Electronic discovery is inherently expensive and burdensome because of the high volume of information in the world today and because of the broad definition of relevance in our procedural rules. The high volume of ESI is a result of the information explosion, an inevitable byproduct of rapid advances in technology. These advances cause the amount and complexity of our writings to increase exponentially every year. This trend accelerates and stresses our ability to conduct discovery in a proportional manner. There is nothing we can do to put the technology-genie back in the bottle. But we can control the rules.
We can and should revise Rule 26(b)(1), Federal Rules of Civil Procedure, which defines the scope of permissible discovery, and related Rule 401, Federal Rules of Evidence, which defines relevance. These federal rules and their state counterparts permit very broad discovery. They should be revised to limit the scope of relevancy. Only in this way can the cardinal rule of civil procedure be followed, Rule 1, which requires the “just, speedy and inexpensive determination of every action and proceeding.”
The Rules Today Allow for the Discovery of Inadmissible Evidence of Only Marginal Relevance
Due to the unforeseen, rapid advances in technology, Rule 1 now stands in conflict with Rule 26(b)(1). It conflicts because 26(b)(1) allows for the discovery of information not sufficiently relevant or trustworthy to be admissible as evidence, just so long as it appears to be reasonably calculated to lead to the discovery of admissible evidence. That is the grey area shown in the wheel diagram below of discoverable information. This expansive outer circle of e-discovery should be eliminated. Legal actions cannot be determined in a just, speedy and inexpensive manner if discovery into the grey area is permitted. Only directly relevant and otherwise admissible electronic writings should be discoverable, the blue inner circle.
The way it now stands, discoverable “information need not be admissible at the trial if the discovery appears reasonably calculated to lead to the discovery of admissible evidence.” See e.g., Martin Properties, Inc. v. Florida Industries Investment Corp., 2003 WL 1877963, *2 (N.D.Ill. Apr. 14, 2003). Courts permit discovery if there is “any possibility” that the information sought may be relevant to the claim or defense of any party. See, e.g., Sheldon v. Vermonty, 204 F.R.D. 679, 689-90 (D.Kan. 2001).
The only restriction placed upon the matters which may be gone into upon discovery examinations is that they be relevant. Rule 26(b), Fed.R.Civ.Pro. Relevancy, in this context, is tested by a rather liberal standard. “Thus it is relevancy to the subject matter which is the test and subject matter is broader than the precise issues presented by the pleadings.” Kaiser-Frazer Corp. v. Otis & Co., 11 F.R.D. 50, 53 (S.D.N.Y.1951).
When the discovery sought appears relevant, the party resisting the discovery has the burden to establish the lack of relevance. This is done by establishing the requested discovery to be of such marginal relevance that the potential harm occasioned by discovery outweighs the ordinary presumption in favor of broad disclosure. Beach v. City of Olathe, Kansas, 203 F.R.D. 489, 496 (D.Kan. 2001).
The process of requiring the responsive party to seek a protective order, wherein they must prove potential harm and need for protection under Rule 26(b)(2)(C), can be expensive and uncertain. Trial judges and magistrates have broad discretion and protective orders are not lightly provided.
Under the rules as now written, the broad discoverability standards apply to both paper documents and ESI. As the District Court Judge pointed out in Mirbeau of Geneva Lake LLC v. City of Lake Geneva, 2009 U.S. Dist. LEXIS 101104 (E.D. Wis. 2009):
The [*3] advisory notes to the Federal Rules of Civil Procedure indicate that the federal rules take an “expansive approach toward discovery of ESI and that “discovery of [ESI] stands on equal footing with discovery of paper documents.” Fed. R. Civ. P. 34(a), advisory notes.
The bottom line, as all litigators know, is that it is unduly difficult to defeat discovery requests on the grounds of irrelevance. Parties requesting ESI discovery know this. Some exploit this fact, particularly in disproportionate litigation where one side has many more computers and ESI than the other. They misuse e-discovery as a weapon. Over-broad discovery requests are common under the rules as they now stand. As a result, it is all too easy in discovery to run up a big bill chasing down and producing ESI that has little, if any, real value or impact upon the merits of the case.
An Expansive Concept of Discovery is the Product of a Bygone Era
The expansive concepts of discovery were developed in prior centuries, long before the computer was invented or mankind could even imagine a world of terabytes of information and instantaneous, global writings. As the Supreme Court noted in Hickman v. Taylor, 329 U.S. 495, 515 (1947):
‘Discovery’… traces back to the equity bill of discovery in English Chancery practice and seems to have had a forerunner in Continental practice. See Ragland, Discovery Before Trial (1932) 13-16.
The revisions to the Federal Rules of Civil Procedure at the end of the last century accelerated and expanded broad discovery. This expansion made sense in the paper world where these discovery concepts were formed. It was not inherently burdensome in the pre-digital age to allow for discovery of inadmissible writings, so long as they were likely to lead to relevant evidence. There were a limited, manageable number of paper records. But in today’s world, the expansive concept of discoverable writings makes little sense. We can no longer afford the discovery of ESI that lacks sufficient probative value and trustworthiness to be admissible as evidence.
We Must Rethink Relevance for Purposes of ESI Discovery
If ESI is not relevant or trustworthy enough to be admissible evidence, it should not be discoverable. Relevant ESI is in itself already voluminous. The additional grey areas of ESI that appears to someone as reasonably calculated to lead to discovery of admissible evidence, is inherently excessive and burdensome. It is a luxury we can no longer afford.
The rules must change for the system to function. Discovery of irrelevant and otherwise inadmissible ESI evidence should not be permitted. It makes speedy, inexpensive determinations impossible in many, if not most cases involving high volumes of ESI.
We need to tighten our concepts of relevancy for purposes of discovery. Modification of the state and federal rules on this key point should make it easier to curb the abuses of disproportional discovery. Other rule changes may also be necessary, but this one seems to be obvious.
Change Procedure Rule 26(b)(1)
In the federal courts we need to change the provision in Rule 26(b)(1), Federal Rules of Civil Procedure, which reads as follows:
Rule 26. Duty to Disclose; General Provisions Governing Discovery. (b) Discovery Scope and Limits. (1) Scope in General. Unless otherwise limited by court order, the scope of discovery is as follows: Parties may obtain discovery regarding any nonprivileged matter that is relevant to any party’s claim or defense … Relevant information need not be admissible at the trial if the discovery appears reasonably calculated to lead to the discovery of admissible evidence. (italics added)
That last part should be modified by eliminating its application to the discovery of electronic information, at least where large-volume ESI discovery is involved, say anything involving over 100,000 files. This is just one possible way to do it. I am sure others can think of better ways to tie it down so that discovery is not unduly limited. The broad reasonably calculated standard of expansive discovery should remain for purposes of depositions, interrogatories, and requests for admissions, but not for e-discovery.
This call for a change in the rules is directed to both the federal and state courts, as all states have adopted this expansive concept of discovery relevance. As the Supreme Court explained in Seattle Times Co. v. Rhinehart, 467 U.S. 20, 30 (1984):
Most States, including Washington, have adopted discovery provisions modeled on Rules 26 through 37 of the Federal Rules of Civil Procedure. F. James & G. Hazard, Civil Procedure 179 (1977). Rule 26(b)(1) provides that a party “may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action.” It further provides that discovery is not limited to matters that will be admissible at trial so long as the information sought “appears reasonably calculated to lead to the discovery of admissible evidence.” Wash. Super. Ct. Civ. Rule 26(b)(1); Trust Fund Services v. Aro Glass Co., 89 Wash. 2d 758, 763, 575 P. 2d 716, 719 (1978); cf. 8 C. Wright & A. Miller, Federal Practice and Procedure § 2008 (1970).
Change Evidence Rule 401
One additional, complementary rule change would be to tighten the definition of relevant evidence itself, so that the blue inner circle of the diagram is also reduced, at least for voluminous ESI discovery. Thus, for instance, you could reduce the scope of relevance for purposes of ESI discovery to ESI reasonably likely to have high probative value. This is shown in the inner red circle below.
Relevancy is defined in state and federal rules of evidence, not in rules of procedure. The definitions are all very broad in scope and do not distinguish between types of evidence. For instance, the Federal Rules of Evidence define relevance as follows:
Rule 401. Definition of “Relevant Evidence.” “Relevant evidence” means evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence.
The evidence rules could be revised to add a weight factor for purposes of ESI or some other limiting criteria. For instance, the words “any tendency” could be revised for purposes of ESI only, to something like “a significant tendency,” or “a reasonable likelihood.” Again, smarter minds than mine could collectively parse out the specific language that would work best to rein in excessive ESI discovery. The idea is to limit discovery of ESI to information reasonably likely to have strong probative value.
An additional possible change is to limit relevance for purposes of discovery to facts that are disputed. The definition of relevance in the Evidence Code and case-law does not contain any such limitation.
These changes, and perhaps the others suggested here as well, could probably be implemented in procedural rules alone, without revising the related evidence rules. This would require careful study and consideration by the rules committee.
Again, all of these proposed changes to relevance would only apply to ESI evidence, not to testimony and other forms of evidence. It could also be limited to purposes of discovery, with the same broad-scope relevancy definitions used for purposes of trail (the 2% of cases that actually make it that far).
More Discussion on Video
For further discussion on the subject of over-broad discovery relevance, how it is being misused as a mischievous e-discovery weapon, and the pros and cons of a rule change, see the video below. Here Bill Hamilton and I are wearing our Law Professor hats and discussing these issues with students in the Advanced e-Discovery course at the University of Florida Levin College of Law. Turn up the volume to hear Professor Hamilton and turn HD (high-definition) to on.
It has only been a few years since the last federal rule changes went into effect on December 1, 2006. The rules were changed to try to help litigants, attorneys, and judges cope with electronic discovery. The conventional wisdom is to wait a few more years before making any more revisions. That is what I used to think, until just recently, and in the past it was certainly prudent to proceed slowly. But I have come to realize that what made sense in the last century no longer makes sense now. The pace of change has accelerated. We must as a profession keep up with the rapid advances. We can no longer afford to wait. Society is changing fast and so should the law. To wait is to condone further violations of the prime directive of Rule 1.
Changes to Rule 26(b)(1), Federal Rules of Civil Procedure, and Rule 401, Federal Rules of Evidence, are an obvious next step in what must be a continuous evolution of the law. We should no longer tolerate the discovery of information that only has a vague appearance of relevance. We need to redefine relevance for purposes of electronic discovery and we need to do it today, not tomorrow.
I welcome your comments on this proposal.