MDNRE 2010 Lab Practice Seminar Presentation
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Stored
Information
Robert Avery
Chief, Laboratory Services
MDNRE 2010 Lab Practice Seminar Presentation
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On December 1, 2006, new amendments to the Federal
Rules of Civil Procedure, concerning the discovery of
“electronically stored information” (ESI) in civil litigation
at federal courts, took effect. Amendments and additions
were made to Rules 16, 26, 33, 34, 37, and 45, as well
as Form 35.
The state recently adopted these rules for litigation.
These new rules on electronic discovery for ESI were
based on principles, known as the Sedona Principles.
MDNRE 2010 Lab Practice Seminar Presentation
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THE PRINCIPLES
Principle 1: Electronically stored information is potentially
discoverable under Fed. R. Civ. P. 34 or its state equivalents.
Organizations must properly preserve electronically stored
information that can reasonably be anticipated to be relevant
to litigation.
Principle 2: When balancing the cost, burden, and need for
electronically stored information, courts and parties should
apply the proportionality standard embodied in Fed. R. Civ. P.
26(b)(2)(C) and its state equivalents, which require
consideration of the technological feasibility and realistic
costs of preserving, retrieving, reviewing, and producing
MDNRE 2010 Lab Practice Seminar Presentation
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Principle 3: Parties should confer early in discovery regarding the preservation and
production of electronically stored information when these matters are at issue in the litigation and seek to agree on the scope of each party’s rights and responsibilities.
Principle 4: Discovery requests for electronically stored information should be as
clear as possible, while responses and objections to discovery should disclose the scope and limits of the production.
Principle 5: The obligation to preserve electronically stored
information requires reasonable and good faith efforts to retain
information that may be relevant to pending or threatened
litigation. However, it is unreasonable to expect parties to take
every conceivable step to preserve all potentially relevant
electronically stored information.
Principle 6: Responding parties are best situated to evaluate the
procedures, methodologies, and technologies appropriate for
preserving and producing their own electronically stored
MDNRE 2010 Lab Practice Seminar Presentation
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Principle 7: The requesting party has the burden on a
motion to compel to show that the responding party’s steps
to preserve and produce relevant electronically stored
information were inadequate.
Principle 8: The primary source of electronically stored information for production
should be active data and information. Resort to disaster recovery backup tapes and other sources of electronically stored information that are not reasonably accessible requires the requesting party to demonstrate need and relevance that outweigh the costs and burdens of retrieving and processing the electronically stored information from such sources, including the disruption of business and information management activities.
Principle 9: Absent a showing of special need and
relevance, a responding party should not be required to
preserve, review, or produce deleted, shadowed,
MDNRE 2010 Lab Practice Seminar Presentation
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Principle 10: A responding party should follow reasonable procedures to protect
privileges and objections in connection with the production of electronically stored information.
Principle 11: A responding party may satisfy its good faith obligation to
preserve and produce relevant electronically stored information by
using electronic tools and processes, such as data sampling,
searching, or the use of selection criteria, to identify data reasonably
likely to contain relevant information.
Principle 12: Absent party agreement or court order specifying the form
or forms of production, production should be made in the form or
forms in which the information is ordinarily maintained or in a
reasonably usable form, taking into account the need to produce
reasonably accessible metadata that will enable the receiving party to
have the same ability to access, search, and display the information as
the producing party where appropriate or necessary in light of the
MDNRE 2010 Lab Practice Seminar Presentation
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Principle 13: Absent a specific objection, party agreement or
court order, the reasonable costs of retrieving and reviewing
electronically stored information should be borne by the
responding party, unless the information sought is not
reasonably available to the responding party in the ordinary
course of business. If the information sought is not reasonably
available to the responding party in the ordinary course of
business, then, absent special circumstances, the costs of
retrieving and reviewing such electronic information may be
shared by or shifted to the requesting party.
Principle 14: Sanctions, including spoliation findings, should be
considered by the court only if it finds that there was a clear
duty to preserve, a culpable failure to preserve and produce
relevant electronically stored information, and a reasonable
probability that the loss of the evidence has materially
MDNRE 2010 Lab Practice Seminar Presentation
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The amendments and principles provide a
framework for conducting electronic discovery,
obliging litigants to identify, preserve, and
collect ESI very early in a case. The
amendments affect all electronic data that may
become involved in litigation.
The potential impact for preserving ESI on
public agencies is significant.
The impact on private laboratories is unknown
MDNRE 2010 Lab Practice Seminar Presentation
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WHAT IS ESI?
ESI can be found in e-mails, voice-mails,
instant messages, text messages, documents,
spreadsheets, databases, file fragments,
metadata, digital images, and digital
diagrams. It can be stored in every type of
electronic media including hard drives, thumb
drives, computers, handheld devices, backup
tapes, and optical disks.
MDNRE 2010 Lab Practice Seminar Presentation
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MDNRE 2010 Lab Practice Seminar Presentation
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MDNRE 2010 Lab Practice Seminar Presentation
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INSTRUMENT DATA SYSTEMS ARE
SIMILAR IN MAINTAINING METADATA
THAT IS NOT VISIBLE OR PRINTED
HARD COPIES DO NOT CONTAIN ALL THE
METADATA AVAILABLE
HARD COPIES CAN BE MANIPULATED PRIOR
TO GENERATION
ORIGINAL ELECTRONIC DATA FILES MUST
MDNRE 2010 Lab Practice Seminar Presentation
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MUST PLAN FOR RECORD STORAGE
DEVELOP A
RECORDS RETENTION SCHEDULE
Identify the record categories
Identify the time to be stored on-site
Identify the time to be stored off-site
Identify records disposal mechanism
MDNRE 2010 Lab Practice Seminar Presentation
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-Item #
25440
25441
Title
Laboratory Analyses Records-Bench
Sheets
This record includes all computer generated bench sheets: raw data sheets,
chromatography charts and quality control data.
Laboratory Analyses Records-Electronic
Data Files
This record includes all computer generated files: raw data files, chromatography charts calibration curves, and other files required for processing instrument data.
DESTRUCTION OF MATERIAL
DUMPSTER
SHREDDING
BURNING
LANDFILL
ERASE & REUSE
(Flash Memory, HD, tape)
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MDNRE 2010 Lab Practice Seminar Presentation
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Amended Rule 37 provides that, absent exceptional
circumstances, a court may not impose sanctions
under the rules on a party for failing to provide ESI
lost “as a result of the routine, good-faith operation
of an electronic information system.” The Amended
Federal Rules do not define “good faith” or
“routine,” but litigants should not expect broad
protection in this provision, given the generally
accepted requirement for document preservation
once litigation is imminent. Additionally, a company
likely will not receive the benefit of the doubt if its
records are disposed of without showing that it
MDNRE 2010 Lab Practice Seminar Presentation
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STICK TO THE
RETENTION SCHEDULE !!!!!
MOST PROBLEMATIC
MUST BE ROUTINE PRACTICE
CANNOT BE SPORADIC
MDNRE 2010 Lab Practice Seminar Presentation
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Failure to follow the Records Retention Schedule
will show as inconsistency and may be viewed as
the potential hiding of information.
MDNRE 2010 Lab Practice Seminar Presentation
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