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Electronically
Stored
Information
The Complete Guide
to Management,
Understanding,
Acquisition, Storage,
Search, and Retrieval
Second Edition
David R. Matthews
Electronically
Stored
Information
The Complete Guide to
Management, Understanding,
Acquisition, Storage,
Search, and Retrieval
Second Edition
OTHER TITLES FROM AUERBACH PUBLICATIONS AND CRC PRESS
Second Edition
David R. Matthews
CRC Press
Taylor & Francis Group
6000 Broken Sound Parkway NW, Suite 300
Boca Raton, FL 33487-2742
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Fo re wo rd ix
P r e fa c e xi
Acknowledgments xiii
Author xv
C h a p t e r 1 W h at I s E l e c t r o n i c I n f o r m at i o n , and Wh y
S h o u l d Yo u C a r e ? 1
1.1 Introduction 1
1.2 Electronically Stored Information and the Federal
Rules of Civil Procedure 1
1.2.1 Changes to the Federal Rules of Civil Procedure 3
1.2.1.1 Rule 1: Scope and Purpose 3
1.2.1.2 Rule 16(b)(5) and (6): Pretrial
Conferences; Scheduling
Management 3
1.2.1.3 Rule 26 4
1.2.1.4 Rule 37 Safe Harbor 11
1.2.1.5 Rule 34(b) Producing Documents
Procedures 13
1.2.1.6 Rule 33(d) Interrogatories to Parties 15
1.2.1.7 Rule 45 Subpoena 15
1.2.1.8 Form 35 15
1.2.2 Federal Rules of Evidence 16
1.2.2.1 FRE 502 17
1.2.2.2 FRE 901 17
1.2.2.3 FRE 802 18
v
vi C o n t en t s
C h a p t e r 2 Tr a n s l at i n g G e e k : I n f o r m at i o n
Te c h n o l o gy v e r s u s E v e r yo n e E l s e 63
2.1 Introduction 63
2.2 Role of IT 63
2.3 Information Technologist’s Perspective 72
2.4 Information Technology as an Ally 76
2.5 Translating Geek 77
C h a p t e r 3 W h e r e I s E l e c t r o n i c a l ly S t o r e d
I n f o r m at i o n ? I t ’ s E v e r y w h e r e ! 79
3.1 Introduction 79
3.2 Basics 80
3.3 Database Systems 87
3.4 E-Mail Systems 91
3.5 File and Print Servers 94
3.6 Instant Messaging Services 99
3.7 Mobile Devices 101
3.8 Physical Access Records 105
3.9 Telecommunications 109
3.10 Cellular Devices 119
3.11 Digital Video 126
3.12 Internet or Online Data 130
3.13 Storage Media 144
3.14 Internet of Things (IOT) or of Everything (IOE) 147
3.15 Event and System Logs 148
3.16 Desktop Computer Facts 149
3.17 Metadata and Other Nonapparent Data 154
3.18 Conclusion 157
C o n t en t s vii
C h a p t e r 4 W h o ’ s i n C h a r g e H e r e ? A l l i e s , O w n e r s ,
a n d S ta k e h o l d e r s 159
4.1 Introduction 159
4.2 The (Long) List of Stakeholders 159
4.2.1 Information Technology Professionals 159
4.2.2 Legal Staff 162
4.2.3 Records Managers 163
4.2.4 Auditors 163
4.2.5 Human Resources 164
4.2.6 Department Heads, Vice Presidents, and
Executives 164
4.2.7 Physical and Information Security Personnel 165
4.3 Ownership of Data 165
4.4 Data Control Considerations 170
4.5 Required Skill Sets and Tools 173
C h a p t e r 6 K e e pi n g Yo u r Tr e a s u r e s : P r e s e r vat i o n
an d Manag e m e nt 223
6.1 Introduction 223
6.2 Securing the Data 223
6.3 Access Control and Management 226
6.4 Organization and File Management Techniques 232
6.4.1 Day-to-Day Organization 232
6.4.2 Management of Data over Time 236
6.4.3 Response to Litigation or Audits 238
6.5 Safe Storage Issues and Considerations 241
6.6 Litigation Hold 246
6.7 Spoliation: The Loss of Relevant Data 248
6.8 Automated Technical Solutions 250
viii C o n t en t s
C h a p t e r 7 S h a r i n g I s G o o d : D i s s e m i n at i o n and
Reporting 255
7.1 Introduction 255
7.2 Format Issues: Original or Usable? 255
7.3 Mediums for Transfer 259
7.4 Creating Readable Reports 261
7.5 Tips for Depositions and Expert Witness 264
7.6 Conclusion 266
A pp e n d i x I: L i n ks and References for M o r e I n f o r m at i o n 267
A pp e n d i x II: F o r m s and Guides 273
A pp e n d i x III: L i n k s to Te c h n i c a l S o f t wa r e S o l u t i o n s 291
Foreword
ix
Preface
Welcome one and all. That is not just a pleasantry, but my way of
letting you know that whether you are an attorney, judge, paralegal,
business manager or owner, or just one of the ever-growing population
of computer users, you will all benefit from what follows.
We all live in a new world in which we are surrounded in an
ever-deepening fog of data. The data define who we are, for better
or worse. The data contain information about our livelihoods, our
education, our finances (or lack thereof), our health (or lack thereof),
our history, and probably our future.
And yet very few of us understand how the data are created, where
data are stored, or how to retrieve or destroy data (if that is indeed
at all possible!). This book is for all of you, whatever your need or
interest. In it we will discuss the reasons you need to know about elec-
tronic data as well as get into great detail about the how, what, when,
and where of what is known in legal circles as ESI, or electronically
stored information.
You can use this as a reference and simply go to the chapters you
are interested in, or read through if you like. I try to keep it entertain-
ing and simple to understand, even when we get into some pretty
esoteric engineering concepts. I am pretty sure no one is planning
to earn his or her computer science or electrical engineering degree
with this book, so concepts will be as simple as possible and related to
xi
x ii P refac e
stories and illustrations that will help make sense of these sometimes
difficult ideas.
So read on without trepidation, dear reader. I promise it will be
enlightening, and perhaps even fun. If nothing else, you will have
some interesting new ways to entertain your geek friends or impress
your non-geek friends at your next party.
Acknowledgments
This book could not have been written were it not for the many patient
and supportive people in my community in the Puget Sound area of
Washington State.
There are too many to name them all, but the many information
security, legal, and computer forensics professionals with whom I have
shared these ideas have been extremely generous with their thoughts,
wisdom, and advice.
I especially thank my colleague and mentor, Michael Hamilton,
who has given me the support to learn more about these issues and the
time to collaborate with others. He is a font of knowledge and just an
all-around good friend and person.
I also want to add a big thanks to my original Information Security
mentor and guru, Kirk Bailey. I will not forget the day when, in
answer to my question of what would be the most beneficial skill to
learn, he said “forensics.” It changed my life in many ways.
I would also like to acknowledge my good friend, colleague, and
mentor, Steven Hailey, whose gracious generosity, incredibly deep
wisdom and assistance I can always count on whenever I get stuck.
And of course I need to thank my family for putting up with those
long hours of husband and daddy being hunched over the computer
trying to get this all done.
x iii
Author
xv
xvi Au t h o r
1.1 Introduction
1
2 El ec t r o ni c a l ly S t o red In f o rm ati o n
Figure 1.1 Legal documents in the electronic world have become ubiquitous and overwhelming.
of them included criminal or other courts besides civil law. But any
organization or individual can find themselves in court.
This chapter specifically discusses the Federal Rules of Civil
Procedure (FRCPs) because they were amended in December 2006,
and have been revised several times since then to specifically address
ESI and to better define the ways ESI needs to be handled. However,
it is important to understand that rules in any legal action are going
to be similar to those we will discuss here. Because these rules offer
good examples of what to expect in other legal actions, we specifically
look at all of the pertinent sections of the FRCPs.
We also spend some time looking at rules of evidence, because
those have also been evolving to address the new frontier of electronic
evidence. We spend time considering some case law as well, because
that is the crux of the way this evolving area of law is changing and
growing.
We begin with a run-through of the specific rules that were
amended in December 2006 as well as some of the more pertinent
and interesting changes and clarifications that are being considered
in the current set of amendments (final changes and amendments to
the FRCP were approved by the Supreme Court and Congress and
published in December 2015).*
* Lange, Michele (October 7, 2014). Part III—FRCP amendments: The long and
winding road. The eDiscovery Blog. Retrieved from http://www.theediscoveryblog.
com/2014/10/07/part-iii-frcp-amendments/.
W h at Is It ? 3
1.2.1.1 Rule 1: Scope and Purpose The current change to the first rule,
while not specific to e-discovery or electronic evidence is neverthe-
less significant. In the new rule, the language has been changed
to emphasize how important it is for the parties to cooperate.
Specifically it says “These rules … should be construed, adminis-
tered, and employed by the court and the parties to secure the just,
speedy, and inexpensive determination of every action and proceeding”
(emphasis added).
This is, in effect, laying down the theme of the new rules. You will
see this theme reflected throughout the amendments. Parties and the
courts need to consider, first and foremost, how to apply the rules to
ensure the most even playing field, at the least expense and burden
possible.
* Cornell University Law School, Legal Information Institute, Federal Rules of Civil
Procedure (as amended to December 1, 2010): http://www.law.cornell.edu/rules/
frcp/. Retrieved February 11, 2011.
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