Loomis Sayles Trust Company LLC v. Citigroup Global Markets Inc

Filing 46

STIPULATION AND ORDER RE: DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND HARD-COPY DOCUMENTS...regarding procedures to be followed that shall govern the handling of confidential material...SO ORDERED (Signed by Judge Lorna G. Schofield on 1/24/2023) (ks)

Case 1:22-cv-06706-LGS Document 46 Filed 01/24/23 Page 1 of 24

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
________________________________________
)
LOOMIS SAYLES TRUST COMPANY, LLC, )
individually and on behalf of all others similarly )
situated,
)
)
Plaintiff,
)
) Civil Case No. 22-cv-6706-LGS
v.
)
)
CITIGROUP GLOBAL MARKETS INC.
)
)
)
Defendant.
)
)
STIPULATION AND [PROPOSED]
XXXXXXXXXXX ORDER RE: DISCOVERY OF
ELECTRONICALLY STORED INFORMATION AND HARD-COPY
DOCUMENTS
Plaintiff Loomis Sayles Trust Company, LLC and Defendant Citigroup Global
Markets Inc. (collectively, the “Parties”, and individually, a “Party”) submit this
XXXXXXXX Order Re: Discovery of Electronically Stored Information
Stipulation and [Proposed]
(“ESI Protocol” or “Protocol”) to govern discovery of electronically stored information in
this action as a supplement to the Federal Rules of Civil Procedure and any other
applicable orders and rules.
To the extent this Protocol does not address certain issues, those issues remain
open for resolution in a separate protocol, either negotiated by the parties or ordered by
the Court.
1.

Definitions
1.1.

“Confidentiality Designation” means the confidentiality designation

affixed to Documents as defined by, and subject to, the Protective Order, or any
applicable agreement or stipulation, entered in this matter.

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1.2.

“Custodian” means the individual from whose files the Document

originated, or in the case of a Document that originated from a document source not
associated with the files of one particular individual, the source of that Document (e.g.,
shared folder name).
1.3.

“Document” or “Documents” means any writing however recorded,

including handwriting, typewriting, printing, photographing, photocopying, transmitting
by electronic mail or facsimile, and every other means of recording upon any tangible
thing, any form of communication or representation, including letters, words, pictures,
sounds or symbols, or combinations thereof, and any record created thereby, regardless of
the manner in which the record has been stored, and also specifically includes
Electronically Stored Information and Hard-Copy Documents.
1.4.

“Document Family” means a Document and all other Documents that are

attached to it, the Document to which other Documents are attached being the “Parent”,
and Documents that are attached to the Parent being the “Children”.
1.5.

“E-Document” means a word processing, spreadsheet, presentation or

other file (other than Email or E-Messages) stored or transmitted in electronic form.
1.6.

“Electronically Stored Information” or “ESI,” means any Document or

Documents stored or transmitted in electronic form.
1.7.

“Email” means electronic messages sent using electronic mail protocols

(e.g., SMTP).
1.8.

“E-Message” means a non-Email form of electronic messaging, including

text and group messaging (e.g., Slack, Cisco Jabber, Microsoft Teams, Instant
Bloomberg, Google Chat, SMS, MMS, iMessage, Microsoft Lync, WhatsApp, WeChat).

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1.9.

“Hard-Copy Document” means any Document existing in paper form at

the time of collection.
1.10.

“Hash Value” is a unique numerical identifier that can be assigned to a

file, a group of files, or a portion of a file, based on a standard mathematical algorithm
applied to the characteristics of the text contained within the file or files.
1.11.

“Image Format” means an image version of a Document that displays the

content of that Document. Documents produced as TIFFs are produced in Image Format.
1.12.

“Include” and “Including” shall be construed to mean “include but not

be limited to” and “including, but not limited to”.
1.13.

“Load Files” means electronic files provided with a production set of

Documents and images used to load that production set into a Requesting Party’s
Document review platform.
1.14.

“Metadata” means information about a Document aside from the

contents of the Document itself.
1.15.

“Mobile Device” means any mobile phone, cellular phone, or tablet

device (e.g., iPhone, iPad, Android-compatible devices, or Microsoft Surface Go).
1.16.

“Native Format” means and refers to the format of ESI in which it was

generated and/or as used by the Producing Party in the usual course of its business and in
its regularly conducted activities. For example, the Native Format of an Excel workbook
is a .xls or .xlsx file.
1.17.

“Optical Character Recognition” or “OCR” means the process of

recognizing and creating a file containing visible text from a Document.

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1.18.

“Producing Party” means and refers to the Party upon whom a request

for the production of Documents is served.
1.19.

“Requesting Party” means and refers to the Party that serves a request

for the production of Documents.
1.20.

“Searchable Text” means the text extracted or generated using OCR from

any Document that allows the Document to be electronically searched.
2.

General Provisions
2.1.

The parties agree the manner of production of ESI is to be governed by

Fed. R. Civ. P. 26(b)(2)(B) and 34(b)(2)(E). The parties further agree to use good faith
efforts to produce all responsive identified ESI as promptly as practicable in accordance
with the agreed-upon specifications set forth below.
2.2.

In accordance with Rule III.C.3 of Judge Schofield’s Individual Rules and

Procedures, the Parties will attempt in good faith to resolve any disputes through the meet
and confer process before filing any letter motion for a pre-motion discovery conference.
The Parties commit to cooperate in good faith throughout the pendency of the ediscovery process.
2.3.

The parties will make reasonable efforts to ensure any productions made

are free from viruses and are provided on encrypted media.
2.4.

ESI will be produced under the specifications outlined in Paragraph 5 and

Exhibit A. Documents falling outside the scope of Paragraph 5 and Exhibit A will be
discussed before production to determine an acceptable production format.
2.5.

Documents will be produced either via secure file transfer protocol

(“SFTP”), external hard drives, readily accessible computer(s), or other electronic media.

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2.6.

Any practice or procedure set forth herein may be varied by agreement of

the Parties, which will be confirmed in writing. The Parties will meet and confer to
resolve any dispute regarding the application of this Order before seeking Court
intervention.
2.7.

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.
3.

Searching
3.1.

Pursuant to Rule II.A.1 of Judge Lorna G. Schofield’s Individual Rules

and Procedures for Civil Cases, the parties agree that, absent an order of the Court upon a
showing of good cause or stipulation by the parties, a Party from whom ESI has been
requested shall not be required to search for responsive ESI:
(a)

From more than 10 custodians;

(b)

That was created more than five years before the filing of the
lawsuit;

(c)

From locations not otherwise identified in Paragraph 3.3, infra that
are not reasonably accessible without undue burden or costs;

3.2.

A Party who intends to use search terms will specify in a Search Protocol:

(1) the universe of ESI to which search terms will be applied (e.g., custodians, data
sources, date range), and (2) the search terms to be applied to that universe of ESI. The
Parties shall timely meet and confer regarding any disputes regarding such protocol.
3.3.

Locations Not to Be Searched for Responsive Documents. The parties

agree that these data sources are not reasonably accessible because of undue burden or
cost pursuant to Fed. R. Civ. P. 26(b)(2)(B), and ESI from these sources will be preserved
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only to the extent it is ordinarily preserved in the normal course of business. These
sources need not be collected, searched or reviewed nor do Documents need to be
produced from such sources except for good cause shown:
(a)

backup systems and/or tapes used for disaster recovery purposes
only or that are substantively duplicative of data that is more
accessible elsewhere;

(b)

systems, server, and network logs; that were not in use as of March
18, 2022 and that cannot be accessed without undue effort;

(c)

automatically saved interim versions of Documents and Emails;

(d)

deleted, slack, fragmented, or other data accessible only by
forensics;

(e)

random access memory (RAM), temporary files, or other
ephemeral data that are difficult to preserve without disabling the
operating system;

(f)

on-line access data such as temporary internet files, history, cache,
cookies, and the like;

(g)

dynamic fields of databases or log files that are not retained in the
usual course of business;

(h)

Metadata that is frequently updated in the ordinary course of
business, such as last opened dates;

3.4.

Responsive documents that are identified or reasonably can be identified

without the use of an electronic search should be produced regardless of whether they are
identified in any search protocol. In addition, nothing in this paragraph shall limit a

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Receiving Party’s right to request from a Producing Party more information about the
nature of and burden associated with obtaining documents from a particular location.
3.5.

That a document is hit or captured by the application of any agreed upon

search terms does not mean that such document is necessarily responsive to any
propounded discovery request or is otherwise relevant to this litigation. The Producing
Party must make a good-faith determination as to responsiveness and privilege for each
document hit.
3.6.

The Parties do not intend to use technology assisted review (“TAR”) to

eliminate documents from attorney review but, should that change, reserve the right to
amend the Protocol accordingly.
4.

Processing Specifications
4.1.

De-Duplication.. Parties are required to produce only a single copy of a

responsive document and may de-duplicate responsive ESI across custodians. The
Producing Party shall take reasonable steps to remove Documents identified as
duplicative based on MD5 or SHA-1 Hash Values of the full text of the Documents,
including Email header information, notes, and annotations. For emails with
attachments, the Hash Value will be generated based on the Parent/Child document
group. Documents within a Document Family shall be considered duplicative of other
Documents only if all Documents within each Document’s Document Family are
duplicative. An Email that includes content in the BCC or other blind copy field shall not
be treated as a duplicate of an Email that does not include content in the BCC or other
blind copy field, even if all remaining content in the Email is identical. Exact duplicates
of Documents retrieved from different Custodians may be considered duplicative despite

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originating from a different Custodian. The Parties shall timely meet and confer
regarding any disputes regarding the de-duplication process.
4.2.

The Producing Party shall provide a Metadata field “ALLCUSTODIANS”

for all Documents, listing the Custodian of the Document and all Custodians that
possessed or held any duplicate of the Document that was removed through deduplication. Such de-duplicated documents shall be deemed produced from the files of
each such identified Custodian for all purposes in this litigation, including for use at
deposition and trial. A Producing Party shall use a uniform description of a particular
Custodian across productions. The Producing Party will timely update the
“ALLCUSTODIANS” field through an overlay file as necessary to comply with this
provision, including where a later processed Document de-duplicates against a previously
produced Document. The overlay file shall include all Custodians listed in the
“ALLCUSTODIANS” field in prior productions and any Custodians newly identified in
the current supplemental production.
4.3.

Email Threading. The Parties are permitted to use commercially

reasonable Email threading tools to remove Emails and their attachments where the
contents of the Email and its attachments are wholly included within another Email and
its attachments that are not removed. Upon request a Party will disclose the tool used for
Email threading and reasonable information regarding its functioning.
4.4.

System Files/Application Executable Files. Each party will use reasonable

efforts to filter out common system files and application executable files. Non-user
generated files may be removed from review and production using the list of non-user
generated files maintained by the National Institute of Standards and Technology (NIST).

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Additional culling of system files based on file extension may include, but are not limited
to: WINNT, LOGS, DRVS, C++ Program File (c), C++ Builder 6 (cpp), Channel
Definition Format (cdf), Creatures Object Sources (cos), Dictionary file (dic), Executable
(exe), Hypertext Cascading Style Sheet (css), JavaScript Source Code (js), Label Pro
Data File (IPD), Office Data File (NICK), Office Profile Settings (ops), Outlook Rules
Wizard File (rwz), Scrap Object, System File (dll), temporary files (tmp), Windows Error
Dump (dmp), Windows Media Player Skin Package (wmz), Windows NT/2000 Event
View Log file (evt), Python Script files (.py, .pyc, .pud, .pyw), and Program Installers.
Parties need not produce non-human readable E-Documents, except upon a showing of
good cause by the Requesting Party.
4.5.

Embedded Objects. A Producing Party shall produce non-image objects

that are embedded in other documents (“Embedded Objects”) as separate documents,
which shall be treated as attachments to the Document from which it was extracted.
4.6.

Hyperlinked Files. A Producing Party is not required to produce

hyperlinked files as part of the same Document Family as the Document containing the
hyperlink, provided however, that upon reasonable and particularized request, a
Producing Party will produce or identify such files to the extent it can locate them.
4.7.

Compressed Files. Compression file types (e.g., .CAB, .GZ, .RAR, .TAR,

.Z., .ZIP, etc.) shall be decompressed in a manner that ensures a container within a
container is decompressed into the lowest uncompressed element resulting in individual
files. The container file itself shall not be produced.
4.8.

Metadata Extraction. Each of the metadata fields listed in Exhibit A will,

where possible, be preserved and extracted.

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4.9.

Searchable Text. Searchable Text must be extracted directly from the

native Document unless the Document requires redaction, is an image, or is any other
native electronic file that does not contain text to extract (e.g., non-searchable PDFs), in
which case Searchable Text shall be created using OCR. Searchable Text shall include
all comments, revisions, tracked changes, speaker’s notes and hidden text. Searchable
Text from Email shall include all header information that would be visible if the Email
were viewed natively including: (1) the individuals to whom the Email was directed,
(2) the author of the Email, (3) any recipients copied or blind copied on such Email, (4)
the subject line of the Email, (5) the date and time of the Email, and (6) the names of any
attachments. Searchable Text shall not contain the Bates number or Confidentiality
Designation, to the extent reasonably feasible.
4.10.

Exception Files. The Parties will use commercially reasonable efforts to

address Documents that present processing or production problems (including encrypted
and/or password protected files) (“Exception Files”). Exception Files that are attached to
produced Documents will be produced as a Bates-stamped placeholder in Image Format
bearing the legend, “This Document was unable to be processed”. The Parties will meet
and confer regarding requests for the production of the native versions of Exception Files
and/or efforts to locate passwords for specifically identified Documents protected by
passwords. If the Parties cannot reach agreement on the handling of Exception Files
through the meet and confer process, the matter may be submitted to the Court for
resolution.
4.11.

Hard-Copy Documents. Hard-Copy Documents are to be scanned and

produced electronically in Image Format. Reasonable efforts are to be employed to scan

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the pages of Hard-Copy Documents in the same order in which they are maintained in the
ordinary course of business; to treat pages that are stapled, clipped, or otherwise clearly
appear to be part of the same Document as a single Document; and to treat Documents
that clearly appear to be separate Documents as separate Documents. For Hard-Copy
Documents found in folders or other containers with labels, tabs, or other identifying
information, such labels and tabs shall be scanned where reasonably practicable. Original
Document orientation (i.e., portrait v. landscape) should be maintained. Searchable Text
shall be created using OCR.
5.

Production Format
5.1.

General. Except as otherwise provided herein, the Parties will produce

Documents in single-page Image Format at a resolution of at least 300 dots per inch (dpi).
Spreadsheets (e.g., Excel files), delimited text files (e.g., comma-separated value (.csv)
files and tab-separated value (.tsv files), photographs, audio, and video files shall be
produced in Native Format. A Requesting Party may request the production of other
Documents (e.g., PowerPoint presentations) in Native Format where the production of the
native file is reasonably necessary to the Document’s comprehension or use, and such
request shall not unreasonably be denied.
5.2.

Image Format. Documents produced in Image Format will be named

according to the corresponding Bates numbered images. All Documents that contain
comments, deletions and revision marks (including the identity of the person making the
deletion or revision and the date and time thereof), speaker notes, or other user-entered
data that the source application can display to the user will be processed such that all that
data is visible in the image. Each Image Format Document will be branded in the lower
right-hand corner with its corresponding Bates number, and in the lower left-hand corner
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with its Confidentiality Designation, if any, using a consistent font type and size. The
Bates number and Confidentiality Designation must not obscure any part of the
underlying image. If placement of either the Bates number or Confidentiality
Designation will result in obscuring the underlying image, the Bates number or
Confidentiality Designation should be placed as near to its specified position as possible
while preserving the underlying image.
5.3.

Color. All documents, with the exception of those described in Paragraph

5.4, will be imaged and produced in single-page, Group IV, black and white TIFF or
color JPEG images. The Requesting Party may request color images of Documents
where color is reasonably necessary to their comprehension or use, and such request shall
not unreasonably be denied. Documents produced in color shall be produced as singlepage, 300 DPI JPG images with JPG compression and a high-quality setting as to not
degrade the original image.
5.4.

Native Format. Native versions of documents are to be produced for file

types not conducive to image review. Examples of these file types are: spreadsheets,
audio files, video files. For Documents produced in Native Format, a Bates-stamped
placeholder in Image Format bearing the legend “This Document has been produced in
Native Format” and a legend indicating the Confidentiality Designation shall also be
produced in the same way as any other Image Format Document. The native file will be
named by the Bates number of the document (i.e., “BATES00000001.XLS”). A
Requesting Party may request the production of other Documents in Native Format where
the production of the native file is reasonably necessary to the Document’s
comprehension or use, and such request shall not unreasonably be denied.

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5.5.

Image Load Files. Documents shall be accompanied by image load files.

A standard Opticon (.OPT) file, referencing all produced images, one image per line, will
be provided for the importing of images into a document review database.
5.6.

Database Load Files/Cross-Reference Files. Documents shall be

accompanied by a Concordance delimited (*.DAT) load file containing the appropriate
link fields and directory information for every file (e.g., image or native files) produced.
5.7.

Metadata. Load files should include, where the Metadata is reasonably

available, the information listed in the Table of Metadata Fields, attached as Exhibit A.
The Parties are not obligated to include Metadata for any Document that does not contain
such Metadata in the original if it is not possible to automate the creation of Metadata
when the Document is collected, with the exception of the following: BegBates,
EndBates, BegAttach, EndAttach, Page Count, NativeFileLink (for native files only),
ProdVol, Custodian, All Custodians, Application, Time Zone, Redacted and
Confidentiality.
A standard Concordance DAT (.DAT) file, in UTF-8 format, containing the
metadata fields listed in Exhibit A will be provided for the importing of text, native files,
and metadata into a document review database. The Metadata file shall be delimited
according to the following characters:
Value
Column
Quote
Newline
Multi-Value
Nested Value

Character
¶
þ
®
;
\

ASCII Number
20
254
174
59
92

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5.8.

Text Files. A single text file containing the Searchable Text as described

in Section 4.9, supra, shall be provided for each Document. The text file name shall be
the same as the Bates number of the first page of the Document with the Document
extension “.txt” suffixed. File names shall not have any special characters or embedded
spaces. Searchable Text shall be provided in UTF-8 with Byte Order Mark format text.
5.9.

Databases, Structured, Aggregated or Application Data. For requests in

which responsive information is contained in a database or other structured or aggregated
data source or otherwise maintained by an application, the Parties will meet and confer to
determine an appropriate format. If the Parties cannot reach agreement, the matter may
be submitted to the Court for resolution.
5.10.

Redactions. The Parties may redact information that is (1) privileged or

protected from discovery as work product or by reason of any other applicable privilege
or immunity; (2) protected personal information (e.g., credit card numbers, account
passwords, SSNs) subject to non-disclosure obligations imposed by governmental
authorities, law, or regulation; or (3) protected by confidentiality agreements requiring
third-party consent for disclosure, provided that the Producing Party has made a goodfaith effort to obtain such consent and such consent was not provided. Subject to the
limitations herein, no redactions for relevance may be made.
(a)

Redacted documents required to be produced in Native Format
may be produced in Image Format and searchable OCR text.
Otherwise, such Documents shall be redacted in Native Format, or
the Parties shall meet and confer on a reasonable method of
redaction.

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(b)

Attachments to Emails or other Documents whose entire contents
can be redacted may be produced as single-page slip-sheets stating
that the attachment has been redacted in full. Slip sheets shall be
in the same position in the family as if the withheld Documents
had been produced.

(c)

If Documents are produced with Redactions, an electronic copy of
the original, unredacted Document shall be securely preserved in
such a manner so as to preserve without modification, alteration or
addition the content of such Document including any Metadata
therein.

5.11.

Document Families. If any member of a Document Family is determined

to be responsive to a Party’s document requests, then all members of that Family must
also be considered responsive. Parent-Children relationships within a Document Family
shall be preserved through the production of an appropriate Metadata field and shall be
Bates-labeled consecutively.
5.12.

Foreign Language Documents. All documents shall be produced in their

original language. Where a requested document exists in a foreign language and the
Producing Party also has an English-language version of that document that it prepared
for non-litigation purposes prior to filing of the lawsuit, the Producing Party shall
produce both the original Document and all such English-language versions. Nothing in
this Order shall require a Producing Party to prepare a translation, certified or otherwise,
for foreign language documents that are produced in discovery.

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5.13.

Re-productions. Notwithstanding any provisions to the contrary,

Documents that the Producing Party re-produces in whole or in part from the production
files of another litigation, arbitration, government inquiry, or other matter may be
produced in the same manner and form as originally produced in the other matter,
provided that a party will re-produce documents in a different format for good cause
shown.
5.14.

Replacement Productions. Any replacement production will be

transmitted with a cover letter or Email to identify the production as a replacement and
cross-reference the BegDoc and EndDoc of the Documents being replaced. Replacement
productions shall include load files necessary to link the replacement file to other
previously produced document family members. Where the images for a replacement
Document occupy more pages than the images for the original Document, the Producing
Party shall apply an appropriate numerical suffix to the Bates number of the replacement
images (e.g., ABC000123.001 to ABC000123.005). If the replacement production is
being transmitted by physical media, the media shall include the phrase “Replacement
Production.”
5.15.

Production Media. The Producing Party will provide the production data

via high speed SFTP site, electronic media (hard drive, thumb drive, DVD or CD), or by
way of other electronic transfer, as between accounts at a cloud provider (subject to prior
agreement with the Requesting Party) (“Production Media”). For any production
exceeding five (5) terabytes in size, the Producing Party shall provide the production data
on physical media (hard drive, thumb drive, DVD or CD) to arrive no later than the day
any production is due. The Producing Party shall encrypt the production data, and the

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Producing Party shall forward the password to decrypt the production data separately
from the SFTP site or electronic media to which the production data is saved. Each piece
of Production Media shall identify: (1) the Producing Party’s name; (2) a production
number corresponding to the production volume (e.g., “VOL001,” “VOL002”), as well as
the volume of the material in the production (e.g., “-001,” “-002”); (3) the production
date; and (4) the Bates number range of the materials contained on the Production Media.
6.

Privilege Log
6.1.

Pursuant to Local Civil Rule 26.2, documents that are withheld on

privilege grounds will be identified in a privilege log provided within thirty (30) days of
substantial completion of a party’s document production. Challenges to documents
withheld for privilege may be made after this deadline notwithstanding that any deadline
for Party document discovery has passed.
6.2.

The Producing Party shall provide the Requesting Party with a log of the

Documents withheld for privilege containing the following information, to the extent
reasonably available:
(a)

For Emails: From, To, CC, BCC,

(b)

For E-Messages: Type, Channel

(c)

For E-Documents: Author

(d)

For all Documents: Custodian, Date, Privilege Basis, Privilege
Description, Attorney(s), and Privilege Log ID.

6.3.

“Privilege Basis” refers to the legal basis for withholding the document

(e.g., Attorney-Client Communication, Attorney Work Product). “Privilege Description”
refers to a description justifying the Privilege Basis, including as appropriate, the subject
matter of the legal advice, the relevant attorney(s) involved (to the extent not apparent
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from the Metadata), and/or the litigation matter for which the Document was prepared.
To the extent a common interest is asserted, that shall be indicated in the Privilege Basis.
The Privilege Description shall be sufficiently detailed so as to allow the Receiving Party
to fairly evaluate the claim of privilege or immunity. The same Privilege Description
may be used for multiple Documents so long as the Privilege Description is accurate.
6.4.

In-house attorney names shall be designated with an asterisk; outside

counsel attorney names will be designated with a double asterisk. To the extent attorneys
are not identified in the above fields, they shall be identified in the Privilege Description
or in a separate field.
6.5.

Information to be included in the log may be generated from available

Metadata so long as it is reliable.
6.6.

A single Document containing multiple Email messages (i.e., an Email

chain) may be logged as a single entry. If only part of a chain is privileged, the
privileged content should be redacted and the remaining content in the chain should be
produced.
6.7.

A Document Family (e.g., an Email and its attachments) may be logged as

a single entry so long as the entire Family is privileged and the log entry accurately
describes both the Parent and its attachment(s).
6.8.

A Party is not required to log redacted Documents provided that (1) a

Metadata field is provided indicating what documents are redacted, and (2) the Party
agrees to provide additional information in response to reasonable, individualized
requests where the basis for a redaction is unclear on the face of the redacted document
itself.

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6.9.

Privileged communications concerning the litigation involving trial

counsel that post-date the filing of the Complaint on August 6, 2022, need not be
included on the privilege log.
6.10.

A Party who re-produces Documents from other matters in satisfaction of

its discovery obligations in this litigation must also produce any associated privilege logs.
A Party may produce such privilege logs in their original format, even if the privilege
logs do not comply with the requirements of this Order. However, the burden shall
remain on the Producing Party to substantiate any privilege assertion reflected in such
privilege log.
7.

Non-Party Documents
7.1.

A Party that issues a subpoena upon any non-party (“Issuing Party”) shall

include a copy of this Order and any protective order agreed and/or entered in this
litigation with the subpoena and state that the Parties in this litigation have requested that
non-parties produce documents in accordance with the specifications set forth herein, to
the extent reasonably feasible. The Parties shall also provide a copy of this Order to
subpoenas served in this litigation prior to the date of this Order.
7.2.

The Issuing Party shall produce to the non-issuing party a copy of any

Documents and ESI (including any metadata) obtained under subpoena to a non-party in
accordance with the Federal Rules of Civil Procedure and subject to all the procedures
and protections set forth in any protective order agreed and/or entered in this litigation.
8.

Limitation, Non-Waiver and Modification
8.1.

This Order applies to Documents produced on or after the date this

Stipulated Order is fully executed by the Parties.

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Case 1:22-cv-06706-LGS Document 46 Filed 01/24/23 Page 20 of 24

8.2.

Nothing contained herein is intended to or shall serve to limit a Party’s

right to conduct a review of documents, ESI or information (including Metadata) for
relevance, responsiveness and/or segregation of privileged and/or protected information
before production.
8.3.

The Parties do not waive (1) any privileges, except as specifically required

herein, and any such waiver shall be strictly and narrowly construed and shall not extend
to other matters or information not specifically described herein, or (2) any objections to
the production, discoverability, admissibility, or confidentiality of documents and ESI.
8.4.

The parties recognize additional issues or unforeseen circumstances may

arise in the course of discovery, and nothing in this Protocol is intended to, or does,
restrict the ability of any Party to request additional information or seek additional relief
from the Court. The parties each retain the right to seek exceptions, amendments, or
modifications to this Protocol from the Court.
8.5.

This Order may be modified by a further Stipulated Order of the Parties or

by the Court for good cause shown. Any such modified Stipulated Order will be titled
sequentially as follows, “First Modified Stipulated Order Re: Discovery of Electronically
Stored Information”, and each modified Stipulated Order will supersede the previous
Stipulated Order.

20

Case 1:22-cv-06706-LGS Document 46 Filed 01/24/23 Page 21 of 24

IT IS SO STIPULATED, THROUGH COUNSEL OF RECORD.
LOOMIS SAYLES TRUST
COMPANY, LLC
By:
/s/ Matthew C. Baltay
FOLEY HOAG LLP
Matthew C. Baltay (pro hac vice)
Dean Richlin (pro hac vice)
Leah S. Rizkallah
Natalie F. Panariello (pro hac vice)

CITIGROUP GLOBAL MARKETS
INC.
By:
/s/ Michael A. Paskin
CRAVATH, SWAINE & MOORE LLP
Michael A. Paskin
Helam Gebremariam
Worldwide Plaza
825 Eighth Avenue
New York, NY 10019
Telephone: [phone]
Facsimile: [phone]
[e-mail]
[e-mail]

155 Seaport Blvd.
Boston, MA 02210
1301 Avenue of the Americas, 25th
Floor
New York, NY 10019

Dated: January 23, 2023

SO ORDERED:

January 24
Dated: __________________,
2023

______
Hon. Judge Lorna G. Schofield
United States District Judge

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Case 1:22-cv-06706-LGS Document 46 Filed 01/24/23 Page 22 of 24

Exhibit A Table of Metadata Fields
Field

Definition

Doc
Type

CUSTODIAN

The Custodian

All

ALLCUSTODIANS

The Custodian of the Document as well as for
all copies of the Document that were removed
as a result of de-duplication

All

BEGBATES

Beginning Bates number (production
number)

All

ENDBATES

Ending Bates number (production number)

All

BEGATTACH

First Bates number of the first Document in
the Document Family

All

ENDATTACH

Last Bates number of the last Document in the All
Document Family

PARENTBATES

Beginning Bates number for the parent e-mail
of a family (will not be populated for
documents that are not part of a family)

All

PAGE COUNT

Number of pages in the Document

All

APPLICATION

Commonly associated application for the
specified file type

All

DOCEXTENSION

File extension of the document.

All

NATIVE FILE LINK

The file path for Documents provided in
Native Format

All

TEXTPATH

File path for the Searchable Text file

All

PARENT DATE

Date of the Parent Document (mm/dd/yyyy
hh:mm:ss AM/PM)

All

HASHVALUE

Hash value (e.g., MD5 or SHA-1)

All

FOLDER

Folder location of the Email within the
Native Email application

Email

FROM

Sender

Email

TO

Recipient

Email

CC

Carbon Copy Recipients

Email

BCC

Blind Carbon Copy Recipients

Email

EMAIL SUBJECT

Subject line of Email

Email

DATETIMECREATED

Date and time created (mm/dd/yyyy hh:mm:ss
AM/PM)

Email

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Case 1:22-cv-06706-LGS Document 46 Filed 01/24/23 Page 23 of 24

Field

Definition

Doc
Type

DATETIMESENT

Date and time sent (mm/dd/yyyy hh:mm:ss
AM/PM)

Email

DATETIMERCVD

Date and time received (mm/dd/yyyy
hh:mm:ss AM/PM)

Email

EMAIL TYPE

Type of Email item (e.g., Email, calendar
item, contact, note, task)

Email

CONVERSATION ID

Identifier indicating the Email thread to which
an Email belongs

Email

FILENAME

Original file name at the point of collection

E-Document

FILESIZE

Size of the file

E-Document

TITLE

Title of document or title field extracted from
Metadata of non-Email ESI

E-Document

AUTHOR

Creator of a Document

E-Document

DATE CREATED

Creation Date (mm/dd/yyyy hh:mm:ss
AM/PM)

E-Document

LAST MODIFIED BY

Last person who modified (saved) a
Document

E-Document

LAST MODIFIED
DATETIME

Last Modified date and time (mm/dd/yyyy
hh:mm:ss AM/PM)

E-Document

E-MESSAGE TYPE

The type of electronic message (e.g., Text
Message, Slack, Microsoft Teams, Instant
Bloomberg, etc.)

E-Messages

E-MESSAGE
PARTICIPANTS

Senders, recipients, subscribers, or others who
have the ability to participate in a group
message or channel

E-Messages

E-MESSAGE
SUBJECT

Subject or name of the messaging thread or
topic, if any

E-Messages

E-MESSAGE
CHANNEL

Name of persistent messaging group or chat
room, if any

E-Messages

DOCUMENT TYPE

Descriptor for the type of Document,
All
including: “Email” for all Emails; “EMessage” for all E-Messages; “Attachment”
for files that were attachments to Emails or
E-Messages; “Electronic File” for electronic
files not attached to Emails or E-Messages;
and “Hard Copy” for Hard-Copy Documents;

REDACTED

“Yes” for redacted Documents; “No” for unredacted Documents

23

All

Case 1:22-cv-06706-LGS Document 46 Filed 01/24/23 Page 24 of 24

Field

Definition

Doc
Type

REDACTION BASIS

Basis of redaction (e.g., Attorney-Client
Communication, Attorney Work Product). If
there is more than one basis, the bases will be
separated by semi-colons.

All

PRODVOL

Production volume of data

All

CONFIDENTIALITY

Confidentiality Designation if assigned
pursuant to any applicable Protective Order
or stipulation

All

TIMEZONE

Time zone used during processing of data

All

SOURCE

The producing party

All

ATTACHIDS

The IDs of the documents that are attached to
the produced document

All

PARENT ID

Indicates the parent ID for an attachment or
embedded document. The parent document
ID field should be set for all attachments
(including attachments that are Emails) but
should not be set for parents.

E-Document

MESSAGE ID

The message ID of an Email or other type of
electronic message

Email, EMessage

EXCEPTION

“Yes” for Documents that were processing or
extractions exceptions, blank/null if not
present

All

EXCEPTION
REASON

Reason the item is identified as an exception

All

24