Stipulated Order Regarding ESI Protocol and Format of Productions (Federal Securities Actions) — In re January 2021 Short Squeeze Trading Litigation (Dkt. 441, S.D. Fla.)

Summary

A Stipulated Order Regarding ESI Protocol and Format of Productions in In re: January 2021 Short Squeeze Trading Litigation, Case 1:21-md-02989-CMA (Case No. 21-2989-MDL-ALTONAGA/Torres), in the Southern District of Florida, entered November 23, 2021 as Document 441 (37 pages), relating to the Federal Securities Actions. Under the Court's October 25, 2021 Order [ECF No. 431], Plaintiffs and Defendants stipulate to procedures for producing electronically stored information and hard copy documents, with unresolved disputes submitted to the Court under Local Rule 26.1(g) within 30 days and production subject to the concurrently filed Stipulated Protective Order and Rule 502(d) order. The protocol defines documents and ESI under Federal Rules of Civil Procedure 26 and 34(a) and sets production formats, metadata fields and load file specifications.

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Date: 2021-10-25

Cite this document

“Stipulated Order Regarding ESI Protocol and Format of Productions (Federal Securities Actions) (Dkt. 441).” Original at archive.org, dated 2021-10-25. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/2021-10-25-covid-era-misc/, SHA-256 e53037ef42592ea96907b4963bccb6f9fae5c79e8895c6d26867ea46449614de.

Full text

Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 1 of 37

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA

CASE NO. 21-2989-MDL-ALTONAGA/Torres

IN RE:

JANUARY 2021 SHORT SQUEEZE
TRADING LITIGATION
/

This Document Relates to the Federal Securities Actions

STIPULATED ORDER REGARDING
ESI PROTOCOL AND FORMAT OF PRODUCTIONS

Pursuant to the Court’s October 25, 2021 Order [ECF No. 431] and to expedite the flow of

discovery material and facilitate the consistency in the format of the documents to be produced by

the Parties in this case, Plaintiffs and Defendants (collectively “Parties”), by and through their

respective counsel, consistent with the Southern District of Florida’s Checklist for Rule 26(f)

Conference Regarding Electronically Stored Information (“ESI”), hereby stipulate and agree to the

terms of this Stipulated Order Regarding ESI Protocol and Format of Productions (the “ESI

Protocol” or “Protocol”).

I. SCOPE

A. General. The procedures and protocols set forth in this ESI Protocol shall govern

the production of relevant electronically stored information (“ESI”) and hard copy documents in

this matter, unless the Parties agree in writing to a change or they are changed by the Court.

Nothing in this ESI Protocol shall be interpreted to require production of relevant information

protected by the attorney-client privilege, work-product doctrine, or any other applicable privilege,

protection, or immunity. The Parties do not waive any objections to the production,

discoverability, admissibility, or confidentiality of documents.
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B. Cooperation. The Parties will cooperate on issues relating to discovery of ESI and

other documents. The Parties recognize that collaborative conduct in the course of discovery

reduces litigation costs and delay. The Parties will engage in informal discussions about the

discovery of ESI throughout the litigation as necessary. Counsel will be knowledgeable about their

respective clients’ information technology infrastructure, including the manner in which

potentially relevant data is stored and retrieved. The Parties are encouraged to bring technically-

adept personnel together to resolve e-discovery issues.

C. Liaison. The Parties (Plaintiffs, collectively; and Defendants individually) will

each identify an e-discovery liaison, who will be knowledgeable about and responsible for each

party’s ESI.

D. Disputes. The Parties shall meet and confer in good faith on any dispute regarding

ESI. No Party may seek relief from the Court concerning compliance with the ESI Protocol unless

it has conferred in good faith with the affected Parties to resolve any dispute regarding the

interpretation or application of any provision of this Protocol or any proposed deviation from the

provisions of this Protocol. Any dispute(s) left unresolved after good faith meet and confer efforts

may be submitted to the Court for resolution in accordance with Local Rule 26.1(g), provided,

however, that such dispute may be submitted within 30 days after the parties’ efforts to resolve the

dispute through meet and confer have concluded.

E. Confidentiality Order. All productions are subject to the concurrently filed

Stipulated Protective Order (“Protective Order”) and Stipulated Order Regarding Rule 502(d) and

Privileged Materials (“Privileged Materials Order”) entered by the Court in this matter. For the

avoidance of doubt, nothing herein shall contradict the Parties’ rights and obligations with respect

to any information designated as Confidential or Highly Confidential – Attorneys Eyes Only

pursuant to the Protective Order.
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II. DEFINITIONS

A. “Documents” shall have the same definition as set forth in the Federal Rule of

Civil Procedure 34(a).

B. “Electronically stored information” or “ESI” as used herein has the same

meaning as in the Federal Rules of Civil Procedure and other applicable law, including Rules 26

and 34(a) of the Federal Rules of Civil Procedure. Examples of ESI include the below. For the

avoidance of doubt, nothing in this Paragraph constitutes an agreement that any particular source

of ESI exists, is responsive, or will in fact be produced.

1. Digital Communications (e.g., e-mail, voice mail, Text Messages, and

Instant Messages, as defined herein);

2. E-mail server stores (e.g., Microsoft Exchange .edb);

3. Word-processed documents (e.g., Word files and drafts thereof);

4. Spreadsheets and tables (e.g., Excel worksheets);

5. Accounting application data (e.g. Quickbooks);

6. Image and facsimile files (e.g., .PDF, .TIFF, .JPG, .GIF);

7. Sound recordings (e.g., .WAV and .MP3);

8. Video and animation (e.g., .AVI and .MOV);

9. Databases (e.g., Access, Oracle, SAP, SQL data);

10. Contact and relationship management data (e.g. Outlook contacts);

11. Calendar and diary application data (e.g., Outlook calendar entries, blog

entries);

12. Presentations (e.g., PowerPoint);

13. Network access and server activity logs;

14. Project management application data;
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15. Computer aided design/drawing files; and

16. Cloud-based or other virtualized ESI, including applications, infrastructure,

and data.

C. “Extracted Text” means the text extracted from ESI, and includes all headers,

footers, tracked changes markups, and document body information when reasonably available.

D. “Hard Copy Document” means a document collected from physical files and not

from electronic sources.

E. “Hit Report” means a report with the number of documents identified (i.e., “hit”)

by each keyword search term or Boolean search string.

F. “Instant Messages” means real-time communications, including but not limited to

ephemeral communications, sent via chat application, platform, or client, or any similar standard,

including but not limited to Bloomberg Chat, Slack, Google Talk, Google Chat, Google Hangouts,

Apple iMessage, WhatsApp, WeChat, QQ, Viber, Facebook Messenger, Microsoft Teams, Skype,

Zoom, Discord, Snapchat, Signal, Line, Telegram, AOL Instant Messenger, Huawei Cloud,

Blackberry Messenger, ICQ, Pidgin, Audium, Trillian, or any proprietary Instant Messaging

system.

G. “Load/Unitization file” means an electronic file containing information

identifying a set of paper-scanned images or processed ESI and indicating where individual pages

or files belong together as documents, including attachments, and where each document begins

and ends. A Load/Unitization file will also contain data relevant to the individual Documents,

including extracted and user-created Metadata.

H. “Media” means an object or device, including but not limited to a disc, tape,

computer, or other device on which data is or was stored.

I. “Metadata” means and refers to application and system information of a file that
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 5 of 37

contains data about the file, as opposed to describing the contents of a file, as the term is described

and used in “The Sedona Conference Glossary: E-Discovery and Digital Information

Management,” Fifth Ed., February 2020.

J. “Parties” means or refers collectively to the named Plaintiffs and Defendants in

the above-captioned matter, as well as any later added plaintiffs and defendants. “Party” shall

refer to a named Plaintiff or Defendant, individually.

K. “Producing Party” means or refers to a Party in the above-captioned matter from

which production of ESI or Hard Copy Documents are sought.

L. “Native,” “Native Format,” or “Native Data Format” means and refers to an

electronic document’s associated file structure as defined by the original creating application. For

example, the native format of an Excel workbook is a .xls or .xlsx file.

M. “NIST Library” means the list of over 26 million known, traceable software

application files (i.e., the NIST List or the National Software Reference Library (NSRL))

maintained by the federal technology agency known as the National Institute of Standards and

Technology (NIST). See https://nvd.nist.gov/ncp/repository.

N. “OCR text” means text generated through the optical character recognition process

of a Document.

O. “Requesting Party” means or refers to a Party in the above-captioned matter

seeking production of ESI or Hard Copy Documents.

P. “Search Terms” means a search methodology using keywords, terms, or phrases

including Boolean-search strings.

Q. “Static Image(s)” means a representation of ESI produced by converting a Native

file into a standard image format capable of being viewed and printed on standard computer

systems. A Tagged Image File Format, or “TIFF,” image is an example of a Static Image. Tagged

Image File Format or “TIFF” refers to the CCITT Group IV graphic file format for storing bit-
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mapped images of ESI or paper documents.

R. “TAR” means Technology Assisted Review using computer algorithms or

programs to identify and tag potentially responsive documents based on keywords and other

Metadata.

S. “Text Messages” means electronic messages that are sent among users with mobile

devices. Text Messages shall include Short Messaging Service (SMS) and Multimedia Messaging

Service (MMS), as the terms are described and used in “The Sedona Conference Glossary: E-

Discovery and Digital Information Management,” Fifth Ed., February 2020.

III. RULE 26(a) ESI DISCLOSURES

(1) With the exception of the following change to Section II therein, the Parties agree to

be bound by the “Joint Addendum to Stipulated Order Regarding ESI Protocol and

Format of Productions” (Dk. 382), The text of Footnote 1 is replaced with the

following text: “Unless the Court orders otherwise, for the sake of this Addendum, the

commencement of discovery is understood to occur at the time defendants in the

Federal Securities Actions have filed answers to the operative complaint.”

IV. SEARCH PROCEDURES FOR DOCUMENTS AND ESI

A. In General. Prior to conducting a search for responsive Documents and ESI,

regardless of the search methodologies to be employed, the Requesting Party and Producing Party

shall meet and confer regarding search methodologies (described below) that the Producing Party

proposes to employ to identify responsive materials.

B. Preparation for Meet and Confer. The Parties agree that negotiations regarding

search methodology(ies) and custodians are intended to be a cooperative and interactive process,

involving a good faith exchange of information and proposals to facilitate production of the

Documents requested by the Requesting Party (subject to privilege assertions). At the initial meet

and confer, the Parties shall be prepared to discuss the proposed methodology for searching and
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 7 of 37

retrieving Documents, as described below:

1. Search Methodology for ESI. The proposed method of searching ESI,

including any Search Terms and/or Boolean search strings, date ranges and phrases to be searched,

custodians, and any additional parameters to be applied for ESI.

2. Go-Gets. Whether certain categories of documents or requests for

production are amenable to retrieval without utilizing Search Terms, i.e., using a “go-get”

approach.

3. Search Methodology for Hard Copy Documents. The proposed

methodology for searching Hard Copy Documents.

C. TAR/Advanced Analytics.

1. If a Party proposes the use of TAR, it shall meet and confer with the other

Parties to negotiate a stipulation governing TAR methodologies and process if the Parties deem it

necessary.

2. Any disputes regarding TAR will not be submitted to the Court, Magistrate

Judge, or appointed Special Master before the Parties have met and conferred in good faith.

D. Responsive ESI Discovered Outside of Search Methodology. Notwithstanding

any of the foregoing, if any Party identifies ESI or Documents that are responsive and subject to

discovery in this matter outside of the search methodology(ies) agreed to by the Parties, it shall

produce all such Documents to the extent they are not privileged.

E. Procedure for Search Terms. The Parties shall abide by the following schedule,

for Search Terms which may be modified upon written agreement of the Parties:

1. Should the Parties agree to using Search Terms, the Requesting Party shall

propose Search Terms in the first instance.

2. Within fourteen (14) calendar days of receipt of the proposed Search Terms
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from the Requesting Party, the Producing Party and Requesting Party shall meet and confer to

attempt to reach agreement on the Search Terms and/or limiters to be used to identify responsive

Documents. In connection with such meet and confers, the Parties shall discuss in good faith, inter

alia, at least the following topics: the justification for inclusion or exclusion of particular search

terms, reasonable information concerning the number of documents identified by search terms

(i.e., Hit Reports), and the search syntax used in developing and applying terms.

3. Should a Party apply search terms to identify responsive Documents, those

search terms will be applied in a reasonable manner consistent with industry-standard practices,

including the following metadata fields: FROM, TO, CC, BCC, SUBJECT, TITLE, and

FILENAME.

F. Production and Supplementation of Searches for ESI. Production of responsive,

non-privileged documents shall proceed on a rolling basis and be completed within thetime period

specified by order of the Court.

G. Activities undertaken in compliance with the duty to preserve information are

protected from discovery under Fed. R. Civ. P. 26(b)(3)(A) and (B), except for good cause shown.

V. FORMAT OF PRODUCTION

A. Hard Copy Document Production Format. The following provisions shall

generally govern the production format and procedure for Hard Copy Documents and images.

1. All documents originating in hardcopy format may be produced as black-

and-white, single-page, 300 dpi Group IV tagged image file format (“TIFF”) images, with OCR

text and related path provided in document level text files, except that PowerPoint or other

presentation program files shall be produced in color, and the Requesting Party may request color

images of other Documents where color is reasonably necessary to their comprehension or use,

and such request shall not unreasonably be denied.

2. In scanning hardcopy documents, distinct documents should not be merged
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into a single record, and single documents should not be split into multiple records (i.e., hardcopy

documents should be logically unitized). The Producing Party will use reasonable efforts to unitize

documents correctly.

3. Where a document, or a document group – such as folder, clipped bundle,

or binder – has an identification spine or other label, the information on the label shall be scanned

and produced as the first page of the document or grouping.

4. Productions of the images shall be made using an image load file (.OPT or

.LFP) and a delimited database/Metadata load file (.DAT), pursuant to Exhibit 2. Exhibit 1 part 1

lists the objective coding fields that will be produced for hard copy documents.

5. The Producing Party will utilize reasonable efforts to ensure that paper

records for a particular custodian, which are included in a single production, are produced in

consecutive Bates-stamp order.

B. ESI Production Format. The following provisions shall generally govern the

production format and procedure for ESI and are subject to the other provisions contained herein.

1. Production of electronic documents. The Producing Party must produce

all ESI in TIFF format according to the following specifications.

i. Where technically feasible, TIFFs shall be produced as black and

white, single-page Group IV TIFF in 8½ X 11-inch page size images at a resolution of at least 300

DPI with the quality setting of 75% or higher.

ii. When producing documents in TIFF format, the image files shall be

produced along with Concordance/Opticon image load files, linking the images to the

corresponding document that indicate the beginning and ending of each document, showing the

Bates number of each page and the appropriate unitization of the documents.

iii. Each image file of an electronic document will be created directly

from the original electronic document. Image files shall show all text and images that would be
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 10 of 37

visible in the original electronic format (Native Format), including redlines and speaker notes.

iv. All TIFF files are to be provided with an accompanying searchable

text (.TXT) file extracted from the native, electronic file (not generated as an OCR file from the

TIFF image(s)), and such text files shall contain the full text extraction. To the extent technically

feasible, extracted text shall provide all comments, tracked changes, speaker’s notes, and text from

hidden worksheets, slides, columns, and rows. In the case of files with redacted text, OCR’ed text

of the redacted documents may be provided in lieu of extracted text so long as the OCR’ed text is

comprehensible.

v. All documents shall be produced in their original language. For

documents in foreign languages, any OCR shall be performed using an OCR tool and settings

suitable for the particular byte or multi-byte languages, if available.

vi. Each text file shall be named according to the Bates number of the

first page of the corresponding image files (e.g., BATES000001.TXT).

vii. Microsoft Word Documents (or similar) (.DOC, .DOCX, or

substantially similar non-Microsoft file formats) should be produced as single-color PDF files for

each Document, containing all images for that document, and should be imaged in a manner that

captures track changes and comments. To the extent a Requesting Party believes the converted

image format distorts, omits, or causes information to be improperly displayed, the Requesting

Party may request the Document in Native Format and the Producing Party shall meet and confer

to attempt to resolve the problem(s).

viii. In the case of email, the corresponding text file shall include, where

reasonably available: (1) the individual(s) to whom the communication was directed (“To”); (2)

the author(s) of the email communication (“From”); (3) who was copied and blind copied on such

email (“CC” and “BCC”); (4) the subject line of the email (“RE” or “Subject”); (5) the names of

any attachments; and (6) the text (body) of the email.
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2. Fields and Metadata. Exhibit 1 part 2 lists the objective coding fields and

Metadata that will be produced for all ESI — including ESI produced in TIFF or Native Format.

3. Native Format Production Documents.

i. The Parties will produce the following ESI types in native file

format:

a. Excel files;

b. Presentation files (e.g., PowerPoint);

c. Web pages;

d. Audio/video files;

e. Animations.

A. To the extent responsive digital Communications (e.g., e-mail, voice

mail, Text Messages, and Instant Messages) are being produced, they will be produced in a

reasonably usable format. The Producing Party will disclose its production format of digital

Communications to the Receiving Party prior to the production of digital Communications. The

Requesting Party retains its rights to meet and confer on the production format to address any

concerns. The Parties reserve the right to request production of other ESI types in Native Format,

for example, that documents be produced in Microsoft Word, in addition to TIFF images. The

Parties agree to meet and confer regarding such requests. Any Native files that are produced should

be produced with a link in the NativeLink field, along with all extracted Metadata fields asset forth

in Exhibit 1.

B. A Requesting Party may request the production of PowerPoint or

other presentations files in Native Format and such request shall not unreasonably be denied by

the Producing Party. PowerPoint presentations shall also be produced in full-slide image format,

along with speaker notes (which should follow the full images of the slides) with related searchable
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text, Metadata, and bibliographic information.

C. In the case of personal database (e.g., MS Access) files containing

confidential or privileged information, the parties shall meet and confer to determine the appropriate

form of production.

D. ESI shall be processed in a manner that preserves hidden columns

or rows, hidden text, worksheets, notes, tracked changes, and comments. Any Party seeking a

deviation from this provision must provide notice to other Parties and the Parties agree to meet and

confer regarding such requests.

E. Any Document produced in native format will be produced

according to the following specifications:

a. The native format Documents shall be accompanied by a

slipsheet with a unique Bates number and confidentiality designation that links to the native file.

b. The native format Documents shall be accompanied by

reference information that sets forth for each document, sufficient information to allow the Parties

to track and authenticate the native format documents produced, including: (i) the name of the

custodian from whose files the electronic file is produced; (ii) an appropriately calculated “MD5

Hash Value”; (iii) the original name of the file; and (iv) a Bates number.

c. In all cases, unless there is no textual content, an OCR or

Extracted Text file shall be produced along with the native file. For any native format documents

that cannot be imaged or where the image is produced as a separate document, a single page

placeholder image shall be provided that indicates the file was produced in native format and

contains the Bates number and confidential designation, if any, of the corresponding file.

d. In order to preserve the integrity of any file produced in

Native Format, no Bates number, confidentiality designation, or internal tracking number should
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be added to the body of the Native Format document unless otherwise agreed to between the

Producing Party and the Requesting Party during any meet and confer related to the production of

that Native Format document.

e. The Requesting Party may also request that the Producing

Party produce additional file types of electronic documents in Native Format where converted

image format distorts or causes information to be improperly displayed. The Parties shall meet and

confer regarding such requests in good faith and cooperate consistent with the provisions set forth

in this Protocol.

C. Deduplication and De-NISTing Documents. To reduce the unnecessary costs of

reviewing and producing exact duplicate documents (i.e., the documents and Metadata fields are

identical copies), to the extent reasonably possible and accounting for any technical limitations of

any Party’s ESI, each Party may remove duplicate ESI prior to producing documents.

1. Subject to the provisions in this section, each Party may remove duplicate

ESI prior to producing documents (based on the MD5 or SHA-1 hash values at the parent document

level). Stand-alone files will de-duplicate against other stand-alone files, but not against

attachments contained in document families. If an “identical” document is an attachment to

different emails (e.g., where attachment 1 is sent to person A one day and then sent to person B

another day), then the attachment shall be produced together with each email.

2. For exact duplicate documents, the Producing Party will produce certain

Metadata described herein for a single production copy. The Producing Party may de-duplicate

documents within custodians and/or across custodians. Names of custodians of copies of files

eliminated due to global deduplication shall, if such information is readily available, be provided

in the Duplicate Custodian field accompanying the original file.

3. If during the course of its review the Producing Party identifies a large

number of duplicate documents, the Parties may meet and confer regarding a custom deduplication
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protocol. Except for the removal of extracted logos, no custom deduplication method will be

implemented without meeting and conferring with the Requesting Party.

4. Common system and program files as defined by the NIST Library need not

be processed, reviewed, or produced.

D. E-mail Thread Suppression. Email threads are email communications that contain

prior or lesser-included email communications. A Producing Party may not use e-mail thread

suppression to exclude email from production without first meeting and conferring with the

Requesting Party regarding the methodology used for suppression and means of preserving and

producing Metadata of any suppressed email. The Producing Party is not required to obtain the

agreement of the Requesting Party to its threading methodology. However, the Requesting Party

reserves the right to raise issues with the Court if it believes the threading methodology is improper

after meeting and conferring.

E. Password Protected Files. Where the password to an encrypted or password-

protected file is known, the Producing Party shall make efforts to ensure that all encrypted or

password-protected Documents are successfully processed for review and production under the

requirements of this ESI Protocol, and the decrypted Document is produced (if responsive and not

privileged). To the extent encrypted or password-protected Documents are successfully processed

according to the requirements of this ESI Protocol, the Producing Party has no duty to identify the

prior encrypted status of such Documents. To the extent such Documents are not successfully

processed that are members of a responsive family, the Producing Party agrees to: (a) produce a

slipsheet for each encrypted or password protected Document indicating that the Producing Party

could not successfully process the Document because it cannot be decrypted; and (b) provide the

Metadata for the Document required by Exhibit 1 to the extent it can be reasonably extracted from

the file in its encrypted form. The Requesting Party and/or Producing Party, as appropriate, shall

meet and confer regarding any requests that a Producing Party undertake additional efforts to
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decrypt files after production.

F. Prior or Other Production. To the extent a set or sets of Documents in a Party’s

possession, custody, or control that were previously produced in a prior or other investigation,

proceeding or litigation are the subject of discovery in this case and the ESI for such Documents

(including but not limited to Metadata fields, searchable text, and organization) differs from the

substance and format agreed to herein, such Documents may be produced in the same format in which

they originally were produced if the original production included substantially the same Metadata

identified in this Order. If such Documents originally were not produced with substantially the same

Metadata identified in this Order, the Parties shall meet and confer to identify necessary additional

fields and discuss an appropriate Metadata overlay or supplemental Metadata production for those

Documents. The Parties agree that this is not a request to produce the same electronically stored

information or Documents in more than one form; rather, it is a process for identifying supplemental

information that does not require reproduction of previously produced Documents. Re-produced

documents shall include their original Bates numbers, if any.

G. In the event certain Documents in the prior or other productions are in a form that

is not reasonably usable by the Requesting Party, the Requesting Party and the ProducingParty shall

meet and confer regarding alternative forms of production for such Documents. If theParties are

unable to agree after meeting and conferring in good faith, the Parties may seek resolution by the

Court, Magistrate Judge, or Special Master appointed by the Court.

H. Prior Privilege Logs. To the extent a Party produces Documents in this case that

were produced in a prior proceeding or litigation, and there exist no material differences in the

documents that are withheld or content redacted in the prior proceeding than in the instant

proceeding, the Producing Party may produce the privilege logs from those prior

proceedings/litigations in lieu of creating, in this case, a new log (or log entries) for the Documents

that were withheld in the prior proceeding/litigation, even if the privilege logs do not comply with
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the privilege log requirements in any Order in this case, provided, however, that such prior privilege

logs shall be detailed enough to enable other parties to assess the applicability of the privilege or

protection asserted and shall include all information as set forth in paragraph 15 of the Privileged

Materials Order, and any disputes as to claims of privilege under such prior privilege logs shall be

governed by the procedures set forth in paragraph 22 of the Privileged Materials Order. The

Requesting Party retains the right to all related challenges, including, without limitation, the right

to challenge the validity of any privilege claim(s) asserted. The Producing Party shall timely

supplement any such prior privilege log to reflect any changes in the documents withheld or content

redacted, in whole or in part.

I. Redactions.

1. To the extent that a responsive document contains content that is (a)

privileged or protected from discovery as work product or by reason of any other applicable

privilege or immunity; or (b) protected personal information subject to federal, state, or foreign

privacy requirements (e.g., HIPAA), or (c) personally or commercially sensitive so long as that

information is not responsive to any requests for production, the Producing Party may produce

that document in a redacted form. For the avoidance of doubt, an otherwise responsive document

may not be partially redacted solely on the basis of the Producing Party’s judgment that the

redacted information is not responsive or relevant. The Producing Party may seek consent to

additional redactions from the Requesting Party or may move the Court for leave to impose

additional redactions for good cause shown. Any redactions shall be clearly indicated on each

page of the document from which information is redacted, bearing a designation that it has been

redacted. The designation shall make clear the reason for the redaction (e.g., “Redacted

Privileged”). Where a document contains both privileged and non-privileged responsive content,

the Producing Party shall redact the privileged material and produce the remainder of the document

as redacted.
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2. Native Excel or other spreadsheet files which are redacted may be redacted

by overwriting the data contained in a particular cell, row, column, or tab with the word “Redacted”

and shall make clear the reason for the redaction (e.g., “Redacted Privilege”). The Parties

acknowledge that redacting the native may alter the Metadata of the produced file; however, the

Metadata produced subject to Exhibit 1 will be the Metadata extracted from the original native file,

other than Metadata containing redacted information.

3. Native Excels or other files that ordinarily are to be produced natively and

are redacted, may be produced as black-and-white or color (as applicable), single-page, 300 DPI

Group IV TIFF images, with text and related path provided in document level text files, which can

be created through OCR, with load files pursuant to Exhibit 2, which shall include all information

contained in the original file, including but not limited to speaker notes and “hidden” slides, with

any redaction clearly delineated. If the file contains external video or audio components, the video

or audio will be produced as native files.

4. If the items redacted and partially withheld from production are audio/visual

files, the Producing Party shall provide the unredacted portions of the content. If the content is a

voice recording, the parties shall meet and confer to discuss the appropriate manner for the Producing

Party to produce the unredacted portion of the content.

J. Exception Logs. With the exception of the change to Section II therein, set forth

in Section III above, the Parties agree to be bound by the “Joint Addendum to Stipulated Order

Regarding ESI Protocol and Format of Productions” (Dk. 382) and incorporate those provisions

herein.

K. Confidentiality of Produced ESI. Responsive ESI, whether produced as TIFF

images or in Native Format, shall be produced pursuant to the terms of the separately entered

Stipulated Protective Order. If the Producing Party is producing ESI in TIFF Format subject to a

claim that it is protected from disclosure under any protective agreement or confidentiality order,or
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 18 of 37

any agreement entered into or Order issued in this matter, the word “CONFIDENTIAL” (or

something substantially similar) shall be annotated on each page of such document.

1. If the Producing Party is producing ESI in Native Format subject to a claim

that it is protected from disclosure under the Stipulated Protective Order or any protective agreement

or confidentiality order entered into or other Order issued in this matter, then the designation shall

be included in the TIFF placeholder or where not produced with a TIFF placeholder, the storage

device (e.g., CD, USB, or hard drive) containing such native ESI data shall be labeled with the

designation in a location that does not obliterate, conceal, or interfere with any information from the

source document.

L. Additional Production Specifications. All productions will include these

additional specifications:

2. Delimited Metadata load file (.DAT) containing a field with the full path

and file name to the native files produced pursuant to Exhibit 2, and shall include the Metadata

fields identified below (Exhibit 1);

3. Delimited image load/unitization file for images (.opt, .lfp, or .dii) shall be

provided pursuant to Exhibit 2;

4. Document level .txt files for all native documents containing extracted full

text or OCR text (OCR only if extracted text is not available or if the document has been redacted);

5. Bates number branding and Confidentiality designation (if any) on the face

of the TIFF image in the lower left-hand corner using a consistent font type and size that, to the

extent reasonably feasible, does not obliterate, conceal, or interfere with any information from the

source document. If the placement in the lower left-hand corner will result in obscuring the

underlying image, the Bates number should be placed as near to that position as possible while

preserving the underlying image;

6. A TIFF placeholder embossed with the corresponding confidentiality
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 19 of 37

designation and Bates number shall be produced for all ESI produced in Native Format;

7. Each Bates number will: (i) be unique across all document productions,

including prior productions; (ii) maintain a constant length and format across the entire production

(i.e., ABC00000001- with a consistent prefix, no space between the prefix and the number, and

padded to the same number of characters); (iii) contain no special characters; and (iv) be 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.

8. To the extent any documents contain redactions and are produced in TIFF

format, the following specifications apply:

i. PowerPoint slides/presentations that are produced in TIFF format

will be produced with any notes, talking points, outlines, or

comments contained therein; and

ii. All hidden text (e.g., track changes, hidden columns, comments,

notes, markups, etc.) will, to the extent reasonably feasible, be

expanded, extracted, and rendered in the TIFF file.

9. Each of the Metadata and coding fields set forth in Exhibit 1 that can be

extracted from a Document shall be produced for that Document. The Parties are not obligated to

populate manually any of the fields in Exhibit 1 except Default Production Fields (“DPF”) thatare

generated in the course of collection, review, and production (e.g., BEGBATES, ENDBATES, etc.);

and the “CUSTODIAN,” “DUPLICATE CUSTODIAN,” and “REDACTION” fields to the extent

such information is readily available. If Metadata fields arenot produced because they do not exist or

because they are not reasonably accessible, the Producing Party shall include the fields in the header

row of the .DAT to the extent practicable and leave the field blank for the corresponding document(s).

• Time Zone. ESI items shall be processed based on the Coordinated

Universal Time (“UTC”) time zone, unless otherwise unavailable, under which circumstance the
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 20 of 37

Parties will meet and confer on a reasonable and cost-effective means for attempting to specify

the time zone for the ESI. This provision shall apply to all relevant metadata fields in Exhibit 1.

10. Auto date/time stamps. ESI items shall be processed whenever possible so

as to preserve the date/time shown in the document as it was last saved, not the date of collection or

processing.

11. The Parties understand and acknowledge that such standardization affects

only dynamic date fields and Metadata values and does not affect, among

other things, dates andtimes that are hard-coded text within a file.

VI. PRESERVATION

A. Deleted Files and Meet and Confer. The Parties shall not be obligated under this

Protocol to produce or preserve ESI that was deleted, lost, or destroyed before the date upon which

the duty to preserve ESI arose, as a result of the routine, good-faith operation of an ESI system.

Nothing in this provision limits or expands a Party’s obligation to seek or search for ESI known to

be “deleted” by a user that remains as a copy on an archive, backup, or as active data on some

other central server or place within a Party’s possession, custody, or control provided such search

is otherwise consistent with and does not exceed or limit the Party’s obligations under the Federal

Rules of Civil Procedure. If a Producing Party learns that ESI that would reasonably have

been searched for responsive information has been lost or destroyed after the date upon

which the duty to preserve that ESI arose, the Parties shall promptly meet and confer

regarding such ESI. Nothing in this agreement alters or expands the obligations of the

Requesting Party or the Producing Party pursuant to Federal Rule of Civil Procedure 26(b).

VII. FAMILY RELATIONSHIPS OF ELECTRONIC FILES

A. Family Relationships. Parent-child relationships between ESI (e.g., the

association between an attachment and its parent e-mail, or a spreadsheet embedded within a word

processing document), must be preserved by assigning sequential Bates numbers to all files within
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a parent-child group, and by providing accurate attachment ranges for those files in the Metadata

fields required. If a Party withholds as privileged a member of a parent-child group (e.g., a

document or portion of a document) that has other non-privileged or privilege redacted members,

any parent-child relationship must be similarly maintained by indicating the absence of that

document (or portion thereof) using a Bates-numbered slip sheet (or a clearly marked redaction)

and the grounds for withholding.

1. In the event a document or portion of a document that is part of a family is

initially withheld as privileged, but later produced, the entire family must be reproduced with it if

requested by the Requesting Party, along with all required Metadata.

B. Non-Responsive Attachments. The Parties agree that “non-responsive” shall

generally not be a cognizable basis for withholding documents from production, if a document is

associated, through familial relationships, with a responsive document. An otherwise non-

responsive attachment to a responsive parent document — or an otherwise non-responsive parent

document that has responsive attachments — may not be withheld simply because the document,

if it were not in the same family as responsive material, would not be responsive. The Parties agree,

however, that the general provisions of this paragraph shall not prejudice any Party’s right to seek

exceptions if it identifies particular non-responsive documents, or categories or portions of

documents, that it believes are appropriate to withhold or redact on the basis of non-responsiveness

notwithstanding their association with a responsive document. In such case, the Parties shall meet

and confer regarding the exception sought and may submit any such issue to the Court if agreement

cannot be reached. For the avoidance of doubt, an otherwise responsive document may not be

partially redacted solely on the basis of the Producing Party’s judgment that the redacted

information is not responsive or relevant. The Producing Party may seek consent to additional

redactions from the Requesting Party or may move the Court for leave to impose additional

redactions for good cause shown.
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C. Embedded and Linked Documents. Where reasonably feasible, non-image

embedded ESI documents (e.g., a spreadsheet embedded within a word processing document or

an audio file in a PowerPoint presentation) will be extracted, produced as independent document

records, and related back to the respective top-level parent document (e.g., standalone file, email

message, etc.) via the BegAttach and EndAttach fields referenced in Exhibit 1. The embedded

document will be marked with a “YES” in the load file under the IsEmbedded field referenced in

Exhibit 1. Related embedded documents will be produced within a continuous Bates range. The

Parties will further meet and confer concerning linked Documents within 30 days of the

commencement of discovery.

D. Compressed Files. Compression file types (e.g., .CAB, .GZ, .RAR. .ZIP), shall be

decompressed to ensure a container within a container is decompressed into the lowest

uncompressed element resulting in individual files. The container file itself shall not be produced.

VIII. STRUCTURED DATA

When responsive information is located in a database — including for enterprise resource

planning or human resource applications or databases like Workday, SuccessFactor, Access,

Oracle, SQL Server data, SAP, etc. — or other structured or aggregated data source, the Parties

will meet and confer to address the production format of responsive data.

IX. PARAMETERS FOR CUSTODIAL ESI COLLECTION

With the exception of the change to Section II therein, specified in Section III above, the

Parties agree to be bound by the “Joint Addendum to Stipulated Order Regarding ESI Protocol and

Format of Productions” (Dk. 382) and incorporate those provisions herein.

X. PRODUCTION MEDIA

Documents shall be produced via secure FTP site, rather than through physical media (e.g.,

CD-ROM, DVD, or external hard drive), unless such transmission is impracticable or the Parties

hereafter agree upon on a different method of transmission. Each production shall be accompanied
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 23 of 37

by a cover letter, to be sent via email at the time of production, including the following information:

A. Name of the Litigation and its case number;

B. Name of the Producing Party;

C. Date of the production (mm/dd/yyyy);

D. Bates number range;

E. Confidentiality Designation; and

F. Notes regarding any irregularities in the production (e.g., whether it is a

replacement production (see below)).

G. Any replacement production or Documents shall cross-reference the original

production, clearly identify that it is a replacement, and cross-reference the Bates

number range that is being replaced.

H. Producing Parties may encrypt their productions and, if so, shall provide a key to

decrypt the production in a separate communication via email.

XI. NON-PARTY SUBPOENAS AND PRODUCTIONS

Any Party that issues a non-party subpoena shall timely notify other Parties when it

receives non-party productions of documents, ESI, or other responses from the non-party, and shall

provide copies of all such productions in the format in which they were received from the non-

party to the other Parties. If the non-party produces documents or ESI that are not Bates labeled,

the Requesting Party will Bates-label the documents or ESI before producing a copy to the other

Parties if the produced documents or ESI are of the type so requiring consistent with other

provisions of this Order.

Nothing in this Protocol precludes a Requesting Party from reviewing a non-party

production of documents or ESI and applying (if the non-party produced documents without a

confidentiality designation) or elevating a confidentiality designation (e.g., elevating documents

designated as CONFIDENTIAL to ATTORNEYS’ EYES ONLY) if the production contains
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 24 of 37

highly sensitive information as set forth in the Stipulated Protective Order.

XII. OBJECTIONS TO ESI PRODUCTION

If any formatting requirements or other specifications agreed to in this Protocol are later

determined by the Producing Party to be not feasible, or unduly burdensome or unreasonably

costly, the Producing Party shall notify the Requesting Party, and the Parties will meet and confer

in order to attempt to agree upon appropriate modifications to the Protocol before presenting any

such issue to the Court. Notwithstanding anything contained herein to the contrary, a Producing

Party shall not intentionally produce ESI in a format not provided for in this Protocol, and if a

mistake is made, shall be allowed to remediate that mistake. If an issue arises, the issue may be

submitted to the Court after reasonable efforts by the Parties to reach agreement by the meet and

confer process.

XIII. ESI PROTECTED FROM DISCOVERY OR PUBLIC DISCLOSURE

A. Privilege Logs. For any Document withheld in whole or in part on the basis of

privilege, work product doctrine, or other protection, the Party or third party withholding the

Document(s) shall produce a privilege log or logs concerning any information that has been

redacted or withheld in whole or in part from that production consistent with the procedures set

forth in the Privileged Materials Order. The withholding party’s log shall be in Excel format that

permits electronic sorting and searching. As set forth in the Privileged Materials Order, privilege

logs shall be detailed enough to enable other parties to assess the applicability of the privilege or

protection asserted and shall include all information as set forth in paragraph 15 of that Order. Any

disputes as to claims of privilege shall be governed by the procedures set forth in paragraph 22 of

the Privileged Materials Order.

XIV. RESERVATION OF RIGHTS

By entering this Protocol, a Party does not waive any objections it has to requests for

documents. Nor does a Party give up its right to review its documents for privilege or any other
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 25 of 37

reason (including to identify non-responsive documents), and the existence of this Protocol cannot

be used to compel a party to produce documents without review.

XV. AMENDMENT TO ORDER

Nothing herein shall preclude the Parties from agreeing to amend the terms of this Order,

and nothing herein shall preclude any Party from moving the Court to amend the terms of this

Order for good cause shown, provided, however, that no Party may seek relief from the Court

concerning compliance with the Order until it has met and conferred in good faith with any Parties

involved in the dispute.

IT IS SO STIPULATED, THROUGH UNDERSIGNED COUNSEL OF RECORD.

Respectfully submitted,

/s/ Laurence M. Rosen /s/ Samuel A. Danon
THE ROSEN LAW FIRM, P.A. HUNTON ANDREWS KURTH LLP
Laurence M. Rosen, Esq. (FBN 0182877) Samuel A. Danon (FBN 892671)
Phillip Kim, Esq. Gustavo Javier Membiela (FBN 513555)
Robin Howald, Esq. María Castellanos Alvarado (FBN 116545)
Erica Stone, Esq. 333 S.E. 2 Avenue, Suite 2400 Miami, FL
Michael Cohen, Esq. 33131
275 Madison Avenue, 40th Floor Telephone: (305) 810-2500
New York, New York 10016 Facsimile: (305) 810-2460
Telephone: (212) 686-1060 sdanon@huntonak.com
Facsimile: (212) 202-3827 gmembiela@huntonak.com
lrosen@rosenlegal.com mcastellanos@hunton.com
pkim@rosenlegal.com
rhowald@rosenlegal.com CRAVATH, SWAINE & MOORE LLP
estone@rosenlegal.com Antony L. Ryan
mcohen@rosenlegal.com Kevin J. Orsini
Brittany L. Sukiennik
Counsel for Lead Plaintiff 825 Eighth Avenue
New York, NY 10019
Telephone: (212) 474-1000
Facsimile: (212) 474-3700
aryan@cravath.com
korsini@cravath.com
bsukiennik@cravath.com

Counsel for Defendants Robinhood Markets,
Inc., Robinhood Financial LLC and
Robinhood Securities, LLC
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 26 of 37

SO ORDERED this ___ day of ____________, 2021.

_________________________________
The Honorable Cecilia M. Altonaga
Chief United States District Judge
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 27 of 37

EXHIBIT 1

FIELDS and METADATA TO BE PRODUCED

1. The load files accompanying scanned paper documents will include the following

objective coding fields, to the extent applicable:

Field Field Description

BEGBATES First Bates identifier of item

ENDBATES Last Bates identifier of item

BEGATTACH Starting Bates number of a document family

ENDATTACH Ending Bates number of a document family

PAGECOUNT Number of pages

TEXTLINK Link to text file for the document

CUSTODIAN Name of custodian or custodial file contained in the
collected file

2. The following Metadata fields shall be included in Load files accompanying ESI, to the

extent reasonably accessible:

Field Description for Field Description for Emails
Field
Electronic Documents or Calendar Entries

BEGBATES First Bates identifier of First Bates identifier of item
item

ENDBATES Last Bates identifier of Last Bates identifier of item
item
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BEGATTACH Starting Bates number of Starting Bates number of a
a document family document family

ENDATTACH Ending Bates number of a Ending Bates number of a
document family document family

PAGECOUNT Number of pages Number of pages

ATTACHCOUNT Number of files attached Number of files attached to
to parent parent

CUSTODIAN Custodian(s) of the Custodian(s) of the document
document

DUPLICATE Name of duplicate Name of duplicate custodian(s)
CUSTODIAN custodian(s)

CONFIDENTIALITY Confidentiality Confidentiality designation1
designation

AUTHOR Document author from n/a
Metadata

FROM n/a Sender of message or calendar
invite

TO n/a Recipient of message or
calendar invite

1
If the confidentiality metadata field conflicts with the designation on the face of the document, the higher
designation controls.
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 29 of 37

CC n/a Copied recipients of message
or calendar invite

BCC n/a Blind copied recipients of
message or calendar invite

SUBJECT n/a Subject of message or calendar
invite

TITLE Title from a document’s n/a
properties

DATECREATED Date file was created n/a

TIMECREATED Time file was created

DATEMODIFIED Date file was last
modified

TIMEMODIFIED Time file was last
modified

SENTDATE n/a The sent date of the message in
the format MM/DD/YYYY

SENTTIME n/a The sent time of the message in
the format HH:mm:ss

RECEIVEDDATE The received date of the
message in the format
MM/DD/YYYY
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RECEIVEDTIME The received time of the
message in the format
HH:mm:ss

Status as READ or Whether or not a message Whether or not a message was
UNREAD was READ or READ or
UNREAD. UNREAD.

ID of Original The unique Email The unique Email message
Message REPLIED message identifier of the identifier of the previous
to or FORWARDED previous message in the message in the thread (the
thread (the message that message that was replied to or
was replied to or forwarded).
forwarded).

TIMEZONE Metadata field indicating Metadata field indicating the
the time zone in which time zone in which
an email was sent. For an email was sent. For instance,
instance, unique local unique local timestamp
timestamp populated by populated by MS Outlook on
MS Outlook on all all outgoing messages is
outgoing messages is “PR_CLIENT_SUBMIT_TIM
“PR_CLIENT_SUBMIT_ E”.
TIME”.
FILENAME Contents of this Metadata Contents of this Metadata field,
field, or an equivalent or an equivalent

FILEEXTEN File extension File extension

FILESIZE Size of the file in bytes Size of the file in bytes
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LOGICALPATH The directory structure of The directory structure of the
the original file(s). Any original file(s). Any container
container name is name is included in the path.
included in the path.
HASH MD5 or SHA1 hash of MD5 or SHA1 hash of the
the document email
THREADID Unique identification Unique identification number
number that permits that permits threading of email
threading of email conversations. For instance,
conversations. For unique MS Outlook
instance, identification number
unique MS Outlook (“PR_CONVERSATION_IND
identification number EX”) is 22 bytes in length,
(“PR_CONVERSATION followed by zero or more child
_INDEX”) is 22 bytes in blocks each 5 bytes in length,
length, followed by zero that permits email threading in
or more child blocks each review software.
5 bytes in length, that
permits email threading
in review software.
THREADINDEX Message header Message header identifier,
identifier, distinct from distinct from
“PR_Conversation_Index “PR_Conversation_Index”, that
”, that permits threading permits threading of email
of email chains in review chains in review software.
software.
ITEMTYPE Identifies whether the file Identifies whether the file is an
is an email, attachment, email, attachment, or stand-
or stand-alone efile. alone efile.

ISEMBEDDED Identifies if a document is Identifies if a document is
embedded in another embedded in another
document. document.

NATIVELINK Link to native file (if any) Link to native file (if any)

TEXTLINK Link to text file for the Link to text file for the email
document
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REDACTION Identifies if a document Identifies if a document has
has been redacted been redacted

Additional Field Descriptions for Contacts and Calendar Entries

Date of Creation Contact Date the contact entry was
created or sent

Last Modified Date Contact Date the contact entry was last
modified.

Name Fields Contact All names associated with
contact entry (such as first, last,
middle, nicknames, prefix,
suffix, etc.)

Email Aliases Contact For example, the name or
reference that will display in
the email address lines in place
of the actual email address

Phone Numbers Contact All phone numbers associated
with the contact entry

Addresses Contact All physical/mailing addresses
associated with the contact
entry

URL addresses Contact All URL addresses associated
with the contact entry

Notes/Journal Field Contact All free text entered by user
that is associated with and
reflected in contact entry
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Other Contacts Contact Identification of other contact
entries associated with and
reflected in the contact entry,
such as contact entry’s assistant
or manager

Contact Tracking Contact Track contacts made with the
person or entity shown in the
contact entry, such as date
and/or time and type of contact.

Importance Contact Level of importance/sensitivity
Ranking of the contact entry (e.g., High
Importance or Low
Importance)
Follow-Up Flags Contact Tracks responses to contact
entries that were sent and
follow up on contact entries
that were received
Categories/ Groups Contact Specific fields designed to sort,
filter or classify the contact
entry

Date of Creation Calendar The date the calendar entry was
created or sent

Last Modified Date Calendar Date the calendar entry was last
modified

Other fields associated Calendar E.g., address and room
with the date, time, designations for physical
and place of the location meetings, dial-in
calendar entry information or web addresses
for phone conferences and
virtual meetings
Notes/Journal Field Calendar All free text entered by the user
that is reflected in the calendar
entry

Importance Ranking Calendar Level of importance/sensitivity
of the calendar entry
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Follow-Up Flags Calendar Tracks responses to calendar
entries that were sent and
follow-up on calendar entries
that were received
Categories/Groups Calendar Specific fields designed to sort,
filter or classify calendar
entries

Response Category Calendar The response to a calendar or
meeting invitation (e.g.,
tentative or accepted)

Such Metadata field values will be extracted from the native file and will be produced to the

extent available at the time of collection and processing, except that they may be redacted if

privileged or if the information in the Metadata is protected by law or Court Order. This list of

fields does not create any obligation to create or manually code fields that do not exist as part of

the original Metadata of the document.
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 35 of 37

EXHIBIT 2

REQUESTED LOAD FILE FORMAT FOR DOCUMENTS AND ESI

1. Delimited Text File. A delimited text file (.DAT File) containing the fields listed in

Exhibit 1 should be provided. The delimiters for the file should be Concordance defaults

accordingly:

Record Delimiter ASCII character 10 followed by ASCII
character 13
Field Delimiter ASCII character 20 (¶)

Multi-value Delimiter ASCII character 59 (;)

Text Qualifier ASCII character 254 (þ)

Newline ASCII character 174 (®)

þBegBatesþ¶þEndBatesþ¶þBegAttachþ¶þEndAttachþ¶þPageCountþ¶þCustodianþ

● The first record should contain the field names in the order of the data.

● All date fields should be produced in mm/dd/yyyy format.

● Use carriage-return line-feed to indicate the start of the next record.

● Load files should not span across media (e.g., CDs, DVDs, Hard Drives, etc.); a separate

volume should be created for each piece of media delivered.

● The name of the data load file should mirror the name of the delivery volume, and should

have a .DAT extension (i.e., ABC001.DAT).

● The volume names should be consecutive (i.e., ABC001, ABC002, et. seq.).

● If Foreign Language / Unicode text exists, DAT file shall be in appropriate UTF-8 or

UTF-16 format.
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 36 of 37

2. Image Cross-Reference File (.opt). The Opticon cross-reference file is a comma

delimited file consisting of six fields per line. There must be a line in the cross-reference file for

every image in the database. The format for the file is as follows:

ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,BoxBreak,PageCount.

Further definitions and instructions as follows:

ImageID The unique designation that Concordance and Opticon use to identify

an image. This should be the BegBates Number of the Document.

VolumeLabel The name of the volume.

ImageFilePath The full path to the image file.

DocumentBreak If this field contains the letter “Y,” then this is the first page of a

Document. If this field is blank, then this page is not the first page of a

Document.

FolderBreak Leave empty.

BoxBreak Leave empty.

PageCount Number of pages in the Document.

● The name of the image load file should mirror the name of the delivery volume, and

should have the appropriate extension (e.g., ABC001.LFP).

● The volume names should be consecutive (i.e., ABC001, ABC002, et. seq.).

● There should be one row in the load file per TIFF image.

● Every image in the delivery volume should be contained in the image load file.

● The image key should be named the same as the Bates number of the page.

● Load files should not span across media (e.g., CDs, DVDs, Hard Drives, Etc.), i.e., a
Case 1:21-md-02989-CMA Document 441 Entered on FLSD Docket 11/23/2021 Page 37 of 37
separate volume should be created for each piece of media delivered.

3. Sample Data.

PROD00000001,VOL001,E:\100\ PROD00000001.TIF,Y,,2

PROD00000002,VOL001,E:\100\ MT00000002.TIF,,,,

PROD00000003,VOL001,E:\100\ MT00000003.TIF,Y,,,4

PROD00000004,VOL001,E:\100\ MT00000004.TIF,,,,

PROD00000005,VOL001,E:\100\ MT00000005.TIF,,,,

PROD00000006,VOL001,E:\100\ MT00000006.TIF,,,,

Summation DII File:
@C HASIMAGE YES

@T EPRG036023 2

@DD:\FILES\PRODUCTION\CD0004\VOL0011\Images

EPRG036023.tif

EPRG036024.tif

4. OCR / Extracted Text Files.

OCR or Extracted Text files shall be provided in a separate \OCR\ directory containing

Document level text files.

If Foreign Language / Unicode text exists, TEXT files shall be in appropriate UTF-8 or

UTF-16 format.

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