Table of Contents
Chapter 1: The Duty to Preserve Electronic Evidence
Daniel A. Nadel ....................................................................................1
1-1 INTRODUCTION …………………………………………………….1
1-2 WHEN DOES THE DUTY TO PRESERVE ATTACH? ………………1
1-3 SCOPE OF THE DUTY TO PRESERVE ……………………………..4
1-3:1 Scope of Duty to Preserve in Pennsylvania
State Court....................................................................4
1-4 LITIGATION HOLDS: BEST PRACTICES.............................5
1-5 WHO MUST PRESERVE ELECTRONIC DOCUMENTS?.....7
1-5:1 Key Players....................................................................7
1-5:2 Possession, Custody, and Control..................................8
1-5:3 Duties of Foreign Subsidiaries, Parents,
and Siblings.................................................................10
1-6 ELECTRONIC DATA GENERALLY NOT SUBJECT
TO THE DUTY TO PRESERVE.............................................11
1-7 SOCIAL MEDIA AND PERSONAL MOBILE DEVICES.....13
1-8 SEEKING COURT RELIEF TO PRESERVE AND
PRODUCE DOCUMENTS.....................................................15
1-8:1 Expedited Discovery....................................................16
1-9 PROPOSED AMENDMENTS TO FEDERAL
RULE OF CIVIL PROCEDURE 37(E)....................................17
Chapter 2: Issues in Electronic Document Production ............................19
2-1 DOCUMENT COLLECTION.................................................19
2-1:1 Forensic Imaging.........................................................20
2-1:2 The Perils of “Self-Collection”....................................23
2-2 DOCUMENT REVIEW...........................................................24
2-2:1 Keyword Searching and Linear Review.......................24
2-2:2 Improving Keyword Searching....................................24
2-2:3 Computer Assisted Review..........................................25
2-3 DOCUMENT PRODUCTION................................................26
2-3:1 Metadata.....................................................................27
2-3:2 Metadata: Practice Notes............................................29
2-3:3 Native File Format......................................................30
2-3:4 Production Logs..........................................................32
2-3:5 Producing Documents as They Are Kept “In the
Usual Course of Business”..........................................33
2-3:6 Producing Documents in Pennsylvania State Court.....34
2-4 THE DUTY TO COOPERATE................................................35
2-4:1 The Duty to Cooperate in Practice..............................37
2-4:2 Search Terms...............................................................38
2-4:3 Discovery of Legal Hold Memoranda.........................40
2-4:4 Discovery About Discovery.........................................41
2-4:5 The Duty of Competence............................................42
2-5 PROTECTIVE ORDER GOVERNING
CONFIDENTIAL MATERIALS.............................................43
2-5:1 Protective Orders: Practice Notes................................44
2-6 AUTHENTICATION OF ELECTRONIC DOCUMENTS.....48
2-6:1 Authenticating Text and Instant Messages...................49
2-6:2 Authenticating Special Document Types.....................51
Chapter 3: Proportionality Ruth Uselton .......................53
3-1 OVERVIEW..............................................................................53
3-2 THE FEDERAL STANDARD................................................56
3-3 CONSIDERATIONS................................................................59
3-3:1 Cost.............................................................................59
3-3:2 Relevance.....................................................................63
3-4 ACCESSIBILITY OF DATA....................................................64
3-4:1 Burden to Prove Data Not Reasonably Accessible.......64
3-4:2 Types of Documents Not Reasonably Accessible.........65
3-4:2.1 Databases...................................................66
3-4:2.2 Backup Tapes.............................................68
3-4:2.3 Ephemeral Data..........................................69
3-4:2.4 Metadata....................................................70
3-4:2.5 Voicemails...................................................71
3-4:2.6 Wikis..........................................................72
3-5 PROPORTIONALITY IN PENNSYLVANIA
STATE COURTS......................................................................72
Chapter 4: Cost-Shifting Joseph J. Gribbin.......................75
4-1 OVERVIEW..............................................................................75
4-1:1 The Cost-Shifting Framework of the Federal
Rules of Civil Procedure and Zubulake........................75
4-1:2 Third Circuit District Court Applies the
Advisory Committee’s Note Factors to
Determine Whether eDiscovery Should be
Produced at All............................................................79
4-1:3 Third Circuit District Courts Apply Zubulake
Factors for Cost-Shifting Between Parties....................82
4-2 COST-SHIFTING REQUIRES A FACT-INTENSIVE
INQUIRY..................................................................................82
4-2:1 Courts Applying the Zubulake Factors Under
Rule 26(b)....................................................................83
4-2:2 Zubulake Factors for Cost-Shifting Under
Rule 45(d)(1) for Nonparty Production.......................86
4-3 COST-SHIFTING FOR PRE-CLASS-CERTIFICATION
DISCOVERY.............................................................................90
4-4 TAXATION OF COSTS...........................................................92
4-5 COST-SHIFTING FOR OTHER REASONS..........................96
4-6 COST-SHIFTING UNDER PENNSYLVANIA
RULES OF CIVIL PROCEDURE...........................................97
4-7 DISCOVERY PHASING..........................................................99
Chapter 5: Social Media Trevor Salter .................................103
5-1 OVERVIEW............................................................................103
5-1:1 Duty to Preserve........................................................104
5-1:2 Possession, Custody and Control...............................104
5-1:3 Stored Communications Act......................................104
5-1:4 Mechanics of Preservation.........................................104
5-1:5 Authenticating Social Media......................................105
5-2 DISCOVERY OF SOCIAL MEDIA.......................................105
5-2:1 Emerging Use of the “Threshold Rule” in
Pennsylvania Courts..................................................106
5-2:2 Privacy.......................................................................108
5-2:3 Proportionality..........................................................110
5-3 MECHANISMS FOR OBTAINING SOCIAL
MEDIA CONTENT...............................................................110
5-3:1 Requesting Usernames and Passwords.......................111
5-3:2 Subpoenaing Content From the Social Media
Service Providers........................................................112
5-3:3 Court Orders Compelling Consent to Access
Social Media Accounts..............................................113
5-3:4 Court Orders Compelling Responding Party
to Accept a Friend Request........................................113
5-3:5 Use of Third Party to Collect Relevant Social
Media Content..........................................................114
5-4 ETHICAL CONSIDERATIONS...........................................114
5-4:1 Communicating With Represented Parties
Through Social Media...............................................114
5-4:2 Communicating with Unrepresented Parties..............115
5-4:3 Advising Clients on Posting/Removing Content........115
Chapter 6: Non-Party Discovery Benjamin M. Schmidt ...................117
6-1 NON-PARTY DISCOVERY: PENNSYLVANIA
FEDERAL LAW....................................................................117
6-1:1 Form and Contents of eDiscovery Subpoenas...........117
6-1:2 Issuing Court.............................................................119
6-1:3 Notice to Other Parties Before Service of
Subpoenas Seeking eDiscovery..................................119
6-1:4 Serving Subpoenas.....................................................120
6-1:4.1 Service in the United States......................120
6-1:4.2 Service in a Foreign Country....................120
6-1:5 Place of Compliance for Production Subpoenas........121
6-1:6 Protecting a Person Subject to a Subpoena
Seeking eDiscovery....................................................121
6-1:6.1 Avoiding Undue Burden or Expense;
Sanctions..................................................122
6-1:6.2 Command to Produce Materials or
Permit Inspection......................................122
6-1:6.3 Factors Applicable in Evaluating
“Undue Burden” Objections.....................123
6-1:6.4 Cost and Fee Shifting Under Rule 45........125
6-1:6.5 “Significant” Expenses Under Rule 45......127
6-1:6.6 Objections to Administrative
Subpoenas................................................130
6-1:6.7 Objections Based Upon First
Amendment Rights...................................130
6-1:6.8 Quashing or Modifying a Subpoena.........131
6-1:7 Duties in Responding to a Subpoena Seeking
eDiscovery.................................................................133
6-1:7.1 Producing Documents or ESI...................133
6-1:7.2 Claiming Privilege or Protection...............134
6-1:8 Findings of Contempt...............................................134
6-1:8.1 Range of Sanctions Available to
Enforce Subpoenas...................................135
6-1:8.2 Right to Immediate Appeal of
Contempt Orders Pursuant to Rule 45......137
6-1:9 Requests For Preservation of ESI Possessed
By Non-Parties..........................................................137
6-2 NON-PARTY DISCOVERY: PENNSYLVANIA
STATE LAW...........................................................................138
6-2:1 The Importance of Notes and Explanatory
Comments in Construing the Pennsylvania
Rules of Civil Procedure Addressing Non-
Party eDiscovery........................................................138
6-2:2 Explanatory Comments Concerning the Federal
System of Discovery and ESI....................................138
6-2:3 Rules Authorizing Service of Subpoenas to
Produce......................................................................139
6-2:4 Notice to Other Parties Before Service of
Subpoena to Produce.................................................140
6-2:5 Service of Subpoenas.................................................141
6-2:5.1 Certificate Prerequisite to Service of
Subpoena to Produce................................141
6-2:5.2 Form of Subpoena to Produce..................141
6-2:5.3 Form of Certificate of Compliance...........144
6-2:5.4 Service of a Subpoena Upon Persons
Within the Commonwealth.......................145
6-2:5.5 Service of Subpoena Upon Persons
Outside the Commonwealth.....................145
6-2:6 Rules Protecting a Person Subject to a Subpoena
to Produce eDiscovery...............................................147
6-2:6.1 Specification of Format for Production
of ESI and Objections..............................147
6-2:6.2 Protections and Enforcement Provisions
of the General Discovery Rules Apply
to Non-Party Discovery............................148
6-2:6.3 Specificity Required..................................148
6-2:6.4 Five-Factor Proportionality Standard......148
6-2:6.5 Cost Sharing.............................................149
6-2:6.6 Limitation of Scope of Discovery
of ESI.......................................................150
Chapter 7: Civil Discovery and Computer Trespass Law ......................151
7-1 OVERVIEW............................................................................151
7-2 THE STORED COMMUNICATIONS ACT (SCA)..............152
7-2:1 Overview of SCA.......................................................152
7-2:2 Section 2701...............................................................153
7-2:2.1 Meaning of “Facility”...............................153
7-2:2.2 “Electronic Storage”.................................154
7-2:2.3 Exemptions for Users and Internet
Service Providers.......................................156
7-2:3 Section 2702...............................................................157
7-2:3.1 Meaning of “Contents”............................157
7-2:3.2 Covers Only “Public” Service Providers....158
7-2:4 Damages Available Under the SCA...........................159
7-2:5 Impact of SCA on Civil Discovery............................160
7-2:5.1 Legal Control Over SCA-Protected
Accounts...................................................161
7-2:5.2 Consent and Employer Electronic
Communications Policies..........................162
7-3 PENNSYLVANIA COMPUTER TRESPASS LAWS............167
7-3:1 Comparison to SCA..................................................167
7-3:2 Invasion of Privacy....................................................167
7-4 COMPUTER FRAUD & ABUSE ACT (CFAA)....................169
7-4:1 Overview....................................................................169
7-4:2 Application of CFAA in Discovery Process...............169
7-4:3 Employee Excessive Use Claims................................170
7-4:4 Damages Available Under CFAA..............................172
Chapter 8: Discovery of Foreign Documents .......................................175
8-1 OVERVIEW............................................................................175
8-2 AEROSPATIALE, THE HAGUE CONVENTION,
AND FOREIGN BLOCKING STATUTES..........................176
8-2:1 Jurisdictional Discovery Under Aerospatiale.............178
8-2:2 Foreign Data Privacy Laws........................................179
8-2:3 Foreign Blocking Statutes..........................................180
8-2:3.1 Personal Data...........................................181
8-2:3.2 Is Data Processing Permissible?................181
8-2:3.3 Procedures for Data Processing................184
8-2:3.4 Onward Transfer.......................................186
8-2:3.5 Local Filing Requirements........................187
8-3 FLOWCHART FOR COMPLIANCE WITH DATA
PRIVACY LAWS....................................................................187
Chapter 9: Sanctions Meredith C. Swartz ........................189
9-1 OVERVIEW............................................................................189
9-2 SPOLIATION.........................................................................189
9-2:1 Pennsylvania State Law.............................................189
9-2:1.1 Sliding Scale.............................................191
9-2:1.1a Willfulness/Spoliator’s
Degree of Fault...........................192
9-2:2 Third Circuit Case Law..............................................194
9-2:2.1 Sliding Scale.............................................194
9-2:2.1a Willfulness / Spoliator’s
Degree of Fault...........................196
9-2:2.1b Prejudice.....................................198
9-2:2.1c Substantial Unfairness and
Deterrence..................................202
9-2:3 Proposed Federal Rule of Civil
Procedure 37(e).........................................203
9-3 FAILURE TO COOPERATE AND VIOLATION
OF COURT ORDERS............................................................204
9-3:1 Pennsylvania State Law.............................................204
9-3:1.1 Failure to Cooperate.................................204
9-3:1.1a Failure to Provide Sufficient
Answers to Deposition
Questions....................................205
9-3:1.1b Failure to Respond to
Interrogatories............................205
9-3:1.2 Violation of Court Orders........................206
9-3:1.2a Disproportionate Sanctions
Reversed.....................................207
9-3:1.2b Proportionate Sanctions
Upheld........................................209
9-3:2 Federal Law Applicable in Pennsylvania....................212
9-3:2.1 The Same Basic Standard Governs
Failure to Cooperate and Violation of
Court Orders............................................212
9-3:2.2 General Standard......................................213
9-3:2.2a Exclusion of Evidence................213
9-3:2.2b Dismissals with Prejudice and
Defaults......................................215
9-3:2.2b1 Extent of the Party’s Personal
Responsibility.........................216
9-3:2.2b2 Prejudice to the Adversary......216
9-3:2.2b3 History of Dilatoriness...........217
9-3:2.2b4 Whether the Attorney’s
Conduct Was Willful or in
Bad Faith................................218
9-3:2.2b5 Availability of Alternative
Sanctions................................220
9-3:2.2b6 Meritoriousness of the Claim
or Defense..............................221
9-4 OTHER DISCOVERY MISCONDUCT................................222
9-4:1 Availability of Sanctions for Insufficient or
Non-Existent Legal Hold...........................................222
9-4:1.1 Pennsylvania State Law............................222
9-4:1.2 Federal Law..............................................224
9-4:1.2a Triggering the Duty to
Preserve......................................224
9-4:1.2b Obligations Once Duty to
Preserve Attaches........................226
9-4:1.2c Failure to Issue a Litigation Hold,
or Issuance of an Insufficient Legal
Hold, Can be a Proper Basis
for Sanctions...............................226
9-4:2 Sanctions Against Third Parties for Failure to
Comply with a Subpoena or Preserve Documents
Pursuant to a Court-Issued Preservation Order.........231
9-4:2.1 Pennsylvania State Law............................231
9-4:2.2 Federal Law..............................................231
9-4:2.2a Contempt Authority – Fed. R.
Civ. P. 45(g).................................231
9-4:2.2b Duty to Identify and Preserve
Responsive Documents and
Other Information......................232
9-4:2.2c Form for Producing Electronically
Stored Information (ESI)............233
9-4:3 Document Dumps.....................................................233
9-4:3.1 Pennsylvania State Law............................233
9-4:3.2 Federal Law..............................................234
9-4:3.2a General Principles.......................234
9-4:3.2b Appropriate Sanctions................235
9-4:3.2c White Collar Defense –
Prosecution’s Satisfaction of
Brady Obligations.......................236
9-4:4 Failure to Produce Documents in the Form in
Which They are Maintained or in a Reasonable
Useable Form............................................................237
9-4:4.1 Pennsylvania State Law............................237
9-4:4.2 Federal Law..............................................237
9-4:4.2a Production of Documents as
Maintained in the Ordinary
Course of Business.....................238
9-4:4.2b Production of Documents in
a Reasonably Usable Format......240
Chapter 10: eDiscovery in Criminal Cases
Jonathan S. Satinsky ..........................................................................243
10-1 OVERVIEW............................................................................243
10-2 INTERPLAY WITH CIVIL RULES......................................244
10-2:1 Brady Considerations.................................................245
10-3 REAL-TIME CELL PHONE AND GPS
INFORMATION....................................................................245
10-3:1 Search of Cell Phone Data Following Arrest.............245
10-3:2 Real-Time Location Information...............................246
10-4 COMPUTER HARD DRIVES..............................................247
10-4:1 Time and Location of Review....................................247
10-4:2 Search Breadth..........................................................248
10-4:3 Third Party Access.....................................................248
10-4:4 Encrypted Data.........................................................249
10-4:5 Reasonable Suspicion Search for Parolees..................249
10-5 INFORMATION HELD BY THIRD PARTY
SERVICE PROVIDERS..........................................................249
10-5:1 Fourth Amendment Protection..................................250
10-5:2 SCA Protection..........................................................250
10-5:2.1 Section 2701..............................................251
10-5:2.2 Section 2702..............................................251
10-5:2.3 Section 2703..............................................252
10-5:3 Contents of Wire and Electronic Communications....252
10-5:4 Government Burden..................................................253
10-6 WIRETAP ACT......................................................................253
10-6:1 Section 2511...............................................................254
10-6:2 Sections 2516–2518....................................................254
10-6:3 Exceptions.................................................................254
10-6:3.1 Section 2511(2)(g)(i).................................254
10-6:3.2 Section 2511(2)(a)(i).................................255
10-6:3.3 Section 2511(2)(c).....................................255
10-7 PENNSYLVANIA WIRETAP ACT.......................................256
10-7:1 Strict Construction....................................................256
10-7:2 Active Participation...................................................256
10-7:3 Consensual Wiretapping............................................257
10-7:4 Preemption................................................................257
Chapter 11: Compendium of Procedures and Forms in
Pennsylvania Courts ........................................................................259
11-1 LOCAL COURT RULES ADDRESSING
EDISCOVERY IN PENNSYLVANIA....................................259
11-2 FEDERAL DISTRICT COURT LOCAL RULES
RELATING TO E-DISCOVERY...........................................261
11-2:1 U.S. District Court for the Middle District of
Pennsylvania..............................................................261
11-2:2 U.S. District Court for the Western District of
Pennsylvania..............................................................263
11-3 FEDERAL JUDGES’ STANDING RULES
RELATING TO EDISCOVERY............................................264
11-4 DISTRICT OF DELAWARE RULES FOR
EDISCOVERY........................................................................284
11-5 DISTRICT OF NEW JERSEY LOCAL RULES
ADDRESSING DIGITAL DISCOVERY..............................290
11-5:1 District of New Jersey Local Rule 26.1(D)................290
11-5:2 District of New Jersey Standard Confidentiality
Order.........................................................................292
Table of Cases..301
Index..317