Electronically Stored Information: The Complete Guide to Management, Understanding, Acquisition, Storage, Search, and Retrieval

379 Pages·2012·6.71 MB·English

by  David R. Matthews

Information Technology / Security & Auditing M
Electronically
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Matthews has approached eDiscovery from a fresh, new perspective—one t
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h
that is understandable to the layperson as well as technologist. … A must
e Stored Information
read for anyone in the information technology and legal professions … . The w
flow of the book from the first chapter to the last is clear, simple, and thorough s
… should be required reading for anyone in a computer science, information The Complete Guide to Management, Understanding,
technology, or law-related program, and is now part of the Digital Forensics
E
Acquisition, Storage, Search, and Retrieval
and the Law course I instruct. If you want to get up to speed on eDiscovery
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and actually understand what you read, you’ll buy this book. e
—Steve Hailey, President/CEO, CyberSecurity Institute, c
Digital Forensic Examiner and Educator
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Although we live in a world where we are surrounded in an ever-deepening
fog of data, few understand how the data are created, where data are stored, n
or how to retrieve or destroy data. Accessible to readers at all levels of i
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technical understanding, Electronically Stored Information: The Complete
a
Guide to Management, Understanding, Acquisition, Storage, Search, and
Retrieval covers all aspects of electronic data and how it should be managed. l
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y
Using easy-to-understand language, the book explains: exactly what
S
electronic information is, the different ways it can be stored, why we need
to manage it from a legal and organizational perspective, who is likely to t
o
control it, and how it can and should be acquired to meet legal and managerial
goals. Its reader-friendly format means you can read it cover to cover or use it r
e
as a reference where you can go straight to the information you need.
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Complete with links and references to additional information, technical
I
software solutions, helpful forms, and time-saving guides, it provides you n
with the tools to manage the increasingly complex world of electronic
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information that permeates every part of our world. o
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David Robert Matthews
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K13576 n CISSP, CISM, DRFS, CSFA
ISBN: 978-1-4398-7726-5
90000
www.crcpress.com
9 781439 877265
www.auerbach-publications.com
K13576 cvr mech.indd 1 6/6/12 1:10 PM

Electronically
Stored
Information
The Complete Guide to Management, Understanding,
Acquisition, Storage, Search, and Retrieval
OTHER INFORMATION SECURITY BOOKS FROM AUERBACH
Asset Protection through Information Security
Security Awareness Management Handbook,
Tyler Justin Speed 2012 CD-ROM Edition
ISBN 978-1-4398-0982-2 Harold F. Tipton and
Micki Krause Nozaki, Editors
CISO’s Guide to Penetration
ISBN 978-1-4398-9209-1
Testing: A Framework to Plan,
Manage, and Maximize Benefits Information Security
James S. Tiller Management Handbook,
ISBN 978-1-4398-8027-2 Sixth Edition, Volume 6
Harold F. Tipton and Micki Krause
Cybersecurity for Industrial
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Control Systems: SCADA,
ISBN 978-1-4398-9313-5
DCS, PLC, HMI, and SIS
Tyson Macaulay and Bryan L. Singer Introduction to Security
ISBN 978-1-4398-0196-3 and Network Forensics
William J. Buchanan
Data Mining Tools for
ISBN 978-0-8493-3568-6
Malware Detection
Mehedy Masud, Latifur Khan, Security De-Engineering:
and Bhavani Thuraisingham Solving the Problems in
ISBN 978-1-4398-5454-9 Information Risk Management
Ian Tibble
Defense Against the Black Arts:
ISBN 978-1-4398-6834-8
How Hackers Do What They Do
and How to Protect Against It Security Patch Management
Jesse Varsalone and Felicia M. Nicastro
Matthew McFadden ISBN 978-1-4398-2499-3
ISBN 978-1-4398-2119-0
The Security Risk
FISMA Principles and Best Assessment Handbook:
Practices: Beyond Compliance A Complete Guide for
Patrick D. Howard Performing Security Risk
ISBN 978-1-4200-7829-9 Assessments, Second Edition
Douglas Landoll
Information Security Governance
ISBN 978-1-4398-2148-0
Simplified: From the Boardroom
to the Keyboard
Todd Fitzgerald
ISBN 978-1-4398-1163-4
AUERBACH PUBLICATIONS
www.auerbach-publications.com
To Order Call: 1-800-272-7737 • Fax: [phone]
E-mail: [email protected]
OTHER INFORMATION SECURITY BOOKS FROM AUERBACH
Asset Protection through Information Security
Security Awareness Management Handbook,
Tyler Justin Speed 2012 CD-ROM Edition Electronically
ISBN 978-1-4398-0982-2 Harold F. Tipton and
Micki Krause Nozaki, Editors
CISO’s Guide to Penetration
ISBN 978-1-4398-9209-1
Testing: A Framework to Plan,
Manage, and Maximize Benefits Information Security Stored
James S. Tiller Management Handbook,
ISBN 978-1-4398-8027-2 Sixth Edition, Volume 6
Harold F. Tipton and Micki Krause
Cybersecurity for Industrial
Nozaki, Editors Information
Control Systems: SCADA,
ISBN 978-1-4398-9313-5
DCS, PLC, HMI, and SIS
Tyson Macaulay and Bryan L. Singer Introduction to Security
ISBN 978-1-4398-0196-3 and Network Forensics
William J. Buchanan
Data Mining Tools for
ISBN 978-0-8493-3568-6
The Complete Guide to Management, Understanding,
Malware Detection
Mehedy Masud, Latifur Khan, Security De-Engineering:
Acquisition, Storage, Search, and Retrieval
and Bhavani Thuraisingham Solving the Problems in
ISBN 978-1-4398-5454-9 Information Risk Management
Ian Tibble
Defense Against the Black Arts:
ISBN 978-1-4398-6834-8
How Hackers Do What They Do
and How to Protect Against It Security Patch Management
Jesse Varsalone and Felicia M. Nicastro
Matthew McFadden ISBN 978-1-4398-2499-3
ISBN 978-1-4398-2119-0
The Security Risk
FISMA Principles and Best Assessment Handbook:
Practices: Beyond Compliance A Complete Guide for
David Robert Matthews
Patrick D. Howard Performing Security Risk
ISBN 978-1-4200-7829-9 Assessments, Second Edition
Douglas Landoll CISSP, CISM, DRFS, CSFA
Information Security Governance
ISBN 978-1-4398-2148-0
Simplified: From the Boardroom
to the Keyboard
Todd Fitzgerald
ISBN 978-1-4398-1163-4
AUERBACH PUBLICATIONS
www.auerbach-publications.com
To Order Call: 1-800-272-7737 • Fax: [phone]
E-mail: [email protected]
CRC Press
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Contents
Foreword......................................................................xv
Preface.......................................................................xvii
Acknowledgments........................................................xix
The.Author.................................................................xxi
Chapter.1. What.Is.Electronic.Information,.and.Why.
Should.You.Care?........................................1
1.1. Introduction....................................................1
1.2. Electronically.Stored.Information.(ESI).and.
the.Federal.Rules.of.Civil.Procedure..................2
1.2.1. Changes.to.the.Federal.Rules.of.
Civil.Procedure....................................3
1.2.1.1. Rule.16.(b)(5).and.(6)—
Pretrial.Conferences;.
Scheduling.Management.......3
1.2.1.2. Rule.26—.General.
Provisions.Governing.
Discovery;.Duty.of..
Disclosure............................4
1.2.1.3. Rule.37.Safe.Harbor........... 11
1.2.1.4. Rule.34.(b).Producing.
Documents—Procedures..... 13
v
vi Contents
1.2.1.5. Rule.33.(d).Interrogatories.
to.Parties............................14
1.2.1.6. Rule.45.Subpoena...............14
1.2.1.7. Form.35.............................14
1.2.2. Federal.Rules.of.Evidence................... 15
1.2.2.1. FRE.502............................ 16
1.2.2.2. FRE.901.............................17
1.2.2.3. FRE.802.............................17
1.2.3. Case.Law.Examples........................... 18
1.2.3.1. Bass.v..Miss.Porter’s.
School.(D..Conn..
10/27/09)—Defining.
Relevancy.......................... 19
1.2.3.2. Crispin.v..Christian.
Audigier,.Inc..(C.D..
Cal..2010)—Private.
Information........................20
1.2.3.3. Romano.v..Steelcase.
(N.Y..Sup..Ct..2010)—
Another.Social.Media.
Privacy.Case...................... 21
1.2.3.4. Spoliation.Examples............22
1.2.3.5. KCH.Servs.,.Inc..v..
Vanaire,.Inc..(W..D..
Ky..7/22/09)—Trigger.
to.Reasonably.Expect.
Litigation...........................24
1.2.3.6. Olson.v..Sax.(E..D..Wis..
6/25/10)—Safe.Harbor.
Rule..................................25
1.2.3.7. Spieker.v..Quest.
Cherokee,.LLC.(D. Kan..
7/21/09)—It.Is.the...
Practice.............................27
Contents vii
1.2.3.8. Valeo.Electric.Sys.,.Inc..
v..Cleveland.Die.and.
Mfg..Co..(E.D..Mich..
6/17/09)—Production.of.
Evidence.as.Requested.in.
Meet.and.Confer.................28
1.2.3.9. Takeda.Pharm..Co.,.Ltd..
v..Teva.Pharm..USA,.Inc..
(D..Del..6/21/10)—Not.
Reasonably.Accessible?........28
1.2.3.10. O’Neill.v..the.City.
of.Shoreline.(Wash..
9/27/10)—Metadata.
Are.Data.and.Home.
Computers.Are.Evidence.....29
1.2.3.11. Williams.v..District.
of.Columbia.(D.D.C..
8/17/11)—When.
“Claw-Back”.Rules.Can.
Fail.You.............................30
1.2.3.12. Pacific.Coast.Steel,.
Inc..v..Leany.(D. Nev..
9/30/11)—Losing...
Privilege............................. 31
1.2.3.13. Kipperman.v..Onex.Corp..
(N.D..GA..5/27/10)—A.
Textbook.Case....................32
1.2.3.14. Pippins.v..KPMG.LLP.
(S.D.N.Y..10/7/11)—How.
Much.Data.Do.You.Really.
Have.to.Keep.....................33
1.2.3.15. Chen.v..Dougherty.
(W.D..WA..7/7/09)—
Attorney.Gets.a.Slap.for.
Incompetence.....................33
viii Contents
1.2.3.16. United.Central.Bank.v..
Kanan.Fashions,.Inc..
(N.D..Ill..9/21/11)—
Spoliation.Sanctions.That.
Hurt.the.Party.but.Not.
Their.Attorney....................34
1.2.3.17. Pension.Comm..of.Univ..
of.Montreal.Pension.Plan.
v..Bank.of.Am..Secs.,.
LLC.(S.D.N.Y.1/15/10).......35
1.2.3.18. Holmes.v..Petrovich.
Development.Company,.
LLC.(CA.Court.of.
Appeals,.October,.
2011)—Employee’s.E-mail.
Sent.from.Work.Not.
Privileged...........................35
1.2.3.19. Lester.v..Allied.Concrete.
Company.(Circuit.Court.
VA,.September,.2011)—
Original.Award.Reduced.
Due.to.Withholding.of.
Facebook.Evidence.............36
1.2.3.20. The.Rulings.of.Judge.
Scheindlin—Zubulake,.
Pension,.and.National.Day.
Labor................................36
1.2.4. Other.Federal.Rules.That.Affect.
Electronic.Data..................................45
1.3. The.Problems.with.ESI.as.Discoverable.
Evidence.......................................................45
1.4. Why.and.How.This.Affects.the.Practice..
of.Law...........................................................51
1.5. How.This.Affects.Business.Organizations........55
1.6. Effects.on.Government.Entities....................... 57
1.7. What.This.Might.Mean.to.You.as...
an.Individual................................................. 57