Dravland, Jr. v. AstraZeneca Pharmaceuticals LP et al

Filing 60

ORDER regarding the Format of Production of Hardcopy Documents and Electronically Stored Information. Signed by Judge David R. Herndon on 5/9/2017. (ceh)

IN THE UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF ILLINOIS

IRMA COLEMAN, et al.,
Plaintiffs,
-vs-

Case No. 17-cv-130-DRH

ASTRAZENECA PHARMACEUTICALS, LP, et al.,
Defendants.
______________________________________________________________________
JOHN ROSENSTEEL, et al.,
Plaintiffs,
-vs-

Case No. 17-cv-131-DRH

ASTRAZENECA PHARMACEUTICALS, LP, et al.,
Defendants.
______________________________________________________________________
NICHOLAS SKAGGS, II, et al.,
Plaintiffs,
-vs-

Case No. 17-cv-132-DRH

ASTRAZENECA PHARMACEUTICALS, LP, et al.,
Defendants.
______________________________________________________________________
KENNETH LLOYD DRAVLAND, JR.
Plaintiff,
-vs-

Case No. 17-cv-133-DRH

1

ASTRAZENECA PHARMACEUTICALS, LP, et al.,
Defendants.
ORDER REGARDING THE FORMAT OF PRODUCTION OF HARDCOPY
DOCUMENTS AND ELECTRONICALLY STORED INFORMATION
The “Parties” (Plaintiffs and Defendants AstraZeneca LP, AstraZeneca
Pharmaceuticals LP (collectively “AstraZeneca”), The Procter & Gamble
Manufacturing Company; The Procter & Gamble Company (collectively “Procter &
Gamble”), Wyeth Pharmaceuticals, Inc., Wyeth LLC (collectively “Wyeth”), and Pfizer,
Inc., hereby agree to the following protocol for production of electronically stored
information ("ESI") and paper ("hardcopy") documents (collectively “Documents”) (the
“Protocol” or “Discovery Order”).1 This Protocol, as well as any Protective Order
entered by the Court, shall govern all production in the above-captioned matter,
including any appeal therefrom and any other proton pump inhibitor litigation
filed by undersigned counsel (collectively “the Litigation”). 2
Nothing in this
Protocol shall limit or waive a Party’s right to seek or object to discovery as set out
in applicable rules, to rely on any protective order entered in this action concerning
protection of confidential or otherwise sensitive information, or to object to the
relevance, admissibility or authenticity of any Document produced in accordance
with this Protocol.
A.
1.

GENERAL AGREEMENTS

Ongoing Cooperation among the Parties

The Parties are aware of the importance the Court places on cooperation
and commit to continue to consult and cooperate reasonably as discovery
proceeds.
2.

Preservation

1

The Parties acknowledge that AstraZeneca has previously collected, processed and produced
Documents in another litigation involving Nexium and Prilosec. AstraZeneca will produce
previously produced Documents of interest (i.e. INDs, NDAs). The parties are currently conferring
on other previously collected and/or produced Documents that will be re-produced in this
Litigation. The Parties will meet and confer to determine the parameters of production to be
applied to these Documents; however, AstraZeneca shall not be required or obligated to redo prior
discovery to the extent there are differences with this Protocol.
2
The Parties agree that no Documents will be produced until after a Protective Order is entered by
the Court.

2

The Parties represent that pursuant to Federal Rule of Civil Procedure
26(b)(1), that they have taken reasonable and proportional steps to preserve
reasonably accessible Documents that are relevant to the claims and defenses
in the Litigation, including implementation of a litigation hold.
Activities undertaken by or at the direction of c ounsel in
compliance with the duty to preserve information are protected from
disclosure and discovery under the Federal Rule of Civil Procedure
26(b)(3).
3.

Proportionality

In accordance with the Federal Rules, the Parties agree to seek discovery
regarding any non-privileged matter that is relevant to any Party's claim or
defense and proportional to the needs of the case. Identification of relevant
Documents for collection and production shall occur through identification of
appropriate Custodians and Non-Custodial Document Sources (as defined below)
(collectively “Sources”) and search parameters pursuant to meet and confer. The
Parties will continue to consult and cooperate reasonably throughout discovery,
to discuss, as appropriate, legitimate questions or issues (if any) that arise.
a.
Non-Discoverable ESI. The Parties acknowledge that some ESI may be
deemed inaccessible and not discoverable and 30(b)(6) depositions are being
requested,. The Parties shall meet and confer on the extent to which the following
categories of information may be non-discoverable.
i.

Documents deleted in the normal course of business before the
time a preservation obligation in this Litigation came into effect;

ii. Backup data files that are maintained in the normal course of
business for purposes of disaster recovery, including (but not
limited to) backup tapes, disks, SAN, and other forms of media,
and that are substantially duplicative of data that are more
accessible elsewhere;
iii. Deleted, "slack," fragmented, or unallocated data;
iv. Random access memory (RAM), temporary files, or other
ephemeral data that are difficult to preserve without disabling the
operating system;
v.

On-line access data such as (without limitation) temporary
internet files, history files, cache files, and cookies;
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vi. Data in metadata fields frequently updated automatically,
such as last-opened or last-printed dates;
vii. Electronic data (e.g., call logs, email, calendars, contact
data, notes, and text messages) on or sent to or from mobile
devices (e.g., iPhone, iPad, Android, and Blackberry devices);
viii. Voicemail not retained in the ordinary course of business;
ix. Instant messages not retained in the ordinary course of
business;
x.

Server, system, network or software application logs;

xi. Data remaining from systems no longer in use that are
unreadable on the systems in use;
xii. Electronic data temporarily stored by laboratory equipment or
attached electronic equipment, provided that such data is not
ordinarily preserved as part of a laboratory report.
xiii. Structural files not material to individual file contents that do
not contain substantive content (e.g. .CSS, .XSL, .XML, .DTD,
etc.).
b.
Disaster-Recovery Backup Data. Absent a Party's specific written notice for
good cause, no Party shall be required to modify or suspend procedures, including
rotation of backup media, used in the normal course of business to back up data
and systems for disaster recovery purposes. Absent a showing of good cause, such
backup media shall be considered to be not reasonably accessible.
4.

No Designation of Discovery Requests

In accordance with Federal Rule of Civil Procedure 34(b)(2)(E)(i), the Producing
Party shall produce Documents as they exist in the ordinary course of business and
therefore shall not be required to organize or label productions to correspond to
specific discovery requests. Any Custodial Files or Non-Custodial Document Sources
(collectively “Sources”) will be produced in the reasonably usable and searchable
format as set forth herein, and each production will be accompanied by a production
log, in native Excel spreadsheet format, identifying the Bates range of each production
that corresponds to each Source.
Should the Requesting Party make a reasonable request for identification by
Bates number of groups of Documents that the Producing Party can easily and readily
4

identify, the Producing Party shall cooperate and provide such information as soon as
reasonably practicable considering the scope of the request and the volume of
Documents implicated.
5.

Sources
a. Defendants: Following service of Plaintiffs’ Discovery Requests,
Plaintiffs and counsel for each Defendant will meet and confer
regarding the “Sources” (Custodians and Non-Custodial
Document Sources) that contain information responsive to
Plaintiffs Discovery Requests. Each Defendant will disclose to
Plaintiffs the “Non-Custodial Document Sources” (those managed
or accessed by multiple persons) and employees most likely to
possess relevant Documents (“Custodians”), whose Custodial Files
will be subject to collection and production. The Parties will
continue to meet and confer regarding production of any additional
Custodians and Non-Custodial Document Sources reasonably
sought by Plaintiffs to ensure discovery is reasonable and
proportional. Each Defendant will produce to Plaintiffs relevant,
non-privileged Documents from Non-Custodial Document
Sources or the individuals’ Custodial Files.
i.

AstraZeneca defines “Custodial File” to include:
Documents maintained in the Custodian’s hard copy files;
Documents maintained on the Custodian’s AstraZeneca
issued computer (desktop and/or laptop) and in the
Custodian’s allocated personal storage space(s); and
emails maintained in the Custodian’s mailbox in
AstraZeneca’s Office 365 environment as well as the
Custodian’s email archives (if applicable).

ii.

Procter & Gamble defines “Custodial File” Documents, if
any, maintained in the Custodian’s hard copy files, on the
Custodian’s issued computer, in the Custodian’s allocated
personal storage space, or in the Custodian’s email
mailbox.

iii.

Pfizer defines “Custodial File” to include: (i) hard copy
files that can be reasonably identified as belonging to the
Custodian; (ii) documents on the personal computer hard
drive(s) used by the Custodian while employed by Pfizer;
(iii) e-mail and attached documents, including centralized
e-mail storage, from the Custodian’s e-mail account(s)
provided by Pfizer, including email archives.

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iv.

B.
1.

Wyeth defines “Custodial File” to include: (i) hard copy files
that can be reasonably identified as belonging to the
Custodian; (ii) documents on the personal computer hard
drive(s) used by the Custodian while employed by Pfizer;
(iii) e-mail and attached documents, including centralized
e-mail storage, from the Custodian’s e-mail account(s)
provided by Pfizer, including email archives.
ELECTRONICALLY STORED INFORMATION

Production in Reasonably Usable Form

a.

Without waiving any available objection to any request for
production, the Parties shall produce ESI in reasonably usable
form. Except for Documents produced in native format as agreed
herein or as agreed hereafter by the Parties, such reasonably
usable form shall be the single-page TIFF-image format with
extracted or OCR text and available metadata as set out in
Attachment A (defined as "TIFF-Plus format"), which is
incorporated in full in this Protocol. Notwithstanding the
foregoing, the Receiving Party, for good cause explained in the
request, may request native format versions of specifically
identified ESI produced originally in TIFF-Plus format. Provided
that the requests: (1) are reasonable in volume; (2) specifically
identify by Bates number the ESI produced originally in TIFF
format; and (3) seek files that are not redacted or otherwise
cannot be produced in their native form, the Producing Party
shall respond in good faith to-such requests. The Parties will
negotiate in good faith regarding the Requesting Party’s
reproduction request and whether cost shifting is
appropriate. At its discretion, the Producing Party may produce
certain Documents in native form with slipsheets in the format set
forth in Appendix A, Paragraph A.15

b.

Redactions. As set forth in the governing Protective Order, the
Producing Party may redact from any TIFF image, metadata field,
or native file material that is protected from disclosure by
applicable privilege or immunity, that is governed by the EU Data
Privacy Directive or other applicable privacy law or regulation,
private personal information of employees or other persons;
commercially sensitive or proprietary non-responsive information,
or other information that the Protective Order entered allows to be
redacted.
The Producing Party shall identify redactions clearly on the
face of any *.tif image, either with “Redacted” or the redaction
6

reason on the face of the Document if space allows. (e.g.:
Privilege, Voluntary Reporter). In lieu of a redaction log, the
Producing Party may provide a metadata field in the .dat file
that identifies the type(s) of redactions that appear on a
Document (e.g. Attorney Client, Work Product, etc.).
c.

2.

Each Party may make reasonable requests, for good cause, for
production of specifically identified Documents in color. The
Parties shall confer whether cost shifting is appropriate.
Electronic Spreadsheets, PowerPoint, Word, SAS, PDF, and
Multimedia Files

Electronic spreadsheets (e.g., Excel), Powerpoints, Word, PDF, SAS, and
Multimedia Files shall be produced in native format, unless they are authorized
to be redacted. Plaintiffs shall meet and confer with individual Defendants with
respect to the format of production for redacted documents.
After such redactions, the Producing Party either shall produce the redacted
Document in the reasonably usable form set out in Attachment A, or shall produce the
redacted copy in native format. 3 Certain types of files, such as system,
program, and sound files, will not be amenable to conversion into
anything meaningful in *.tif format. Relevant files that cannot be provided
in a meaningful *.tif format will be produced in native form with a *.tif slip
sheet. Examples of file types that may not convert include but are not
limited to file types with the following extensions:
*.exp *.ilk *.res *.trg *.tlh *.idb *.pdb *.pch *.opt *.lib
*.cab *.mov *.mp3 *.swf *.psp *.chi *.chm *.com *.dll
*.exe *.hlp *.ivi *.ivt *.ix *.msi *.nls *.obj *.ocs *.rmi
*.sys *.tmp *.tff *.vgx *.wav *.wpg *.iso *.pdb *.eps
*.mpeg *.mpg *.ram *.rm *.psd *.ai *.aif *.bin *.hqx
*.snd *.mpe *.wmv *.wma *.xfd *.db *.xml
3.

Structured Data from Enterprise Databases and Database
Management Systems

The Parties shall meet and confer regarding production format of any
structured data and/or non-standard data requests. The Parties will work to
3

AstraZeneca will natively redact Excel files and produce in native form. Similarly, should AstraZeneca
produce SAS files, such files will be produced in native format with the exception that SAS or
comparable files requiring redaction will be converted to CSV or Excel format to allow for native
redaction and produced in such format.

7

identify an appropriate format that will allow the Requesting Party to use and
search the data in a meaningful way, such as an already existing and reasonably
available report, or an export from the original database of discoverable
information in a format compatible with Microsoft Excel or Microsoft Access
produced in native format. A Producing Party shall neither be obligated to create
and/or produce a copy of a database, nor provide another Party with access to a
database.
Structured data from database and database management systems that has
already been collected and or produced in other litigations or for some other
purpose as of the date of this Order, shall be acceptable in the form collected or
produced.
The Receiving Party shall not be precluded from seeking production in a
different format; the Parties shall meet and confer in good faith whether cost shifting
is appropriate.
4.

Additional Procedures for Native Format Files
a. Procedures for assigning production numbers and confidentiality
information to files produced in native format are addressed in
Appendix A, Paragraph A.15.
b. Any Party seeking to use, in any proceeding in this Litigation,
files produced in native format shall do so subject to the
following:
i.
If the native file has been converted to TIFF-image or
hardcopy, the original production number and confidentiality
designation shall be stamped on each page of the resulting TIFF-image
or hardcopy document representing the original native-format file, with a
suffix added to the production number to identify the particular page in
the file (e.g., XYZ00001_001). In addition, the MD5 or SHA-1 hash value
of the native file from which the TIFF-image or hardcopy document was
generated shall be placed on, at a minimum, the first page of the TIFFimage or hardcopy document.
ii.
If the file will be used in its native format, the Party
seeking to use the native file shall create and attach thereto a slip
sheet which provides the production number and MD5 hash value
of the file as well as any confidentiality designation.
iii.
Any Party using native format files for any reason during
the course of the Litigation, for instance as an exhibit at a
8

deposition or at trial, as an exhibit for a motion, or Documents
given to any experts or consultants, is responsible for ensuring that
the slip sheet associated with each native file is prepended to the file
prior to its use. Use of a file in native format, or use of a TIFF
image or hardcopy document representing the original native-format
file, shall constitute a representation that the file being used is an
accurate, unaltered and complete depiction of the original nativeformat file. 4
5.

Use of Search Filters
a.

b.

To contain costs in the identification of non-duplicative relevant
ESI for review and production, the Parties may wish to use
advanced search and retrieval technologies, including email
threading, predictive coding or other technology-assisted review.
The Producing Party shall meet and confer with the Requesting
Party to discuss search and retrieval method(s) the Producing
Party has determined to apply to its Sources. If changes to
such methods are deemed necessary by the Producing Party, the
Producing Party will so notify the Requesting Party and the
Parties shall meet and confer regarding proposed changes if the
Requesting Party does not agree to them.

c.

Each Defendant will propose a list of search terms to Plaintiffs
within 30 days of entry of this Order. Plaintiffs will meet and
confer with the Defendant regarding those terms within 30 days
of Defendant’s proposal. Agreement on search terms will be
completed promptly, but such agreement will not itself prevent
Plaintiffs from reasonable requests for additional search terms,
subject to a Defendant’s agreement or the Court's intervention,
throughout the course of discovery as limited by the deadlines
set forth in a Discovery Scheduling Order to be agreed upon by
the Parties.

d.

4

Date Range. The Parties shall meet and confer regarding the
appropriate date range to be applied to each Custodial File
and Non-Custodial Document Source. The Parties shall meet
and confer on the date cut off to be applied.

The fact that any electronic file has been identified in agreedupon searches shall not prevent the Producing Party from
withholding such file from production pursuant to the terms of

E-mail produced by AstraZeneca with reflect an HTML rendering of the MSG format.

9

the Protective Order or as required by the EU Data Privacy
Directive.
e.

6.

Nothing in this section shall limit a Party's right to reasonably seek
agreement from the other Parties or a Court ruling to modify
previously agreed-upon search terms, later requests for search
term validation, or procedures for advanced search and retrieval
technologies.
Collection and Deduplication

The Parties shall apply standard De-NISTing filters in order to exclude
irrelevant, non-substantive files from hosting, review and production.
7.
To manage the costs associated with review, production, and storage
costs of duplicative Documents for both Plaintiffs and Defendants, the Parties
shall confer regarding the deduplication to be applied. . The Parties agree that a
Producing Party may employ either Source level (i.e., deduped within a Source) or
global deduplication of Documents (i.e., both within a particular Source and
across all Sources). 5, 6 "Duplicate ESI" means files that are exact duplicates based
on the files' MD5 or SHA-1 hash values. The Producing Party need produce only a
single copy of responsive Duplicate ESI. Entire Document families may constitute
Duplicate ESI. De-duplication shall not break apart families. When the Producing
Party employs global deduplication and the same Duplicate ESI exists in multiple
Sources, those Sources shall be listed in the Global Source field identified in
Paragraph A.14.(c) of Attachment A.
8.

Production Rules

Due to the contextual relationship of ESI, the Parties will maintain family
relationships for electronic data; non-relevant attachments may be excluded from
production. The Parties will make relevancy and production determinations for
hard copy documents at the Document level.
9.

Prioritization

The Parties agree to meet and confer regarding prioritizing collection and
production efforts of relevant Document Sources. Documents will be produced
on a rolling basis pursuant to a schedule agreed upon by the Parties and
5

There may be Non-Custodial Document Sources that cannot be globally deduped or for which
global deduplication is not appropriate. Accordingly, the Producing Party will not employ global
deduplication for such sources.

10

consistent with the Case Management Order.
supplement production as necessary.
C.

The Parties reserve the right to

DOCUMENTS THAT EXIST ONLY IN HARDCOPY (PAPER)
FORM

A Party shall produce Documents that exist in the normal course of business
only in hardcopy form in scanned electronic format, redacted as necessary, in
accordance with the procedures set out in Attachment A. The scanning of original
hardcopy documents does not otherwise require that the scanned images be treated
as ESI.

Digitally signed by
Judge David R.
Herndon
Date: 2017.05.09
15:33:04 -05'00'

IT IS SO ORDERED.
DATED: May 9, 2017

UNITED STATES DISTRICT JUDGE

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ATTACHMENT A
A.1.

Image Files

Documents produced in *.tif format will be single page black and white *.tif
images at 300 DPI, Group IV compression. To the extent possible, original orientation will
be maintained (i.e., portrait-to-portrait and landscape-to-landscape). Each *.tif image will
be assigned a unique name matching the production number of the corresponding page.
Such files will be grouped in folders of no more than 1,000 *.tif files each unless necessary
to prevent a file from splitting across folders. Files will not be split across folders and
separate folders will not be created for each file. Production ("Bates") numbers shall be
endorsed on the lower right corner of all images. This number shall be a unique,
consistently formatted identifier that will:
a)

be consistent across the production;

b)

contain no special characters; and

c)

be numerically sequential within a given file.

Bates numbers should be a combination of an alpha prefix along with an 8
digit number (e.g. ABC-00000001). The number of digits in the numeric portion of the
Bates number format should not change in subsequent productions. Confidentiality
designations, if any, will be endorsed on the lower left corner of all images and shall not
obscure any portion of the original file.
A.2.

File Text

Except where ESI contains text that has been redacted under assertion of
privilege or other protection from disclosure, full extracted text will be provided in the
format of a single *.txt file for each file (i.e., not one *.txt file per *.tif image). Where ESI
contains text that has been redacted under assertion of privilege or other protection from
disclosure, the redacted *.tif image will be OCR'd and file-level OCR text will be provided
in lieu of extracted text. If redacted Documents are embedded within a parent
Document, the parent Document will be produced in TIFF format with Document level
OCR text.
Searchable text will be produced as Document-level multi-page UTF-8 text
files with the text file named to match the beginning production number of the Document.
The full path of the text file must be provided in the *.dat data load file.
A.3.

*.tifs of Redacted ESI

*.tifs of redacted ESI shall convey the same information and image as the
original document, to the extent possible and available, including all non-redacted elements
and formatting which are visible in any view of the document in its native application (i.e.
track changes). Each redacted area shall bear a label containing the reason for the redaction
if space allows per B.1.b of the Protocol.
12

A.4.

Redactions

For ESI that is redacted, all metadata fields listed in A.14 will be provided in the
.dat file and will include all non-redacted metadata. Metadata may be redacted as
appropriate pursuant to Protective Order and this Protocol. Redacted documents shall be
identified as such in the load file provided with the production as required in A.14. A
Document’s status as redacted does not relieve the Producing Party from providing the
metadata required herein.
A.5.

Spreadsheet or Worksheet Files

To the extent that spreadsheet files, including without limitation Microsoft
Excel files (*.xls or *.xlsx), are redacted and therefore produced in *.tif image format,
such *.tif images will display hidden rows, columns, and worksheets, if any, in such files
to the extent available. If redactions can be made natively, then the native redacted
spreadsheet shall be produced.
A.6.

Parent-Child Relationships

Parent-child relationships (e.g., the associations between emails and their
attachments) will be preserved. Email and other ESI attachments will be produced as
independent files immediately following the parent email or ESI record. Parent-child
relationships will be identified in the .dat load file pursuant to paragraph A.14 below.
Because the relationship between hard copy documents is artificial, the Parties
will treat each hard copy document as independent subject to Paragraph A.12 below.
A.7.

Dynamic Fields

Documents containing dynamic fields such as file names, dates, and times will
be produced showing the field type (e.g., "[FILENAME]" or "[AUTODATE]"), when in
*.tif format, rather than the values for such fields existing at the time the file is processed.
A.8.

English Language

To the extent any data exists in more than one language, the data will be
produced in English, if available. If no English version of a file is available, the Producing
Party shall not have an obligation to produce an English translation of the data.
In effort to manage costs, for the purpose of producing Documents under this
Order in response to discovery requests, the Parties agree that they will utilize translation
software only for internal review of Documents identified as potentially privileged by
application of the Producing Party’s privilege filter. Defendants do not intend to waive

privilege or designations of Confidential Discovery Material or Confidential Personal
Information, as defined in the Protective Order for inadvertent production of such
information. Any and all Documents produced containing foreign language remain
subject to and are governed by the terms of the Protective Order.
A.9.

Embedded Objects
13

Some Microsoft Office and .RTF files may contain embedded objects. Such
objects typically are the following file types: Microsoft Excel, Word, PowerPoint, Project,
Outlook, and Access; and PDF. Subject to claims of privilege and immunity, as applicable,
objects with those identified file types shall be extracted as separate files and shall be
produced as attachments to the file in which they were embedded. If embedded objects are
privileged or require redaction, the parent Document will be produced in *.tif format
with Document level OCR text. If such embedded objects are merely non-substantive
graphic files such as corporate logos, such embedded objects need not be produced as
separate Documents as their content is visible in the parent Document.
A.10.

Compressed Files

Compressed file types (i.e., .CAB, .GZ, .TAR. .Z, .ZIP) shall be decompressed.
All files that exist within the compressed containers will be extracted to individual
files. If compressed container files are found within compressed container files those
files should be further decompressed and extracted to individual files.
A.11.

Encrypted or Corrupt Files

The Producing Party will take reasonable steps, prior to production, to
unencrypt or restore any discoverable ESI that is encrypted (e.g., password-protected) or
corrupt, and will produce relevant, non-privileged Documents that can be reasonably
unencrypted or restored.
A.12.

Scanned Hardcopy Documents

a)
In scanning hardcopy documents, multiple distinct documents should not
be merged into a single record, and single documents should not be split into multiple
records (i.e., hard copy documents should be logically unitized).
b)
For scanned images of hard copy documents, OCR should be performed
on a Document level and provided in Document-level *.txt files named to match the
production number of the first page of the Document to which the OCR text corresponds.
OCR text should not be delivered in the data load file or any other delimited text file.
c)
In the case of an organized compilation of separate hardcopy
documents—for example, a binder containing several separate documents behind numbered
tabs—the document behind each tab should be scanned separately, but the relationship
among the documents in the binder should be reflected in proper coding of the family fields
set out below.
A.13.

Production Numbering

In following the requirements of Paragraph A.1, the Producing Party shall take
reasonable steps to ensure that attachments to Documents are assigned production numbers
that directly follow the production numbers on the Documents or files to which they were
attached. If a production number or set of production numbers is skipped, the skipped

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number or set of numbers will be noted. In addition, wherever possible, each *.tif image
will have its assigned production number electronically "burned" onto the image.
A.14.

Data and Image Load Files

a) Load Files Required. Unless otherwise agreed, each production will include
a data load file in Concordance (*.dat) format and an image load file in
Opticon (*.opt) format.
b) Load File Formats.
i.

Load file names should contain the volume name of the production media.
Additional descriptive information may be provided after the volume name.
For example, both ABC001.dat or ABC001 metadata.dat would be
acceptable.

ii. Unless other delimiters are specified, any fielded data provided in a load
file should use Concordance default delimiters. Semicolon (;) should be
used as multi-entry separator.
iii. Any delimited text file containing fielded data should contain in the
first line a list of the fields provided in the order in which they are
organized in the file.

c) Fields to be Included in Data Load File. For all Documents produced, the
following metadata fields for each Document, if available at the time of
collection and processing and unless such metadata fields are protected from
disclosure by attorney-client privilege or work-product immunity or otherwise
prohibited from disclosure by law or regulation, including the EU Data Privacy
Regulation, will be provided in the data load file pursuant to subparagraph (a)
above, except to the extent that a Document has been produced with
redactions. The term "Scanned Docs" refers to documents that are in hard
copy form at the time of collection and have been scanned into *.tif images.
The term "Email and E-Docs" refers to files that are in electronic form at the
time of their collection.
The Parties shall meet and confer regarding any metadata fields sought beyond
those listed below.
Sample
Data

Scanned
Docs

Email and EDocs

PRODBEG

ABC00000001

Yes

Yes

Beginning production
number

PRODEND

ABC00000008

Yes

Yes

Ending production number

Field*

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Comment

PRODBEGATT

ABC00000009

Yes

Yes

Beginning production
number of parent in a
family

PRODENDATT

ABC00001005

Yes

Yes

Ending production
number of last page of
the last attachment in a
family

ATTACH

Attach1.doc;
Attach2.doc

No

Yes

NUMATTACH

2

No

Yes

Filenames of all attached
records, separated by
semi-colons
Total number of records
attached to the document
(value will always be 0 for
the actual document)

CUSTODIAN/SOURCE Smith, John

Yes

Yes

GLOBAL SOURCE
(or ALL
CUSTODIAN)

Doe, Jane;
Jones, James

No

Yes

NATIVEFILE

Natives\\\
00000001.xls

N/A

Yes

Path and file name for
native file on production
media

DOCTYPE

Microsoft
Office 2007
Document

N/A

Yes

Description of the type file
for the produced record.

FILEPATH

\My Documents\
Document1.doc

N/A

Yes

Original source filepath
for the record produced.

N/A

Yes

Paths to duplicate
maintained by other
Custodians/Sources

ALLFILEPATHS
(Produced if Party
globally dedups)

Name of Custodian/Source
that possessed the
Document
Custodian(s)/Source(s)
that possess duplicate
copies of the Document

FILENAME

Document1.doc

N/A

Yes

Name of original
electronic file as
collected.

DOCEXT

DOC

N/A

Yes

File extension for
email or e-doc

DOC TYPE

Email

N/A

Yes

Type of document

16

PAGES

2

Yes

Number of pages in the
produced Document (not
applicable to native file
productions).

N/A

FILE SIZE

Yes

Yes

File size

AUTHOR

John Smith

N/A

Yes

Author information as
derived from the properties
of the Document.

DATECREATED

10/09/2005

N/A

Yes

Date that non-email file
was created as extracted
from file system metadata

DATELASTMOD

10/09/2005

N/A

Yes

Date that non-email file
was modified as extracted
from file system metadata

DOCTITLE

Meeting Minutes

N/A

Yes

SUBJECT

Changes to
Access Database

N/A

Yes

FROM

John Beech

N/A

Yes

"From" field extracted
from email message

TO

Janice Birch

N/A

Yes

"To" field extracted from
email message

CC

Frank Maple

N/A

Yes

"Cc" or "carbon copy"
field extracted from email

BCC

John Oakwood

N/A

Yes

"Bcc" or "blind carbon
copy" field extracted from
email message

DATESENT

10/10/2005

N/A

Yes

Sent date of email message
(mm/dd/yyyy format)

TIMESENT

18:33:00

N/A

Yes

Sent time of email
message, time zone set
to UTC

DATERCVD

10/10/2005

N/A

Yes

Received date of email
message (mm/dd/yyyy
format)

17

"Title" field extracted
from metadata properties
of the Document
"Subject" field extracted
from email message

TIMERCVD

18:33:00

N/A

Yes

CONFIDENTIALITY

CONFIDENTIAL

Yes

Yes

Text of confidentiality
designation, if any

TEXTPATH

Text\\\.txt

Yes

Yes

Path to *.txt file
containing extracted or
OCR text

PRODVOL

VOL001

Yes

Yes

Name of the Production
Volume.

REDACTED

Yes/No

Yes

Yes

Identifies whether a
Document contains
redactions

REDACTION
TYPE

Privilege

Yes

Yes

Identifies the reason for a
redaction.

N/A

Yes

MD5 (or SHAI) HASH e4d909c290d0fb
1ca068ffaddf22c
VALUE

Received time of email
message, time zone set to
UTC

Unique identifier

bd0
*Field designations are friendly names for ease of reference. Actual column names in load files may differ so long
as the column names are consistent across the Producing Party’s production and have the same meaning as the fields
above.

A.15.

Files Produced in Native Format

Any electronic file produced in native format shall be given a file name
consisting of a unique Bates number and, as applicable, a confidentiality designation;
for example, "ABC00000002 Confidential." For each native file produced, the
production will include a *.tif image slipsheet indicating the production number of the
native file and the confidentiality designation, and stating "File Produced Natively". To
the extent that it is available, the original file text shall be provided in a Document-level
multi-page UTF-8 text file with a text path provided in the *.dat file; otherwise the text
contained on the slipsheet shall be provided in the *.txt file with the text path provided
in the *.dat file.
A.16.

Production Media

Unless otherwise agreed, Documents will be produced on optical media (CD/DVD),
external hard drive, secure FTP site, or similar electronic format. Such media should have an
alphanumeric volume name; if a hard drive contains multiple volumes, each volume should
be contained in an appropriately named folder at the root of the drive. Volumes should be
numbered consecutively (ABC001, ABC002, etc.). Deliverable media should be labeled
with the name of this action, the identity of the Producing Party, and the following
information: Volume name, production range(s), and date of delivery.

18

Each Defendant will provide one copy of its productions to Plaintiff’s third
party discovery vendor. If a vendor has not been retained, Defendants will provide the
production to Plaintiff’s designated representative upon condition that, upon selection
of a vendor, Plaintiff’s designated representative will provide any production(s) to its
vendor that were directly produced to the designated representative. Anyone accessing
a production agrees to be subject to the Protective Order, and must sign the
Acknowledgement attached thereto.
A.17.

Encryption of Production Media

To maximize the security of information in transit, any media on which Documents
are produced may be encrypted by the Producing Party. In such cases, the Producing Party
shall transmit the encryption key or password to the Requesting Party, under separate cover,
contemporaneously with sending the encrypted media. The Receiving Parties in this matter
are on notice that certain data produced may originate from Sources that originate in a
jurisdiction outside the United States and are subject to the protection of foreign privacy
and data protection laws such as the EU Data Privacy Directive, and the Receiving Parties
therefore agree to follow the strictest security standards in guarding access to said data.

19