Spoliation in the electronic age / by Adam P. KohSweeney, Roberta H. Vespremi, Eric Chan.
2012
KF8947.5 .K64 2012 (Map It)
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Details
Author
Title
Spoliation in the electronic age / by Adam P. KohSweeney, Roberta H. Vespremi, Eric Chan.
Published
Arlington, VA : Bloomberg BNA, [2012]
Copyright
©2012
Call Number
KF8947.5 .K64 2012
Edition
2011 edition.
ISBN
1570189498
9781570189494
9781570189494
Description
1 volume (various pagings) : forms ; 28 cm.
System Control No.
(OCoLC)767703066
Bibliography, etc. Note
Includes bibliographical references (pages C -1).
Record Appears in
Added Author
Table of Contents
I.
Introduction
1
A.
Why Spoliation?
1
B.
Overview of Basic Principles
1
II.
Elements of Spoliation
3
A.
The Growth of the Spoliation Doctrine
3
B.
Spoliation Defined
4
1.
Element One: The Duty to Preserve
5
2.
Element Two: Culpability
5
3.
Element Three: Relevance/Prejudice
6
C.
Culpability and Sanctions
7
III.
Preventing Spoliation
10
A.
Introduction
10
B.
Creating, Implementing, and Auditing an Effective Document Retention Plan
10
1.
Creating a Defensible Document Retention Plan
10
2.
Learn the IT Infrastructure
11
3.
Designing the Document Retention Policy
11
4.
Implementation of the Document Retention Plan
12
a.
Formally Train Employees
12
b.
Ensuring Compliance
12
C.
Implementing a Proper Legal Hold When Required
12
1.
Duty to Preserve
12
2.
Identifying Items to Preserve
14
D.
Disabling Auto-Delete and Retention Policies
15
1.
Retention Policies
15
2.
Auto-Delete Policies
15
E.
The Litigation-Hold Notice
16
F.
Issuing the Litigation-Hold Notice
16
G.
Monitoring Compliance With the Litigation Hold
17
1.
The Don'ts of Following Up
17
2.
The Do's of Following Up
18
H.
Keeping Comprehensive Records of Every Preservation Step
18
I.
What to Do If Things Go Wrong
18
J.
Examples of Cases Where Court Refused to Grant Sanctions
19
1.
Calixto v. Watson Bowman Acme Corp.
19
2.
Southeastern Mechanical Services, Inc. v. Brody
20
3.
J.B. Hunt Transport
20
4.
United States v. Maxxam, Inc.
21
IV.
Sources of Sanctions and Other Rules Addressing Spoliation
22
A.
Sanctions for Litigation Misconduct
22
B.
Federal Rule of Civil Procedure 37
23
1.
Rule 37(b)(2)
23
a.
Examples of Cases Where Sanctions Were Sought Under Federal Rule of Civil Procedure 37(b)(2)
23
i.
Green v. Blitz U.S.A., Inc.
24
ii.
Southern New England Telephone Co. v. Global Naps, Inc.
24
iii.
Gutman v. Klein
24
iv.
Arista Records, L.L.C. v. Tschirhart
24
2.
Rule 37(c)
25
a.
Examples of Cases Under Rule 37(c)
26
i.
In re Krause
26
ii.
Doe v. Norwalk Community College
26
C.
Inherent Authority of the Court
26
D.
State Rules
27
1.
California
27
2.
New York
28
E.
Unclean Hands Doctrine
28
F.
Tort of Spoliation
29
1.
California
30
2.
Texas
30
3.
Delaware
30
4.
New York
30
G.
Obstruction of Justice
30
1.
Federal Law
30
a.
18 U.S.C. [§] 1503
31
b.
18 U.S.C. [§] 1519
31
c.
18 U.S.C. [§] 1512(b)
31
2.
State Law
32
3.
Attorneys' Ethics Rules
32
4.
ABA Model Rule of Professional Conduct 3.4
32
V.
When Spoliation Is Suspected
34
A.
The Limits of Preservation Discovery
34
B.
Making the Case for "Heightened" Preservation Discovery
34
C.
First Steps---Preservation Orders and Forensic Imaging
36
D.
Means of Discovery Into Spoliation
36
E.
Goals of Spoliation Discovery
37
1.
Duty to Preserve
37
2.
Circumstances and Magnitude of the Loss
38
3.
Mitigating Loss: Backup Sources
38
4.
Culpability
38
F.
Overcoming Privilege and Work-Product Concerns
39
G.
Subject-Matter Waiver
40
H.
Crime/Fraud Exception
41
VI.
Seeking Sanctions or Other Consequences for Spoliation
43
A.
Range of Sanctions Available
43
1.
Monetary Sanctions
43
a.
Examples of Cases Where Monetary Sanctions Were Imposed as Reimbursement for the Injured Party's Expenses
44
i.
Cache La Poudre Feeds LLC v. Land O'Lakes, Inc.
44
ii.
Mosaid Technologies Inc. v. Samsung Electronics Co.
44
b.
Examples of Cases in Which Punitive Monetary Sanctions Were Imposed
44
i.
United States v. Philip Morris USA, Inc.
44
ii.
Passlogix, Inc. v. 2FA Technology, LLC
45
2.
Preclusion From Presenting Evidence or Arguments
45
a.
Examples of Cases in Which the Court Imposed Preclusion Sanctions
45
i.
Barsoum v. New York City Housing Authority
45
ii.
Innis Arden Golf Club v. Pitney Bowes, Inc.
45
iii.
Unigard Security Insurance Co. v. Lakewood Engineering & Manufacturing Corp.
46
3.
Adverse Inference Instructions
46
a.
Examples of Cases in Which the Court Issued Adverse Inference Instructions
47
i.
Zubulake v. UBS Warburg (Zubulake V)
47
ii.
Rimkus Consulting Group, Inc. v. Cammarata
47
iii.
Nursing Home Pension Fund v. Oracle Corp.
48
iv.
In re NTL, Inc. Securities Litigation
48
4.
Civil Contempt Sanctions
48
5.
Partial or Full Default Judgment or Dismissal
49
a.
Examples of Cases Where Default Judgment Was Entered
50
i.
Boswell v. GumbayTay
50
ii.
Century ML-Cable Corp. v. Conjugal Partnership
50
b.
Examples of Cases That Were Dismissed
50
i.
Beers v. General Motors Corp.
50
ii.
McMunn v. Memorial Sloan-Kettering Cancer Center
51
6.
Cost Shifting and Restoration Costs
51
B.
Motions for Sanctions
51
1.
When to File?
52
2.
What to Include
52
3.
What to Ask For
53
VII.
Defending Against Charges of Spoliation
54
A.
Generally
54
B.
No Prejudice
54
C.
Alternative Sources of Information
56
D.
Insufficient Culpability
57
Table of Worksheets
1
Bibliography & References
1
Glossary
1