Criminal Defense

Data Reduction and Document Review

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Litigation Preparedness in the Age of E-Discovery

Dr. Andy Cobb, PhD, CCE

Dr. Andy Cobb, PhD, CCE

Part 2: Data Reduction and Document Review



In Part 1 of this series, we discussed the proper preservation of data – including when the duty to preserve arises, litigation holds and the repercussions of not properly preserving data when litigation is possible.  Once data is properly preserved and/or collected, the focus shifts to review of the data. It is important to remember that not all data is created equal, in terms of relevance to the matter. While a large amount of data may have been properly preserved in previous phases, the challenge now becomes separating the wheat from the chaff in a cost-effective way.  In a 2012 study the RAND corporation found that over 70% of costs of the eDiscovery were in the document review phase. Thus, reducing the amount of potentially relevant documents to review has a large impact on the overall cost of eDiscovery.

Several approaches can be applied to narrow down the amount of data to be reviewed, ranging from technical best practices, that can/should be applied to almost any data set, to focused, case-specific tactical solutions. Two general approaches for data reduction are De-NISTing and De-Duplication. Both are general methods that should almost always be the employed. De-NISTing is the process of culling known files from the data set. Windows system files are examples of know files.   When De-NISTing is applied, these known files are “ignored” or removed from the review set.

De-Duplication is the process of culling out documents that have the same content.  De-duping can be helpful so that reviewers are not seeing and coding the same document two or more times, which saves time and money.

Other document culling techniques can be applied that depend on the nature of the case. A few examples of case-specific techniques are:

  • Filtering documents by custodian.  Many cases involve key custodians of interest. One widely used practice is to review emails to/from particular individuals of interest, then expand the scope of review out, as needed.
  • Filtering by dates of interest.  Eliminating documents outside a particular date range can be a very effective method of reducing data size.
  • Keyword Searches. This method involves searching for relevant documents using keywords. The first – and often most difficult – aspect of this approach is settling on a set of keywords that return relevant data, rather than false positives. 

Unless the document review is for an internal investigation and not discovery, the criteria used to reduce documents will most likely need to be agreed upon by both parties.  Courts are generally agreeable to – and may even be order – reasonable methods of reducing the number of document for review.

Document Review

Document review is the process by which documents are coded or categorized – and can be overwhelming. But having the right review platform and right people managing and performing the review process can dramatically reduce the heartburn. Look for a review platform that is efficient and has been time-tested by professional litigators that review routinely. Outside counsel may be a good resource for this.

Experienced reviewers and review managers can greatly improve the efficiency of the review process – they’ve got the battle scars and know what can go wrong and how to address the typical problems that arise. And they usually have a well-defined process by which to efficiently perform review for large or complex projects.

Document review, which is the most costly phase of eDiscovery process, requires preparation of the documents to help reduce the costs of overall discovery.  The phases leading up to document review are critical since they set the stage for both defensibility and lowering costs.

Technology-Assisted Review (TAR)

One other set of techniques, which might be considered a hybrid between data reduction and document review, are those that use software to aid in the review process known as Technology-Assisted Review or TAR.  Predictive coding (now called TAR 1.0) was introduced a few years ago as a technique in which reviewers “train” and test the software until it can accurately predict how documents should be coded.

Predictive coding evolved into the latest form of TAR called continuous learning, or TAR 2.0.  In this technique, the software automatically learns as the reviewers code documents. When the software reaches a certain confidence level, it “takes over” and begins to automatically code the remaining documents as long as the confidence level is maintained.  TAR techniques have been accepted in court under certain circumstances, especially for extremely large document sets.


In this article we’ve discussed several best practices that can be employed to reduce the volume of documents that need review.  These techniques can be instrumental in reducing the overall cost of eDiscovery. As TAR is increasingly accepted in courts for large document sets, the costs of document review for those cases will also dramatically be reduced.

In Parts 1 and 2 of this series, we’ve focused on the scenarios where attorneys handle the review of documents for discovery.  In the final part of this series of articles, we’ll tackle digital forensics investigations, in which a digital forensics expert is needed to perform a deep dive into devices to find the story the data tells.

Cell Phone = Plethora of Evidence

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cell phone social media apps

Odds are good that you might reading this article on your cell phone. Mobile devices topped the 8 billion mark in 2016, with only 7.5 billion people. That means that cell phones now out number people. Think about all the data floating around and how this data could be potentially relevant in the legal realm. Before we get into that, while many of the principles discussed here apply to most mobile devices, for the purposes of this article we’ll be focusing on smartphones. Smartphones are defined as any phone with advanced computing capabilities (something more than the ability to make a cell phone call from your car) and 3G network connectivity. You might use a smartphone to browse Facebook, complete a Google search, check emails, watch a few videos, or even to complete a call.

Cell Phone Usage in the US

In the U.S. 95% of Americans own a cell phone of some type, 75% of those users own a smartphone. A majority of users consume more than 2GB (gigabytes) of data per month. Two gigabytes of data may not sound like much, however that would be equivalent to roughly two truckloads full of boxes of office documents stored on the average (low end) cell phone. As if that were not enough, consider the fact that unlimited data plans are making a comeback (and that the average unlimited plan usage is 7GB per month). The high U.S. ownership numbers span across all demographics – male/female, educated or not, rich or poor. In fact, the only demographic that has less than a 50% smartphone penetration is the 65+ age range – those who already spent a majority of their lives without cell phones.

Almost everyone is using a Cell Phone

All of these users – young or old – are using their phones for a number of tasks. Simple tasks like sending text messages, checking emails and perusing WebMD to see if their headache might mean they have a life-threatening disease (they don’t, but WebMD suggested it). They’re using dozens of applications (apps) for more specialized tasks – sometimes simultaneously – and they’re (rarely) making calls with their cell phone. Current statistics show that 80-90% of mobile device usage takes place in apps, the heavyweight being Facebook at a whopping 19% of the time spent. Messaging/Social apps fall in at 12%, and internet browsing is not far behind at 10%. Although most users are unaware of it, data associated with their activity is being written to their device (typically in real-time). This data sits idle and is innocuous until potential litigation arises.

In the event that a user’s smartphone activity is of interest, a qualified computer/digital forensic examiner can easily preserve and/or search the data held on the smartphone. In my experience, the following items were generally the most useful:

  • Active and deleted text messages (deleted text messages can usually be recovered)
  • Facebook conversations (without the need for a password)
  • Internet history
  • Full content of emails
  • Audit logs (they can offer a granular view of user activity, logs of the power cycles or the last computer the phone was plugged into, applications installed, and more)

The implications of the data stored on mobile devices in general is limitless. Below are some examples of how smartphone data can be used in criminal and civil matters to…

  • determine the user’s state of mind/motive/establish an alibi.
  • substantiate the user’s location at a given time.
  • identify known associates.
  • uncover evidence of plans to go to work for and/or take sensitive information to a competing company.
  • provide justifications for child custody (or lack thereof).
  • confirm/validate contractual terms/debts.
  • show excessive internet or app usage to deem a person “addicted to their phone” and unfit for full-time custody of special needs children.
  • provide proof of infidelity.
  • provide evidence of cyber bullying of a child.

The Right to Search a Cell Phone

After reading all of this, it may seem like the world is your oyster – you can get a hold of a mobile device and all this great evidence automatically rains down from it, right? The legality of gathering this information is a little more complex than that. The biggest issue of all is the right to preserve and/or search the device/data. To determine if you have those rights or will need a court order to gain access to the phone, consider the following:

  • Did you purchase the mobile device, or did someone else?
  • Do you pay the monthly bills?
  • Did you sign anything providing another individual or company the right to access your data, or is it yours and yours alone?
  • For the parents out there – depending on your jurisdiction, the fact that you bought and pay for your child’s phone may still not be enough to allow you the right to take possession of the device and review its content.
  • Husbands and wives – depending on the shared property laws in your jurisdiction, you may or may not have the right to view your spouse’s data.

Does the right to review that data create a roadblock? Certainly. But in reality it’s little more than the thresholds for other evidence. With due legal process, the right can be obtained for a forensic examiner to preserve the devices and their contents, search that data based on the particulars, and present the findings for review. If you’re new to the incorporation of ESI (electronically stored information) in your practice, it may seem like a daunting task. But, as with any new evidence category, there are qualified experts in the digital forensics field ready to help you navigate the waters and ensure you get reliable evidence. Regardless of the type of law you practice, you likely have current cases that could benefit from the inclusion of digital evidence.

Ryan Ferreira is a Digital Forensic Examiner at One Source Discovery who specializes in mobile device forensics and call detail record analysis. He has a Master’s degree in Digital Forensics and holds the Certified Computer Examiner (CCE) designation from the International Society of Forensic Computer Examiners, among various other certifications.

Wearable Technology: What Are You Wearing and What Is It Saying About You?

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WEARABLE TECHNOLOGYJenny leaves the gym, pleased that she reached her step goal for the day. Johnny glances at his wrist quickly during a meeting, and swipes to the left. Billy finishes a marathon and checks his time at the finish line station. What do these people all have in common? They’re all integrating wearable devices into their everyday life. Wearables are arguably the next big craze in portable technology. A recent study by IDTechEx found that the market for wearables will increase 10% annually to over $40 billion in 2018, and by 2026 is anticipated to be over $150 billion per year. The reality is that whether it’s a chip connected to someone’s shoe at a marathon, a smartwatch, a fancy pedometer, or an activity band, it seems like every other person has at least one (if not more) of these devices. Yet little attention has been paid to these devices outside of the fashion and fitness realms until recently.

It is important to note that most of these devices log and in some instances analyze various metrics collected from the wearer’s daily activity. Many of these devices track the number of steps taken in a day, some monitor your heart rate to make sure you’re getting in a good workout or a restful night’s sleep. Recently FitBit and Medtronic announced a partnership to develop the ability for diabetics to track their blood glucose levels using wearables. Other devices, while lacking in intrinsic health benefits, instead tend towards the cool factor of the scale. For instance, Levi’s Jeans company now has a “smart jacket” capable of interacting with a Bluetooth-linked device such as your cell phone. The possibilities for wearable technology are endless, and so are the potential uses of this data in digital investigations.

Think about it – assume there is a harassment (sexual or otherwise) claim. The argument could be made that changes in heart rate corresponding with the timeline of the alleged event corroborate the claim, or they could be indicative of whether someone did or did not in fact feel threatened during an exchange. Wouldn’t it be useful to know exactly how someone reacted physiologically during and around the time of the alleged infraction? The data from these devices could also be useful in evaluating injuries. Take a workman’s compensation injury claim. It would be key to the investigation to know if someone with a neck injury was spending their off time getting in a vigorous workout at a gym or recuperating within the confines their house.

While these methods of investigation may seem intrusive, in some jurisdictions they are already in use. Attorneys at McLeod Law in Calgary, Canada, used wearable device data to show that their client, a former personal trainer, had in fact been seriously injured and that those injuries impacted her quality of life. In the case, she wore a FitBit during an “assessment period” to show that her levels of activity were well below what someone of her age and profession should be exhibiting on a regular basis. Using actual data from the wearer’s daily life has the potential to carry much more weight than traditional clinical assessments, as an assessment often only examines a person for short segments of time. Wearable device data has also played a part in alleged sexual assault cases. In Lancaster, Pennsylvania, police officers responded to an alleged sexual assault and opted to collect the victim’s FitBit as evidence for their investigation. In reviewing the data from the device, a different story unfolded. Rather than corroborating the victim’s story that she was sleeping and awoken by the assailant, the device data showed that the alleged victim was awake and exhibiting signs of normal activity during the time of the alleged assault. Ultimately, the police department stopped their investigation into the assault and instead charged the alleged victim with filing a false police report.

But this technology does not come without its issues. It’s equally important to know that there can be shortcomings to the usage of data from wearable devices in litigation. First, data can be accidentally falsified, such as in the case of fidgeting (for movement data) or having someone jump out from behind a wall and yell “boo!” (for heart rate data). Second, the data collected can also be intentionally falsified. For instance, a workman’s comp claimant could opt to skew the results by sitting on the couch and doing nothing for two weeks when they are perfectly healthy. Or someone could easily let a friend (known to be exhibiting the desired level of activity) borrow the device and wear it to record data that supports the user’s story.

It’s also important to be mindful that many of these wearable devices are unique – they do not fall under a unifying specification where each one has the same interface to extract the data contained within (unlike that of a computer hard drive, mobile phone, etc.). This means that the ease of collecting data from an activity band could vary greatly between models and/or manufacturers. While forensic examiners may be able to connect to one device and access data using a USB cable, they might have to entirely dismantle a second type of device (of the same general category) in order to manually read the internal data chips, and on the third device run into a scenario requiring a court order to a wearables provider to produce the user data stored on their servers.
So what does this all mean? Is the data gathered from this new technology unreliable? Definitely not. As with all information in a case, you should trust, but verify. Wearable technology certainly has its uses, and it’s important to make sure you’re not only aware of them but taking advantage of them when appropriate. From a corporate standpoint, it might be a good idea to start thinking about revising your BYOD (Bring Your Own Device) policies to contemplate wearable devices. But from a litigation standpoint, you should make it a habit to start asking your clients or adverse parties if they use and allow wearable devices. We predict that the use of data collected from wearable devices in legal matters has just begun – get ahead of the curve now.

Ryan Ferreira is a Digital Forensic Examiner at One Source Discovery who specializes in mobile device forensics and call detail record analysis.  He has a Master’s degree in Digital Forensics and holds the Certified Computer Examiner (CCE) designation from the International Society of Forensic Computer Examiners, among various other certifications.

Data Privacy And Conflicting Search Warrant Rulings

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What happened?

On February 3, 2017 a federal magistrate judge ordered Google to comply with a search warrant to produce foreign-stored emails (In re Search Warrant No. 16-960-M-01 to Google). The magistrate judge disagrees with the U.S. Court of Appeals for the Second Circuit’s Microsoft Ireland Warrant Case, which was recently denied rehearing by an evenly divided court. This decision shows that the Justice Department is asking judges outside the Second Circuit to reject the Second Circuit’s ruling — and that at least one judge has agreed.

At issue are two routine Stored Communications Act (SCA) warrants served on Google for the contents of emails. Google responded with the emails that it knows were stored inside the United States, but it refused to turn over emails that could be outside the United States. Because Google breaks up its emails and the network might distribute them anywhere in the world, Google can’t know where many emails are located and declined to produce them under the Second Circuit’s Microsoft case.

The government moved to compel Google to produce all of the emails within the scope of the warrant. Magistrate Judge Thomas J. Rueter ruled that Google has to comply with the warrant in full because “the conduct relevant to the SCA’s focus will occur in the United States” even for the data that is retrieved from outside the United States. According to the judge:

“…[T]he invasions of privacy will occur in the United States; the searches of the electronic data disclosed by Google pursuant to the warrants will occur in the United States when the FBI reviews the copies of the requested data in Pennsylvania. These cases, therefore, involve a permissible domestic application of the SCA, even if other conduct (the electronic transfer of data) occurs abroad.”

The court reasoned that when a network provider is ordered to retrieve information from abroad, that copying of information abroad and sending back to the United States does not count as a Fourth Amendment “search” or “seizure” outside the United States, stating “Electronically transferring data from a server in a foreign country to Google’s data center in California does not amount to a “seizure” because there is no meaningful interference with the account holder’s possessory interest in the user data.”

Further, the court saw no search abroad: “When Google produces the electronic data in accordance with the search warrants and the Government views it, the actual invasion of the account holders’ privacy- the searches – will occur in the United States.”  Because the search and seizure occurred in the United States, not abroad, the relevant privacy invasion was domestic and a domestic warrant could order it.

Legal Analysis

Bob Dibert is a Member at the Frost Brown Todd, LLC Louisville office practicing business litigation and electronic data discovery, privacy & security law. Referencing the warrants to Google and Microsoft, Dibert states, “These cases show how courts can focus on factual details in reaching different results when the law is uncertain.”

“In Microsoft, the data was located in a different country – the Republic of Ireland – and the account (perhaps including the account holder) was in or proximate to Ireland. In Google, the most that could be said about the data was that at least some of it was located somewhere outside the U.S., at least some of the time.”

It’s not clear what the reactions will be, if any, of other nations where US companies store data. While data privacy laws in European Union countries have tightly restricted access to their citizen’s data, particularly by outside nations, treaties and legal agreements include provisions for transferring data for criminal matters.

Dibert elaborates, stating, “Although neither decision discusses the context specifically, the Republic of Ireland has both legislation and treaties to provide assistance to foreign prosecutors and courts in criminal matters. And, it was a challenge in Ireland that ultimately declared U.S. laws to provide inadequate privacy protections for citizens and data located in the European Union (including Ireland). The specific case, Schrems v. Data Protection Commissioner, No. C-362/14 (Court of Justice of the European Union, Oct. 6, 2015), involved transfer of a European user’s Facebook data from Ireland to U.S. servers. So Google did not involve territory where it might have been prudent for Microsoft to tread lightly.”

Where do we go from here?

Many law experts believe that the actions ordered by the judge would still be considered seizure, citing Orin S. Kerr, Fourth Amendment Seizures of Computer Data, 119 Yale L.J. 700, 700 (2010), which argues that copying Fourth Amendment-protected files seizes them under the Fourth Amendment when copying occurs without human observation and interrupts the stream of possession or transmission.

Because of the ambiguity of the location of the data that results from the methods Google uses to store data, some data service providers may re-think whether to pursue this hybrid model as opposed to the more “cut-and-dry” methods. Will Google completely overhaul the way they store data?  Probably not. But by appealing the decision, they will force the issue with the courts to address the Fourth Amendment ambiguities. Stay tuned.

andyCobbDr. Cobb currently serves as Partner at One Source Discovery, a local, full
service eDiscovery firm. He developed the strict procedures used during
forensic collections and analysis to ensure accuracy, verifiability and
repeatability. Dr. Cobb is the creator of BlackBox, the patented remote
forensic collection software tool. Prior to his position at One Source
Discovery, he was the founder and President/CEO of AC Forensics and
Assistant Professor at the University of Louisville. Dr. Cobb has served as
a consultant on hundreds of Electronic Discovery matters, provided expert
testimony on various Computer Forensics matters in Federal and State
Courts, given several talks and CLE’s related to electronic discovery, and
published numerous technology journal articles.

Cyber Attack: Your Law Firm is a Potential Target

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law firm cyber attackLegal professionals take note: your firm is a potential target for a cyber attack. Recently, three Chinese citizens have been charged in the United States with insider trading activities based on information obtained through breaching multiple law firms. This fact illuminates that law firms are a prime target for cyber attackers. Given the nature of communication and documents that often comprise legal work product, it comes as no surprise that the same information can be used for financial gain if it falls into the hands of an unscrupulous party. Regardless of the type of cases handled by a firm, the resulting communication and work product could be useful to an attacker. For those firms working in mergers and acquisitions, the work product potentially becomes even more valuable.

Law Firms Entice Cyber Criminals

The previously mentioned cyber attack leading to insider trading activities was allegedly made possible through hacking into law firms and mining for information related to buyouts and other useful data for insider trading. To some, this comes as no surprise. Leveraging the wealth of information maintained by law firms, particularly those dealing with large corporations, is a natural and potentially lucrative avenue for cyber attackers. In Spring 2016, dozens of law firms were targeted by Russian hackers in an effort to obtain confidential information to be used for insider trading. It is clear that law firms are an enticing target for cyber criminals. Information technology and security may not be a focal point of law school, but it is a vital piece of protecting the information entrusted to law firms by their clients.

Simply put, law firms produce and store data that is often of great interest to cyber criminals. Whether it is information regarding an upcoming merger, bankruptcy, patent, or any other intellectual property, the type of data generated at law firms can be extremely valuable to attackers looking to profit from confidential information. Consider the attackers vantage point: breaching the security and gaining access to a specific corporation may yield fruitful information, but the effort and time involved in successfully hacking the company typically results in information about a single organization. If the same effort were applied to carrying out a successful cyber attack on a law firm, hackers could potentially gain access to confidential information regarding a multitude of companies in a single attack. To defend themselves, firms must take action through implementation and proper execution of cyber security policies and procedures.

Recognize the Risk of a Cyber Attack

It is imperative that law firms recognize the risk of a cyber attack and take appropriate actions to mitigate the chances of a data breach. There are numerous technology controls such as firewalls, intrusion detection and prevention systems, anti-virus, and sophisticated log aggregation and monitoring tools. While all of these are important and useful in their own right, it is the user that can play the most significant role in preventing or unwittingly facilitating a cyber attack. Users are more easily manipulated and coerced than firewalls and other technical measures, and must therefore be aware of the types of threats they are likely to encounter and trained on spotting issues and mitigating the successfulness of an attack.

Fishing for Sensitive Client Data

A technique known as spear phishing is one of the most common methods attackers use to gain unauthorized entry into an organization. In a spear phishing cyber attack, a very targeted email is sent to a specific party in hopes that the recipient will click a link within the email, opening a malicious attachment, or otherwise unintentionally degrade the security of the system enough to allow the attacker access. Spear phishing emails often contain seemingly personalized information, addressed to the correct recipient and perhaps referencing a past event the recipient spoke at or attended. Providing these types of details is an attempt to implicitly build trust with the recipient and detract from the true nefarious purpose of the message. In some cases, attacks like these can be blocked using technical controls. However, if not blocked by an email filter or other technical control, it is up to the recipient of the message to make the final determination on whether or not to complete the call-to-action urged in the email. This is where user awareness and training pay off. Users that are trained on spotting spear phishing attempts and other common scams can help a law firm prevent data breaches by blocking the initial effort of a cyber criminal.

Cyber Security is Essential for all Law Firms

Regardless of the security controls, policies, and procedures that a firm chooses to implement, it is clear that law firms are and will continue to be a target of cyber criminals. The recent charges filed against three Chinese citizens for allegedly hacking into law firms and leveraging confidential data to make millions off trades based on the stolen data is unlikely to be the only one of its kind. The valuable data held at law firms paints a target on the back of firms across the country. If your firm is lagging behind on its cyber security practices, now is the time to catch up. Protecting the information bestowed to firms by their clients extends well beyond the confines of the courtroom and into the digital realm of networks, data, and hackers looking to take advantage of vulnerable systems.

Jason Hale is a Digital Forensic Examiner at One Source Discovery who specializes in incident response. Jason has a Master’s degree in Digital Forensics and holds the Certified Computer Examiner (CCE) designation from the International Society of Forensic Computer Examiners and the GIAC Certified Forensic Analyst (GCFA) designation from the Global Information Assurance Certification.

Ryan Ferreira testifies about call detail records

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Digital Forensics Expert, Ryan Ferreira, MSc, CCE explains Call Detail Records. Call Detail Records are often used when there is an allegation related to an individual being at a location at a particular time.