United States District Court, D. Colorado
ORDER REGARDING DISCOVERY OF HARD COPY DOCUMENTS AND ELECTRONICALLY STORED INFORMATION
CRAIG B. SHAFFER, U.S. MAGISTRATE JUDGE.
Upon the parties’ joint motion (Doc. 47), the court approves and adopts as an order of the court, the parties’ attached Stipulation (originally filed at Doc. 47-1) for Discovery of Hard Copy Documents and Electronically Stored Information.
THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLORADO
DEBORAH TROUDT, BRAD STAUF, SUSAN CUTSFORTH, WAYNE SELTZER, MICHAEL HARKIN, MIRIAM WAGNER, and MICHAEL FOY, individually and as representatives of a class of plan participants, on behalf of the Oracle Corporation 401(k) Savings and Investment Plan Plaintiffs, v.
ORACLE CORPORATION, ORACLE CORPORATION 401(K) COMMITTEE, and JOHN DOES 1-20 Defendants.
STIPULATION AND ORDER FOR DISCOVERY OF HARD COPY DOCUMENTS AND ELECTRONICALLY STORED INFORMATION
The Parties to the above-captioned action HEREBY STIPULATE AND AGREE, by and through their undersigned counsel, that the following specifications shall govern discovery of all documents, electronically stored information (“ESI”), and any other materials and information produced by the Parties during discovery.
A. The Parties shall take reasonable steps to comply with the procedures set forth in this Stipulation.
B. To the extent reasonably possible, the production of documents shall be conducted to maximize efficient and quick access to documents and minimize related discovery costs. The terms of this Stipulation shall be construed so as to ensure the prompt, efficient, and cost-effective exchange of information consistent with the Local Rules, the Federal Rules of Civil Procedure, and any orders by this Court.
1. Except as specifically limited herein, this Stipulation governs the production of discoverable documents by the Parties during the litigation.
2. This Stipulation shall not enlarge, reduce, or otherwise affect the scope of discovery in this litigation as imposed by the Local Rules, the Federal Rules of Civil Procedure, and the Court’s orders, nor imply that discovery produced under the terms of this Stipulation is properly discoverable, relevant, or admissible in this or in any other litigation.
3. Subject to this Stipulation, the Parties’ objections and responses to requests for production of documents and interrogatories, and the Agreed Protective Order on Confidentiality to be later entered by the Court, all documents that are responsive to discovery requests, are reasonably accessible, and that meet the proportionality factors set forth in Fed.R.Civ.P. 26(b), shall be produced in the manner provided herein. Nothing in this Stipulation and Order shall be interpreted to require disclosure of materials that a Party contends are not discoverable or are protected from disclosure by the attorney-client privilege, the work product doctrine, or any other privilege that may be applicable. Additionally, nothing in this Stipulation and Order shall be deemed to waive or limit any Party’s right to object to (and on that basis withhold) the production of documents or electronically stored information, or to seek relief from the production of certain documents or electronically stored information, or to move for protective order on the ground that the sources are not reasonably accessible because of undue burden or cost, or move to compel on the ground that there is good cause for the documents’ production.
4. The Parties agree to promptly alert all other Parties concerning any technical problems associated with complying with this Stipulation. To the extent the Producing Party determine that compliance with this Stipulation imposes an undue burden or is not proportional with respect to any protocol, source, or search term listed herein, the Parties shall promptly confer in an effort to resolve the issue.
5. Consistent with their obligations, the Parties will attempt to resolve, in person, in writing (including e-mail), or by telephone, disputes regarding the issues set forth herein prior to filing a motion with the Court, or otherwise seeking relief. If the Parties are unable to resolve the dispute after a good faith effort, the Parties may seek Court intervention in accordance with the Court’s procedures.
II. Production Format - Hard Copy
Hard copy documents that have not been scanned by the Producing Party may be produced as an exact hard copy, other than hard copy documents maintained at an off-site location that will be separately negotiated by the Parties. At the Producing Party’s election, or if hard copy documents have already been scanned by the Producing Party, hard copy documents will be scanned and produced as either PDF or single-page, black and white, Group IV, 300 DPI TIFF images with an .opt image cross- reference file and a delimited database load file (i.e., .dat). The database load file shall contain the metadata fields listed in the attached Appendix A. The Parties will discuss reasonable requests for production of color or oversized documents on a document-by-document or category-by-category basis.
In scanning hard copy documents, multiple distinct documents should be scanned as they are maintained and stored in the ordinary course. The Producing Party shall provide OCR text for hard copy documents scanned for production. OCR is to 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. In the case of an organized compilation of separate 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 the metadata fields.
III. Production Format - Electronically Stored Information (“ESI”)
Except as otherwise noted herein or agreed on by the Parties, and notwithstanding any format provisions in a Party’s discovery requests, ESI will generally be produced in conformance with the specifications detailed in Appendix A. ESI shall be produced in tiff metadata format, except for Excel files, Word files, PowerPoint files, and .pdf files, which shall be produced in native format, as specified in this Stipulation and Appendix A. In addition, all ESI will be produced with a delimited database load file containing the metadata fields listed in Appendix A and captured at the time of the collection. Any Party, in addition to producing designated ESI in native format, may produce ESI in a TIFF metadata format as specified in Appendix A. The Parties will discuss reasonable requests for production of color or oversized documents on a document-by-document or category-by-category basis. The parties agree to meet and confer as to whether the Producing Party is required to produce files other than those set forth in this paragraph in native format.
IV. Production Format - Structured Data Sources
To the extent discoverable electronic information is contained in structured data sources, the Parties will meet and confer to discuss the most appropriate and cost-effective production format, which may include an export of data or the creation of a report. There is no obligation for a Party to create reports in a format not already available in the structured data source.
V. Production Format - Media
Documents shall be exchanged on DVD-ROMs, CD-ROMs, USB drives, portable hard drives, through secure file transfer protocols (e.g., SFTP), or similar secure electronic transmission as agreed to by the Parties. The production media shall be labeled with the Volume Number along with the Bates Number range(s) of the materials, and where not practicable to do so, may be provided in an accompanying letter.
Any document production that may contain “non-public personal information” or confidential health information (as defined in the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”) Privacy Rule and/or other applicable state or federal law or regulation concerning confidential health information) shall be produced in encrypted form and the production media shall be labeled “MAY CONTAIN NON- PUBLIC PERSONAL INFORMATION” or “MAY CONTAIN CONFIDENTIAL HEALTH INFORMATION” as applicable.
If a Producing Party encrypts or “locks” the production, the Producing Party shall simultaneously send, under separate cover, an explanation of how to decrypt the files.
VI. Processing Specifications
A. Redactions: With the exception of completely non-responsive documents attached to an otherwise responsive document, no redactions will be made to responsive documents except to redact privileged or otherwise protected information, or personally identifiable information related to plan participants in the Oracle 401(k) Plan Committee meeting minutes or related materials. However, the Producing Party must ensure that any attached document not produced on the basis that it is completely, non-responsive is identified to the Receiving Party. If, during the course of discovery, the Parties identify other kinds of information that any Party has a reasonable basis for redacting, the Parties will meet and confer before such redactions are made. If the issue cannot be ...