13-26[B] Attorney-Client Privilege....................................... 13-27

§ 13:5 Best Practices for Managing EmergingTechnologies in Discovery .......................................... 13-28

§ 13:5.1 Develop Policies and Procedures BeforeLitigation Arises.................................................... 13-28

§ 13:5.2 Consider Collection Options ................................ 13-29§ 13:5.3 Negotiate with Third-Party Providers ................... 13-30§ 13:5.4 Consider Production Strategies............................. 13-31


xxxii

2nd

Pro

ofs

11/0

9/17

Chapter 14 International IssuesMenachem Hasofer, Mark C. Hilgard, Matthew Ingber,Sue Knox & Elspeth V. Hansen

§ 14:1 Introduction.................................................................. 14-4§ 14:2 International Electronic Discovery Issues from a

U.S. Perspective ............................................................ 14-4§ 14:2.1 Possession, Custody, or Control of ESI................... 14-5

[A] General Standard .................................................... 14-5[B] Standard for Companies with International

Offices..................................................................... 14-6[B][1] Parent-Subsidiary.................................................. 14-6[B][2] Other Relationships.............................................. 14-9

§ 14:2.2 Is Release of ESI Blocked by Foreign Law?............ 14-10[A] Foreign Blocking Statutes and Data

Protection and Privacy Laws ................................. 14-10[B] Resolution of Conflicts of Discovery Laws:

Aerospatiale International Comity Factors ........... 14-12[C] Additional Factors................................................. 14-14[D] Discovery Procedures: Hague Convention

Versus Federal Rules ............................................. 14-16§ 14:3 Electronic Discovery in England and Wales................ 14-17

§ 14:3.1 Early Developments .............................................. 14-17§ 14:3.2 Civil Procedure Rules of 1999 .............................. 14-18§ 14:3.3 Initial Recognition of Electronic Disclosure.......... 14-19§ 14:3.4 Practice Direction Paragraph 2A ........................... 14-20§ 14:3.5 Case Law............................................................... 14-21§ 14:3.6 Practice Direction 31B .......................................... 14-25

[A] The Questionnaire................................................ 14-26[B] Proportionality ...................................................... 14-26

§ 14:3.7 Duty to Preserve ESI............................................. 14-27§ 14:3.8 Sanctions .............................................................. 14-29§ 14:3.9 Waiver ................................................................... 14-31§ 14:3.10 Obtaining ESI from a Party in the U.K. for Use in

U.S. Proceedings..................................................... 14-33§ 14:4 Electronic Discovery in Germany............................... 14-35

§ 14:4.1 Introduction.......................................................... 14-35§ 14:4.2 Obtaining Electronic Evidence Under

German Law ......................................................... 14-35[A] Principle of Party Presentation.............................. 14-35[B] Introduction of Facts into the Court

Proceeding............................................................. 14-36[C] Scope of Evidence Taking...................................... 14-36[D] Evidence-Taking Procedure.................................... 14-37

xxxiii(E-Discovery, Rel. #1, 11/17)

Table of Contents2n

d P

roof

s 11

/09/

17

[E] Means to Obtain Evidence from the AdverseParty...................................................................... 14-37

[E][1] Examination of the Adverse Party ...................... 14-37[E][2] Proof by Witness Testimony............................... 14-38[E][3] Production of Documents in Possession of

Adverse Party...................................................... 14-38[E][4] Production of Documents in Possession of

Third Party ......................................................... 14-39[E][5] Production of Electronically Stored

Information ........................................................ 14-39[F] Enforcement Procedure ......................................... 14-40[F][1] Disclosure Only If Claimant Has

Substantive Claim.............................................. 14-41[F][1][a] Principle of Good Faith .................................. 14-41[F][1][b] Obligation Annexed to Contract .................... 14-41[F][1][c] Obligation of Equal Disclosure ....................... 14-41[F][1][d] Inspection of Documents ............................... 14-42[F][1][e] Right to Inventory .......................................... 14-42[F][1][f] Assignment of Claims .................................... 14-42[F][2] Summary of Disclosure Requirements ............... 14-43[G] Production of Documents upon Court’s

Discretion ............................................................. 14-43§ 14:4.3 Obtaining Evidence from Germany for

U.S. Discovery Proceedings................................... 14-44[A] The EU Situation: EC 1206/2001 ........................ 14-44[B] The Hague Convention ........................................ 14-45

§ 14:4.4 Privileges and Exceptions to Disclosure................ 14-48[A] Correspondence Between a Party and

Close Relatives...................................................... 14-49[B] Attorney-Client Privilege Under German Law...... 14-49[B][1] Does the Attorney-Client Privilege Cover

In-House Lawyers? ............................................. 14-51[B][2] Confidentiality of Communication with

In-House Lawyers in U.S. DiscoveryProceedings......................................................... 14-53

[C] Business and Trade Secrets ................................... 14-54[D] Financial Loss; Disgrace or Self-Incrimination ..... 14-55

§ 14:5 Electronic Discovery in the Hong Kong SpecialAdministrative Region ................................................ 14-56

§ 14:5.1 Introduction—The System of Law and Courts ofthe Hong Kong Special Administrative Region ...... 14-56

[A] “One Country, Two Systems” ............................... 14-56[B] Legal System ......................................................... 14-57[C] Courts ................................................................... 14-57[D] Arbitration ............................................................ 14-58


xxxiv

2nd

Pro

ofs

11/0

9/17

§ 14:5.2 Civil Justice Reforms in Hong Kong..................... 14-59[A] Framework ............................................................ 14-59[B] Underlying Objectives and Case Management ..... 14-59[C] Practice Direction SL1.2 ....................................... 14-61[D] ESI ........................................................................ 14-62

§ 14:5.3 Definitions of “Document” in Hong Kong Law..... 14-62§ 14:5.4 Scope of Relevance for Discovery.......................... 14-63

[A] Automatic “General Discovery”............................ 14-63[B] Peruvian Guano Test of Relevance........................ 14-63[C] Discovery Reforms Canvassed During the

CJR Consultation.................................................. 14-65[D] Discovery of Electronic Documents Under the

E-Discovery Practice Direction ............................. 14-66§ 14:5.5 List of Documents, Verifying Affidavit and

Orders Compelling Discovery............................... 14-67[A] List of Documents ................................................ 14-67[B] Verifying Affidavit ................................................. 14-68[C] Order Compelling Filing and Sanctions for

Non-Compliance .................................................. 14-68[D] Difficulties in Filing the List of Documents and

Verifying Affidavit ................................................. 14-69[E] Changes in the Manner of Discovering

Electronic Documents Under the E-DiscoveryPractice Direction ................................................. 14-70

§ 14:5.6 Courts’ Power to Manage Cases by Limitingor Modifying Scope and Manner of Discovery...... 14-73

[A] Existing Powers Under “Retained” RHC .............. 14-73[B] Case Management Discovery Under CJR............. 14-74[C] Summary of Rules Applicable to Discovery of

ESI Under CJR and the Development ofthe E-Discovery Practice Direction...................... 14-76

§ 14:5.7 Duty to Preserve ................................................... 14-76§ 14:5.8 Sanctions for Failure to Preserve ESI .................... 14-77

[A] Destruction of ESI ................................................ 14-77[B] Adverse Inferences ................................................ 14-78

§ 14:5.9 Hong Kong Case Law on ESI................................ 14-78[A] Cases Before the Introduction of the

E-Discovery Practice Direction............................... 14-78[B] Case Law on the E-Discovery Practice

Direction............................................................... 14-80§ 14:5.10 Likely Future Developments in Relation to

E-Discovery ........................................................... 14-83[A] Case Management Summons and Conferences..... 14-83[B] Adopting Procedures from Other Jurisdictions ..... 14-83

xxxv(E-Discovery, Rel. #1, 11/17)

Table of Contents2n

d P

roof

s 11

/09/

17

[B][1] United States...................................................... 14-83[B][2] England and Wales ............................................. 14-84[B][3] Australia ............................................................. 14-84[B][4] Singapore............................................................ 14-85

§ 14:6 Data Protection in Europe .......................................... 14-86§ 14:6.1 The Data Protection Directive.............................. 14-86§ 14:6.2 Safe Harbor and Privacy Shield............................. 14-88§ 14:6.3 Transfer; Consent; Transfer Necessary for the

Establishment, Exercise, or Defense ofLegal Claims ......................................................... 14-89

§ 14:7 Data Protection in the United Kingdom .................... 14-90§ 14:7.1 Personal Data........................................................ 14-90§ 14:7.2 Export of Personal Data for Legal Proceedings...... 14-91

§ 14:8 German Federal Data Protection Act.......................... 14-93§ 14:8.1 Personal Data........................................................ 14-93§ 14:8.2 Cross-Border Transfers of Personal Data .............. 14-95

§ 14:9 European Data Protection and U.S. Discovery ......... 14-102

Chapter 15 Technology ConsiderationsTony Reid & Mark Michels

§ 15:1 Introduction.................................................................. 15-2§ 15:2 Strategic Issues ............................................................. 15-3

§ 15:2.1 Continual Technology Developments ..................... 15-3§ 15:2.2 Dealing with Metadata ........................................... 15-4§ 15:2.3 Dealing with Sensor Data....................................... 15-6§ 15:2.4 The Service Provider Landscape.............................. 15-6

§ 15:3 Information Governance .............................................. 15-7§ 15:3.1 Challenges .............................................................. 15-8§ 15:3.2 ERM/ECM Software Features................................ 15-10§ 15:3.3 Questions for ERM/ECM Software Vendors ......... 15-11

§ 15:4 Defining the Scope of Electronic Discovery................ 15-13§ 15:4.1 Challenges ............................................................ 15-13§ 15:4.2 Typical Scope Limiters and Considerations .......... 15-14

[A] Custodians (ESI “Owners”) ................................... 15-14[B] Media Purposes..................................................... 15-15[C] Media Types .......................................................... 15-15[D] Data Types ............................................................ 15-15[E] Data “Ownership”................................................. 15-16[F] Time Frames......................................................... 15-16

§ 15:5 Identification of Data ................................................. 15-16§ 15:5.1 Early Case Assessment (ECA)............................... 15-17§ 15:5.2 Challenges ............................................................ 15-18

§ 15:6 Preserving Data........................................................... 15-19


xxxvi

2nd

Pro

ofs

11/0

9/17

§ 15:6.1 Collection As a Means of Preservation................. 15-20§ 15:6.2 Challenges ............................................................ 15-21

§ 15:7 Collecting Data........................................................... 15-23§ 15:7.1 Challenges ............................................................ 15-24§ 15:7.2 Making Collection Easier...................................... 15-25

[A] Imaging ................................................................. 15-25[B] Archiving Collected Data...................................... 15-26[C] Mobile Devices ..................................................... 15-26[D] Voice Mail and Video............................................ 15-26[E] Chain of Custody ................................................. 15-26[F] Filters .................................................................... 15-27

§ 15:8 Culling Data ............................................................... 15-27§ 15:9 Processing Data .......................................................... 15-27

§ 15:9.1 Challenges ............................................................ 15-28§ 15:9.2 Note on Searching ................................................ 15-28

§ 15:10 Reviewing and Analyzing Data ................................... 15-29§ 15:10.1 Challenges ............................................................ 15-30

§ 15:11 Producing Data ........................................................... 15-31§ 15:11.1 Challenges ............................................................ 15-32

Appendix 15A Metadata.................................................. App. 15A-1

Table of Authorities ......................................................................T-1

Index................................................................................................. I-1

Table of Contents

xxxvii(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

2nd

Pro

ofs

11/0

9/17

Foreword

The well-worn cliché reminds us that the more things change,the more they stay the same. In 2009, we find ourselves in robustnational—and increasingly international—debates about the basicrules of civil litigation. The debates include whether we can affordthe costs, burdens, and delays that broad discovery can cause andwhether we can afford to lose the benefits that broad discovery canprovide. The themes sound familiar, and they should. These samethemes were part of the debates that led to the enactment of theFederal Rules of Civil Procedure in 1938. We have been talking aboutthem ever since. I have been privileged to be part of those discussionsover the last thirteen years, as a trial judge in a busy federal court andas a member, then chair, of the Advisory Committee on Federal Rulesof Civil Procedure and chair of the Committee on the Rules of Practiceand Procedure of the Judicial Conference of the United States.1 On thebench and on the rules committees, I have struggled to understandhow the rules drafted in the 1930s could cope with the modernchallenges of electronic discovery and still, as promised in Rule 1,“be construed and administered to secure the just, speedy, andinexpensive determination of every action and proceeding.”

The 1938 Federal Rules revolutionized civil litigation in theUnited States. The rules replaced formalistic pleading with noticepleading; replaced extremely limited discovery with rules that “wentfarther than any single system anywhere”;2 and replaced varying ruleswith a single set of rules that would apply in every federal trial courtand to every kind of civil case in the country. One would think thatafter seventy years, we would have achieved clarity about what theserules mean and how they apply. But seventy years later, we are stilldebating what the notice-pleading standard imposed in 1938 reallymeans.3 Seventy years later, we are still debating whether liberaldiscovery is the appropriate standard or whether it is so expensiveand burdensome as to endanger the civil litigation system’s verysurvival. Seventy years later, we are debating what the commitmentto national uniformity means in the face of proliferating local rules.

——————

1. Of course, the views expressed here are my own.2. Stephen N. Subrin, Fishing Expeditions Allowed: The Historical Background

of the 1938 Federal Discovery Rules, 39 B.C. L. REV. 691, 726 (1998).3. See generally Bell Atl. Corp. v. Twombly, 550 U.S. 544 (2007) (analyzing the

level of specificity in pleading required to avoid dismissal).

xxxix(E-Discovery, Rel. #1, 11/17)

2nd

Pro

ofs

11/0

9/17

All of these debates are in an important way debates about dis-covery. The 2007 Supreme Court decision on the pleading standardunder Rule 8 was driven in part by a concern that discovery is soexpensive and burdensome that pleadings must be tested and foundadequate before discovery is allowed to begin.4 Many of the recentadditions to local rules are driven by pressure to address recentelectronic discovery problems. In 2009, the 1930s debates over dis-covery rules sound both modern and familiar.

Since 1938, the federal rules on discovery have been revised withwhat some view as distressing and others view as insufficient fre-quency. Some amendments have liberalized the discovery methodsavailable, such as the 1970 change removing the requirement of a“good cause” showing to obtain the other side’s documents. Otheramendments sought to control discovery, such as the 1983 changedirecting the court to limit disproportionate discovery, and the 2000change of “scope” from “relevant to the subject matter” to “relevant tothe claim or defense of any party.” But the rulemakers continue to hearthat the amendments are inadequate to achieve proportionality or tostem the spiraling costs and burdens of discovery.

In 1970, Rule 34 was changed to include “data compilations” in thedefinition of “document,” to take into account the “special problemsposed by electronic computers.”5 But it was not until the 1980s and1990s that the use of electronically stored information became wide-spread and common. Before then, discovery involving paper changed

——————

4. See id. at 559 (“Probably, then, it is only by taking care to require allegationsthat reach the level of suggesting conspiracy that we can hope to avoid thepotentially enormous expense of discovery in cases with no ‘reasonablyfounded hope that the [discovery] process will reveal relevant evidence’ tosupport a § 1 claim.”) (quoting Dura Pharms., Inc. v. Broudo, 544 U.S. 336,347 (2005), which quoted Blue Chip Stamps v. Manor Drug Stores, 421 U.S.723, 741 (1975); alteration in Dura).

5. See Letter from Albert M. Sacks, Reporter, Advisory Committee on CivilRules, to Chairman and Members of the Standing Committee (June 30,1969), in REPORT OF THE CIVIL RULES ADVISORY COMMITTEE (July 11, 1969),available at http://www.uscourts.gov/rules/Reports/CV07-1969.pdf (notingintention to forward a statement or recommendation regarding problemsposed by electronic computers); REPORT OF THE CIVIL RULES ADVISORYCOMMITTEE (July 11, 1969), supra, at app. A (including recommendationsfor rule and committee note text regarding “data compilations”); see alsoFED. R. CIV. P. 34 advisory committee’s note (1970 Amendment) (“Theinclusive description of ‘documents’ is revised to accord with changingtechnology. It makes clear that Rule 34 applies to electronic[] data compila-tions from which information can be obtained only with the use of detectiondevices, and that when the data can as a practical matter be made usable bythe discovering party only through respondent’s devices, respondent may berequired to use his devices to translate the data into usable form.”).

xl


d P

roof

s 11

/09/

17

with the mimeograph, the photocopier, and word-processing storage,but it was still all about paper. Paper itself provided some limits onvolume, and the contents of paper did not change over time. Thoselimits vanished, with astonishing rapidity, with the transformationfrom a paper-based world to a world based on electronically storedinformation. Paper and electronically stored information are different.Those differences have changed discovery and litigation in ways thatwere not foreseeable only a decade ago.

Since the 1990s, those involved with federal and state rules of civilprocedure have grappled with how to address electronic discovery. Thediscussion has been framed in the familiar terms of costs, burdens,benefits, and proportionality. But while the discussion sounds thesame themes as the debates that began over seventy years ago,electronic discovery has features that make the problems more diffi-cult. The costs and burdens have risen dramatically. Technologychanges may ultimately provide some relief from the problems thattechnology helped create. But the fact that technology continues tochange, at a pace and in ways we cannot predict, means that electronicdiscovery problems will continue to appear in new and unexpectedforms.

Two things are clear. The first is that the application of the rulesmust be monitored to ensure that they are working well and that thetools they provide are both adequate and effective. The second is thatthe rules themselves cannot solve the problems. The rules have to begeneral enough to deal with all the different kinds of cases that comeinto federal court and to accommodate the inevitable changes intechnology. And the problems begin long before cases are actuallyfiled, which is when the rules apply. The rules are, at best, only onepart of what must be a multi-front and multi-faceted approach toelectronic discovery problems. Litigation habits and customs learnedin the days of paper must be revisited and revised. The culture of benchand bar must adjust. And lawyers, litigants, and judges must allcontinue to learn how to conduct electronic discovery so that it isproportionate to the reasonable needs of each case.

Guidance on best practices for dealing with the numerous andcomplicated aspects of electronic discovery, as well as ongoing educa-tion of judges, lawyers, and litigants, is essential. The SedonaPrinciples have been an important part of that work. And this treatisepromises to provide important help as well. This treatise provides athorough analysis of how to apply the Sedona Principles, the electronicdiscovery amendments to the Federal Rules of Civil Procedure, andthe relevant case law on electronic discovery. From managing requestsfor production and preservation obligations to obtaining electronicdiscovery from third parties and understanding international elec-tronic discovery issues, this treatise unpacks practical details of

xli(E-Discovery, Rel. #1, 11/17)

Foreword2n

d P

roof

s 11

/09/

17

electronic discovery preparation, requests, searches, reviews, andproduction. It contributes to the ongoing work of understandinghow the rules are best applied and how they might be improved.

Lee H. RosenthalUnited States District Judge

Southern District of Texas

xlii


d P

roof

s 11

/09/

17