Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 1 of 10
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`UNITED STATES DISTRICT COURT
`NORTHERN DISTRICT OF CALIFORNIA
`OAKLAND DIVISION
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`
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`IN RE APPLE INC. SECURITIES
`LITIGATION
`
`Case No. 4:19-cv-02033 (N.D. Cal.)
`
`STIPULATED ORDER RE: DISCOVERY
`OF ELECTRONICALLY STORED
`INFORMATION
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`Plaintiffs Norfolk County Council as Administering Authority of the Norfolk Pension
`Fund, Employees’ Retirement System of the State of Rhode Island, and City of Roseville
`Employees’ Retirement System, and Defendants Apple Inc., Timothy Cook, and Luca Maestri
`(together with Plaintiffs, the “parties”), hereby agree that the following procedures shall govern
`discovery of Electronically-Stored Information (“ESI”) in this case:
`Custodian names and search terms to be exchanged. The parties shall meet and
`1.
`confer to reach agreement on a reasonable list of custodians for purposes of collection, review and
`production of electronically stored information. In connection with the meet and confer process,
`each party shall provide a proposed list of individual custodians who are knowledgeable about and
`were involved with the core issues or subjects in this case. The parties then shall meet and confer
`to reach agreement on document custodians and also shall meet and confer to reach agreement on
`search terms to be used for electronic searches of the files from those custodians. Notwithstanding
`prior agreement on the search terms to be used for electronic searches, should a search produce an
`unreasonably large number of non-responsive or irrelevant results, the parties shall (at the
`producing party’s request) meet and confer regarding the application of further search restrictions.
`The party receiving production shall not unreasonably oppose such further restrictions designed to
`filter immaterial search results.
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`Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 2 of 10
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`Technology-Assisted-Review. No party shall use predictive coding/technology-
`2.
`assisted-review for the purpose of culling the documents to be reviewed or produced without
`meeting and conferring in good faith regarding the use of such technologies.
`Format for production of documents – documents existing in electronic
`3.
`format. Except as otherwise provided for in this Stipulation, all documents existing in electronic
`format shall be produced in multiple-page, searchable PDF format (or, at the election of the
`producing party, in single-page, black and white, Group IV TIFF format), at a resolution of at least
`300 dpi in accordance with the following:
`A.
`PDF and TIFF files shall be produced along with Concordance/Opticon
`image load files that indicate the beginning and ending of each document.
`B.
`For documents which already exist in PDF format prior to production
`(i.e., which the producing party receives from a client or third party in PDF format), the
`producing party may provide them in the same PDF format, whether searchable or non-
`searchable. For documents converted to PDF format prior to production, the producing party
`shall make reasonable efforts to convert to searchable PDF.
`C. Metadata. Load files should include, where applicable, the information
`listed in the Table of Metadata Fields, attached as Exhibit A. However, the parties are not
`obligated to include metadata for any document that does not contain such metadata in the
`original, if it is not possible to automate the creation of metadata when the document is
`collected. The parties reserve their rights to object to any request for the creation of metadata for
`documents that do not contain metadata in the original. Full extracted text for each document
`will be provided in a separate file, to the extent extracted text exists.
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`Attachments. Where any portion of an email or its attachment is
`D.
`produced, the parties shall produce the parent email and its attachments sequentially and
`proximately linked.1
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`1 The parties were unable to reach an agreement with respect to the producing parties’ obligation
`to produce local or internal hyperlinked documents and this stipulation does not address such
`situations. Plaintiff reserves its right to seek the mandatory production of all internal or local
`documents which are hyperlinked in discovery material, as necessary.
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`Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 3 of 10
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`Native files. The parties will produce all audio and video files,
`E.
`spreadsheets (e.g., MS Excel, Numbers), word processing files (e.g., Pages, Microsoft Word)
`containing tracked changes or comments, and Microsoft PowerPoint files in native format. The
`parties will meet and confer in good faith to discuss requests for the production of other files
`(including Apple Keynote files) in native format, on a case-by-case basis. If the parties are
`unable to reach agreement with regard to requests for additional documents in native-file format,
`the parties reserve the right to seek relief from the Court. Documents produced natively shall be
`represented in the set of imaged documents by a slipsheet indicating the production
`identification number and confidentiality designation for the native file that is being produced.
`The parties agree to work out a future protocol governing the use and format of documents
`produced pursuant to this paragraph at trial, depositions, or hearings (such as converting to PDF
`in accordance with the above protocol).
`Hidden Content. For any document produced in PDF or TIFF format
`F.
`which the Receiving Party reasonably believes includes hidden content, tracked changes or edits,
`comments, notes, or other similar information viewable within the native file, at a Receiving
`Party’s request, the Producing Party will provide the native file, or if possible an image file of a
`version showing the hidden content, if there is such content. Apple Keynote files will be
`produced in a format which displays any presenter notes or other hidden content.
`De-Duplication. Each party shall remove exact duplicate documents
`G.
`based on MD5 or SHA-256 hash values, at the family level. Attachments should not be
`eliminated as duplicates for purposes of production, unless the parent e-mail and all attachments
`are also duplicates. Removal of near-duplicate documents and e-mail thread suppression is not
`acceptable. De-duplication will be done across the entire collection (global de-duplication) and
`the ALL CUSTODIAN field will list each custodian, separated by a semicolon, who was a
`source of that document. Should the ALL CUSTODIAN metadata field produced become
`outdated due to rolling productions, an overlay file providing all the custodians and file paths for
`the affected documents will be produced prior to substantial completion of the document
`production. Should a produced version of an email originally containing a BCC recipient
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`exclude BCC information as a result of the de-duplication process, the producing party shall
`provide an overlay containing an image of the sent version of any such emails, to the extent such
`sent emails have been collected from custodians.
`Production media and encryption of productions. Unless otherwise agreed, the
`4.
`parties shall provide document productions in the following manner: The producing party shall
`provide the production data on CDs, DVDs, external hard drives or SFTP, as appropriate. The
`producing party shall encrypt the production data, and the producing party shall forward the
`password to decrypt the production data separately from the CD, DVD, external drive or SFTP to
`which the production data is saved.
`Format for production of documents – hardcopy or paper documents. All
`5.
`documents that are hardcopy or paper files shall be scanned and produced in the same manner as
`documents existing in electronic format, above.
`Source code. This Stipulation does not govern the production of source code. In
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`the event that the production of source code becomes necessary (which the parties do not presently
`anticipate), the parties agree to negotiate a separate protocol to govern such production.
`Databases. To the extent a response to discovery requires production of electronic
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`information stored in a database, the parties will meet and confer regarding methods of production.
`The parties will consider whether all relevant information may be provided by querying the
`database for discoverable information and generating a report in a reasonably usable and
`exportable electronic file. The parties agree to identify the specific databases, by name, that
`contain the relevant and responsive information that parties produce.
` Requests for hi-resolution or color documents. The parties agree to respond to
`8.
`reasonable and specific requests for the production of higher resolution or color images. Nothing
`in this Stipulation shall preclude a producing party from objecting to such requests as
`unreasonable in number, timing or scope, provided that a producing party shall not object if the
`document as originally produced is illegible or difficult to read. The producing party shall have
`the option of responding by producing a native-file version of the document. If a dispute arises
`with regard to requests for higher resolution or color images, the parties will meet and confer in
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`Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 5 of 10
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`good faith to try to resolve it.
`Foreign language documents. All documents shall be produced in their original
`9.
`language. Where a requested document exists in a foreign language and the producing party also
`has an English-language version of that document that it prepared for non-litigation purposes prior
`to filing of the lawsuit, the producing party shall produce both the original document and all
`English-language versions. In addition, if the producing party has a certified translation of a
`foreign-language document that is being produced, (whether or not the translation is prepared for
`purposes of litigation) the producing party shall produce both the original document and the
`certified translation. Nothing in this agreement shall require a producing party to prepare a
`translation, certified or otherwise, for foreign language documents that are produced in discovery.
`Foreign language text files and metadata should be delivered with the correct encoding to enable
`the preservation of the documents’ original language.
`Redactions. If documents that the parties have agreed to produce in native format
`10.
`need to be redacted, the parties will meet and confer regarding how to implement redactions while
`ensuring that proper formatting and usability are maintained.
`Applicability of Federal Rule of Evidence 502(d). Pursuant to Fed. R. Evid.
`11.
`502(d), the production of a privileged or work-product-protected document, whether inadvertent
`or otherwise, is not a waiver of privilege or protection from discovery in this case or in any other
`federal or state proceeding.
`Document preservation. The parties have discussed their preservation obligations
`12.
`and agree that preservation of potentially relevant ESI will be consistent with their obligations set
`forth in Federal Rule of Civil Procedure 26. The parties represent that they have issued litigation
`hold notices to individuals whom they reasonably believe to possess relevant documents.
`IT IS SO STIPULATED, THROUGH COUNSEL OF RECORD.
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`Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 6 of 10
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`Dated: July 20, 2021
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`ORRICK, HERRINGTON & SUTCLIFFE LLP
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`Dated: July 20, 2021
`
`
` /s/ James N. Kramer
`JAMES N. KRAMER
`Attorneys for Defendants
`Apple Inc., Timothy Cook and Luca Maestri
`
`
`ROBBINS GELLER RUDMAN & DOWD LLP
`
` /s/ Daniel J. Pfefferbaum
`DANIEL J. PFEFFERBAUM
`Counsel for Lead Plaintiff,
`Norfolk County Council as Administering
`Authority of the Norfolk Pension Fund
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`CIVIL L.R. 5-1 ATTESTATION
`Pursuant to Civil L.R. 5-1(i)(3), I, James N. Kramer, am the ECF user whose ID and
`password are being used to file this Stipulated Order re: Discovery of Electronically Stored
`Information. In compliance with General Order 45, X.B., I hereby attest that Daniel J.
`Pfefferbaum has concurred in this filing.
`
`
`
` /s/ James N. Kramer
`JAMES N. KRAMER
`
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`PURSUANT TO STIPULATION, IT IS SO ORDERED.
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`July 21, 2021
`DATED: __________________ _____________________________________
`
`HONORABLE JOSEPH C. SPERO
`
`UNITED STATES MAGISTRATE JUDGE
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`Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 7 of 10
`Case 4:19—cv-02033-YGR Document 200 Filed 07/21/21 Page 7 of 10
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`EXHIBIT A
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`EXHIBIT A
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`Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 8 of 10
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`EXHIBIT A
`TABLE OF METADATA FIELDS
`
`Field Name
`
`BegDoc
`
`Specifications
`Field Name
`
`Unique ID
`(Bates number)
`
`Field Type
`
`Paragraph
`
`EndDoc
`
`Unique ID
`(Bates number)
`
`Paragraph
`
`BegAttach
`
`EndAttach
`
`Paragraph
`
`Unique ID
`(Bates number)
`Parent-Child
`Relationships
`
`Paragraph
`
`Unique ID
`(Bates number)
`Parent-Child
`Relationship
`
`Pages
`
`Pages
`
`Number
`
`DateSent
`
`
`
`Date
`(MM/DD/YYYY
`format)
`
`Author
`
`Author Display
`Name (e-mail)
`
`
`
`
`
`
`Paragraph
`
`
`
`
`
`
`
`1
`
`Description
`(Email)
`
`Description (E-
`Files/Attachments)
`
`The Document
`ID number
`associated with
`the first page
`of an email.
`
`The Document
`ID number
`associated with
`the last page of
`an email.
`
`The Document
`ID number
`associated with
`the first page
`of a parent
`email.
`
`The Document
`ID number
`associated with
`the last page of
`the last
`attachment to a
`parent email.
`
`The number of
`pages for an
`email.
`
`The date the
`email was sent.
`
`The display
`name of the
`author or
`sender of an
`email.
`
`The Document ID
`number associated
`with the first page
`of a document
`
`The Document ID
`number associated
`with the last page
`of a document.
`
`The Document ID
`number associated
`with the first page
`of a parent
`document.
`
`The Document ID
`number associated
`with the last page
`of the last
`attachment to a
`parent document.
`
`The number of
`pages for a
`document.
`
`For email
`attachments, the
`date the parent
`email was sent.
`
`The name of the
`author as identified
`by the metadata of
`the document.
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`

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`Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 9 of 10
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`Field Name
`
`To
`
`CC
`
`Specifications
`Field Name
`
`Recipient
`
`Field Type
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`Paragraph
`
`CC
`
`Paragraph
`
`BCC
`
`BCC
`
`Paragraph
`
`Subject
`
`Subject (e-mail) Paragraph
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`ALL Custodian
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`Custodian
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`Paragraph
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`TimeSent
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`Time Sent
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`Create Date
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`Date Created
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`Create Time
`
`Time Created
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`Time
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`(HH:MM:SS
`format)
`
`
`Date
`
`(MM/DD/YYYY
`format)
`
`
`Time
`
`(HH:MM:SS
`format)
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`
`2
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`Description
`(Email)
`
`Description (E-
`Files/Attachments)
`
`The display
`name of the
`recipient(s) of
`an email.
`
`The display
`name of the
`copyee(s) of a
`email.
`
`The display
`name of the
`blind copyee(s)
`of an email.
`
`The subject
`line of an
`email.
`
`The
`custodian(s) of
`an email.
`
`To the extent
`available, the
`time the email
`was sent.
`
`The date
`entered in the
`record’s date
`created meta
`field.
`
`
`
`
`The display name
`of the recipient(s)
`of a document (e.g.,
`fax recipients).
`
`
`
`
`
`The subject of a
`document from
`entered metadata.
`
`The custodian(s) of
`a document.
`
`To the extent
`available, for email
`attachments, the
`time the parent
`email was sent.
`
`To the extent it
`exists, the date
`entered in the
`record’s date
`created metadata
`field.
`
`To the extent it
`exists, the time the
`document was
`created, entered in
`the record’s time
`created metadata
`field.
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`Case 4:19-cv-02033-YGR Document 200 Filed 07/21/21 Page 10 of 10
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`Field Type
`
`Description
`(Email)
`
`Description (E-
`Files/Attachments)
`
`
`
`
`
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`The record’s
`extension
`
`
`
`
`
`
`
`The relative
`file path to
`produced
`native files
`Identifies
`whether the
`record was
`redacted
`Identifies
`whether the
`record is
`designated
`confidential
`
`To the extent it
`exists, the date
`entered in the
`record’s date last
`modified meta
`field.
`To the extent it
`exists, last modified
`Time.
`
`
`The record’s
`extension
`The record’s
`original filename
`Original file path to
`the record; where
`the document was
`stored at the time of
`collection
`
`
`
`The relative file
`path to produced
`native files
`
`Identifies whether
`the record was
`redacted
`
`Identifies whether
`the record is
`designated
`confidential
`
`
`
`Field Name
`
`Last Modified
`Date
`
`Specifications
`Field Name
`
`Date Last
`Modified
`
`Last Modified
`Time
`
`Time Last
`Modified
`
`Attach Count
`File Ext
`
`
`File Extension
`
`Filename
`
`File Path
`
`Filename
`
`Original
`location path
`
`Date
`
`(MM/DD/YYYY
`format)
`
`
`Time
`
`(HH:MM:SS
`format)
`
`
`Paragraph
`
`Paragraph
`
`Paragraph
`
`File Size
`TimeZone
`Processed
`Native_Path
`
`File Size
`Time Zone
`Processed
`Native File Path Paragraph
`
`Paragraph
`Paragraph
`
`Redaction
`
`Redaction
`
`Paragraph
`
`Designation
`
`Confidentiality
`Designation
`
`Paragraph
`
`
`
`
`
`
`
`3
`
`