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ElEctronic DiscovEry DEskbook

Third Edition

Mayer Brown LLP

Edited by Michael E. Lackey

Eric B. EvansEthan A. Hastert

Incorporating Release #2December 2018

#239462

Practising Law Institute New York City

#192746

This work is designed to provide practical and useful information on the subject matter covered. However, it is sold with the understanding that neither the publisher nor the author is engaged in rendering legal, accounting, or other professional services. If legal advice or other expert assistance is required, the services of a competent professional should be sought.

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Legal Editor: Lori Wood

Copyright © 2009, 2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018 by Practising Law Institute.

First edition 2009Second edition 2013

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

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ISBN: 978-1-4024-2751-0

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About the Editors

Eric B. Evans is a partner in Mayer Brown’s Palo Alto office and concentrates his practice on complex litigation, internal investigations, electronic discovery and data strategy advising, and intellectual prop-erty matters. He represents major companies in large-scale federal false advertising and antitrust class actions, as well as patent and trade secret matters. He is West Coast co-chair of the firm’s Electronic Discovery & Information Governance practice and a member of the Cyber Security and Data Privacy Practice.

Ethan a. hastErt is a litigation partner in Mayer Brown’s Chicago office and is a member of Mayer Brown’s Electronic Discovery & Information Governance practice. Mr. Hastert represents clients in commercial litigation and enforcement actions, with a focus on cross- border data protection and e-discovery issues. Mr. Hastert has also counseled multi-national companies on the creation and design of electronic discovery programs.

MichaEl E. lackEy is a litigation partner at Mayer Brown in its Washington, D.C. office, where he focuses his practice on civil and criminal litigation and electronic discovery, primarily representing large companies in complex proceedings such as multi-district and class action litigation. As a member of the firm’s Electronic Discovery and Information Governance practice, he is nationally recognized for his knowledge of electronic discovery issues and frequently speaks on the subject. In addition, he is a member of the Board of Advisors to the Georgetown University Law School Advanced E-Discovery Institute.

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About the Contributors

JaMEs anconE (chapter 1) is an associate in Mayer Brown’s New York office, and a member of the Electronic Discovery and Information Governance practice. He has previously published an article on state e-discovery rules.

sarah Balkissoon (chapter 9) is an associate in Mayer Brown’s Palo Alto office and a member of the Litigation & Dispute Resolution practice.

MichaEl Bornhorst (chapter 2) is counsel in the litigation practice of Mayer Brown’s Chicago office and is a member of the firm’s Consumer Litigation and Class Action Defense Group. In addition to his consumer class defense practice, Michael represents businesses and individuals in complex commercial disputes involving software licensing and franchise agreements. Michael is also a mem-ber of the firm’s Electronic Discovery and Information Governance practice.

tiffany Brown (chapter 6) is an associate in Mayer Brown’s Washington, 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 Chicago office and a member of the Litigation & Dispute Resolution practice.

roBErt EntwislE (chapter 10) is a litigation associate who repre-sents multinational corporations and other clients in antitrust matters, securities litigation, government and internal investigations, and complex commercial litigation. He has considerable experience representing clients in large-scale litigation matters, class actions, and multi-district litigation. Bob also regularly advises clients on the implementation of policies and procedures designed to assist in meet-ing information preservation and electronic discovery obligations.

Patrick GarBE (chapters 4, 5, and 7) is an eDiscovery Knowledge & Strategy Manager at Mayer Brown LLP and a member of the firm’s Electronic Discovery and Information Governance practice group. Patrick is a former paralegal with over thirty years of experience in discovery services, legal management and paralegal support. He works

x

ELECTRONIC DISCOVERY DESKBOOK

closely with clients and legal teams on the development and imple-mentation of discovery plans in commercial litigation, internal inves-tigations and antitrust matters. Mr. Garbe is a specialist in helping clients and case teams manage the complexities of e-discovery.

MichaEl Gill (chapter 10) is a partner in the Chicago office of Mayer Brown. He has more than thirty years’ experience as a trial lawyer, many of his cases involving technology-related disputes. He regularly counsels clients with respect to e-discovery issues and estab-lishing e-discovery programs. As a member of the firm’s Electronic Discovery and Information Governance practice, he has been retained on a number of occasions to defend critical sanctions motions alleging spoliation.

ElsPEth v. hansEn (chapter 14) is an associate in Mayer Brown’s Palo Alto office and a member of the Litigation & Dispute Resolution practice. She is a member of the Young Lawyer Advisory Panel for the ABA Antitrust Section Civil Practice and Procedure Committee. Prior to joining Mayer Brown in 2014, Elspeth served as a law clerk to the Hon. Roger T. Benitez of the United States District Court, Southern District of California. During law school, she served as Executive Editor for the online portion of Harvard Law School’s National Security Journal.

MEnachEM hasofEr (chapters 12 and 14) is a partner in the Litigation Department in Mayer Brown JSM’s Hong Kong office and is responsible for its Electronic Discovery and Information Governance practice in Asia. He has substantial experience in the conduct of large-scale, document-intensive planning and construction litigation and arbitration, and is a regular speaker on the topic of Electronic Discovery in Asia.

Mark c. hilGard (chapter 14) leads the litigation and arbitration practice of Mayer Brown in Germany. He regularly publishes and speaks on electronic discovery, data protection, and information retention, management, and disclosure both in litigation and in arbi-tration. He is past president of the Litigation Commission of the Union International des Avocats (UIA) and serves as Chairman of the Corporate and Business Law Committee of the American Chamber of Commerce in Germany (AmCham). He is a member of the Sedona Conference Working Group 6, and chairs Mayer Brown’s German Electronic Discovery and Information Governance practice.

MatthEw inGBEr (chapter 14) is a partner at Mayer Brown and a member of its Electronic Discovery and Information Governance


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practice. He has advised several clients, including those in the tech-nology and banking industries, on e-discovery protocols and has liti-gated a number of matters involving complex e-discovery issues.

Jason i. kirschnEr (chapter 4) is a litigation partner in Mayer Brown’s New York office and a member of the firm’s Electronic Discovery and Information Governance practice. He advises financial institutions, technology companies, and other corporations on elec-tronic discovery issues.

suE knox (chapter 14) is a foreign-qualified lawyer and manages the litigation support function in Mayer Brown’s London office. Ms. Knox provides practical support and guidance to internal and external clients in connection with matters involving investigations and disclosure. Ms. Knox also prepares regular briefings on best prac-tices, policies and procedures.

kiM lEffErt (chapters 2 and 3) is a counsel in Mayer Brown’s Chicago office and she has been a member of the Mayer Brown Electronic Discovery and Information Governance practice since 2003. She has substantial experience assisting clients with information governance matters, including defensible destruction of data, document retention policies and procedures, and records management programs, as well as developing electronic discovery programs. She is one of the editors of Mayer Brown’s Electronic Discovery and Information Governance “Tip of the Month,” and her article “Cutting to the ‘Document Review’ Chase” appeared in the November/December 2008 edition of Business Law Today.

noah liBEn (chapter 4) is a litigation senior associate in Mayer Brown’s New York office and a member of the firm’s Electronic Discovery and Information Governance practice. His core practice consists of representing companies in complex commercial disputes. In the financial services sector, a significant portion of his practice consists of representing institutions in securities litigations, govern-ment investigations, and other disputes including actions pertaining to benchmark rate-setting and the marketing and sale of residential mortgage-backed securities. Noah regularly advises clients on best practices for document preservation, collection, and production.

MEytal McCoy (chapters 6 and 9) is counsel in Mayer Brown’s Washington, 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, including motions practice, discovery, and electronic discovery. Ms. McCoy

xii


also has significant experience with electronic discovery, including e-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 in Mayer Brown’s New York office and is a member of the Intellectual Property practice group. He is a registered patent attorney with expe-rience in district court and ITC patent litigation, PTAB proceedings, patent prosecution, and patent licensing and other transactional mat-ters. Clayton’s experience spans a wide array of technologies including computer software, electrical engineering arts, medical devices, auto-motive components, business method patents, and design patents. Clayton is also a former USPTO Patent Examiner.

Mark MichEls (chapter 15) is a Managing Director in Deloitte Transactions and Business Analytics LLP. Mark specializes in advis-ing on electronic discovery management related to complex litiga-tion, patent litigation, class actions, commercial disputes, pre-merger reviews, and internal investigations. Mark is also a nationally recog-nized expert on in-house e-discovery implementation, patent litiga-tion discovery management, and litigation cost control. Since 2005, Mr. Michels has been a member of the Georgetown Law Advanced E-Discovery Institute Advisory Board.

victoria E. MurPhy (chapter 6) is an associate in Mayer Brown’s Washington, D.C. office and a member of the Intellectual Property practice, with a focus on patent litigation. She assists in litigating pat-ent infringement matters before various district courts throughout the United States, including the Eastern District of Texas, District of Delaware, District of New Jersey, and District of Maryland. She also assists in actions arising under Section 337 of the Tariff Act of 1930 before the U.S. International Trade Commission. Her cases involve a diverse array of technologies, including mobile communication devices, automobiles, semiconductor devices, medical devices, and elec-tromechanical devices.

richard E. nowak (chapter 13) is a Litigation Dispute Resolution associate in Mayer Brown’s Chicago office. Mr. Nowak has signifi-cant trial experience in state and federal court and his practice focuses on labor and employment, ERISA, and other commercial disputes. Mr. Nowak represents clients in matters brought under Title VII of the 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 discrim-ination laws. Mr. Nowak also assists clients with internal investigations


xiii(E-Discovery Deskbook, Rel. #2, 12/18)

and advises on internal policy and procedural issues, including elec-tronic communications, electronic discovery, employee monitoring, social media and other pre- and post-employment considerations.

oral d. PottinGEr (chapters 1 and 6) is a senior associate in Mayer Brown’s Washington, D.C. office. He specializes in mergers and acquisitions, civil and criminal antitrust investigations, antitrust counseling, and Federal Communications Commission (FCC) cable and media representation. Oral also has extensive experience in adver-tising and consumer protection matters and has served as a trusted advisor to corporate clients identifying and implementing effective e-discovery solutions addressing any complex legal matter, including government investigations; class action discovery; and other com-plex commercial matters; addressing client needs, from information risk management and data-retention planning to discovery planning, e-discovery collection, processing, data analytics, managed electronic review and production.

tony rEid (chapter 15) is a Principal with Deloitte and is the National Practice leader for Legal Management Consulting Services (LMC). The LMC practice focuses on providing services to corporate law departments in the areas of records and information manage-ment, electronic discovery preparedness, law department operations and technology, and claims analysis and administration. Mr. Reid provides strategic and tactical solutions that address complex problems at a number of Fortune 100 companies across a variety of industries.

sarah rEynolds (chapter 12) is a partner in Mayer Brown’s Chicago and Palo Alto offices and a member of Mayer Brown’s Litigation & Dispute Resolution practice. She divides her dispute res-olution practice among representing technology companies in inter-national and domestic arbitrations, class and individual actions, and mass environmental torts.

JarMan d. russEll (chapters 5 and 8) is a senior associate in the New York office of Mayer Brown’s Litigation & Dispute Resolution practice group. He is also a member of Mayer Brown’s Electronic Discovery & Information Governance practice. His practice includes litigation in state and federal courts, commercial arbitration, and internal investigations. He also advises clients across a variety of industries on complex electronic discovery and preservation issues.

Ed sauttEr (chapter 14) is a partner in the Litigation Department of Mayer Brown’s London office and heads up Mayer Brown’s U.K. Electronic Discovery and Information Governance practice. He

xiv


specializes in the handling of financial disputes and contentious reg-ulatory matters. He is a regular speaker and writer on e-discovery and data retention issues in the U.K.

allison stowEll (chapter 12) is a member of Mayer Brown’s International Arbitration practice. She has represented Latin American, Caribbean and U.S. clients in the oil and gas and banking and finance industries in arbitrations under the auspices of the ICDR, ICC and other arbitral institutions. Allison has also represented pro bono victims of human trafficking in asserting trafficking claims against their employers. From 2009 to 2010, she served as a clerk for Judge Susan P. Read of the New York Court of Appeals.

MichEllE n. wEBstEr (chapter 9) is an associate in Mayer Brown’s Washington, D.C. office specializing in civil litigation and regulatory matters, with a focus on government investigations and class action litigation. Michelle has represented a wide range of clients in matters involving consumer class actions, employment and bene-fits, antitrust, and securities enforcement and investigations.

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Table of Chapters

Chapter 1 The 2006 and 2015 Amendments to the Federal Rules of Civil Procedure, the 2008 and 2017 Amendments to the Federal Rules of Evidence, and the Sedona Principles

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 Stored Information

Chapter 8 Third-Party Practice

Chapter 9 Regulatory and Government Investigations and Actions

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, Cloud Computing, and Mobile Technologies

Chapter 14 International Issues

Chapter 15 Technology Considerations

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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 Federal Rules of Civil Procedure, the 2008 and 2017 Amendments to the Federal Rules of Evidence, and the Sedona 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 ............................................... 1-18§ 1:3.6 Discovery Management: Forms and Formats of

Production ............................................................ 1-19§ 1:3.7 Other Discovery Rules .......................................... 1-21

[A] Initial Disclosures ................................................. 1-21[B] Clawback of Production of Privileged

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

xviii


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

[D] Third-Party Practice .............................................. 1-22§ 1:4 The 2008 and 2017 Evidence Amendments ................ 1-23§ 1:5 E-Discovery in State Courts ......................................... 1-26§ 1:6 Other E-Discovery Rules .............................................. 1-31

Chapter 2 Information Management Policies and ProceduresKim 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 ..................... 2-11[I] Questions About Internet and Intranet Usage

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

Collaboration Tools............................................... 2-13[K] Questions About Backup Systems ......................... 2-13[L] Questions About Preservation .............................. 2-15[M] Questions About Collection .................................. 2-16[N] Questions About Group (Shared) Network

Drives ................................................................... 2-17[O] Questions About Structured Databases ................ 2-18

§ 2:2.2 Data Source Catalogs ............................................ 2-19§ 2:3 Records Management Policy ........................................ 2-21

§ 2:3.1 Email and Other Communication ........................ 2-21§ 2:3.2 Disaster Recovery Data ......................................... 2-25

[A] Implementing a Retention Plan ............................ 2-27[B] Consideration of Relevant Regulations ................. 2-28[C] Regular Recycling and Destruction ....................... 2-28[D] Dealing with Litigation Holds ............................... 2-29

§ 2:3.3 Databases ............................................................. 2-31§ 2:3.4 Data Privacy ......................................................... 2-32

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Table of Contents

(E-Discovery Deskbook, Rel. #2, 12/18)

§ 2:4 Remediation of Legacy Data ........................................ 2-34§ 2:4.1 Nature of Legacy Data .......................................... 2-34§ 2:4.2 Costs and Risks Associated with Legacy Data ...... 2-35

[A] Costs and Risks of Storage and Data Management ......................................................... 2-35

[B] Costs and Risks of Disclosure ............................... 2-35[C] Costs and Risks of Production .............................. 2-36

§ 2:4.3 Remediation Prerequisites .................................... 2-37§ 2:4.4 Measuring Success of Remediation ....................... 2-37

[A] Litigation Holds Management System .................. 2-37[B] Legacy Data Maintenance ..................................... 2-38

§ 2:4.5 Remediation of Different Types of Data ................ 2-38[A] Centralized Data ................................................... 2-38[A][1] Matter-Specific Data.......................................... 2-38[A][2] Custodian-Level Data ........................................ 2-39[A][3] Organizational-Level Data ................................. 2-39[A][4] Media-Level Data (Including Backup Tapes) ...... 2-40[B] Noncentralized Data ............................................. 2-40

§ 2:4.6 Legal Standard for Knowledge About Legacy Data .......................................................... 2-40

§ 2:4.7 Remediation of Backup Tapes ............................... 2-43[A] Objectives ............................................................. 2-43[B] Steps ..................................................................... 2-45[B][1] Gather Information ........................................... 2-45[B][1][a] Tapes and Systems ........................................ 2-46[B][1][b] Holds ............................................................ 2-47[B][2] Conduct a Backup Tape Sweep .......................... 2-47[B][3] Create a Taxonomy of Backup

Tapes and Holds ................................................ 2-48[B][4] Gather Information on Tape Use and Policies ...... 2-48[B][5] Exclusion and Inclusion of Tapes or Tape Sets ..... 2-49[B][6] Additional Inclusion and Exclusion

Techniques ........................................................ 2-49[C] Results of the Inclusion-and-Exclusion Process ..... 2-50[D] Resumption of Recycling of Daily Backup Tapes ..... 2-51

§ 2:4.8 Remediation of Accumulated Images of Hard Drives and Other Custodian-Level Data ...... 2-51

§ 2:4.9 Remediation of Legacy Data in Possession of Employees ......................................................................2-52

[A] Challenges ............................................................ 2-53[B] Approaches ........................................................... 2-53[B][1] Centralization ................................................... 2-54[B][2] Data Remediation by Personnel......................... 2-54

xx


[B][3] Office-by-Office, Person-by-Person Remediation ...................................................... 2-55

[B][4] Exclusion of Personnel Data from Any Remediation Project .......................................... 2-55

§ 2:5 Trends .......................................................................... 2-55§ 2:5.1 Managing Risks of Deletion of ESI........................ 2-55§ 2:5.2 Requiring Investment in Technology ..................... 2-60§ 2:5.3 Internal Social Media Policies ............................... 2-61

Chapter 3 Litigation Management Policies and ProceduresKim 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

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Table of Contents


[B] Reasonably Anticipated Future Litigation ............... 4-7[B][1] “Potential” Versus “Anticipated” Litigation .......... 4-8[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 .................................. 4-14[C] Best Practices for Determining the Triggering

of an Obligation .................................................... 4-15[C][1] Develop Information About the

Organization’s Exposure to Typical Triggering Events ............................................... 4-15

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

[C][3] Take Steps to Analyze Costs and Risks to Organization ..................................................... 4-16

§ 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 ..................................... 4-23[B][1] Accessible Versus Inaccessible Data .................. 4-24[B][2] Routine Operations ........................................... 4-28[B][3] Email ................................................................. 4-30[B][4] Handheld Devices ............................................. 4-32[B][5] Websites ............................................................ 4-33[B][6] Group/Shared Drives ......................................... 4-33[B][7] Determining Key Players and Relevant

Time Frames ..................................................... 4-33[B][8] Former Employees ............................................. 4-35[B][9] Custodians’ Personal Data ................................ 4-36[B][10] Data Sources Frequently Relevant in Similar

Litigations ......................................................... 4-37[C] Raising Preservation Issues ................................... 4-39

§ 4:2.3 Search Technology ................................................ 4-40§ 4:2.4 Form of Preservation ............................................. 4-41§ 4:2.5 Methods of Preservation ....................................... 4-44

[A] Manual Copy ........................................................ 4-45[B] Active Data Copy .................................................. 4-45[C] Forensic Image Process ......................................... 4-45[D] End-User-Driven Process ...................................... 4-46[E] Supervised Tape Archive Process ........................... 4-46[F] Records Management............................................ 4-46[G] Individual Computer Backup ................................ 4-47

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§ 4:3 Types of ESI ................................................................. 4-47§ 4:3.1 Voice Mail ............................................................. 4-47

[A] Discoverability ...................................................... 4-47[B] Best Practices for Preservation .............................. 4-48

§ 4:3.2 Instant Messaging ................................................. 4-49[A] What Is Instant Messaging? .................................. 4-49[B] How Does Instant Messaging Work? .................... 4-51[C] Expansion into the Corporate World ..................... 4-51[D] Treatment of Instant Messaging in Discovery ....... 4-52[D][1] Discoverability .................................................. 4-52[D][2] Duty to Preserve ................................................ 4-53[D][3] Regulatory Guidance ......................................... 4-55[D][4] Practical Considerations .................................... 4-56[E] Best Practices for Preserving Instant Messages ...... 4-56[E][1] Evaluate Need for an IM System ....................... 4-56[E][2] Install Corporate IM System and Prohibit

Use of Public IM ............................................... 4-56[E][3] Establish a General IM Policy ............................ 4-57

§ 4:3.3 Backup Media ....................................................... 4-57[A] The Nature of Backup Tapes and Their

Limitations in Discovery ...................................... 4-58[B] Duty to Preserve ................................................... 4-61[B][1] Common Law Preservation Obligation .............. 4-61[B][2] Application of Preservation Duty to

Backup Tapes ..................................................... 4-61[C] Best Practices for Preserving Backup Media .......... 4-66[C][1] Obtain Comprehensive Understanding of

Disaster Recovery Systems ................................ 4-66[C][2] Develop Policies and Procedures for Backup

Media, Including Preservation Guidelines ......... 4-66[C][3] Object to, and Consult About, Preservation

of Backup Data As Soon As Practicable ............. 4-67[C][4] Develop Standard Disclosure Documents ......... 4-67

§ 4:3.4 Hard Drives and Images of Hard Drives ............... 4-68[A] Mirror Imaging ..................................................... 4-68[B] Demands for Mirror Imaging ................................ 4-69[C] Best Practices ........................................................ 4-72[C][1] Develop and Follow Guidelines for When to

Preserve Hard Drives or Take Images ................ 4-72[C][2] Develop a Process for Managing Hard

Drives and Images ............................................. 4-72§ 4:3.5 Data in Dynamic or Transitory Systems ............... 4-72

[A] Preserving Dynamic Data ..................................... 4-72

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[B] Best Practices ........................................................ 4-73[B][1] Obtain Comprehensive Understanding of

Relevant Systems .............................................. 4-73[B][2] Develop and Follow Guidelines for When to

Preserve Data .................................................... 4-74[B][3] Deal with the Preservation of Data from

Dynamic and Transitory Systems As Soon As Practicable ...................................... 4-74

[B][4] Develop Standard Disclosure Documents Regarding Data from Dynamic and Transitory Systems ............................................ 4-75

§ 4:3.6 Legacy Data .......................................................... 4-75[A] Preservation .......................................................... 4-75[B] Best Practices ........................................................ 4-75

§ 4:3.7 Emerging Technologies: Social Networking and Other Web-Based Technologies ...................... 4-76

[A] The Next Generation of ESI ................................. 4-76[B] Examples of Emerging Technologies ...................... 4-77[B][1] Social Networking and Video-Sharing Sites ....... 4-77[B][2] Web-Based Collaboration Applications .............. 4-77[B][3] Cloud Computing ............................................. 4-78[C] Emerging Technologies in Discovery ..................... 4-79[D] Best Practices for Preservation .............................. 4-80[D][1] Understand How Emerging Technologies

Are Used ........................................................... 4-80[D][2] Evaluate the Business Need ............................... 4-80[D][3] Educate Employees ............................................ 4-80[D][4] Establish Policies Regarding the Use of

Web-Based Technologies .................................... 4-80[D][5] Include Emerging Technologies in Legal

Hold Notices ..................................................... 4-81[D][6] Negotiate Contractual Agreements with

Cloud Computing Providers .............................. 4-81[D][7] Develop Procedures for Capturing Web-Based

or Third-Party Hosted Data ............................... 4-81[D][8] Audit Compliance with Policies ........................ 4-82

§ 4:4 Legal Holds .................................................................. 4-82§ 4:4.1 Executing Legal Holds ........................................... 4-83

[A] Contents of Preservation Notice ........................... 4-84[B] Recipients of Preservation Notice ......................... 4-86[C] Auditing Compliance with Preservation Notice ...... 4-87[D] Best Practices ........................................................ 4-88

§ 4:4.2 Evergreen Holds .................................................... 4-89[A] Determining Whether an Evergreen Hold

Is Necessary .......................................................... 4-89[B] Best Practices ........................................................ 4-91

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§ 4:4.3 Lifting Legal Holds ................................................ 4-92[A] Termination When Matter Is Ultimately

Concluded ............................................................ 4-92[B] Changes in Scope of the Legal Hold ...................... 4-92[C] Additional Considerations .................................... 4-93

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

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

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

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

Meet and Confer ................................................... 5-12§ 5:3 Key Issues for Discussion ............................................ 5-15

§ 5:3.1 Use of Search Terms and Advanced Search Technology ............................................................ 5-18

§ 5:3.2 Privilege Protocols ................................................. 5-21[A] Clawback Agreements .......................................... 5-25[B] Quick-Peek Agreements ........................................ 5-26[C] Use of Search Terms or Data Analytics ................. 5-26[D] Privilege Logs ........................................................ 5-26[E] Privilege and Metadata Review .............................. 5-30

§ 5:3.3 Form of Production ............................................... 5-31§ 5:3.4 Preservation .......................................................... 5-36§ 5:3.5 Metadata .............................................................. 5-41

§ 5:4 Direct Access ............................................................... 5-45§ 5:5 Identification Requirements ........................................ 5-49§ 5:6 Inaccessible Sources ..................................................... 5-51§ 5:7 Initial Disclosures........................................................ 5-55

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

§ 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 ................ 6-7§ 6:2.3 Ensuring the Admissibility of Collected ESI ............ 6-9

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§ 6:3 Overview of the Collection Process .............................. 6-11§ 6:3.1 Who Should Collect? ............................................ 6-12§ 6:3.2 What Should Be Collected? ................................... 6-12§ 6:3.3 When Should Collection Occur? ........................... 6-14§ 6:3.4 Where Should the Collection Team Look for

Relevant ESI? ........................................................ 6-14§ 6:4 Basic Collection Process .............................................. 6-15

§ 6:4.1 Locating Relevant Files ......................................... 6-16[A] Overview of Automated Search Methods .............. 6-18[B] Choosing a Search Method ................................... 6-20[C] Designing the Query ............................................. 6-21

§ 6:4.2 Common Data Types ............................................ 6-24[A] Basic Data Files .................................................... 6-24[B] Email Journaling ................................................... 6-24[C] Instant Message Logging ....................................... 6-25[D] Application Metadata and Version Control ........... 6-26[E] Databases ............................................................. 6-26

§ 6:4.3 Handling Identical and Distinct Files ................... 6-29§ 6:4.4 Storing Collected ESI ............................................ 6-30

§ 6:5 Challenges to Collection .............................................. 6-31§ 6:5.1 Privacy Concerns .................................................. 6-31§ 6:5.2 Reasonable Accessibility ....................................... 6-33

[A] Active, Online Data .............................................. 6-36[B] Near-Line Data ..................................................... 6-38[C] Offline Storage and Archives ................................. 6-38[D] Backup Tapes ........................................................ 6-39[E] Erased, Fragmented, or Damaged Data ................. 6-42

§ 6:5.3 Unsearchable Data ............................................... 6-44[A] Nontextual Data ................................................... 6-44[B] Unknown and Unsupported File Types ................. 6-46[C] Compressed and Encrypted Files .......................... 6-46[D] Corrupt Files ......................................................... 6-46

Chapter 7 Review and Production of Electronically Stored InformationMichael E. Lackey & 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

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§ 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 .......................... 7-35§ 7:5.3 Cost-Shifting Trends ............................................. 7-37§ 7:5.4 Award of Costs for E-Discovery Under Rule

54(d)(1) and 28 U.S.C. § 1920(4) .......................... 7-42§ 7:5.5 Best Practices ........................................................ 7-43

§ 7:6 Privilege and Work Product Review .............................. 7-45§ 7:6.1 Pre-Review Preparation ......................................... 7-47

[A] ESI Collection ....................................................... 7-47[B] Privilege Review Work Flow .................................. 7-48

§ 7:6.2 Defining the Privilege ........................................... 7-49[A] Attorney-Client Privilege ...................................... 7-50[B] Work Product Doctrine ......................................... 7-53

§ 7:6.3 Privilege Log.......................................................... 7-53§ 7:6.4 Waiver ................................................................... 7-55

§ 7:7 Form of Production ...................................................... 7-58§ 7:8 Production of ESI to Multiple Parties, Including

Public Entities ............................................................. 7-61§ 7:8.1 Applicable Rules ................................................... 7-62§ 7:8.2 Risks ..................................................................... 7-63§ 7:8.3 Selective Waiver Doctrine ..................................... 7-65§ 7:8.4 Centralization and Continued Retention .............. 7-70§ 7:8.5 Production Protocol .............................................. 7-71

§ 7:9 Expedited and Time-Sensitive Reviews ........................ 7-72§ 7:9.1 Preliminary Assessment ....................................... 7-72§ 7:9.2 Selecting a Review Option .................................... 7-72§ 7:9.3 Review Phase ........................................................ 7-73

[A] Meet with Integrated Review Team ....................... 7-73[B] Meet with Electronic Vendor ................................. 7-74[C] Establish a Quality Control Procedure .................. 7-74

§ 7:9.4 Production Phase .................................................. 7-75

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Chapter 8 Third-Party Practice

Eric B. Evans, 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 ............. 8-18§ 8:5 Best Practices ............................................................... 8-19

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

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

[B] Raise Objections Quickly ...................................... 8-20[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 ....................................... 8-21§ 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 ............................................................ 8-22

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

§ 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 ........................................................... 9-8

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§ 9:3 Formulating a Preservation and Collection Plan .......... 9-11§ 9:3.1 Planning to Respond to a Government

Subpoena .............................................................. 9-13§ 9:3.2 Planning to Respond to a Second Request ............. 9-14

§ 9:4 Meet-and-Confer Process ............................................. 9-15§ 9:5 Productions.................................................................. 9-16§ 9:6 Lifting Legal Holds....................................................... 9-17§ 9:7 Development of a Discovery Protocol .......................... 9-20§ 9:8 Criminal Investigations ............................................... 9-20

Chapter 10 Managing Spoliation Claims and Defenses

B. Clayton McCraw, Michael Gill & Robert Entwisle

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

§ 10:2.1 Court Authority to Impose Spoliation Sanctions .............................................................. 10-4

[A] Federal Rules of Civil Procedure ............................ 10-5[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 ............................................................. 10-14

§ 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 ............................. 10-16[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 ............................................ 10-22[C][2][a] Intent .......................................................... 10-24[C][2][b] Content ....................................................... 10-27[C][3] Striking Pleadings ............................................ 10-28[C][4] Exclusion of Evidence ...................................... 10-29[C][5] Loss of Attorney-Client Privilege or

Work Product Protection ................................. 10-30[C][6] Dismissal or Default Judgment ....................... 10-31

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§ 10:3.2 Discovery and Perfection of Spoliation Claims ................................................................ 10-33

[A] Court Orders and Preservation Statutes .............. 10-33[B] Depositions and Third-Party Discovery .............. 10-34[C] Experts ................................................................ 10-36

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

[A] Implementation of the Litigation Hold ............... 10-37[B] Timing and Scope of the Litigation Hold ............ 10-38[B][1] Audio Recordings............................................. 10-39[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 .................................... 10-42[D] “Control” over ESI .............................................. 10-44

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

Chapter 11 Electronic Discovery in Specific Areas of PracticeEric B. Evans

§ 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

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§ 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

§ 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 ........................................ 11-25§ 11:10.3 Issues Regarding Preservation and Production ...... 11-26

§ 11:11 Intellectual Property .................................................. 11-26§ 11:11.1 Nature of Discovery ............................................ 11-26§ 11:11.2 Relevant Data Sources ........................................ 11-29§ 11:11.3 Issues Regarding Preservation and Production ...... 11-30

§ 11:12 Pharmaceuticals ........................................................ 11-35§ 11:12.1 Nature of Discovery ............................................ 11-35§ 11:12.2 Relevant Data Sources ........................................ 11-35§ 11:12.3 Issues Regarding Preservation and Production ...... 11-36

[A] Product Liability Cases ....................................... 11-36[B] Patent and Regulatory Cases ............................... 11-37

§ 11:13 Product Liability ........................................................ 11-38§ 11:13.1 Nature of Discovery ............................................ 11-38§ 11:13.2 Relevant Data Sources ........................................ 11-38§ 11:13.3 Issues Regarding Preservation and Production ...... 11-38

§ 11:14 Securities ................................................................... 11-39§ 11:14.1 Nature of Discovery ............................................ 11-39§ 11:14.2 Relevant Data Sources ........................................ 11-40§ 11:14.3 Issues Regarding Preservation and Production ...... 11-40

§ 11:15 Tax ............................................................................. 11-41§ 11:15.1 Nature of Discovery ............................................ 11-41§ 11:15.2 Relevant Data Sources ........................................ 11-42§ 11:15.3 Issues Regarding Preservation and Production ......11-42

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Chapter 12 Arbitration

Menachem Hasofer, Sarah Reynolds & Allison Stowell

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

§ 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 Commerce International Court of Arbitration (ICC) .............. 12-6


§ 12:2.4 London Court of International Arbitration (LCIA) ....12-7[A] Document Exchange ............................................. 12-7[B] Costs .................................................................... 12-7

§ 12:2.5 International Centre for Settlement of Investment 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 Conflict Prevention 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 ........................................................... 12-18

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

Michael E. Lackey, Ethan A. Hastert & 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 ....................................................... 13-10[B] Web-Based Collaboration Applications ............... 13-11[C] Cloud Computing ............................................... 13-12[D] Mobile and Wearable Technologies ..................... 13-13

§ 13:3.3 Establishing Policies and Educating Employees .......13-13§ 13:3.4 Auditing Compliance and Reviewing Policies...... 13-15

§ 13:4 Emerging Technologies in Discovery .......................... 13-15§ 13:4.1 Use of Data from Emerging Technologies

in Litigation ........................................................ 13-15§ 13:4.2 Applicable Statutes, Rules, and Regulations ......... 13-19

[A] Electronic Communications Privacy Act ............. 13-19[B] Regulatory Guidance ........................................... 13-22

§ 13:4.3 Possession, Custody, and Control ....................... 13-24[A] Control of Data Hosted or Managed by

Third Parties ....................................................... 13-25[B] Shared Services and Affiliated Company Data ...... 13-27

§ 13:4.4 Data Privacy ....................................................... 13-29§ 13:4.5 Ethical Issues and Attorney-Client Privilege ....... 13-30

[A] Factual Investigations ......................................... 13-30[B] Attorney-Client Privilege .................................... 13-31

§ 13:5 Best Practices for Managing Emerging Technologies in Discovery .............................................................. 13-32

§ 13:5.1 Develop Policies and Procedures Before Litigation Arises.................................................. 13-32

§ 13:5.2 Consider Collection Options .............................. 13-33§ 13:5.3 Negotiate with Third-Party Providers .................. 13-34§ 13:5.4 Consider Production Strategies ........................... 13-35

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Chapter 14 International Issues

Menachem 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 ............................................... 14-15[D] Discovery Procedures: Hague Convention

Versus Federal Rules ........................................... 14-16§ 14:3 Electronic Discovery in England and Wales................ 14-18

§ 14:3.1 Early Developments ............................................ 14-18§ 14:3.2 Civil Procedure Rules of 1999 ............................. 14-18§ 14:3.3 Initial Recognition of Electronic Disclosure ........ 14-22§ 14:3.4 Practice Direction Paragraph 2A ......................... 14-22§ 14:3.5 Case Law ............................................................ 14-24§ 14:3.6 Practice Direction 31B ........................................ 14-27

[A] The Questionnaire .............................................. 14-28[B] Proportionality .................................................... 14-29

§ 14:3.7 Disclosure Pilot from 2019 ................................. 14-30§ 14:3.8 Duty to Preserve ESI ........................................... 14-33§ 14:3.9 Sanctions ............................................................ 14-37§ 14:3.10 Waiver ................................................................. 14-39§ 14:3.11 Obtaining ESI from a Party in the U.K. for

Use in U.S. Proceedings ...................................... 14-41§ 14:4 Electronic Discovery in Germany .............................. 14-43

§ 14:4.1 Introduction ....................................................... 14-43§ 14:4.2 Obtaining Electronic Evidence Under

German Law ....................................................... 14-43[A] Principle of Party Presentation ............................ 14-43[B] Introduction of Facts into the Court Proceeding ..... 14-44[C] Scope of Evidence Taking .................................... 14-45[D] Evidence-Taking Procedure .................................. 14-45

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[E] Means to Obtain Evidence from the Adverse Party ...................................................... 14-45

[E][1] Examination of the Adverse Party .................... 14-46[E][2] Proof by Witness Testimony ............................ 14-46[E][3] Production of Documents in Possession of

Adverse Party ................................................... 14-47[E][4] Production of Documents in Possession of

Third Party ...................................................... 14-47[E][5] Production of Electronically Stored

Information ..................................................... 14-48[F] Enforcement Procedure ....................................... 14-49[F][1] Disclosure Only If Claimant Has

Substantive Claim ........................................... 14-49[F][1][a] Principle of Good Faith ............................... 14-49[F][1][b] Obligation Annexed to Contract ................. 14-49[F][1][c] Obligation of Equal Disclosure .................... 14-50[F][1][d] Inspection of Documents ............................ 14-50[F][1][e] Right to Inventory ....................................... 14-50[F][1][f] Assignment of Claims ................................. 14-51[F][2] Summary of Disclosure Requirements ............ 14-51[G] Production of Documents upon Court’s

Discretion ........................................................... 14-51§ 14:4.3 Obtaining Evidence from Germany for

U.S. Discovery Proceedings ................................. 14-52[A] The EU Situation: EC 1206/2001 ....................... 14-52[B] The Hague Convention ...................................... 14-53

§ 14:4.4 Privileges and Exceptions to Disclosure .............. 14-56[A] Correspondence Between a Party and

Close Relatives.................................................... 14-57[B] Attorney-Client Privilege Under German Law ...... 14-58[B][1] Does the Attorney-Client Privilege Cover

In-House Lawyers? .......................................... 14-60[B][2] Confidentiality of Communication with

In-House Lawyers in U.S. Discovery Proceedings ..................................................... 14-62

[C] Business and Trade Secrets ................................. 14-63[D] Financial Loss; Disgrace or Self-Incrimination ...... 14-64

§ 14:5 Electronic Discovery in the Hong Kong Special Administrative Region ............................................... 14-65

§ 14:5.1 Introduction—The System of Law and Courts of the Hong Kong Special Administrative Region ........................................ 14-65

[A] “One Country, Two Systems” .............................. 14-65[B] Legal System ....................................................... 14-66

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[C] Courts................................................................. 14-66[D] Arbitration .......................................................... 14-67

§ 14:5.2 Civil Justice Reforms in Hong Kong.................... 14-68[A] Framework .......................................................... 14-68[B] Underlying Objectives and Case Management ..... 14-68[C] Practice Direction SL1.2 ..................................... 14-70[D] ESI ...................................................................... 14-71

§ 14:5.3 Definitions of “Document” in Hong Kong Law ..... 14-71§ 14:5.4 Scope of Relevance for Discovery ........................ 14-72

[A] Automatic “General Discovery” .......................... 14-72[B] Peruvian Guano Test of Relevance ...................... 14-73[C] Discovery Reforms Canvassed During the

CJR Consultation ............................................... 14-74[D] Discovery of Electronic Documents Under the

E-Discovery Practice Direction ........................... 14-75§ 14:5.5 List of Documents, Verifying Affidavit and

Orders Compelling Discovery ............................. 14-76[A] List of Documents .............................................. 14-76[B] Verifying Affidavit ............................................... 14-77[C] Order Compelling Filing and Sanctions for

Non-Compliance ................................................ 14-78[D] Difficulties in Filing the List of Documents

and Verifying Affidavit ........................................ 14-79[E] Changes in the Manner of Discovering

Electronic Documents Under the E-Discovery Practice Direction ........................... 14-79

§ 14:5.6 Courts’ Power to Manage Cases by Limiting or Modifying Scope and Manner of Discovery ........................................... 14-83

[A] Existing Powers Under “Retained” RHC ............. 14-83[B] Case Management Discovery Under CJR ........... 14-84[C] Summary of Rules Applicable to Discovery of

ESI Under CJR and the Development of the E-Discovery Practice Direction ........................... 14-85

§ 14:5.7 Duty to Preserve ................................................. 14-85§ 14:5.8 Sanctions for Failure to Preserve ESI ................... 14-87

[A] Destruction of ESI .............................................. 14-87[B] Adverse Inferences .............................................. 14-87

§ 14:5.9 Hong Kong Case Law on ESI .............................. 14-88[A] Cases Before the Introduction of the

E-Discovery Practice Direction ........................... 14-88[B] Case Law on the E-Discovery Practice

Direction ............................................................ 14-90

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§ 14:5.10 Likely Future Developments in Relation to E-Discovery ........................................................ 14-92

[A] Case Management Summons and Conferences ..... 14-92[B] Adopting Procedures from Other Jurisdictions ...... 14-93[B][1] United States................................................... 14-93[B][2] England and Wales .......................................... 14-93[B][3] Australia .......................................................... 14-93[B][4] Singapore ......................................................... 14-94

§ 14:6 Data Protection in Europe ......................................... 14-95§ 14:6.1 The General Data Protection Regulation ............ 14-95§ 14:6.2 Safe Harbor and Privacy Shield ........................... 14-98§ 14:6.3 Transfer; Consent; Transfer Necessary for

the Establishment, Exercise, or Defense of Legal Claims ....................................................... 14-99

§ 14:7 Data Protection in the United Kingdom .................. 14-101§ 14:7.1 Data Protection Act 2018 ................................. 14-101

§ 14:8 German Federal Data Protection Act ....................... 14-102§ 14:8.1 Personal Data ................................................... 14-102§ 14:8.2 Cross-Border Transfers of Personal Data ........... 14-104

§ 14:9 European Data Protection and U.S. Discovery ......... 14-111

Chapter 15 Technology Considerations

Tony Reid & Stacy Jackson

§ 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”) ................................. 15-15[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

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§ 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 ......................................................... 15-20§ 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 .............................................. 15-29

§ 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

xxxix(E-Discovery Deskbook, Rel. #2, 12/18)

Foreword

The well-worn cliché reminds us that the more things change, the more they stay the same. In 2009, we find ourselves in robust national—and increasingly international—debates about the basic rules of civil litigation. The debates include whether we can afford the costs, burdens, and delays that broad discovery can cause and whether we can afford to lose the benefits that broad discovery can provide. The themes sound familiar, and they should. These same themes were part of the debates that led to the enactment of the Federal Rules of Civil Procedure in 1938. We have been talking about them ever since. I have been privileged to be part of those discussions over the last thirteen years, as a trial judge in a busy federal court and as a member, then chair, of the Advisory Committee on Federal Rules of Civil Pro-cedure and chair of the Committee on the Rules of Practice and Pro-cedure of the Judicial Conference of the United States.1 On the bench and on the rules committees, I have struggled to understand how the rules drafted in the 1930s could cope with the modern challenges of electronic discovery and still, as promised in Rule 1, “be construed and administered to secure the just, speedy, and inexpensive determi-nation of every action and proceeding.”

The 1938 Federal Rules revolutionized civil litigation in the United States. The rules replaced formalistic pleading with notice pleading; replaced extremely limited discovery with rules that “went farther than any single system anywhere”;2 and replaced varying rules with a single set of rules that would apply in every federal trial court and to every kind of civil case in the country. One would think that after sev-enty years, we would have achieved clarity about what these rules mean and how they apply. But seventy years later, we are still debating what the notice-pleading standard imposed in 1938 really means.3 Seventy years later, we are still debating whether liberal discovery is the appropriate standard or whether it is so expensive and burden-some as to endanger the civil litigation system’s very survival. Seventy years later, we are debating what the commitment to national unifor-mity 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).

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All of these debates are in an important way debates about discov-ery. The 2007 Supreme Court decision on the pleading standard under Rule 8 was driven in part by a concern that discovery is so expensive and burdensome that pleadings must be tested and found adequate before discovery is allowed to begin.4 Many of the recent additions to local rules are driven by pressure to address recent electronic discovery problems. In 2009, the 1930s debates over discovery rules sound both modern and familiar.

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

In 1970, Rule 34 was changed to include “data compilations” in the definition of “document,” to take into account the “special problems posed by electronic computers.”5 But it was not until the 1980s and 1990s 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 alle-gations that reach the level of suggesting conspiracy that we can hope to avoid the potentially enormous expense of discovery in cases with no ‘reasonably founded hope that the [discovery] process will reveal relevant evidence’ to support 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 Civil Rules, 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 (noting intention to forward a statement or recommendation regarding problems posed by electronic computers); RepoRt of the Civil Rules AdvisoRy Committee (July 11, 1969), supra, at app. A (including recommen-dations for rule and committee note text regarding “data compilations”); see also fed. R. Civ. p. 34 advisory committee’s note (1970 Amendment) (“The inclusive description of ‘documents’ is revised to accord with chang-ing technology. It makes clear that Rule 34 applies to electronic[] data compilations from which information can be obtained only with the use of detection devices, and that when the data can as a practical matter be made usable by the discovering party only through respondent’s devices, respondent may be required to use his devices to translate the data into usable form.”).

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Foreword

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

Since the 1990s, those involved with federal and state rules of civil procedure have grappled with how to address electronic discovery. The discussion has been framed in the familiar terms of costs, burdens, benefits, and proportionality. But while the discussion sounds the same themes as the debates that began over seventy years ago, elec-tronic discovery has features that make the problems more difficult. The costs and burdens have risen dramatically. Technology changes may ultimately provide some relief from the problems that technology helped create. But the fact that technology continues to change, at a pace and in ways we cannot predict, means that electronic discovery problems will continue to appear in new and unexpected forms.

Two things are clear. The first is that the application of the rules must be monitored to ensure that they are working well and that the tools they provide are both adequate and effective. The second is that the rules themselves cannot solve the problems. The rules have to be general enough to deal with all the different kinds of cases that come into federal court and to accommodate the inevitable changes in tech-nology. And the problems begin long before cases are actually filed, which is when the rules apply. The rules are, at best, only one part of what must be a multi-front and multi-faceted approach to electronic discovery problems. Litigation habits and customs learned in the days of paper must be revisited and revised. The culture of bench and bar must adjust. And lawyers, litigants, and judges must all continue to learn how to conduct electronic discovery so that it is proportionate to the reasonable needs of each case.

Guidance on best practices for dealing with the numerous and complicated aspects of electronic discovery, as well as ongoing edu-cation of judges, lawyers, and litigants, is essential. The Sedona Prin-ciples have been an important part of that work. And this treatise promises to provide important help as well. This treatise provides a thorough analysis of how to apply the Sedona Principles, the electronic discovery amendments to the Federal Rules of Civil Procedure, and the relevant case law on electronic discovery. From managing requests for production and preservation obligations to obtaining electronic discovery from third parties and understanding international electronic

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discovery issues, this treatise unpacks practical details of electronic discovery preparation, requests, searches, reviews, and production. It contributes to the ongoing work of understanding how the rules are best applied and how they might be improved.

Lee H. Rosenthal United States District Judge

Southern District of Texas