Production of Documents in US Civil Litigation: Rules, Examp...

Introduction

Production of documents is a standard discovery tool in US civil cases. One party serves a written request asking another party to produce documents and electronically stored information (ESI) relevant to the claims and defenses. Under Federal Rule of Civil Procedure 34, these requests cover items in a party’s possession, custody, or control, such as financial records, emails, images, chat messages, spreadsheets, databases, and more.

If the information sits with a nonparty (like a bank or vendor), a subpoena under Rule 45 is used instead of a party request. Done well, document production helps parties prepare for depositions, summary judgment, and trial, and reduces surprises later in the case.

What You’ll Learn

• What a Request for Production (RFP) is and how it works under the Federal Rules
• The scope of discovery and proportionality under Rule 26(b)(1)
• How to plan for ESI: preservation, search, and form of production
• How to protect privilege and document it with a proper log
• How to draft targeted requests and respond with clear, specific objections
• How courts handle missed deadlines, spoliation, and sanctions
• Real examples and case law (Zubulake, Shelton) that shape modern practice

Core Concepts

Requests for Production (FRCP 34)

• Who uses them: Parties in a lawsuit. For nonparties, use a subpoena (Rule 45).
• When: Typically after the Rule 26(f) conference. Early service is possible, but responses aren’t due until after that conference.
• What to include: Describe requested items with reasonable particularity; specify a time frame, custodians, and the requested form of production (for ESI, e.g., native files with metadata or searchable PDFs/TIFFs).
• Response deadline: 30 days after service unless the parties agree otherwise or the court orders a different timeline.
• Required response content:
  • State whether documents will be produced or withheld.
  • Specify objections with detail (e.g., overbroad, not proportional, privilege).
  • State if responsive items are being withheld based on objections.
  • Produce in a reasonable time or on a rolling basis, as agreed.
• Possession, custody, or control: You must produce items you have, items you physically control, and items you have the legal right or practical ability to obtain.

Scope, Relevance, and Proportionality (FRCP 26(b)(1))

Discovery covers nonprivileged matter relevant to any claim or defense and proportional to the needs of the case. Courts consider:

• The importance of the issues at stake
• The amount in controversy
• The parties’ relative access to information
• The parties’ resources
• The importance of the discovery in resolving the issues
• Whether the burden or expense outweighs the likely benefit

Limits apply to ESI that is not reasonably accessible due to undue burden or cost (Rule 26(b)(2)(B)), though a court may order production for good cause and set conditions such as cost sharing.

Electronic Discovery and Preservation

• Trigger: The duty to preserve attaches when litigation is reasonably anticipated. Send a written legal hold, suspend routine deletion, and identify custodians and systems (email, cloud drives, mobile devices, chat platforms, logs, databases).
• Search and collection: Use targeted terms, date ranges, and custodians; deduplicate; track chain of custody; and avoid altering metadata.
• Form of production (Rule 34(b)(2)(E)):
  • Produce as kept in the usual course of business or organize to match the requests.
  • Provide ESI in a reasonably usable form; if a form is requested, state objections or confirm agreement.
  • Native files may be needed for spreadsheets, databases, or when metadata matters.
• Consequences of loss (Rule 37(e)):
  • If ESI that should have been preserved is lost and cannot be restored or replaced, the court may order measures to cure prejudice.
  • If the court finds intent to deprive, it may presume the lost information was unfavorable, instruct the jury it may draw that conclusion, or enter a default judgment or dismissal.

Privilege, Work Product, and Privilege Logs

• Attorney-client privilege protects confidential communications for the purpose of obtaining or providing legal advice.
• Work product (Rule 26(b)(3)) protects materials prepared in anticipation of litigation. Opinion work product (mental impressions and legal theories) gets heightened protection.
• Withholding and logging (Rule 26(b)(5)(A)):
  • When withholding documents based on privilege or work product, state the claim and describe the nature of the materials in a way that allows others to assess the claim without revealing the protected content.
  • A privilege log usually lists date, authors, recipients, general subject, and the specific privilege asserted.
• Redactions: Redact only what is privileged or nonresponsive; indicate where redactions were made and why.
• Clawback and non-waiver (FRE 502):
  • Inadvertent production does not waive privilege if you took reasonable steps to prevent disclosure and promptly took steps to rectify it (FRE 502(b)).
  • A 502(d) court order is stronger protection and prevents waiver in any federal or state proceeding.
• Limits on discovery from opposing counsel:
  • Courts are wary of discovery tactics aimed at attorneys. In Shelton v. American Motors Corp., courts outlined strict limits on when depositions of opposing counsel are allowed, protecting core attorney work product and strategy.

Nonparty Document Subpoenas (FRCP 45)

• Use a subpoena duces tecum to obtain records from nonparties (e.g., banks, auditors, vendors).
• Requirements:
  • Allow a reasonable time to comply.
  • Command production within 100 miles of where the person resides, works, or regularly transacts business.
  • Avoid undue burden or expense; courts must protect nonparties and can shift costs.
  • Nonparties can object or move to quash or modify a subpoena.
• Scope and form: The same relevance, proportionality, privilege, and ESI rules apply. Agree on search terms and form of production where possible.

Key Examples or Case Studies

• Example: Financial records in a divorce case

  • One spouse requests bank statements, tax returns, W-2s/1099s, brokerage statements, retirement account records, and business financials from the other spouse.
  • Purpose: Determine marital vs. separate property, calculate support, and test disclosures. State rules mirror the federal approach: requests must be relevant and proportional. Courts often use protective orders to safeguard sensitive data.

• Example: Emails in a breach of contract case

  • The plaintiff requests emails, chat messages, and attachments between specific custodians over a defined time window. The search covers project names, contract numbers, and key terms about price, scope, delays, or change orders.
  • Purpose: Confirm the terms, identify modifications, assess performance, and show notice. Production may include native spreadsheets for accurate formulas and metadata.

• Zubulake v. UBS Warburg (S.D.N.Y. 2003–2004)

  • Often-cited e-discovery rulings addressing preservation duties, sampling, cost shifting, and counsel’s obligations to monitor compliance with legal holds.
  • Takeaway: Preserve relevant ESI, supervise collection, and be ready to justify decisions about accessibility and cost.

• Shelton v. American Motors Corp., 805 F.2d 1323 (8th Cir. 1986)

  • Limits efforts to obtain discovery from opposing counsel, protecting privilege and work product.
  • Takeaway: Seek facts from other sources before seeking attorney testimony or legal files.

• Qualcomm Inc. v. Broadcom Corp., 2008 WL 66932 (S.D. Cal. 2008)

  • Court imposed severe sanctions after late disclosure of thousands of emails.
  • Takeaway: Incomplete searches and late productions can lead to fee awards, evidentiary penalties, and reputational harm.

Practical Applications

• Plan early

  • Hold a Rule 26(f) conference that covers custodians, data sources, key search terms, and the form of production.
  • Send a legal hold to all relevant personnel and IT. Identify cloud platforms, mobile devices, and chat tools likely to contain relevant data.

• Draft precise requests

  • Use clear date ranges, custodians, and topics.
  • Define important terms and acronyms. Avoid catch-all requests that invite broad objections.
  • Specify form of production (e.g., native Excel with formulas and metadata; emails as PST/MSG or TIFF+load files).

• Respond effectively

  • Serve timely, specific objections. Avoid boilerplate.
  • State if you are withholding anything on the basis of each objection.
  • Propose reasonable limits (custodians, date ranges, search terms) to keep the work proportional.
  • Produce on a rolling basis and communicate a schedule.

• Manage privilege and redactions

  • Review for attorney-client and work product protection. Redact narrowly.
  • Prepare a privilege log that meets Rule 26(b)(5). Track redaction reasons.
  • Use a FRE 502(d) order and a clawback agreement to reduce waiver risk.

• Get the format right

  • Agree on native vs. TIFF/PDF, which metadata fields to include, and whether to include load files.
  • Bates-label productions and maintain a production index. Keep a record of what was searched and produced.

• Handle ESI challenges

  • If data is not reasonably accessible (e.g., backup tapes), explain why and propose alternatives like sampling, targeted restoration, or cost sharing.
  • Document the steps taken to preserve and collect; courts look for reasonableness, not perfection.

• Work with nonparties

  • Use Rule 45 with care. Allow time, narrow the scope, and be ready to cover reasonable costs.
  • Seek protective orders to address confidentiality concerns.

• Address disputes quickly

  • Meet and confer in good faith to resolve scope and format issues.
  • If needed, file a motion to compel under Rule 37(a). Courts can award fees for unjustified positions.
  • Missed deadlines and spoliation can trigger sanctions under Rule 37; intent to deprive can lead to adverse jury instructions or even case-ending penalties.

• Security and privacy

  • Protect personal data (SSNs, medical records) through redactions and protective orders.
  • Use secure transfer (SFTP, encrypted portals) and limit access to need-to-know teams.

Summary Checklist

• Define goals, issues, custodians, and data sources.
• Send and monitor legal holds; suspend auto-deletion where needed.
• Draft targeted RFPs with clear topics, time frames, and requested formats.
• Respond within 30 days with specific objections and a production plan.
• Agree on ESI search terms and form of production; use rolling productions.
• Review for privilege and create a compliant privilege log.
• Redact narrowly and document redaction reasons.
• Use FRE 502(d) clawback protection and, if helpful, a “quick peek” agreement.
• For nonparties, issue a Rule 45 subpoena that avoids undue burden.
• Meet and confer to resolve disputes; move to compel only when necessary.
• Track deadlines, Bates numbers, and what was searched and produced.
• Secure data in transit and at rest; use protective orders for sensitive information.

Quick Reference