Pennsylvania eDiscovery 4th Edition

  • ID: 4411212
  • Book
  • Region: United States
  • 340 Pages
  • ALM Media, LLC
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The greatest challenge for attorneys dealing with eDiscovery is simply keeping up with changing rules and technologies. This handbook is designed to help attorneys practicing in Pennsylvania, New Jersey, and Delaware keep up with the dizzying pace of change. Special attention has been given to emerging eDiscovery issues – such as metadata discovery, computer assisted review, and the Stored Communications Act.

The handbook addresses the key issues in eDiscovery – preservation, document production, proportionality, cost-shifting, social media, third-party discovery, data privacy, foreign discovery, discovery in criminal cases, and sanctions.

The handbook also focuses on case law and local rules addressing eDiscovery in Pennsylvania state courts, as well as federal courts within the Third Circuit.

NEW!

Use of Social Media:
Latest developments in the emerging use of the Threshold Rule in Pennsylvania, which provides that the court must first determine whether the publicly viewable portion of a user’s social media content contains relevant information. If this is satisfied as a preliminary matter, courts will grant access to the user’s private social media content.

Encrypted Data:
  • Expectation of  privacy for Individuals who share access to computers for their personal files, and whether password-protection or encryption changes that expectation
  • Individual's Fifth Amendment rights and refusal to unencrypt files 
  • Standards for search of emails or other stored electronic communications
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Table of ContentsChapter 1: The Duty to Preserve Electronic EvidenceDaniel A. Nadel ....................................................................................11-1 INTRODUCTION …………………………………………………….11-2 WHEN DOES THE DUTY TO PRESERVE ATTACH? ………………11-3 SCOPE OF THE DUTY TO PRESERVE ……………………………..41-3:1 Scope of Duty to Preserve in PennsylvaniaState Court....................................................................41-4 LITIGATION HOLDS: BEST PRACTICES.............................51-5 WHO MUST PRESERVE ELECTRONIC DOCUMENTS?.....71-5:1 Key Players....................................................................71-5:2 Possession, Custody, and Control..................................81-5:3 Duties of Foreign Subsidiaries, Parents,and Siblings.................................................................101-6 ELECTRONIC DATA GENERALLY NOT SUBJECTTO THE DUTY TO PRESERVE.............................................111-7 SOCIAL MEDIA AND PERSONAL MOBILE DEVICES.....131-8 SEEKING COURT RELIEF TO PRESERVE ANDPRODUCE DOCUMENTS.....................................................151-8:1 Expedited Discovery....................................................161-9 PROPOSED AMENDMENTS TO FEDERALRULE OF CIVIL PROCEDURE 37(E)....................................17Chapter 2: Issues in Electronic Document Production ............................192-1 DOCUMENT COLLECTION.................................................192-1:1 Forensic Imaging.........................................................202-1:2 The Perils of “Self-Collection”....................................232-2 DOCUMENT REVIEW...........................................................242-2:1 Keyword Searching and Linear Review.......................242-2:2 Improving Keyword Searching....................................242-2:3 Computer Assisted Review..........................................252-3 DOCUMENT PRODUCTION................................................262-3:1 Metadata.....................................................................272-3:2 Metadata: Practice Notes............................................292-3:3 Native File Format......................................................302-3:4 Production Logs..........................................................322-3:5 Producing Documents as They Are Kept “In theUsual Course of Business”..........................................332-3:6 Producing Documents in Pennsylvania State Court.....342-4 THE DUTY TO COOPERATE................................................352-4:1 The Duty to Cooperate in Practice..............................372-4:2 Search Terms...............................................................382-4:3 Discovery of Legal Hold Memoranda.........................402-4:4 Discovery About Discovery.........................................412-4:5 The Duty of Competence............................................422-5 PROTECTIVE ORDER GOVERNINGCONFIDENTIAL MATERIALS.............................................432-5:1 Protective Orders: Practice Notes................................442-6 AUTHENTICATION OF ELECTRONIC DOCUMENTS.....482-6:1 Authenticating Text and Instant Messages...................492-6:2 Authenticating Special Document Types.....................51Chapter 3: Proportionality Ruth Uselton .......................533-1 OVERVIEW..............................................................................533-2 THE FEDERAL STANDARD................................................563-3 CONSIDERATIONS................................................................593-3:1 Cost.............................................................................593-3:2 Relevance.....................................................................633-4 ACCESSIBILITY OF DATA....................................................643-4:1 Burden to Prove Data Not Reasonably Accessible.......643-4:2 Types of Documents Not Reasonably Accessible.........653-4:2.1 Databases...................................................663-4:2.2 Backup Tapes.............................................683-4:2.3 Ephemeral Data..........................................693-4:2.4 Metadata....................................................703-4:2.5 Voicemails...................................................713-4:2.6 Wikis..........................................................723-5 PROPORTIONALITY IN PENNSYLVANIASTATE COURTS......................................................................72Chapter 4: Cost-Shifting Joseph J. Gribbin.......................754-1 OVERVIEW..............................................................................754-1:1 The Cost-Shifting Framework of the FederalRules of Civil Procedure and Zubulake........................754-1:2 Third Circuit District Court Applies theAdvisory Committee’s Note Factors toDetermine Whether eDiscovery Should beProduced at All............................................................794-1:3 Third Circuit District Courts Apply ZubulakeFactors for Cost-Shifting Between Parties....................824-2 COST-SHIFTING REQUIRES A FACT-INTENSIVEINQUIRY..................................................................................824-2:1 Courts Applying the Zubulake Factors UnderRule 26(b)....................................................................834-2:2 Zubulake Factors for Cost-Shifting UnderRule 45(d)(1) for Nonparty Production.......................864-3 COST-SHIFTING FOR PRE-CLASS-CERTIFICATIONDISCOVERY.............................................................................904-4 TAXATION OF COSTS...........................................................924-5 COST-SHIFTING FOR OTHER REASONS..........................964-6 COST-SHIFTING UNDER PENNSYLVANIARULES OF CIVIL PROCEDURE...........................................974-7 DISCOVERY PHASING..........................................................99Chapter 5: Social Media Trevor Salter .................................1035-1 OVERVIEW............................................................................1035-1:1 Duty to Preserve........................................................1045-1:2 Possession, Custody and Control...............................1045-1:3 Stored Communications Act......................................1045-1:4 Mechanics of Preservation.........................................1045-1:5 Authenticating Social Media......................................1055-2 DISCOVERY OF SOCIAL MEDIA.......................................1055-2:1 Emerging Use of the “Threshold Rule” inPennsylvania Courts..................................................1065-2:2 Privacy.......................................................................1085-2:3 Proportionality..........................................................1105-3 MECHANISMS FOR OBTAINING SOCIALMEDIA CONTENT...............................................................1105-3:1 Requesting Usernames and Passwords.......................1115-3:2 Subpoenaing Content From the Social MediaService Providers........................................................1125-3:3 Court Orders Compelling Consent to AccessSocial Media Accounts..............................................1135-3:4 Court Orders Compelling Responding Partyto Accept a Friend Request........................................1135-3:5 Use of Third Party to Collect Relevant SocialMedia Content..........................................................1145-4 ETHICAL CONSIDERATIONS...........................................1145-4:1 Communicating With Represented PartiesThrough Social Media...............................................1145-4:2 Communicating with Unrepresented Parties..............1155-4:3 Advising Clients on Posting/Removing Content........115Chapter 6: Non-Party Discovery Benjamin M. Schmidt ...................1176-1 NON-PARTY DISCOVERY: PENNSYLVANIAFEDERAL LAW....................................................................1176-1:1 Form and Contents of eDiscovery Subpoenas...........1176-1:2 Issuing Court.............................................................1196-1:3 Notice to Other Parties Before Service ofSubpoenas Seeking eDiscovery..................................1196-1:4 Serving Subpoenas.....................................................1206-1:4.1 Service in the United States......................1206-1:4.2 Service in a Foreign Country....................1206-1:5 Place of Compliance for Production Subpoenas........1216-1:6 Protecting a Person Subject to a SubpoenaSeeking eDiscovery....................................................1216-1:6.1 Avoiding Undue Burden or Expense;Sanctions..................................................1226-1:6.2 Command to Produce Materials orPermit Inspection......................................1226-1:6.3 Factors Applicable in Evaluating“Undue Burden” Objections.....................1236-1:6.4 Cost and Fee Shifting Under Rule 45........1256-1:6.5 “Significant” Expenses Under Rule 45......1276-1:6.6 Objections to AdministrativeSubpoenas................................................1306-1:6.7 Objections Based Upon FirstAmendment Rights...................................1306-1:6.8 Quashing or Modifying a Subpoena.........1316-1:7 Duties in Responding to a Subpoena SeekingeDiscovery.................................................................1336-1:7.1 Producing Documents or ESI...................1336-1:7.2 Claiming Privilege or Protection...............1346-1:8 Findings of Contempt...............................................1346-1:8.1 Range of Sanctions Available toEnforce Subpoenas...................................1356-1:8.2 Right to Immediate Appeal ofContempt Orders Pursuant to Rule 45......1376-1:9 Requests For Preservation of ESI PossessedBy Non-Parties..........................................................1376-2 NON-PARTY DISCOVERY: PENNSYLVANIASTATE LAW...........................................................................1386-2:1 The Importance of Notes and ExplanatoryComments in Construing the PennsylvaniaRules of Civil Procedure Addressing Non-Party eDiscovery........................................................1386-2:2 Explanatory Comments Concerning the FederalSystem of Discovery and ESI....................................1386-2:3 Rules Authorizing Service of Subpoenas toProduce......................................................................1396-2:4 Notice to Other Parties Before Service ofSubpoena to Produce.................................................1406-2:5 Service of Subpoenas.................................................1416-2:5.1 Certificate Prerequisite to Service ofSubpoena to Produce................................1416-2:5.2 Form of Subpoena to Produce..................1416-2:5.3 Form of Certificate of Compliance...........1446-2:5.4 Service of a Subpoena Upon PersonsWithin the Commonwealth.......................1456-2:5.5 Service of Subpoena Upon PersonsOutside the Commonwealth.....................1456-2:6 Rules Protecting a Person Subject to a Subpoenato Produce eDiscovery...............................................1476-2:6.1 Specification of Format for Productionof ESI and Objections..............................1476-2:6.2 Protections and Enforcement Provisionsof the General Discovery Rules Applyto Non-Party Discovery............................1486-2:6.3 Specificity Required..................................1486-2:6.4 Five-Factor Proportionality Standard......1486-2:6.5 Cost Sharing.............................................1496-2:6.6 Limitation of Scope of Discoveryof ESI.......................................................150Chapter 7: Civil Discovery and Computer Trespass Law ......................1517-1 OVERVIEW............................................................................1517-2 THE STORED COMMUNICATIONS ACT (SCA)..............1527-2:1 Overview of SCA.......................................................1527-2:2 Section 2701...............................................................1537-2:2.1 Meaning of “Facility”...............................1537-2:2.2 “Electronic Storage”.................................1547-2:2.3 Exemptions for Users and InternetService Providers.......................................1567-2:3 Section 2702...............................................................1577-2:3.1 Meaning of “Contents”............................1577-2:3.2 Covers Only “Public” Service Providers....1587-2:4 Damages Available Under the SCA...........................1597-2:5 Impact of SCA on Civil Discovery............................1607-2:5.1 Legal Control Over SCA-ProtectedAccounts...................................................1617-2:5.2 Consent and Employer ElectronicCommunications Policies..........................1627-3 PENNSYLVANIA COMPUTER TRESPASS LAWS............1677-3:1 Comparison to SCA..................................................1677-3:2 Invasion of Privacy....................................................1677-4 COMPUTER FRAUD & ABUSE ACT (CFAA)....................1697-4:1 Overview....................................................................1697-4:2 Application of CFAA in Discovery Process...............1697-4:3 Employee Excessive Use Claims................................1707-4:4 Damages Available Under CFAA..............................172Chapter 8: Discovery of Foreign Documents .......................................1758-1 OVERVIEW............................................................................1758-2 AEROSPATIALE, THE HAGUE CONVENTION,AND FOREIGN BLOCKING STATUTES..........................1768-2:1 Jurisdictional Discovery Under Aerospatiale.............1788-2:2 Foreign Data Privacy Laws........................................1798-2:3 Foreign Blocking Statutes..........................................1808-2:3.1 Personal Data...........................................1818-2:3.2 Is Data Processing Permissible?................1818-2:3.3 Procedures for Data Processing................1848-2:3.4 Onward Transfer.......................................1868-2:3.5 Local Filing Requirements........................1878-3 FLOWCHART FOR COMPLIANCE WITH DATAPRIVACY LAWS....................................................................187Chapter 9: Sanctions Meredith C. Swartz ........................1899-1 OVERVIEW............................................................................1899-2 SPOLIATION.........................................................................1899-2:1 Pennsylvania State Law.............................................1899-2:1.1 Sliding Scale.............................................1919-2:1.1a Willfulness/Spoliator’sDegree of Fault...........................1929-2:2 Third Circuit Case Law..............................................1949-2:2.1 Sliding Scale.............................................1949-2:2.1a Willfulness / Spoliator’sDegree of Fault...........................1969-2:2.1b Prejudice.....................................1989-2:2.1c Substantial Unfairness andDeterrence..................................2029-2:3 Proposed Federal Rule of CivilProcedure 37(e).........................................2039-3 FAILURE TO COOPERATE AND VIOLATIONOF COURT ORDERS............................................................2049-3:1 Pennsylvania State Law.............................................2049-3:1.1 Failure to Cooperate.................................2049-3:1.1a Failure to Provide SufficientAnswers to DepositionQuestions....................................2059-3:1.1b Failure to Respond toInterrogatories............................2059-3:1.2 Violation of Court Orders........................2069-3:1.2a Disproportionate SanctionsReversed.....................................2079-3:1.2b Proportionate SanctionsUpheld........................................2099-3:2 Federal Law Applicable in Pennsylvania....................2129-3:2.1 The Same Basic Standard GovernsFailure to Cooperate and Violation ofCourt Orders............................................2129-3:2.2 General Standard......................................2139-3:2.2a Exclusion of Evidence................2139-3:2.2b Dismissals with Prejudice andDefaults......................................2159-3:2.2b1 Extent of the Party’s PersonalResponsibility.........................2169-3:2.2b2 Prejudice to the Adversary......2169-3:2.2b3 History of Dilatoriness...........2179-3:2.2b4 Whether the Attorney’sConduct Was Willful or inBad Faith................................2189-3:2.2b5 Availability of AlternativeSanctions................................2209-3:2.2b6 Meritoriousness of the Claimor Defense..............................2219-4 OTHER DISCOVERY MISCONDUCT................................2229-4:1 Availability of Sanctions for Insufficient orNon-Existent Legal Hold...........................................2229-4:1.1 Pennsylvania State Law............................2229-4:1.2 Federal Law..............................................2249-4:1.2a Triggering the Duty toPreserve......................................2249-4:1.2b Obligations Once Duty toPreserve Attaches........................2269-4:1.2c Failure to Issue a Litigation Hold,or Issuance of an Insufficient LegalHold, Can be a Proper Basisfor Sanctions...............................2269-4:2 Sanctions Against Third Parties for Failure toComply with a Subpoena or Preserve DocumentsPursuant to a Court-Issued Preservation Order.........2319-4:2.1 Pennsylvania State Law............................2319-4:2.2 Federal Law..............................................2319-4:2.2a Contempt Authority – Fed. R.Civ. P. 45(g).................................2319-4:2.2b Duty to Identify and PreserveResponsive Documents andOther Information......................2329-4:2.2c Form for Producing ElectronicallyStored Information (ESI)............2339-4:3 Document Dumps.....................................................2339-4:3.1 Pennsylvania State Law............................2339-4:3.2 Federal Law..............................................2349-4:3.2a General Principles.......................2349-4:3.2b Appropriate Sanctions................2359-4:3.2c White Collar Defense –Prosecution’s Satisfaction ofBrady Obligations.......................2369-4:4 Failure to Produce Documents in the Form inWhich They are Maintained or in a ReasonableUseable Form............................................................2379-4:4.1 Pennsylvania State Law............................2379-4:4.2 Federal Law..............................................2379-4:4.2a Production of Documents asMaintained in the OrdinaryCourse of Business.....................2389-4:4.2b Production of Documents ina Reasonably Usable Format......240Chapter 10: eDiscovery in Criminal CasesJonathan S. Satinsky ..........................................................................24310-1 OVERVIEW............................................................................24310-2 INTERPLAY WITH CIVIL RULES......................................24410-2:1 Brady Considerations.................................................24510-3 REAL-TIME CELL PHONE AND GPSINFORMATION....................................................................24510-3:1 Search of Cell Phone Data Following Arrest.............24510-3:2 Real-Time Location Information...............................24610-4 COMPUTER HARD DRIVES..............................................24710-4:1 Time and Location of Review....................................24710-4:2 Search Breadth..........................................................24810-4:3 Third Party Access.....................................................24810-4:4 Encrypted Data.........................................................24910-4:5 Reasonable Suspicion Search for Parolees..................24910-5 INFORMATION HELD BY THIRD PARTYSERVICE PROVIDERS..........................................................24910-5:1 Fourth Amendment Protection..................................25010-5:2 SCA Protection..........................................................25010-5:2.1 Section 2701..............................................25110-5:2.2 Section 2702..............................................25110-5:2.3 Section 2703..............................................25210-5:3 Contents of Wire and Electronic Communications....25210-5:4 Government Burden..................................................25310-6 WIRETAP ACT......................................................................25310-6:1 Section 2511...............................................................25410-6:2 Sections 2516–2518....................................................25410-6:3 Exceptions.................................................................25410-6:3.1 Section 2511(2)(g)(i).................................25410-6:3.2 Section 2511(2)(a)(i).................................25510-6:3.3 Section 2511(2)(c).....................................25510-7 PENNSYLVANIA WIRETAP ACT.......................................25610-7:1 Strict Construction....................................................25610-7:2 Active Participation...................................................25610-7:3 Consensual Wiretapping............................................25710-7:4 Preemption................................................................257Chapter 11: Compendium of Procedures and Forms inPennsylvania Courts ........................................................................25911-1 LOCAL COURT RULES ADDRESSINGEDISCOVERY IN PENNSYLVANIA....................................25911-2 FEDERAL DISTRICT COURT LOCAL RULESRELATING TO E-DISCOVERY...........................................26111-2:1 U.S. District Court for the Middle District ofPennsylvania..............................................................26111-2:2 U.S. District Court for the Western District ofPennsylvania..............................................................26311-3 FEDERAL JUDGES’ STANDING RULESRELATING TO EDISCOVERY............................................26411-4 DISTRICT OF DELAWARE RULES FOREDISCOVERY........................................................................28411-5 DISTRICT OF NEW JERSEY LOCAL RULESADDRESSING DIGITAL DISCOVERY..............................29011-5:1 District of New Jersey Local Rule 26.1(D)................29011-5:2 District of New Jersey Standard ConfidentialityOrder.........................................................................292Table of Cases..301Index..317
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Philip N. Yannella is the Practice Leader of Ballard Spahr’s eDiscovery and Data Management Group and a member of the firm’s Data Privacy and Security Group. He manages eDiscovery issues in high-profile litigation, counseling clients and attorneys worldwide on data preservation, retrieval, and privacy matters. He has significant experience representing Fortune 500 companies on eDiscovery and data management issues in bet-the-company litigation, particularly in the pharmaceutical and health care industries.

Mr. Yannella has served as the principal member of national discovery teams in large-scale litigation and has experience advising on cross-border data collection matters. He is highly experienced in discovery coordination and management, overall discovery strategy and litigation readiness, records management, ethical rules relating to eDiscovery and data management, the Stored Communications Act, Computer Fraud and Abuse Act, U.S. Safe Harbor regulations, and international data privacy law. He regularly writes and lectures on a wide array of eDiscovery, privacy and security issues. 

Mr. Yannella is also a member of the firm's Product Liability Groups. He has more than 15 years’ experience representing a wide range of manufacturers – including numerous pharmaceutical and medical device companies – in products liability, catastrophic injury and consumer fraud litigation, from case filing through trial. Mr. Yannella has served in a national coordinating role in mass tort litigation relating to a COX-2 inhibitor, weight loss medication, diabetes medication, a statin,  tobacco products, anti-anemia medication, antipsychotic medication, and latex gloves. He has also represented manufacturers, refineries and other institutions in litigation involving motor oil, forklifts, popcorn products, asbestos products,  herbicides, refining operations, and plant explosions.

Mr. Yannella is a member of Sedona Conference Institute (International Data Privacy, eDiscovery, and Cross-Border Data Transfer Issues Working Groups), the American Records Management Association, and the Defense Research Institute.  He is a graduate of Temple University (Phi Beta Kappa, summa cum laude) and Temple Law School, where he served on moot court and as a member of the Temple Political and Civil Rights Law Review. He is a former adjunct professor for Temple University, where he taught a course on Constitutional Law.
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