Court filing
Stipulation and Order Regarding Discovery of Electronically Stored Information — Marshall v. Prestamos CDFI, LLC (Dkt. 80, E.D. Pa. No. 5:21-cv-04337)
Filed July 21, 2023 in Marshall v. Prestamos CDFI, LLC; one of 344 filings from this case.
Record facts
| Court | U.S. District Court for the Eastern District of Pennsylvania |
|---|---|
| Filed | 2023-07-21 |
U.S. District Court for the Eastern District of Pennsylvania · No. 5:21-cv-04337-JMG · Doc. 80 · 2023-07-21 · Docket on CourtListener
Full text
DMFIRM #408420534 v2
IN THE UNITED STATES DISTRICT COURT
FOR THE EASTERN DISTRICT OF PENNSYLVANIA
ALICIA MARSHALL, et al.,
Plaintiffs,
v.
PRESTAMOS CDFI, LLC and CHICANOS
POR LA CAUSA, INC.,
Defendants.
Case No. 5:21-cv-04337-JMG
STIPULATION AND ORDER REGARDING DISCOVERY OF
ELECTRONICALLY STORED INFORMATION
Plaintiffs and Defendants Prestamos CDFI, LLC and Chicanos Por La Causa, Inc. have
indicated that they believe that relevant information may exist or be stored in electronic format,
and that this content is potentially responsive to current or anticipated discovery requests of the
parties. This Stipulation and [Proposed] Order (and any subsequent ones) shall be the governing
document(s) by which the parties and the Court manage the electronic discovery process in this
action. The parties and the Court recognize that this Stipulation and [Proposed] Order is based on
facts and circumstances as they are currently known to each party, that the electronic discovery
process is iterative, and that additions and modifications to this Stipulation may become necessary
as more information becomes known to the parties.
1.
Production of ESI
a.
TIFFs. Documents not produced in native format should be produced in the
form of single-page, Group IV TIFFs at 300 dpi. Each TIFF image should be named
as its corresponding Bates number. Absent special circumstances or undue burden,
Case 5:21-cv-04337-JMG Document 80 Filed 07/21/23 Page 1 of 14
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original document orientation should be maintained (i.e., portrait to portrait and
landscape to landscape). Document shall be processed and produced, to the extent
practicable, in a manner that preserves hidden columns or rows, hidden text,
worksheets, speaker notes, tracked changes, and comments. Bates numbers,
confidentiality designations, and redactions should be incorporated into the TIFF
image files. TIFF image files should be provided in a self-identified “Images”
folder.
b.
System Files. Common system and program files as defined by the NIST
library (which is commonly used by discovery vendors to exclude system and
program files from document review and production) need not be processed,
reviewed or produced. NIST files should be removed before production.
c.
Metadata Fields and Processing. Absent special circumstances, each of
the metadata and coding fields set forth below that can be extracted from a
document shall be produced for that document, to the extent already in existence.
To the extent that metadata does not exist, nothing in this document shall require
any party to extract, capture, collect or produce such data. The parties are not
obligated to populate manually any of the fields if such fields cannot be extracted
automatically from a document using standard processing software, with the
exception of the following fields: (1) BegBates, (2) EndBates, (3) BegAttach, (4)
EndAttach, (5) Confidentiality Designation (“Confidential” or “Highly
Confidential” under the Parties’ Stipulated Protective Order), (6) NativeLink (if
applicable), and (7) TextLink, which may be populated by the party or the party’s
Case 5:21-cv-04337-JMG Document 80 Filed 07/21/23 Page 2 of 14
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vendor. Any metadata fields for redacted documents that would reveal privileged
information shall be excluded.
Custodian
Individual from whom the produced
document was collected
All Custodians
Individuals who had exact copies of the
email message or document (Required if
population was globally deduplicated)
BegBates
Beginning document number
EndBates
Ending document number
BegAttach
Beginning document number of family
unit
EndAttach
Ending document number of family unit
Page Count
Total number of pages in the document
Attachment Count
Number of attachments
Author
Author field extracted from the
metadata of the native file
Recipient
Persons who received the document if
there is applicable metadata
FROM
Sender of the email message
TO
Recipient(s) of the email message
CC
Recipient(s) of “carbon copies” of the
email message
BCC
Recipient(s) of “blind carbon copies” of
the email message
Subject
Subject field extracted from the
metadata of the native file
Date Sent
Date the email message was sent
Time Sent
Time the email message was sent
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DateLastModified
Date document was last edited
TimeLastModified
Time document last edited
Source File Extension
File extension of document (.msg, .doc,
.xls, etc.)
File Name
Name of original file
File Size
File size in kilobytes (MB, KB, GB)
Title
Any value populated in the “Title” field
of the document properties
Redaction
Redaction status of a document
Hash Value
MD5 Hash Value, unique document
identifier
NativeLink
Link to Native File
TextLink
Link to Text File
Creation Date and Time
Date and Time created for non-email
document
DateRcvd
Date document was received
TimeRcvd
Time document was received
FilePath
Directory location of document
All date fields should be in the MM/DD/YYYY format and all time fields should
be in HH:MM:SS.
d.
Non-Discoverable ESI. Consistent with the proportionality standard in
FRCP 26(b)(1), and absent a Party’s specific written notice for good cause, the
following categories of ESI are presumed to be inaccessible and not discoverable:
i.
Deleted, “slack,” fragmented, or unallocated data only accessible by
forensics;
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ii.
Random access memory (RAM), temporary files, or other
ephemeral data that are difficult to preserve without disabling the operating
system;
iii.
Electronic data (e.g., call logs, email, calendars, contact data, notes,
etc.) sent to or from mobile devices (e.g., iPhone, iPad and Android,
devices);
iv.
Voicemail, including Telephone or VOIP voice messages;
v.
Text messages and instant messages;
vi.
De-NISTing - Software files included on the National Institute of
Standards and Technology (NIST) Modern RDS (minimal) list obtained
from
https://www.nist.gov/itl/ssd/software-quality-group/nsrl-
download/current-rds-hash-sets;
vii.
Structural files not material to individual file contents (e.g. .CSS,
.XSL, .XML, .DTD, etc.);
viii.
Operating System files that do not store user-created content (e.g.
CAT, DLL, DMP, EXE, FON, PNF, OPS, SYS, etc.); and
ix.
Application source code, configuration, and other similar files
necessary for the function of an application that do not store user-created
content during ordinary use (e.g. BAK, BIN, CFG, DBF, DAT, JS, JSON,
JAR, LUA, MSB, RES, WINNT, YTR, etc.).
e.
Extracted Text Files. For each document, an extracted text file should be
provided along with its corresponding TIFF image file(s) and metadata. The file
name of each extracted text file should be identical to that of the first image page
Case 5:21-cv-04337-JMG Document 80 Filed 07/21/23 Page 5 of 14
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of its corresponding document, followed by .txt. File names should not contain any
special characters, confidentiality designations or embedded spaces. The text of
native files should be extracted directly from the native file. However, if a
document has been redacted, OCR of the redacted document will suffice in lieu of
extracted text. Also, if extracted text is not available in the native file, the
documents should be processed by an OCR tool prior to production to extract
available text so that the record is searchable. Text files should be produced in a
self-identified “Text” director.
f.
Database Load Files/Cross-Reference Files. Production format will be in
Relativity format and should include a delimited file (preferably .DAT) containing
document and meta data fields, an Opticon load file for images, Group IV, 300 dpi
B&W (or for color, compressed JPGs) single page image files, document-level text
files, and native files for electronically stored information (ESI). Delimiters should
be standard Concordance delimiters.
g.
Native Files. Absent special circumstances, non-redacted Excel files, .CSV
files and other similar spreadsheet files, photos and digital photos, word processing
documents, media files, presentation files, and non-document file types (such as
.wav, .mp3, .aiff, .avi, .mov, ,mp4) shall be produced in native format (“Native
Files”). Native Files should be provided in a self-identified “Natives” directory.
Each Native File should be produced with a corresponding single-page TIFF
placeholder image, which will contain language indicating that the document is
being produced as a Native File. For Native Files that require redactions, the Parties
may apply the redactions directly on the native file itself. Native Files should be
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named with the beginning Bates number that is assigned to that specific record in
the production. A “NativeLink” entry for each spreadsheet should be included in
the .DAT load file indicating the relative file path to each native file in the
production. Native Files should be produced with extracted text and applicable
metadata fields as set forth in part c. above. If a Native File is used at a deposition
or hearing in this Action, or attached to a motion or other filing, it shall be
accompanied by its production number-stamped placeholder TIFF image in order
to facilitate tracking and authentication thereof.
h.
Requests for Other Native Files. Other than as specifically set forth herein,
a producing party need not produce documents in native format. If good cause
exists for the receiving party to request production of certain documents in native
format, the receiving party may request production in native format by providing
in writing: (1) a list of the Bates numbers of documents it requests to be produced
in native format; and (2) an explanation of the need for reviewing such documents
in native format. The producing party shall not unreasonably deny such requests.
Each document produced in response to such requests shall be produced with a
“NativeLink” entry in the .DAT load file indicating the relative file path to each
Native File in the production volume, and all extracted text and applicable metadata
fields set forth in part c. above.
i.
Structured Data. If a discovery request requires production of relevant and
responsive ESI contained in a database, the parties will meet and confer on the
production of the materials into a reasonably usable and exportable format (for
example, in Excel or CSV format).
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j.
Color. Documents containing color need not be produced in color in the
first instance. However, if good cause exists for the receiving party to request
production of certain documents in color, the receiving party may request
production of such documents in color by providing in writing a list of the Bates
numbers of documents it requests to be produced in color format. The producing
party shall not unreasonably deny such requests, unless such requests are
unreasonably costly.
j.
Parent-Child Relationships. Parent-child relationships (the association
between e-mails and attachments) will be preserved to the extent possible and as it
existed in the ordinary course of business. E-mail attachments will be consecutively
produced with the parent e-mail record. For example, if a party produces an e-mail
with its attachments, such attachments should be produced behind the e-mail in the
order in which they were attached. If a responsive, non-privileged email or
document has a privileged attachment, the producing party may replace the
attachment with a Bates numbered slip sheet indicating that the attachment was
withheld on privilege grounds or may redact the privileged material. Documents
shall not be withheld or redacted for non-responsiveness if the document or its
family contains responsive information.
k.
Audio and Video Files. Audio and video files, to the extent their contents
can be determined to be responsive, will be produced in native form, or in a
reasonably usable form if native software is not practicable, as may be agreed upon
by the Parties, along with a slip-sheet TIFF placeholder image to the extent the file
gets produced in native form.
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l.
Time Zone. ESI should be processed and produced using Coordinated
Universal Time (UTC).
2.
Production of Hard Copy Documents
a.
Creation and production of electronic copy. A party may produce a hard
copy document by scanning it to create an electronic copy and producing such
electronic copy in accordance with the requirements of Sections 1.a and 1.d. Absent
special circumstances, such documents should be produced with at least the
following searchable information in accompanying delimited data files:
(1) BegBates, (2) EndBates, (3) Confidentiality Designation (under the Parties’
Protective Order), and (4) TextLink. The receiving party should treat such
document in accordance with Section 1.l.
b.
Grouped Hard Copy Documents. If a folder with hard copy documents—
such as a folder, clipped bundle, or binder—is produced, the label of that folder
should be scanned and produced as a first document along with the unitized,
responsive electronic copies of documents in the folder.
c.
Unitization of Documents. In general, scanned, hard copy documents
should be logically unitized.
d.
Parent-Child Relationships. Parent-child relationships (the association
between folders, clipped bundles, or binders and the individual documents collected
therein) will be preserved to the extent possible and as it existed in the ordinary
course of business. Where a hard copy document, or a group of hard copy
documents, such as in a folder, clipped bundle, or binder, has an identification spine
or other label, the information on the label shall be scanned and produced as a first
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document in a unitized grouping of the documents. Documents contained within a
folder, clipped bundle, or binder will be consecutively produced with the parent
label in the order in which they were included in the grouping. If a responsive, non-
privileged document has a privileged attachment, a party may replace the
attachment with a Bates numbered slip sheet indicating that the attachment was
withheld on privilege grounds or may redact the privileged material. Documents
shall not be withheld or redacted for non-responsiveness if the document or its
family contains responsive information.
3.
Bates Numbering
Each TIFF image should be assigned a Bates number that: (1) is unique across the entire
document production; (2) maintains a constant length across the entire production (i.e., padded to
the same number of characters); (3) contains no special characters or embedded spaces; and (4) is
sequential within a given document. If a Bates number or set of Bates numbers is skipped in a
production, the producing party will so note in a cover letter or production log accompanying the
production.
4.
Confidentiality Designations.
If a receiving party reduces to hard copy form any Native Files or other ESI designated as
Confidential, it shall mark the hard copy with the appropriate confidentiality designation. All other
confidentiality designations shall be made by the producing party.
5.
De-Duplication
A party is required only to produce a single copy of a responsive document, and a
producing party may, but is not required to, de-duplicate responsive ESI across custodians by the
use of MD5 or SHA-1 hash values at the document family level. However hard-copy documents
Case 5:21-cv-04337-JMG Document 80 Filed 07/21/23 Page 10 of 14
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shall not be eliminated as duplicates of responsive ESI. To the extent deduplication occurs, it
must be performed in a manner consistent with standard practices in the industry.
6.
Shipment/Encryption
Electronic data productions may be shipped on thumb drives or hard drives or transferred
through a secure file sharing program, such as a File Transfer Protocol (“FTP”). The physical
media label should contain the case name and number, confidentiality designation, production
date, and Bates range being produced, or such information shall otherwise be provided in
connection with the secure file transfer.
To maximize the security of information in transit, any media on which documents are
produced must be encrypted by the producing Party. In such cases, the producing party shall
transmit the encryption key or password to the requesting Party, under separate cover,
contemporaneously with sending the encrypted media. The encryption program used for
production media should be one that is readily available and would not create delays accessing the
encrypted data.
7.
Password Protected Files.
The parties will make reasonable efforts to remove passwords or other security protection
from ESI documents prior to production.
8.
Processing of Third-Party Documents
A party that issues a non-party subpoena (“Issuing Party”) shall include a copy of this
Stipulation with the subpoena and state that the parties to the litigation have requested that third-
parties produce documents in accordance with the specifications set forth herein. The Issuing Party
shall promptly produce any documents obtained pursuant to a non-party subpoena to the opposing
party in the formats which were provided by the third party. The Issuing Party is under no
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obligation to incur any additional cost to reformat any document obtained from a third party prior
to production.
9.
Objections Preserved
Nothing in this ESI Order shall be interpreted to require disclosure of irrelevant information
(except as otherwise expressly provided herein) or relevant information protected by the attorney-
client privilege, work-product doctrine, or any other applicable privilege or immunity. The parties
do not waive any objections as to the production, discoverability, admissibility, or confidentiality
of documents and/or ESI.
10.
Miscellaneous Provisions
Except as to the formatting for production agreed to herein, all documents (electronic or
otherwise) shall be produced as kept and maintained by the producing party in the ordinary course
of business. All productions are subject to the Protective Order entered by the Court in this Action.
The parties shall make good faith efforts to comply with and resolve any differences
concerning compliance with these specifications. No party may seek relief from the Court
concerning compliance with these specifications unless it has conferred with other affected parties.
Nothing in these specifications shall preclude the parties from meeting and conferring
regarding applicable search terms, date ranges, custodians, and other parameters or methods used
to cull data for review and production. Nothing in these specifications shall preclude the parties
from meeting and conferring on the use of technological solutions to assist in the review of
documents, such as intelligent review or predictive coding.
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Dated: July 21, 2023
SO ORDERED:
/s/ John M. Gallagher____________
JOHN M. GALLAGHER
United States District Court Judge
Case 5:21-cv-04337-JMG Document 80 Filed 07/21/23 Page 13 of 14
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The parties to this Action hereby stipulate to the entry of this Order.
Respectfully submitted,
BALLARD SPAHR LLP
/s/ Timothy D. Katsiff________
Marcel S. Pratt (Pa. ID 307483)
Timothy D. Katsiff (Pa. ID 75490)
Thomas J. Gallagher IV (Pa. ID316269)
Alexa L. Levy (Pa. ID 327973)
BALLARD SPAHR LLP
1735 Market Street, 51st Floor
Philadelphia, PA 19103
T: 215-665-8500
F: 215-864-8999
PrattM@ballardspahr.com
KatsiffT@ballardspahr.com
GallagherT@ballardspahr.com
LevyA@BallardSpahr.com
HERRERA ARELLANO LLP
Roy Herrera*
Daniel A. Arellano*
Jillian L. Andrews*
Austin T. Marshall*
1001 North Central Avenue, Suite 404
Phoenix, AZ 85004
T: 602-567-4820
Roy@ha-firm.com
Daniel@ha-firm.com
Jillian@ha-firm.com
Austin@ha-firm.com
*admitted pro hac vice
Counsel for Defendants Prestamos CDFI,
LLC and Chicanos Por La Causa, Inc.
BAILEY & GLASSER LLP
/s/ Lawrence J. Lederer
Lawrence J. Lederer (Pa. ID 50445)
Bart D. Cohen (Pa. ID 57606)
1622 Locust Street
Philadelphia, PA 19103
T: 215-274-9420
F: 202-463-2103
llederer@baileyglasser.com
bcohen@baileyglasser.com
Michael L. Murphy*
1055 Thomas Jefferson Street NW, Suite 540
Washington, DC 20007
T: 202-463-2101
F: 202-463-2103
mmurphy@baileyglasser.com
NOLAN HELLER KAUFFMAN LLP
Justin A. Heller*
Matthew M. Zapala*
80 State Street, 11th Floor
Albany, NY 12S207
T: 518-449-3300
F : 518-432-3123
jheller@nhkllp.com
mzapala@nhkllp.com
*admitted pro hac vice
Counsel for Plaintiffs and the Proposed Class
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