Abraham Lincoln was born on February 12, 1809. He was probably our greatest President. Putting aside the tears honest Abe would likely shed over the political scene today, it is good to remember Lincoln as an exemplar of a U.S. lawyer. All lawyers would benefit from emulating aspects of his Nineteenth Century legal practice and Twenty First Century thoughts on technology. He was honest, diligent, a deep thinker and ethical. He did not need to be lectured on Cooperation and Rule 1. He also did not need to be told to embrace technology, not hide from it. In fact, he was a prominent Tech-Lawyer of his day, well known for his speaking abilities on the subject.
He was also a man with a sense of humor who knew how to enjoy himself. I think he would have approved of the video below. I made this of him using GPT technologies to express one of my life mottoes, inspired by him. He is a personal hero. Did you know he had a high pitched voice? Here I try to imitate what he might have sounded like. There are no recordings of his speech, just written accounts.
Near the end of his legal career Abe was busy pushing technology and his vision of the future. Sound familiar dear readers? It should. Many of you are like that. I know I am.
Lincoln was as obsessed with the latest inventions and advances in technology as any techno-geek e-discovery lawyer alive today. The latest things in Lincoln’s day were mechanical devices of all kinds, typically steam-powered, and the early electromagnetic devices, then primarily the telegraph. Indeed, the first electronic transmission from a flying machine, a balloon, was a telegraph sent from inventor Thaddeus Lowe to President Lincoln on June 16, 1861. Unlike Lincoln’s generals, he quickly realized the military potential of flying machines and created an Aeronautics Corps for the Army, appointing Professor Lowe as its chief. See Bruce, Robert V., Abraham Lincoln and the Tools of War. Below is a copy of a handwritten note by Lincoln introducing Lowe to General Scott.
At the height of his legal career, Lincoln’s biggest clients were the Googles of his day, namely the railroad companies with their incredible new locomotives. These newly rich, super-technology corporations dreamed of uniting the new world with a cross-country grid of high speed transportation. Little noticed today is one of Lincoln’s proudest achievements as President, the enactment of legislation that funded these dreams, the Pacific Railway Act of 1862. The intercontinental railroad did unite the new world, much like the Internet and airlines today are uniting the whole world. A lawyer as obsessed with telegraphs and connectivity as Lincoln was would surely have been an early adopter of the Internet and an enthusiast of electronic discovery. See: Abraham Lincoln: A Technology Leader of His Time (U.S. News & World Report, 2/11/09). No doubt he would be using Chat GPT to help with his mundane paperwork (but not his speeches).
Abraham Lincoln loved technology and loved to think and talk about the big picture of technology, of how it is used to advance the dreams of Man. In fact, Lincoln gave several public lectures on technology, having nothing to do with law or politics. The first such lecture known today was delivered on April 6, 1858, before the Young Men’s Association in Bloomington, Illinois, and was entitled “Lecture on Discoveries and Inventions.” In this lecture, he traced the progress of mankind through its inventions, starting with Adam and Eve and the invention of the fig leaf for clothing. I imagine that if he were giving this speech today (and I’m willing to try to replicate it should I be so invited) he would end with AI and blockchain.
In Lincoln’s next and last lecture series first delivered on February 11, 1859, known as “Second Lecture on Discoveries and Inventions,” Lincoln used fewer biblical references, but concentrated instead on communication. For history buffs, see the complete copy of Lincoln’sSecond Lecture, which, in my opinion, is much better than the first. Here are a few excerpts from this little known lecture:
The great difference between Young America and Old Fogy, is the result of Discoveries, Inventions, and Improvements. These, in turn, are the result of observation, reflection and experiment.
Writing – the art of communicating thoughts to the mind, through the eye – is the great invention of the world. Great in the astonishing range of analysis and combination which necessarily underlies the most crude and general conception of it, great, very great in enabling us to converse with the dead, the absent, and the unborn, at all distances of time and of space; and great, not only in its direct benefits, but greatest help, to all other inventions.
I have already intimated my opinion that in the world’s history, certain inventions and discoveries occurred, of peculiar value, on account of their great efficiency in facilitating all other inventions and discoveries. Of these were the arts of writing and of printing – the discovery of America, and the introduction of Patent-laws.
Can there be any doubt that the lawyer who wrote these words would instantly “get” the significance of the total transformation of writing, “the great invention of the world,” from tangible paper form, to intangible, digital form? Can there be any doubt that a lawyer like this would understand the importance of the Internet, the invention that unites the world in a web of inter-connective writing, where each person may be a printer and instantly disseminate their ideas “at all distances of time and of space?”
Abraham Lincoln did not just have a passing interest in new technologies. He was obsessed with it, like most good e-discovery lawyers are today. In the worst days of the Civil War, the one thing that could still bring Lincoln joy was his talks with the one true scientist then residing in Washington, D.C., the first director of the Smithsonian Institution, Dr. Joseph Henry, a specialist in light and electricity. Despite the fact that Henry’s political views were anti-emancipation and virtually pro-secession, Lincoln would sneak over to the Smithsonian every chance he could get to talk to Dr. Henry. Lincoln told the journalist, Charles Carleton Coffin:
My visits to the Smithsonian, to Dr. Henry, and his able lieutenant, Professor Baird, are the chief recreations of my life…These men are missionaries to excite scientific research and promote scientific knowledge. The country has no more faithful servants, though it may have to wait another century to appreciate the value of their labors.
Bruce, Lincoln and the Tools of War, p. 219.
Lincoln was no mere poser about technology and inventions. He walked his talk and railed against the Old Fogies who opposed technology. Lincoln was known to be willing to meet with every crackpot inventor who came to Washington during the war and claimed to have a new invention that could save the Union. Lincoln would talk to most of them and quickly separate the wheat from the chaff. As mentioned, he recognized the potential importance of aircraft to the military and forced the army to fund Professor Lowe’s wild-eyed dreams of aerial reconnaissance. He also recognized another inventor and insisted, over much opposition, that the army adopt his new invention: Dr. Richard Gatling. His improved version of the machine gun began to be used by the army in 1864, and before that, the Gattling guns that Lincoln funded are credited with defending the New York Times from an invasion by “anti-draft, anti-negro mobs” that roamed New York City in mid-July 1863. Bruce, Lincoln and the Tools of War, p. 142.
As final proof that Lincoln was one of the preeminent technology lawyers of his day, and if he were alive today, surely would be again, I offer the little known fact that Abraham Lincoln is the only President in United States history to have been issued a patent. He patented an invention for “Buoying Vessels Over Shoals.” It is U.S. Patent Number 6,469, issued on May 22, 1849. I could only find the patent on the USPTO web, where it is not celebrated and is hard to read. So as my small contribution to Lincoln memorabilia in the bicentennial year of 2009, I offer the complete copy below of Abraham Lincoln’s three page patent. You should be able to click on the images with your browser to enlarge and download.
The invention consisted of a set of bellows attached to the hull of a ship just below the water line. After reaching a shallow place, the bellows were to be filled with air that buoyed the vessel higher, making it float higher and off the river shoals. The patent application was accompanied with a wooden model depicting the invention. Lincoln whittled the model with his own hands. It is on display at the Smithsonian and is shown below.
Conclusion
On President’s Day 2023 it is worth recalling the long, prestigious pedigree of Law and Technology in America. Lincoln is a symbol of freedom, emancipation. He is also a symbol of Law and Technology. If Abe were alive today, I have no doubt he would be, among other things, a leader of Law and Technology.
Stand tall friends. We walk in long shadows and, like Lincoln, we shall overcome the hardships we face. As Abe himself was fond of saying: down with the Old Fogies; it is young America’s destiny to embrace change and lead the world into the future. Let us lead with the honesty and integrity of Abraham Lincoln. Nothing less is acceptable.
Sometimes a client’s e-discovery gifts to their lawyer create opportunities, but usually they present challenges; they present technical legal problems to be solved. The twelve gifts song parody serves as a way to discuss twelve e-discovery issues from the perspective of the practicing lawyer. I used the rhythm and metrics of the Twelve Gifts song to help me pick the twelve issues.
The end result is that the Twelve Gifts of Christmas parody in this blog includes a discussion of a few issues that we do not normally write about, such as the first “gift” of timely payment. Or as we put in Twelve Gifts of Christmas metrics, “A pay-ment for a fair fee” (think “A par-tridge in a pear tree”). Merry Christmas and may all of your fees be timely paid!
__________
What do you do When a client sends to you
A Payment for a fair fee.
Say thank you! This is an opportunity. Assuming the matter is over or changing somehow, also ask for feedback from the client on the project. Talk about lessons learned. Ask how you could improve. Maybe even suggest changes the client should consider (be diplomatic). Perhaps you have some final metrics on the project to share with the client? Do not neglect to ask if there is anything else you can help with now?
Finally, do not forget to return their data or have it destroyed it at the end of the case. You have a duty to do this whenever you have to search for evidence in large stores of the client’s electronic records. It is the client’s data so be careful to document and follow their instructions on final disposition.
__________
What do you do When a client sends to you
Two Twitterers a Tweeting a fond adieu?
When you find that a custodian Tweets, and he or she tells you during the interview that some of the Tweets “might” have pertained in some way to the “topic in dispute,” then you have to preserve them. You may also want to go ahead and have them reviewed or read them yourself. Ask the Twitterers to show you a few. Get hands-on ASAP. Most tweets are public.
It is also important that you stop the two twitterers a tweeting who are custodians-witnesses. Get them to stop tweeting, at least on anything that might be a “topic in dispute.” They need to tweet a fond adieu to any new tweeting that could end up in evidence.
Stop by my Twitter feed sometime – https://twitter.com/RalphLosey – and start to follow me for information on e-discovery, law and technology, politics and all kinds of odd things that interest me.
__________
What do you do When a client sends to you
Three reports of spoliation that are very PU?
Stinky spoliation reports, by which we mean real serious and extensive reports of ESI destruction, are the worst presents of all. They can make an easy winning case into a big loser. Three reports of ESI being lost or destroyed in the normal course, but after the duty to preserve was triggered, is a lot of sanctions trouble. Spoliation problems of any kind can make the client look bad, usually far worse than they in fact are, because most of these situations are triggered by errors and omissions. But sometimes the ESI destruction was not accidental, it was intentional, bad faith and your client faces serious sanctions. See: The Jimi Hendrix Experience: Sanctions For Destruction (e-Discovery team, 12/02/18) (article on Experience Hendrix, LLC v. Pitsicalis, No. 17-cv-1927 (PAE) (S.D.N.Y., 11/27/18)).
Immediate investigation of the facts is required anytime there is a credible report of evidence spoliation. Situations like this require high legal skill levels and solid ethics to handle effectively.
__________
What do you do When a client sends to you
Four thumb drives filled with electric evidence to review?
Here it is not the present itself that concerns us, but the way it was delivered. You, the attorneys, do not want to receive the thumb drives, you want your computer engineers to receive and safeguard the large data stores. You want the professionals to take custody and safeguard the ESI. If you are like me and have a vendor who does the set up and management of your document review databases, then you will want the electronic storage devices – here the four drives – to be sent directly from the client to the vendor.
Do not get in the chain of custody! Do not take-on the liability of holding large stores of your client confidential information. Law firms should do everything they can to try to safeguard against a data breach with loss of client’s ESI. Have the data handled by computer forensics experts.
__________
What do you do When a client sends to you
Five Doorbell Ring videos to view?
Have you heard of the doorbell video systems that let you see who is at the door and respond with your cell phone no matter where you are? Even if you do not respond, even if the person at the door never rings the bell, motion sensors on The Ring will trigger a video. The video is then automatically saved to the cloud. The most popular video doorbell system like this is called The Ring. It has recently spawned a new kind of very local social media, a new type of neighborhood watch to stop crime – Ring TV. It has become very popular to try to stop package theft. Take a look at some of The Ring customers videos. Everyone likes to see thieves deterred, or in action, especially when they are going after the easy to steal Amazon packages. In 2018 we even had Door Cam Awards for the best dramatic performances on home security footage.
My favorite doorbell video happened recently. It captures a Good Samaritan in action trying to save a dummy Christmas decoration. Please hold on!
There are video cameras in most commercial areas, with more and more surveillance equipment added every day, including people’s residence and workplace. Videos could have evidence of facts that are in dispute in your case. You need to act fast to preserve them, as they usually are written over after the allotted storage space is filled.
To Be Continued ….
In the conclusion we will consider the last seven gifts from the beloved client and how to deal with the problems and opportunities these presents present.
In the meantime, here is the full lyrics. $50 Starbucks gift card to whoever submits the best recording of their singing this.
James Marshall “Jimi” Hendrix, whom Rolling Stone ranked the greatest guitarist of all time, died intestate in 1970 at twenty-seven. His heirs have been embroiled in litigation ever since. They have recently entered the fiery realm of e-discovery and sanctions. Experience Hendrix, LLC v. Pitsicalis, No. 17-cv-1927 (PAE) (S.D.N.Y., 11/27/18). The opinion by District Court Judge Paul A. Engelmayer is interesting in its own right, but when you add the Hendrix name and family feud, you have a truly memorable order. After all, we are talking about the artist who created “Purple Haze,” “Foxy Lady,” “The Star-Spangled Banner,” “Hey Joe” and my personal favorite, his rendition of Bob Dylan’s “All Along the Watchtower”.
Case Background: The Hendrix Family Feud
The latest suit involves the usual serial litigants. On one side is Jimi’s step-sister, Janie Hendrix (shown right). She is, as Jimi would have said, a “Foxy Lady”. Janie assumed control of the Estate from Jimi’s natural father, Al Hendrix, when he died in 2002. On the other side is Jimi’s brother, Leon Hendrix and Leon’s business partner, Andrew Pitsicalis. Kerzner, Hendrix Sues Serial Infringer Andrew Pitsicalis (American Blues Scene, 3/20/17). There can be big money in the Hendrix name, the top guitarist of all time. I for one still get choked up when I hear his rendition of “The Star-Spangled Banner”:
I am reminded of the closing line of the Hendrix classic, Are You Experienced:
Ah! But Are You Experienced?
Have you ever been experienced?
Not necessarily stoned, but beautiful.
Jimi’s brother, Leon Hendrix (shown right), is an artist and musician himself with his own following. Some think he was treated unfairly by his Dad and Step-Sister. For a variety of reasons, especially I suspect the impact of Pitsicalis, the CEO of “Purple Haze Properties” and Leon’s business partner, there is still bad blood. Chris Fry, Jimi Hendrix’s Brother Fires Back Against Estate(Courthouse News, 3/28/17).
This kind of family feud mentality is not uncommon in litigation, especially in cases involving the intentional destruction of evidence. I am reminded of a Hendrix line from Voodoo Child:
Well, the night I was born. Lord I swear the moon turned a fire red. The night I was born I swear the moon turned a fire red. Well my poor mother cried out “lord, the gypsy was right!” And I seen her, fell down right dead. Have mercy.
Spoliation sanctions generally arise from a haze, just not a stoned purple haze, more like an angry moon turned a fire red haze. Even a seasoned District Court Judge in the SDNY, Paul Engelmayer, was “dismayed” by the conduct of Pitsicalis and Leon Hendrix. Well, what did you expect in matters involving the Estate of a Voodoo Child musical genius? The best guitarist that ever lived?
Judge Engelmayer’s Sanction Order
The scholarly and well-written opinion by District Court Judge Paul A. Engelmayer (shown right) begins by observing:
As the docket in this matter reflects, the Court has been called upon dismayingly often to act when presented with evidence of the PHP defendants’ persistent non-compliance with basic discovery obligations. Plaintiffs now move this Court to sanction these defendants for (1) spoliation of evidence and, more generally, (2) “consistent, pervasive[,] and relentless discovery abuses by [d]efendants and their counsel, Thomas Osinski.” Dkt. 245. Plaintiffs request, inter alia, a preliminary injunction, an order of attachment, an adverse inference instruction at trial, and terminating sanctions. See Dkts. 237, 244. For the reasons below, the Court grants the motion for an adverse inference instruction and directs the PHP defendants to pay the reasonable fees and costs incurred by plaintiffs in bringing this motion.
Experience Hendrix, LLC v. Pitsicalis, No. 17-cv-1927 (PAE) (S.D.N.Y., 11/27/18). Expressing “dismay” is about as emotional as Judge Engelmayer gets in writing an opinion, even one sanctioning a party for destroying evidence and disobeying court orders.
The PHP defendants mentioned are Leon Hendrix, Andrew Pitsicalis and their corporation, Purple Haze Properties (PHP). As you can see from the first quote, the attorney who represents them, Thomas Osinski, was also accused of discovery abuse. That often happens in joker and the thief type cases like this.
A good sanctions case will always have a “parade of horribles” consisting of a list of things the spoliating party supposedly did wrong. Hendrix is no exception. That is how the severe sanctions are justified. It would take too long to list all of the abuses justifying sanctions in Hendrix, but here are the four main ones:
PHP Defendants’ Failure to Produce Forensic Images as Ordered. Apparent intentional disobedience of court orders to make forensic copies of and produce certain drives, even after daily fines are imposed for late production. One of the excuses PHP offered was especially humorous, especially considering the NYC venue, but they actually claimed “that they had had difficulty hiring an expert technician who could image the hard drives.” Yeah, it’s real hard. Need I say more about Osinski’s veracity? When they finally did produce some, but not all of the forensic images, they were not “forensic” images. They were just copies of all active files (a “ghost” copy) with no forensic copy of the slack space. That is what a forensic copy means. It allows for search and examination of deleted files, which was the whole point of the court order.
PHP Defendants’ Use of Anti-Forensic Software. Software allowing for the complete wiping of files was found installed on several of the computer images that were produced. In some there was evidence the software was installed immediately after a court order was entered requiring production. In these the plaintiff’s forensic expert could also show that the software, CleanMyMac, was actually used to wipe files and when, although it was not possible to know what files were destroyed. The moving party (Janie Hendrix and her company Experience Hendrix, L.L.C.) proved the use was knowing when their expert, John T. Myers, showed how the software was configured to have a pop-out and warn the user to confirm complete elimination of the file (it cannot be recovered after that). The defendants testified that they did not recall ever using it. Sure. Spoliate evidence and then cover-up, or try to.
Andrew Pitsicalis Deleted “Jimi”-related Text Messages from his iPhone. Plaintiff’s forensic expert was able to prove that more than 500 text messages had been deleted from Pitsicalis cell phone after the duty to preserve had arisen (suit was filed). Moreover, they were able to recover nine text messages pertaining to Jimi. As Judge Engelmayer explained: “Fortuitously, Myers was able to recover the deleted text messages from the imaged phone because those communications had been stored not in the applications used to send and receive them (e.g., iMessage), but in databases where files exist until overwritten or otherwise purged.”
Key Computer at First Hidden, then After Discovery in Photograph, Goes South to Florida and is Never Examined. This one sounds like a bad game of Where’s Waldo. A “Seventh Computer” was found, one never reported by PHP, by plaintiff’s study of photos on PHP’s Facebook page. Very clever. One picture on FB showed Andrew Pitsicalis, sitting in his office, in immediate proximity to a mystery desktop computer. When asked about it under oath PHP’s fine attorney, Osinski, swore that he thought it was just a dummy Apple monitor on the office desk, not a computer. He said he did not know that the monitor, and key board next to it, were a real, functional computer, an iMac. What? Did he think these were IKEA props in a display room? They were sitting on his client’s desk in a Facebook photo taken after suit was filed. But wait, there is more, Osinski went on to swear that the computer had moved to Florida. As Judge Engelmayer explained:
“Osinski testified that his present understanding is that the desktop computer belonged to an individual named Hector David, Jr. who has moved to Florida and who, Osinski assumes, took the computer with him. Osinski, however, did not have personal knowledge of this, or of the contents of the desktop in Andrew Pitsicalis’ office. … Andrew Pitsicalis, for his part, denied owning the computer and testified that David was not employed by PHP.”
Apparently no one has been able to locate this mysterious Hector David or know where he took the iMac computer sitting on Pitsicalis desk.
Legal Standards of Spoliation in Hendrix
Judge Engelmayer’s opinion in Hendrix examines two legal standards, Rule 37 and Spoliation. He begins the discussion with the duty to preserve, the threshold issue in spoliation:
The first issue is whether the PHP defendants had an obligation to preserve the categories of evidence at issue. A party has an obligation to preserve evidence when it “has notice that the evidence is relevant to litigation . . . [or] should have known that the evidence may be relevant to future litigation.” Kronisch v. United States, 150 F.3d 112 , 126 (2d Cir. 1998) (internal citations omitted).
That standard is easily met here.
He then goes on to discuss whether that duty as breached, another no-brainer based on the impressive parade of horribles in this case:
The Court further finds—and the evidence to this effect is overwhelming—that the PHP defendants repeatedly breached this duty. The breaches fall in three categories: (1) the use of cleaning software on covered computing devices, (2) the failure to disclose the existence of a seventh computing device containing potentially relevant documents, and (3) the deletion of relevant text messages.
Judge Engelmayer’ then discusses the key issue of intent, the mens rea to spoliate.
Much of the PHP defendants’ spoliation of evidence, the Court finds, was intentional. …
The Court finds that, by installing anti-cleaning software on his own computer and causing it to be installed on Schmitt’s in the face of an unambiguous and known duty to preserve potentially relevant evidence, Pitsicalis intentionally caused the destruction of such evidence.
The defenses proffered by the PHP defendants are unavailing. That Schmitt personally may not have acted with the intent to deleted responsive files is beside the point. The relevant mens rea here is that of Andrew Pitsicalis, who owned PHP, for which Schmitt worked as an independent contractor, and who, despite being a repeat litigant amply on notice of his duty to preserve potentially relevant evidence, urged Schmitt to run this software to delete files. Tr. 125, 133. Also unhelpful is Pitsicalis’ [*13] explanation that, at some unspecified point, he went on “Google to search for ‘top anti-forensic software’ and went through the first 10 pages of search” without finding anything for CleanMyMac. Andrew Pitsicalis Decl. at 2-3. Regardless what Pitsicalis’ internet research may have shown, the evidence adduced at the hearing clearly established both that the CleanMyMac software had the capacity to cause the deletion (and shredding) of files, and that Pitsicalis knew this, not least because the software’s causation of such deletion was made explicit to the user each time. Pitsicalis does not offer any reason for installing and using this software on his computer, let alone for having done so without first creating an image of the full contents of the computer that would have assured preservation of the computer’s contents.
Andrew Pitsicalis’ deletion of relevant text messages was also clearly intentional. By his admission, he personally and deliberately deleted, among other text messages, a series of texts concerning the marketing of “Jimi”-related products, the very subject of this lawsuit. He did so one day after the Court issued an order requiring the Purple Haze Properties defendants to: “produce to plaintiffs the forensic images of” every device, including phones, containing files that are relevant to this action. Pitsicalis did not offer any coherent defense to this misconduct. The Court finds it to have been a willful and blatant violation of the duty to preserve relevant evidence.
Finally, the Court finds that the removal of a computer from Andrew Pitsicalis’ office and its transfer to a Floridian, Hector David, Jr., was an act of intentional spoliation. To be sure, the question is a closer one, if only because the contents of that computer are unknown, and so the Court cannot rule out the possibility that these contents were wholly extraneous to this litigation. The location of the computer in Pitsicalis’ office, however, suggests otherwise. Had the Court been notified of the existence of this computer, it assuredly would have ordered that the computer’s contents be searched for responsive materials. It is also noteworthy that Andrew Pitsicalis did not inform his attorney of the existence of this computer. While conceivably these circumstances, in isolation, might have been consistent with the merely reckless disposal of evidence, when this episode is viewed in the light of Pitsicalis’ other acts of willful spoliation, the Court has little difficulty finding it, too, to bespeak intentional misconduct.
Sanctions Imposed
Judge Engelmayer begins his analysis of the appropriate, proportional sanctions by stating the black letter law:
The trial judge must determine the appropriate sanction for spoliation [*14] of evidence on a case-by-case basis. F, 247 F.3d at 436 . Such sanctions should be designed to:
(1) deter parties from engaging in spoliation; (2) place the risk of an erroneous judgment on the party who wrongfully created the risk; and (3) restore the prejudiced party to the same position [they] would have been in absent the wrongful destruction of evidence by the opposing party.
West, 167 F.3d at 779 . Case-dispositive sanctions, however, “should be imposed only in extreme circumstances, usually after consideration of alternative, less drastic sanctions.” Id.
Based on these objectives Judge Engelmayer sanctioned defendants as follows:
Considering these objectives, the Court imposes the following two sanctions, regarding (1) Andrew Pitsicalis’ computer, iPhone, and desktop computer; and (2) Schmitt’s computer, as to each of which the Court has found intentional spoliation. First, the Court will instruct the finder of fact that it may draw an adverse inference from the PHP parties’ failure adequately to preserve and produce these materials, to wit, that the devices in question contained evidence of conduct by the PHP defendants in breach of their legal duties to plaintiffs in connection with the sale and marketing of Jimi Hendrix-related materials.8
Second, given the resources plaintiffs again have had to expend in establishing the above-chronicled acts of non-compliance by the PHP defendants with the Court’s discovery orders, plaintiffs are entitled to an award reflecting the reasonable attorneys’ fees and costs incurred in connection with bringing and litigating the instant successful motion.
Judge Engelmayer went on to explain why a lesser sanction was inappropriate:
The Court has carefully considered whether lesser sanctions are adequate to cure the harm caused by the disposition of these materials. The Court’s firm conclusion is that no lesser sanction than the combination of an adverse inference instruction and an order directing the prompt recompense of plaintiffs for costs reasonably incurred litigating the meritorious motions for sanctions based on spoliation would adequately remedy plaintiffs’ injury. See, e.g., Moody v. CSX Transp., Inc., 271 F. Supp. 3d 410 , 432 (W.D.N.Y. 2017) (finding adverse inference appropriate where defendants intentionally lost material evidence); Ottoson v. SMBC Leasing and Finance, Inc., 268 F. Supp. 3d 570 , 584 (S.D.N.Y. 2017) (granting an adverse inference instruction where plaintiff “has acted willfully or in bad faith” in [*15] violation of her duty to preserve certain emails); First Fin. Sec., Inc. v. Freedom Equity Grp., LLC, No. 15-CV-1893-HRL, 2016 U.S. Dist. LEXIS 140087 , [2016 BL 337069], 2016 WL 5870218 (N.D. Cal. Oct. 7, 2016) (imposing adverse inference instruction for intentional deletion of text messages and awarding plaintiffs attorneys fees incurred in bringing sanctions motions). The Court has also carefully considered whether this is the rare case in which terminating sanctions are merited, as plaintiffs have urged. See Dkt. 237. At the present time, the Court’s judgment is that such extreme sanctions are not warranted, although further acts of spoliation and/or other discovery abuses could produce a different result.
The footnotes in these last paragraphs are interesting. Footnote 8 explains that “The Court defers decision on the precise formulation of the adverse inference instruction until closer to trial.” That means it could become a mandatory presumption, or merely permissive. Footnote 9 acknowledges that there may be more discovery misconduct in the works. The court noted it could still strike all defenses, if the conduct continues, and save everyone the cost of a trial.
Conclusion
Even with just a permissive presumption, the case at this point will almost certainly be won by Janie Hendrix’ company, Experience Hendrix, L.L.C.. Experience Hendrix, LLC v. Pitsicalis. Yet another loss for Jimi’s brother, Leon, in a long list of losses. Another injunction and businesses shut-down, but for how long? The Estate and L.L.C. have won so many times before. Yet they keep coming back. Is this yet another Pyrrhic Victory in a long line of pointless litigation? How long before the next suit? Some things are just beyond Law’s reach. Purple Haze.
Purple Haze
Purple haze all in my brain
Lately things just don’t seem the same
Actin’ funny, but I don’t know why
‘Scuse me while I kiss the sky
Purple haze all around
Don’t know if I’m comin’ up or down
Am I happy or in misery?
Whatever it is, that girl put a spell on me
Help me help me
Oh no no… No
Yeah
Purple haze all in my eyes
Don’t know if it’s day or night
You’ve got me blowin, blowin my mind
Is it tomorrow or just the end of time?
No, help me aw yeah! Oh no no oh help me…
When you are the best in the world at something, like Jimi Hendrix was at guitar playing, and when you are still famous and admired by millions fifty years after your death, there will be profiteers around. When you add sibling rivalry and family resentments to the mix, then the trouble goes from bad to worse.
The Hendrix family saga, and this lawsuit, are tragedies. So too is the destruction of evidence and this Sanctions Order. It is part of his guitar star legend. Jimi Hendrix’ boy genius was born out of a troubled childhood and family. Diamond in the rough. Bigger than life. Exploded with art, fame and fortune in just three years. Dead at age 27 of an overdose. The day he was born the moon turned a fire red, “Lord, the gypsy was right!”
The greatest guitarist of all time was a Phoenix – tragic, fiery, short-lived, but beautiful and spell-binding too. Where will musical genius appear like that again?
Great fanfare was provided for the changes to the Federal Rules of Civil Procedure in December 2015. But not much attention has been given to the December 2017 changes to the Federal Rules of Evidence. Maybe that has to do with the disappearing trial, the fact that less than one percent of federal cases actually go to trial. Still, you need to know the rules of evidence admissibility, even if you are preparing for a trial that will never come. You need to collect and discover evidence in a way that it can be used, even if it is just in a motion for summary judgment.
Two New Subsections to Rule 902 on Self-Authenticating Evidence
In December 2017 two new subsections were added to Evidence Rule 902, subsections (13) and (14). They are designed to streamline authentication of electronically stored information (ESI). The goal is to eliminate the need to call a witness at trial to authenticate evidence, at least in most instances. Here are the two new provisions:
Rule 902. Evidence That Is Self-Authenticating
The following items of evidence are self-authenticating; they require no extrinsic evidence of authenticity in order to be admitted: . . .
(13) Certified Records Generated by an Electronic Process or System.A record generated by an electronic process or system that produces an accurate result, as shown by a certification of a qualified person that complies with the certification requirements of Rule 902(11) or (12). The proponent must also meet the notice requirements of Rule 902(11).
(14) Certified Data Copied from an Electronic Device, Storage Medium, or File. Data copied from an electronic device, storage medium, or file, if authenticated by a process of digital identification, as shown by a certification of a qualified person that complies with the certification requirements of Rule (902(11) or (12). The proponent also must meet the notice requirements of Rule 902 (11).
The Evidence Rules Committee Notes explain the background of these two new subsections.
Committee Notes on Rules—2017 Amendment
Paragraph (14). The amendment sets forth a procedure by which parties can authenticate data copied from an electronic device, storage medium, or an electronic file, other than through the testimony of a foundation witness. As with the provisions on business records in Rules 902(11) and (12), the Committee has found that the expense and inconvenience of producing an authenticating witness for this evidence is often unnecessary. It is often the case that a party goes to the expense of producing an authentication witness, and then the adversary either stipulates authenticity before the witness is called or fails to challenge the authentication testimony once it is presented. The amendment provides a procedure in which the parties can determine in advance of trial whether a real challenge to authenticity will be made, and can then plan accordingly.
Today, data copied from electronic devices, storage media, and electronic files are ordinarily authenticated by “hash value”. A hash value is a number that is often represented as a sequence of characters and is produced by an algorithm based upon the digital contents of a drive, medium, or file. If the hash values for the original and copy are different, then the copy is not identical to the original. If the hash values for the original and copy are the same, it is highly improbable that the original and copy are not identical. Thus, identical hash values for the original and copy reliably attest to the fact that they are exact duplicates. This amendment allows self-authentication by a certification of a qualified person that she checked the hash value of the proffered item and that it was identical to the original. The rule is flexible enough to allow certifications through processes other than comparison of hash value, including by other reliable means of identification provided by future technology.
Nothing in the amendment is intended to limit a party from establishing authenticity of electronic evidence on any ground provided in these Rules, including through judicial notice where appropriate.
A proponent establishing authenticity under this Rule must present a certification containing information that would be sufficient to establish authenticity were that information provided by a witness at trial. If the certification provides information that would be insufficient to authenticate the record of the certifying person testified, then authenticity is not established under this Rule.
The reference to the “certification requirements of Rule 902(11) or (12)” is only to the procedural requirements for a valid certification. There is no intent to require, or permit, a certification under this Rule to prove the requirements of Rule 803(6). Rule 902(14) is solely limited to authentication, and any attempt to satisfy a hearsay exception must be made independently.
A certification under this Rule can only establish that the proffered item is authentic. The opponent remains free to object to admissibility of the proffered item on other grounds—including hearsay, relevance, or in criminal cases the right to confrontation. For example, in a criminal case in which data copied from a hard drive is proffered, the defendant can still challenge hearsay found in the hard drive, and can still challenge whether the information on the hard drive was placed there by the defendant.
A challenge to the authenticity of electronic evidence may require technical information about the system or process at issue, including possibly retaining a forensic technical expert; such factors will affect whether the opponent has a fair opportunity to challenge the evidence given the notice provided.
The reference to Rule 902(12) is intended to cover certifications that are made in a foreign country.
The rule change is a helpful addition to the litigator’s toolkit, but many challenges remain for attorneys handling electronic evidence. I agree with Kevin Brady, who is a top expert in the field of ESI evidence, who says that “the challenge for lawyers trying to authenticate digital evidence using the traditional rules of evidence can be confusing.” This may be an understatement! Kevin thinks that part of the challenge for attorneys arises from the rapidly-evolving landscape of data sources. He gives examples such as bitcoin, blockchain, smart contracts, social media, IoT, mobile devices, and cloud computing services. Moreover, the use of social media like Facebook, LinkedIn, Instagram and others continues to increase at an unbelievable rate and adds to the problem. Moreover, according to Business Insider, there are more people using the top four social messaging apps (WhatsApp, Messenger, WeChat, and Viber) than the top four social media apps (Facebook, Instagram, Twitter, and LinkedIn). According to Tech Crunch, Facebook’s Messenger alone has more than 1.3 billion monthly active users, and Instagram is officially testing a standalone messaging app, Direct.
Recognizing the problem Kevin Brady teamed up with U.S. District Court Judge Paul Grimm, the leading judicial expert in the field, to create the Grimm/Brady Evidence Admissibility Chart shown below.
The detailed reference chart provides discovery lawyers and trial attorneys with a quick reference guide for handling many different sources of ESI evidence. It covers Rule 104 to Rule 803(6) to Rule 901 and 902. The chart provides a step by step approach for authenticating digital information and successfully getting that information admitted into evidence.
The e-Discovery Team highly recommends that you carefully study this chart. Click on the photos and they will open in a larger size. Also suggest you download your own copy here: Grimm Brady Evidence Admission Chart 2018. Many thanks to Kevin Brady for helping me with this blog.
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About the Blogger
Ralph Losey is a Friend of AI with over 740,000 LLM Tokens, Writer, Commentator, Journalist, Lawyer, Arbitrator, Special Master, and Practicing Attorney as a partner in LOSEY PLLC. Losey is a high tech oriented law firm started by Ralph's son, Adam Losey. We handle major "bet the company" type litigation, special tech projects, deals, IP of all kinds all over the world, plus other tricky litigation problems all over the U.S. For more details of Ralph's background, Click Here
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