Revised November 10, 2016 UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK , Plaintiff(s) -against, Defendant( s) ) ) ) ) ) ) ) ) ) ) ) ) No.: _____CV________ Joint Electronic Discovery Submission No. ____ and [Proposed] Order One or more of the parties to this litigation have indicated that they believe that relevant information may exist or be stored in electronic format, and that this content is potentially responsive to current or anticipated discovery requests. This Joint Submission and [Proposed] Order (and any subsequent ones) shall be the governing document(s) by which the parties and the Court manage the electronic discovery process in this action. The parties and the Court recognize that this Joint Electronic Discovery Submission No.___ and [Proposed] Order is based on facts and circumstances as they are currently known to each party, that the electronic discovery process is iterative, and that additions and modifications to this Submission may become necessary as more information becomes known to the parties. (1) Brief Joint Statement Describing the Action, [e.g., "Putative securities class action pertaining to the restatement of earnings for the period May 1, 2009 to May 30, 2009"] : (a) Estimated amount of Plaintiff(s)' Claims: __ Less than $100,000 __ Between $100,000 and $999,999 __ Between $1,000,000 and $49,999,999 American LegalNet, Inc. www.FormsWorkFlow.com __ More than $50,000,000 __ Equitable Relief __ Other (if so, specify) (b) Estimated amount of Defendant(s)' Counterclaim/Cross-Claims: __ Less than $100,000 __ Between $100,000 and $999,999 __ Between $1,000,000 and $49,999,999 __ More than $50,000,000 __ Equitable Relief __ Other (if so, specify) (2) Competence. Counsel certify that they are sufficiently knowledgeable in matters relating to their clients' technological systems to discuss competently issues relating to electronic discovery, or have involved someone competent to address these issues on their behalf. Meet and Confer. Pursuant to Fed. R. Civ. P. 26(f), counsel are required to meet and confer regarding certain matters relating to electronic discovery before the Initial Pretrial Conference (the Rule 16 Conference). Counsel hereby certify that they have met and conferred to discuss these issues. Date(s) of parties' meet-and-confer conference(s): (4) Unresolved Issues: After the meet-and-confer conference(s) taking place on the aforementioned date(s), the following issues remain outstanding and/or require court intervention: __ Preservation; __ Search and Review; __ Source(s) of Production; __ Form(s) of Production; __Identification or Logging of Privileged Material; __ Inadvertent Production of Privileged Material; __ Cost Allocation; and/or__, Other (if so, specify) ________________________. To the extent specific details are needed about one or more issues in dispute, describe briefly below. (3) As set forth below, to date, the parties have addressed the following issues: (5) Preservation. (a) The parties have discussed the obligation to preserve potentially relevant electronically stored information and agree to the following scope and 2 American LegalNet, Inc. www.FormsWorkFlow.com methods for preservation, including but not limited to: retention of electronic data and implementation of a data preservation plan; identification of potentially relevant data; disclosure of the programs and manner in which the data is maintained; identification of computer system(s) utilized; and identification of the individual(s) responsible for data preservation, etc. Plaintiff(s): Defendant(s): (b) State the extent to which the parties have disclosed or have agreed to disclose the dates, contents, and/or recipients of "litigation hold" communications. 3 American LegalNet, Inc. www.FormsWorkFlow.com (c) The parties anticipate the need for judicial intervention regarding the following issues concerning the duty to preserve, the scope, or the method(s) of preserving electronically stored Information: (6) Search and Review (a) The parties have discussed methodologies or protocols for the search and review of electronically stored information, as well as the disclosure of techniques to be used. Some of the approaches that may be considered include: the use and exchange of keyword search lists, "hit reports," and/or responsiveness rates; concept search; machine learning, or other advanced analytical tools; limitations on the fields or file types to be searched; date restrictions; limitations on whether back-up, archival, legacy, or deleted electronically stored information will be searched; testing; sampling; etc. To the extent the parties have reached agreement as to search and review methods, provide details below: Plaintiff(s): Defendant(s): 4 American LegalNet, Inc. www.FormsWorkFlow.com (b) The parties anticipate the need for judicial Intervention regarding the following issues concerning the search and review of electronically stored information: (7) Production (a) Source(s) of Electronically Stored Information. The parties anticipate that discovery may occur from one or more of the following potential source(s) of electronically stored information [e.g., email, word processing documents, spreadsheets, presentations, databases, instant messages, web sites, blogs, social media, ephemeral data, etc.]: Plaintiff(s): Defendant(s): 5 American LegalNet, Inc. www.FormsWorkFlow.com (b) Limitations on Production. The parties have discussed factors relating to the scope of production, including but not limited to: (i) number of custodians; (ii) identity of custodians; (iii) date ranges for which potentially relevant data will be drawn; (iv) locations of data; (v) timing of productions (including phased discovery or rolling productions); and (vi) electronically stored information in the custody or control of non-parties. To the extent the parties have reached agreements related to any of these factors, describe below: Plaintiff(s): Defendant(s): (c) Form(s) of Production: (1) The parties have readied the following agreements regarding the form(s) of productions: Plaintiff(s): 6 American LegalNet, Inc. www.FormsWorkFlow.com Defendant(s): (2) Please specify any exceptions to the form(s) of production indicated above (e.g., word processing documents in TIFF with load files, but spreadsheets in native form): (3) The parties anticipate the need for judicial intervention regarding the following issues concerning the form(s) of production: (d) Privil