Kondapalli v. Federal Deposit Insurance Corporation

Filing 45

ORDER granting 43 Joint Motion for Order Approving Joint Protocol for Electronically Stored Information. Signed by Judge James S. Moody, Jr on 9/19/2016. (LN)

UNITED STATES DISTRICT COURT
MIDDLE DISTRICT OF FLORIDA
TAMPA DIVISION

RAVI KONDAPALLI, an Individual,
Plaintiff,
vs.
FEDERAL DEPOSIT INSURANCE
CORPORATION, as Receiver of Orion Bank,
Defendant.
_______________________________________/

CASE NO.: 8:15-cv-1370-T-30AEP

DEMASI-KONDAPALLI, LLC, a Florida
limited liability company,
Plaintiff,
vs.
FEDERAL DEPOSIT INSURANCE
CORPORATION, as Receiver of Orion Bank,
Defendant.
_______________________________________/
ORDER APPROVING JOINT PROTOCOL
FOR ELETRONICALLY STORED INFORMATION
THIS CAUSE comes before the Court upon parties, Defendant the Federal Deposit
Insurance Corporation as Receiver for Receiver of Orion Bank (the “FDIC-R”), Plaintiffs, Ravi
Kondapalli and Demasi-Kondapalli, LLC (the “Plaintiffs”) and Intervenor, Iberiabank’s (together
with the FDIC-R and Plaintiffs the “Parties”) Joint Motion for Order Approving Joint Protocol for
Electronically Stored Information (Doc. 43). Upon the stipulation of the Parties, it is hereby
ORDERED AND ADJUDGED:

1.

The Joint Protocol for Electronically Stored Information attached hereto is
hereby expressly approved by this Court, and shall govern the production of
electronically stored information in this matter.

DONE AND ORDERED in Chambers in Tampa, Florida on this 19th day of September,
2016.

Copies furnished to:
Counsel/Parties of Record

UNITED STATES DISTRICT COURT
MIDDLE DISTRICT OF FLORIDA
TAMPA DIVISION

RAVI KONDAPALLI, an Individual,
Plaintiff,
vs.
FEDERAL DEPOSIT INSURANCE
CORPORATION, as Receiver of Orion Bank,
Defendant.
_______________________________________/

CASE NO.: 8:15-cv-1370-T-30AEP

DEMASI-KONDAPALLI, LLC, a Florida
limited liability company,
Plaintiff,
vs.
FEDERAL DEPOSIT INSURANCE
CORPORATION, as Receiver of Orion Bank,
Defendant.
_______________________________________/
JOINT PROTOCOL FOR ELECTRONICALLY STORED INFORMATION
Defendant, Federal Deposit Insurance Corporation as Receiver for Receiver of Orion Bank
(the “FDIC-R”) together with Plaintiffs, Ravi Kondapalli and Demasi-Kondapalli, LLC (the
“Plaintiffs”) and Intervenor, Iberiabank, (together with the FDIC-R and Plaintiffs the “Parties”)
and their respective counsel have conferred regarding the production of electronically stored
information (“ESI”), and hereby stipulate to the following terms and conditions concerning the
production of electronically-stored information (“ESI”) as follows:
1.

This action relates to Orion Bank (“Orion” or the “Bank”). On November 13, 2009,

the Florida Office of Financial Regulation closed the Bank and appointed the FDIC as Receiver,
pursuant to 12 U.S.C. § 1821(c).

2.

This Protocol applies to the ESI provisions of Fed. R. Civ. P. 16, 26, 33, 34, and

37, and, insofar as it relates to ESI, this Protocol applies to Fed. R. Civ. P. 45 in all instances where
the provisions of Fed. R. Civ. P. 45 are the same as, or substantially similar to, Fed. R. Civ. P. 16,
26, 33, 34, or 37. Nothing contained herein modifies Fed. R. Civ. P. 45 and, specifically, the
provision of Rule 45(d)(2)(B) regarding the effect of a written objection to inspection or copying
of any or all of the designated materials or premises. Compliance with this Protocol shall satisfy
and discharge the Parties’ obligations to respond to the requests for production of documents
unless otherwise agreed to by the Parties or ordered by the Court.
3.

In this Protocol, the following terms have the following meanings:
a. “Metadata” means: (i) information embedded in a Native File that is not
ordinarily viewable or printable from the application that generated, edited, or
modified such Native File; and (ii) information generated automatically by the
operation of a computer or other information technology system when a Native
File is created, modified, transmitted, deleted, or otherwise manipulated by a
user of such system; and (iii) information created by the processing of a file into
the format used by a reviewable database (e.g., BegBates, BegAttach).
Metadata is a subset of ESI.
b. “Native File(s)” means ESI in the electronic format of the application in which
such ESI is normally created, viewed, and/or modified. Native Files are a
subset of ESI.
c. “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. In the absence of agreement of the Parties or
order of the Court, a Static Image should be provided in Tagged Image File
Format (TIFF, or .TIF files). If a TIFF or .TIF file cannot be created, then the
Static Image should be provided in Portable Document Format (PDF). If load
files or OCR text files (Optical Character Recognition files) were created in the

process of converting

Native Files to Static Images, or if load files may be

created without undue burden or cost, load files shall be provided as set forth in
Exhibit A.
d. “Load File(s)” means the file necessary to load data into a reviewable database.
A load file can, for example, specify what individual pages belong together as
a document, what attachments are included with a document, where a document
begins and ends, and what metadata is associated with a document.
e. “Party” or “Parties” include the FDIC-R,the Plaintiffs, and Iberiabank, and any
person or entity that is served with a subpoena pursuant to Fed. R. Civ. P. 45
and opts-in to the Protocol.
f. “Plaintiffs” shall mean Ravi Kondapalli and Demasi-Kondapalli, LLC.
g. “Iberiabank” shall mean interventor, Iberiabank.
h. “Requesting Party” shall mean the party that has served the request for
production of documents at issue.
i. “Producing Party” shall mean the party that produced the data or documents at
issue.
j. “Receiving Party” shall mean the party that received the data or documents at
issue.
4.

The provisions set forth in Exhibit “A” shall govern the production of ESI for all

the Parties.
5.

The Parties may agree in writing (including by email) to modify, delete, or add to

any of the provisions of this Protocol at any time, without the necessity of Court intervention.
6.

The Parties agree that paragraph 13 of the Agreed Protective Order filed with this

Court (the “Protective Order”) constitutes a Federal Rule of Evidence 502(d) order. Accordingly,
none of the Parties shall be subject to the requirements outlined in Federal Rule of Evidence
502(b). Pursuant to Rule 502(d) and the Protective Order, no applicable attorney-client privilege,
attorney work product, or any other applicable privilege or ground for withholding production

(hereinafter, “Privilege”) is waived by production of documents or disclosure of information
pursuant to this Protocol, in which event the disclosure is also not a waiver in any other federal or
state proceeding.

Upon demand, the Receiving Party shall return or destroy any paper copies to

the Producing Party and delete or render inoperable all electronic copies of ESI that the Producing
Party believes to be privileged or otherwise protected from disclosure. Confidential material saved
on back-up media in an electronically stored format will be deemed to comply with the provision
if the Receiving Party has taken steps to ensure that the data destruction policy for the back-up
media will result in the eventual destruction or overwriting of the requested information. In the
event of a dispute regarding the claim of privilege, the receiving party may retain a copy of the
material for in camera review in support of the appropriate discovery motion. Similarly, each Party
has a duty to notify a Producing Party if they reasonably believe that the ESI such Party produced
contains information that may be protected by the attorney-client privilege, work-product doctrine,
or any other applicable privilege or ground for withholding production. To the extent that the
Parties disagree over the application of these principles to any such production or challenge to the
privileged nature of such material, the receiving Party shall not make use of the material in question
until the matter is resolved by the Court.
7.

Nothing in this Protocol requires the Parties to produce again any information that

was produced to the other prior to the execution of this Protocol.
A. FDIC-R’s ESI
8.

If the FDIC-R is in possession of certain ESI that is responsive to discovery requests

propounded by the Plaintiffs or Iberiabank, and it would not be unduly burdensome or otherwise
objectionable to produce such ESI, including without limitation, e-mail and documents of various
types, subject to the terms of this Protocol and the Protective Order, the FDIC-R shall produce
non-privileged ESI to the Requesting Party that is responsive to any request for production of
documents.

9.

The FDIC-R maintains ESI that the FDIC-R or its contractors (1) obtained from the

computers, servers, and other data storage systems of the Bank, or (2) created by scanning hardcopy records of the Bank (collectively, the “Orion ESI”). To the best of its knowledge, the FDICR represents that the Orion ESI listed in Exhibit B is a complete and accurate listing of the ESI
collected by the FDIC-R from the Bank. The Orion ESI is maintained by the FDIC-R in its Failed
Bank Data Services (“FBDS”) databases.
10.

Some of the Orion ESI is not completely text-searchable, including the Fileshares

and Departmental Shares (the “Non-Searchable Orion ESI”). If a Requesting Party determines
that it would like text-based searches of any of the Non-Searchable Orion ESI, the FDIC-R will
discuss and attempt to reach an agreement with the Party regarding the processing of the data
required to make such data text-searchable and the costs involved in doing so. If Orion and the
Requesting Party are unable to reach an agreement, either Party will have the right to address issues
relating to the Non-Searchable Orion ESI with the Court. Any issues relating to the NonSearchable Orion ESI will not be subject to this Protocol, except with respect to the procedure
addressed in this paragraph, but will instead be subject to the applicable rules and laws governing
the production of ESI, including but not limited to Fed. R. Civ. P. 26(b)(2)(B) and 34.
11.

The Parties agree search terms will assist in identifying documents that are

responsive to the Requesting Party’s requests for production. The Parties further agree that the
following databases will be subject to the application of search terms (the “Searched Databases”):
(i) OR Email Database 26 V2 Part 1, (ii) OR File Shares and Miscellaneous Documents 21, (iii)
OR Forensic Data, and (iv) OR Scanned Documents.
12.

The Requesting Party and the FDIC-R shall meet and confer as necessary in a

collaborative effort to: (a) develop a proposed set of search terms that the FDIC-R will use in a
search of the Searched Databases; and (b) determine the custodial data sources to which the search
terms should be applied. The FDIC-R shall apply the initial search terms to the Searched Database
and agreed-upon custodians and shall identify for each such database: (i) the number of unique
documents without families (i.e., attachments) triggered by each identified search term in the set

of proposed search terms; and (ii) the number of unique documents with families triggered by each
identified search term in the set of proposed search terms. The Requesting Party and the FDIC-R
shall engage in an iterative process in good faith to establish final agreed-upon search terms.
During this iterative process to establish final agreed-upon search terms, the Parties will
collectively modify the search terms based upon the approximate volume of data and “hit” counts
from the previous iteration of searching. The Requesting Party may request a reasonable number
of iterations to establish the final set of search terms. The FDIC-R reserves the right to contest the
Requesting Party’s search terms and requests, including objections based upon burdensomeness
or cost.

The Requesting Party and the FDIC-R will confer in good faith to resolve any

disagreement regarding any proposed search terms or any other part of the search term procedure.
If the Requesting Party and the FDIC-R are unable to agree upon a final set of search terms or any
other part of the search term procedure, any Party may within a reasonable time raise the issue
with the Court by motion.
13.

After the Requesting Party and the FDIC-R have agreed upon search terms, or

established search terms with the assistance of the Court, the FDIC-R shall apply the search terms
to the Searched Databases and agreed-upon custodians in order to create a production set of files.
The files will be produced, subject to the FDIC-R’s search for material protected by the Bank
Secrecy Act or other laws, regulations, or protections preventing the disclosure of particular
information, in the format established by Exhibit A hereto. The FDIC-R will then export the
production set to a Relativity workspace hosted by the FDIC-R’s vendor (“Production
Workspace”). The FDIC-R will provide the Requesting Party with access to their own view of
the Production Workspace. All queries, searches, filters, document review, coding, and tagging
of documents in the Production Workspace shall be the work product of the Party working in the
Production Workspace and shall not be available to any other Party. The Requesting Party shall
have access to the Production Workspace for a reasonable number of users at no cost during the
pendency of this Action, provided that no more than 50 GB of data is exported to the Production
Workspace as responsive to the requests. If the volume of the Production Workspace exceeds 50

GB of data, the Requesting Party is responsible for a hosting cost of $3/GB/month in excess of 50
GB for their assigned workspace.
14.

The FDIC-R need not re-produce responsive documents that have already been

produced, with the caveat that the Requesting Party reserves the right to request re-production of
certain documents where circumstances may reasonably warrant, and the FDIC-R reserves the
right to object to any such request.
15.

At the Requesting Party’s request, the FDIC-R will convert files in the Production

Workspace into Static Images. The collective cost to the Requesting Party for a set of imaged ESI
is $0.01 per page of each Static Image provided. The FDIC-R has no obligation to pay for Static
Images created as a result of the production requests.
B. Plaintiffs’ ESI
16.

The Plaintiffs maintain electronic data on personal computers and in email inboxes

and folders.
17.

If the Plaintiffs are in possession of certain ESI that is responsive to discovery

requests propounded by the FDIC-R or Iberiabank, and it would not be unduly burdensome or
otherwise objectionable to produce such ESI, including without limitation, e-mail and documents
of various types, subject to this Protocol and the Protective Order, the Plaintiffs shall produce nonprivileged ESI to the Requesting Party that is responsive to any request for production of
documents from the FDIC-R or Iberiabank. The Plaintiffs reserve the right to make physical paper
documents available for the Requesting Party’s inspection to the extent permitted by Federal Rule
of Civil Procedure 34.
18.

If the Plaintiffs believe that the application of search terms to electronic repositories

would be an efficient and effective method of identifying relevant documents, the Requesting Party
and the Plaintiffs shall meet and confer to develop search terms applicable to the Plaintiffs’ ESI
and reserve the right to raise any issue with the Court in the event that they are unable to reach
agreement.

19.

The Plaintiffs need not re-produce responsive documents that have already been

produced, with the caveat that the Requesting Party reserves the right to request re-production of
certain documents where circumstances may reasonably warrant, and the Plaintiffs reserve the
right to object to any such request.
C. Iberiabank’s ESI
20.

Iberiabank maintains electronic data on personal computers, servers, and in email

inboxes and folders.
21.

If Iberiabank is in possession of certain ESI that is responsive to discovery requests

propounded by the FDIC-R or Plaintiffs, and it would not be unduly burdensome or otherwise
objectionable to produce such ESI, including without limitation, e-mail and documents of various
types, subject to this Protocol and the Protective Order, Iberiabank shall produce non-privileged
ESI to the FDIC-R or Plaintiffs that is responsive to any request for production of documents from
the FDIC-R or Plaintiffs. Iberiabank reserves the right to make physical paper documents available
for the Requesting Party’s inspection to the extent permitted by Federal Rule of Civil Procedure
34.
22.

If Iberiabank believes that the application of search terms to electronic repositories

would be an efficient and effective method of identifying relevant documents, Iberiabank and the
Requesting Party shall meet and confer to develop search terms applicable to the Iberiabank’s ESI
and reserve the right to raise any issue with the Court in the event that they are unable to reach
agreement.
23.

Iberiabank need not re-produce responsive documents that have already been

produced, with the caveat that the Requesting Party reserves the right to request re-production of
certain documents where circumstances may reasonably warrant, and Iberiabank reserve the right
to object to any such request.
D. General
24.

Notwithstanding the provisions of this Protocol, each Party shall produce any and

all ESI it intends to rely upon in support of any claim or defense with respect to this case.

25.

If, after reviewing a Producing Party’s production, the Receiving Party believes

additional responsive documents exist but have not been produced, the Parties shall meet and
confer in good faith and attempt to reach an agreement regarding any additional steps to be taken
to locate and produce such documents and information, including but not limited to, additional
means to identify documents, additional custodians to search, and the costs involved in taking such
steps and any subsequent production. If the Parties are unable to reach an agreement, they may
address this issue with the Court on an expedited basis.
26.

Upon demand, the Receiving Party shall return or destroy any privileged or

protected paper copies to the Producing Party and delete or otherwise destroy all electronic copies
of privileged or protected ESI produced pursuant to this Protocol, other than any copies created as
a result of a disaster recovery backup procedure.
27.

The return or destruction of a document or materials over which the Producing

Party has asserted a claim of Privilege as set forth above shall be without prejudice to the Receiving
Party’s right to contest the claim of Privilege, including seeking an order from the Court directing
the production of the document on the ground that the claimed Privilege is invalid or inapplicable;
provided, however, that mere production of the document or information in the course of this
action shall not constitute grounds for asserting waiver of the Privilege.
28.

If the Parties disagree over the application of these principles or challenge the

privileged nature of produced ESI, the Receiving Party shall not make use of the ESI in question
until the matter is resolved by the Court.
29.
privilege log.

If a Party withholds any file on the basis of Privilege, it shall provide a categorical
The Parties agree that the FDIC-R is not required to provide any kind of

identification of the documents withheld from production as protected by the Bank Secrecy Act.
30.

Nothing in this Protocol shall waive or otherwise prejudice the Parties' rights to

object to opposing party's requested search terms on grounds provided by the Federal Rules of
Evidence, the Federal Rules of Civil Procedure, or other controlling law. As such, the Parties

reserve the right to contest and object to opposing party's requested search terms based upon
burdensomeness, cost, any applicable privilege, or any other applicable protection from disclosure.

Consented to by:

/s/ David J. Tong ____________
David J. Tong, Esq.
Fla. Bar. No. 437085
[e-mail]
Tracy M. Evans, Esq.
Fla. Bar. No. 84976
[e-mail]
Saxon Gilmore & Carraway, P.A.
201 E. Kennedy Blvd Ste 600
Tampa, FL 33602
Attorneys for FDIC-R

/s/ Andrew Ben Demers______
Andrew Ben Demers, Esq.
Fla. Bar. No. 15189
[e-mail]
Adrian Rust, Esq.
Fla. Bar. No: 80888
[e-mail]
Burr& Forman, LLP
50 North Laura Street, Suite 3000
Jacksonville, FL 32202
Attorneys for Iberiabank

/s/ James D. Gibson_____________
James D. Gibson, Esq.
Fla. Bar. No. 0709069
[e-mail]
Gibson, Kohl, Wolff, & Hric, P.L.
400 Burns Court
Sarasota, FL 34236
Attorney for Demasi-Kondapalli, LLC

/s/ Stuart Jay Levine__________
Stuart Jay Levine, Esq.
Fla. Bar. No. 835994
[e-mail]
Edward J. Brown, Esq.
Fla. Bar. No. 0030072
[e-mail]
Walters Levine, P.A.
601 Bayshore Blvd, Suite 720
Tampa, FL 33606
Attorneys for Ravi Kondapalli

Exhibit A to Protocol
Form of Production for Email
All emails from Windows-Based ESI (“WESI”), whether produced as Native Files or Static
Files, shall be produced in an accompanying Load File complete with full text extracts and the
fields of metadata below, to the extent the metadata is available. If a Party converts an email from
WESI into a Static File and produces the Static File, the producing Party shall produce the full text
extract and metadata of the Native File used to create the Static File to the extent metadata is
available and not privileged:
1.

From (email sender)

2.

Author Meta (Last editor of attachment/e-doc)

3.

Bates Begin

4.

Bates End

5.

Bates Attach Begin

6.

Bates Attach End

7.

BCC

8.

CC

9.

Sent To

10.

COMPPATH (Complete Filename and path)

11.

Custodian (Natural person or device in possession of the record at the time of
collection)

12.

Group_Custodian (Name(s) of custodian(s) with exact copy of file before deduplication)

13.

Relativity ID(Unique Document identifier – Document Control Number)

14.

Extracted Text (Text of e-mails, nested e-mail body, or raw text from images,
edocs, or attachments)

15.

MD5 Hash

16.

Application (Program commonly used to access the record)

17.

Subject (e-mail subject line)

18.

Title Meta (Title of attachment/standalone edoc metadata)

19.

Sent Date (Date e-mail was sent from sender)

20.

Sent Time (Time e-mail was sent from sender)

21.

Last Modified Date (Full date edoc was modified before saving/sending)

Electronic mail shall be produced along with attachments to the extent the message and/or
any attachment is responsive, relevant and not privileged. As a general matter, subject to specific
review, a message and its attachments(s) shall not be withheld from production based on the fact
that one or more attachments are privileged, irrelevant or non-responsive. To the extent the
message and/or one or more attachments is privileged or non-responsive, the responsive, nonprivileged documents shall be produced along with placeholders indicating whether the individual
record was withheld as non-responsive or privileged.
Form of Production for Other WESI
All other WESI (including attachments to electronic mail) whether produced as Native
Files or Static Files, shall be produced with an accompanying load file complete with full text
extracts and the fields of metadata listed below, to the extent the metadata is available. If a Party
converts any WESI into a Static File and produces the Static File, the producing Party shall produce
the full text extract and metadata of the Native File used to create the Static File to the extent
metadata is available and not privileged:
1.

Author Meta (Last editor of attachment/e-doc)

2.

Bates Begin

3.

Bates End

4.

Bates Attach Begin

5.

Bates Attach End

6.

COMPPATH (Complete Filename and path)

7.

Custodian (Natural person or device in possession of the record at the time of
collection)

8.

Group_Custodian (Name(s) of custodian(s) with exact copy of file before deduplication)

9.

Relativity ID (Unique identifier – Document Control Number)

10.

Extracted Text (Text of e-mails, nested e-mail body, or raw text from images,
edocs, or attachments)

11.

Group Identifier (Full range of Relativity records between beginning parent
document and ending child document)

12.

Document Type (Field in Relativity describing the family relationship (parent or
attachment) of a record

13.

Textpath (Relative file path to the document level extracted text file in the
production volume containing the text of emails, nested email body, or raw text
from images, edocs, or attachments)

14.

MD5 Hash

15.

Application (Program commonly used to access the record)

16.

Title Meta (Title of attachment/standalone edoc metadata)

17.

Created Date (Contains the date the edoc was created)

18.

Created Time (Contains the time the edoc was created)

19.

Last Modified Date (Full date the edoc was modified before saving/sending)

20.

Nativefile (Relative file path to the produced native file in the production volume)

Native Production
Generally, all WESI e-mail and non-email shall be produced by the Parties as Native Files
in Load Files that can be exported to Concordance, Summation or a similar reviewable database.
Exceptions may include documents imaged for redaction purposes prior to release for review and
production, or documents scanned by the FDIC-R after being named receiver. Each native WESI
document produced will have a unique document identification number (i.e., “DocID”) generated

and included within the production as a separate metadata field within the Data (“DAT”) or
Document Image Information (“DII”) Load File. The DocID shall be the default unique document
identification number. The Parties agree that the first Party to present a Native File or an image
of a Native File as an exhibit (deposition, trial, etc.), as an attachment to a pleading, or otherwise
introduce the image of the Native File for the first time as evidence, shall convert the Native File
to a Static Image(s) (.TIFF/.PDF), Bates-number the Static Image with the default unique
document identification number (“DocID”); and provide a copy of the Native File to the other
side’s counsel at least two business days prior to using the Native File in a deposition or hearing.
Each Static Image page shall be branded consecutively with the Native File DocID plus a suffix
consisting of a dash and number for each page comprising the entire imaged document (i.e.,
“Native DocID”-001, “Native DocID”-002, etc.).
Load Files
All WESI shall be produced along with an IPRO, Opticon, or Summation DII load file
indicating Bates numbers and document breaks, as applicable. Metadata shall be produced in
Concordance DAT file format, DII format and summary text file for Summation, or XML format
and extracted full text shall be provided in TXT file format at the record/document level. To the
extent imaged documents are produced, document images will be provided in single-page TIFF
format while extracted full text shall be provided in TXT file format at the document level. NonWindows-Based Applications and Data shall be subject to the same production requirements to
the extent technically and legally feasible.
Form of Production for Data from Structured Databases
To the extent the Parties agree upon the production of data from Structured Databases, the
data will be produced in .csv or .xls format.
Duplicates
To avoid the production of more than one copy of a particular unique item, the Parties shall
use industry standard MD5 (or SHA-1) hash values within (1) all emails identified for production,
and (2) all loose electronic files identified for production. The Parties will not de-duplicate

attachments to emails against loose electronic files.
Other Methods to Streamline Discovery
The Parties agree to meet and confer in good faith about any other technology or process
that a producing party proposes to use to streamline the culling, review and production of ESI
(e.g., email threading, near de-duplication, technology assisted review). The Parties shall make
reasonable good faith efforts to resolve any objections to the use of such technology or process
before seeking relief from the Court.
Production Media
Documents shall be produced on external hard drives, readily accessible computer or
electronic media, e.g., CDs or DVDs, or by FTP upload (“Production Media”). All Production
Media should have the following four directories: (1) IMAGES for the images; (2) DATA for the
.dat and 1fp/.opt files; (3) TEXT for the extracted text/OCR files; and (4) NATIVES for native
files. The Production Media shall identify: (a) the Producing Party’s name; and (b) the production
date.
Color
Where the original of a produced document is in color, and color is material to the
interpretation of the document, the Receiving Party may request that the document be produced in
color (whether electronic or paper). All documents produced in imaged format will initially be
produced in black and white.
Physical Documents
Documents that exist solely in physical hard-copy format shall be converted to Static Image
(.TIFF) and produced following the same protocols outlined above. The metadata shall indicate
document breaks. The “.tiff’ files shall be subject to an Optical Character Recognition (“OCR”)
process, and the extracted OCR text will be produced as separate metadata.
Inaccessible Data
The Parties need not collect documents stored on disaster recovery backup tapes unless a
showing of specific need is made.

Exhibit B to Protocol
Orion Databases

Category

Customer

Loans

Loans

Loans

System Name
(Vendor)

Database Name &
Description

Bankway
(FIS/Metavante)

OR Metavante IBS Customer
Master 1

Bankway
(FIS/Metavante)

Customer master for deposits
and loans including account
information with alternate
names and addresses
OR Metavante IBS LN
Escrow Details 8

Bankway
(FIS/Metavante)

Loan Escrow details
associated with loans,
including collection method,
type, disbursement details etc.
OR Metavante IBS LN Master
6

Bankway
(FIS/Metavante)

Loan summary information,
borrower information, and
Principal and Interest details
OR Metavante IBS LN
Transaction History 7

Date Range

11/2005 - 2009

CUST Number,
CUST First Name,
CUST Last Name,
CUST SSN Tax ID

11/2005 - 2009

LN Number, CUST
Number, CUST SSN
Tax ID, Escrow
Number, CUST First
Name, CUST Last
Name

11/2005 - 2009

LN Number, Account
Name, Customer
First Name,
Customer Last Name,
CUST Number, LN
Orig Prin Amount
LN Number, LN Orig
Prin Amount, CUST
Number, CUST SSN
Tax ID, Effective
Date, CUST First
Name, CUST Last
Name
CUST Name, CUST
Tax Number, Box
Number, Box Bank
Number
DEP Number, CUST
First Name, CUST
Last Name, CUST
SSN Tax ID, CUST
Number

11/2005 - 2009

Loan transaction history
associated with loan summary
information
Deposits

Bankway
(FIS/Metavante)

OR Metavante IBS Safety Box
Details 11

Deposits

Bankway
(FIS/Metavante)

Contains Safety Box details
OR Metavante IBS Account
Master 2

Bankway
(FIS/Metavante)

Contains information for
Certificate of Deposit, Savings
and Deposits accounts such as
interest rate details, customer
information and account
details
OR Metavante IBS CD
Transaction History 3

Deposits

Key Search Fields

11/2005 - 2009

11/2005 - 2009

11/2005 - 2009

DEP Number, CUST
First Name, CUST
Last Name, CUST

Category

Deposits

Deposits

General
Ledger

General
Ledger

Customer

Loans

Loans

System Name
(Vendor)

Database Name &
Description

Bankway
(FIS/Metavante)

Contains transaction details
records for Certificate of
Deposit accounts along with
transaction type, routing
number, transaction amount
and other details
OR Metavante IBS Deposit
Notes 5

Bankway
(FIS/Metavante)

Contains transaction notes for
and DDA accounts
OR Metavante IBS Deposit
Transaction History 4

Bankway
(FIS/Metavante)

Contains transaction details
records for Savings and DDA
accounts along with
transaction type, routing
number, transaction amount
and other details
OR Metavante IBS GL Master
9

Bankway
(FIS/Metavante)

General Ledger Account
details
OR Metavante IBS GL
Transactions 10

Rembrandt (Walters
Kluwer Financial
Services)

General Ledger transaction
records with check number,
effective date and other details
OR Wolters Kluwer
Rembrandt Borrower
Information 12

Rembrandt (Walters
Kluwer Financial
Services)

Rembrandt (Walters
Kluwer Financial
Services)

Contains borrower details and
the account related
information
OR Wolters Kluwer
Rembrandt Collateral 14
Contains details of collateral
information related to the
commercial loans
OR Wolters Kluwer
Rembrandt Loan Details 13
Contains a summary of
commercial loan origination
information

Date Range

Key Search Fields

SSN Tax ID, CUST
Number

11/2005 - 2009

11/2005 - 2009

DEP Number, CUST
First Name, CUST
Last Name, CUST
SSN Tax ID, CUST
number
DEP Number, CUST
First Name, CUST
Last Name, CUST
SSN Tax ID, CUST
Number

11/2005 - 2009

GL Account Number,
GL Current Balance,
Cost Center ID

11/2005 - 2009

GL Account ID, GL
Transaction Amt,
Posted Date, GL
Transaction Date

2004 - 2009

CUST First Name,
CUST Last Name,
Employee ID Num,
CUST SSN Tax ID

2004 - 2009

CUST Full Name,
LN Number, CUST
SSN Tax ID, LN
Prop Col Name

2004 - 2009

CUST Full Name,
CUST SSN Tax ID,
LN Number

Category

Customer

Customer

Loans

Loans

Accounts
Payable

Accounts
Payable

Accounts
Payable

Customer

System Name
(Vendor)
EZ Lender (Fiserv)

EZ Lender (Fiserv)

EZ Lender (Fiserv)

EZ Lender (Fiserv)

IPS Sendero
(Fiserv)

IPS Sendero
(Fiserv)

IPS Sendero
(Fiserv)

FedLink (Ocean
Systems)

Database Name &
Description

OR Fiserv EasyLender
Customer Assets and
Liabilities 23
Contains Liabilities and Assets
details for the customers
OR Fiserv EasyLender
Customer Master 22
Contains customer details and
employment information
OR Fiserv Easy Lender Loan
Master 24
Contains Loan related details
such as the amount, interest
rates, Property information
and Underwriting information
OR Fiserv Easy Lender Real
Estate Income and Ownership
25
Contains real estate related
information for the customers
OR Fiserv IPS Sendero
Accounts Payable General
Ledger Tkts 18
Contains Accounts Payable
General Ledger ticket
Information
OR Fiserv IPS Sendero
Accounts Payable Inv and
Pmts Hist 17
Contains Accounts Payable
invoice and payment history
details
OR Fiserv IPS Sendero
Accounts Payable Vendor
Master 16
Contains vendor details and
company information
OR Ocean Systems FedLink
Wire Customer Master 19
Contains Wire transfer
Customer details

Date Range

2006 - 2009

2006 - 2009

Key Search Fields

Application Num,
LN Number,
Borrower Number,
Account Number,
CUST SSN Tax ID,
Company Name
Borrower Number,
CUST First Name,
CUST Last Name,
CUST SSN Tax ID

2006 - 2009

LN Number,
Borrower Num,
CUST SSN Tax ID

2006 - 2009

LN Number,
Borrower Number,
CUST SSN Tax ID

2003 - 2009

Vendor Name,
Invoice ID, Company
Name

2003 - 2009

Invoice ID, Purchase
Order Num,
Company Name,
Vendor Name,
Payment Acct
Number, Payment
Number
AP Vendor Name,
Vendor Tax ID,
Company Name,
Vendor Contact
Name

2003 - 2009

2004 - 2009

CUST CIF Number,
CUST Account
Number, CUST
Name 1, CUST
Name 2

Category

ACH/Wires

System Name
(Vendor)

Database Name &
Description

FedLink (Ocean
Systems)

OR Ocean Systems FedLink
Wire Transfer Details 20

Enterprise
Content
Managemen
t

Starview(FIS/Metav
ante)

Contains the transaction
details for incoming and
outgoing wire transfers
OR Metavante Starview Core
Banking Reports 15

Network
File Shares

Network File
System

Date Range

Contains Cold Storage Reports
for Core Banking
OR File Shares and
Miscellaneous Documents 21
Contains Shared documents,
files, and user profiles from
the domain server
OR Email Database 26

Emails

Exchange 2003
(Microsoft)

Emails

Exchange 2003
(Microsoft)

Contains emails
OR Email Database 26 V2
Part 1

Forensic
Data

Scanned
Data/Media

Key Search Fields

2004 - 2009

WIRE Fed Ref Num,
Sender ABA Num,
WIRE Benef Acct
Num, WIRE Acct
Num

11/2005 – 2009

Report Name, Report
Print Date, Report
Date, Report File
Name
File Link, File Path

2000 - 2010

DOCID

8/2000 - 9/2010

NativeID, CNSource,
NativeDocPack,
Custodian, DocDate

N/A

This database only contains
select documents from the
Non Forensic Email
collection.
OR Forensic Data

N/A

NativeID, DocID

N/A

Contains details of forensic
data received
OR Scanned Documents

N/A

DocNo, ContNo

Contains box inventory of
scanned data collection
received