Redaction

When documents must be produced but contain information that cannot or should not be made public or seen by the opposing party, that information must be redacted. Personal identifiers in “protected health information,” account and Social Security numbers, financial information and the like all must be protected from disclosure in various circumstances. Horror stories abound and embarrassing examples of unsuccessful efforts to redact sensitive information in electronic files can readily be found through Internet searches. We can assume that you do not wish to add to those stories and examples.

With paper documents, sensitive information was redacted with overlay tapes or more commonly by using a felt-tip marker. When the documents to be produced are PDF files, sensitive information can be removed using the Redaction Tool in Acrobat 8.  Prior to Acrobat 8, redaction within PDF files required the use of a plug-in.  Most commonly used was Redax.  The Redaction function in Acrobat 8 permits the marking and removal of both text and any portion of image-only PDF files.  When working with image-on-text files, words, phrases or any string of characters can be searched for and automatically marked for redaction.

The redaction process, generally speaking, involves two steps: 1) information within a document is “marked” for redaction; and, 2) the redaction is applied.  In Acrobat 8, the redaction process can be initiated in several ways.  One method involves selecting the Advanced menu and choosing Redaction. The preferred method would be to display the Redaction Toolbar. This can be done by selecting the Advanced menu, then Redaction, and highlighting Show Redaction Tool Bar. The Redaction Toolbar can also be displayed from the View menu by selecting Toolbars and Redaction.

To manually mark areas of a PDF file for redaction, click on the Mark for Redaction tool on the Redaction Toolbar or from the Advanced menu, after selecting Redaction. Notice that the Redaction tool is “smart.” It appears as a cross-hair when over an image-only area, and looks something like a book (an icon meant to represent text) when over a text area. With the Redaction Tool active, move through the PDF file selecting text or areas of the image to mark them for redaction. To select text, place the redaction tool at the beginning of the text to be marked, left-click and hold down the left mouse button while dragging the tool across the text to be marked.  For finer control when selecting text you may want to click just in front of the text to be selected then use the up-down and left-right arrow keys to exactly position the cursor.  Once in the desired location, with the Mark for Redaction Tool active, you can select text by holding down the Shift key and moving the cursor via the up-down and left-right arrow keys.  You can hold down the Shift and Control keys together to select whole words (or any character strings that are separated by one or more spaces).

If the area to be marked is image-only, place the Redaction Tool cross-hair up and to the left of the area to be selected, then hold down the left mouse button and drag down and to the right. Alternatively, you can place the cross-hair down and to the right of the area to be marked, hold down the left mouse button and drag up and to the left.

When working with image-on-text PDF files, words, numbers and phrases can be searched for, found and marked for redaction. Search and mark for redaction will NOT work on image-only PDF files. Keep in mind that image-on-text files created by OCR may (will) contain some recognition errors, which means that searches may hit false results or more likely, miss intended targets. To search and mark for redaction click on the Search and Redact button on the Redaction toolbar. Click Okay to dispose of the warning and a Search box appears. You can search within the current PDF file or all PDF files within a specified folder. By default, the search window displays the MyDocuments folder.  The drop-down menu allows you to select local or network drives or, at the bottom of the list you can select Browse for Location. Selecting Browse for Location produces a Browse for Folder window from which you can navigate to and select an appropriate folder containing the PDF files to be searched and marked for redaction.

After selecting whether to search the currently open file or PDF files contained in a specific folder, type the word or phrase that you want to search for, then click the Search and Redact button.  When the search finishes the results will be displayed in the search window. At this point, Acrobat has found the search term in the current file or all of the PDF files in the specified folder but nothing has been marked for redaction.  To mark all of the found word or phrase results, click the Check All button (or, you can manually check each box in the search results list). After you have checked some/all of the search results, the Marked Checked Results for Redaction button becomes active; click that button to mark for redaction the selected results. All checked instances of the search results will be marked for redaction. Up to this point you have only marked items for redaction; redaction has not been applied.

Before applying redaction you may want to visit the Redaction Tool Properties. Acrobat allows you to select the redacted area, fill color and add a text overlay.  If you check the Use Overlay Text box then you have the option to specify text properties (font, size, color, alignment, etc.). There are also code sets that can be applied that specify sections of the federal Freedom of Information Act or the federal Privacy Act.  After all areas within a document have been marked for redaction the document can be saved and closed.  This is not a required step but may be appropriate if, one person marks the file for redaction while another approves and applies the redaction. For example, a paralegal may review and mark files for redaction, save them, then pass the files along to an attorney in the office who will approve and apply the redactions. If you save the PDF file before applying redaction a text box will appear warning that the document contains redaction marks that have not yet been applied. To apply the redactions click on the Apply Redactions button on the Redaction Toolbar or from the Advanced menu, select Redaction then Apply Redactions.

At this point a very important, but far from foolproof, message appears. The warning message suggests that you will be prompted at the next save to use a new file name but the prompt does not warn you that failure to do so will result in the total and final loss of all redacted information.  After redaction marks have been applied and the file saved THE REDACTED INFORMATION CANNOT BE RETRIEVED!  If you quickly hit Ctrl+S and click Yes to permit over-writing the existing file, whether you intended to or not you will have irrevocably removed all redacted information.  USE WITH CAUTION. A good practice would be to create copies of files to be redacted and save them with a new name or in a different folder before beginning the redaction process. 

When you are sure that you are ready to apply redaction, click OK in the warning and the specified redaction will be applied to all marked areas or search terms, and information removed from, within the file or files.  When redaction has been applied, a text box appears telling you that redactions have been successfully applied and asks whether you want to examine the document for additional information; clicking Yes examines the document, clicking No proceeds with application of the redaction.    Remember, after redaction has been applied and the file saved THE REDACTED INFORMATION CANNOT BE RETRIEVED!

Bates Numbering

Acrobat 8 does “Bates numbering.”  But, what is Bates numbering and why would a lawyer need it? Let’s start with the “Bates” part.  Bates is a registered trademark of General Binding Corporation. Like Kleenex™ or Xerox™.  Bates numbering refers generically to applying sequential numbers or alpha-numerical markings to documents so that each page may be uniquely identified. The “Bates” in Bates numbering, refers to the handheld stamping machines that are (or were) used to apply sequential numbers or alpha­numerical markings that were made by the Bates Numbering Machine Company.

Bates numbering or stamping is used in the legal and business fields to sequentially number images or documents as they are processed, for example, marking documents during the discovery stage of preparations for trial or identifying business receipts.  Manual Bates stamping used a self inking stamp that imprinted a sequential number each time it was pressed down on a document.  The usual process used in legal firms is as follows: 1) Get a bunch of documents from the client, a witness, or the other side; 2) Make a clean copy of the documents 3) Bates stamp the documents; 4) Make copies of the Bates stamped documents as needed (e.g., for production to other parties to the litigation).

As you might expect, the use of mechanical stamping machines to mark documents has gone the way of the buggy-whip. An intermediate replacement for the mechanical stamp was the use of a macro, in a word processing application (e.g., WordPerfect™ or Microsoft Word™), to create sequentially numbered labels (typically using small, clear, return-address labels because they come 80 per sheet).  The labels were then painstakingly applied, one page at a time, to the collected documents.

With the advent of scanners, litigation documents today are typically scanned to an image file format, most frequently .PDF.  Once paper pages have been converted to digital pages, the application of Bates numbers can be accomplished more efficiently and without errors. Prior to Acrobat 8, Bates numbering of .PDF files was accomplished through the use of a “plug-in.” - a “plug-in” being a small bit of software that plugs into and works within a larger application. In this case, the “plug-in” worked within Acrobat to provide Bates numbering functionality.

The Bates numbering in Acrobat 8 is a function of Header and Footers but is found on the Advanced Menu, by selecting Document Processing, then Bates Numbering.  Once Add has been selected as a dialog box, it allows selection of one or more files including all open files. If multiple files are selected, they should be arranged in the desired order before moving on so that the Bates numbers are applied in desired order. After the file or files have been selected click Next and an Add Header Footer dialog box appears. Here you select the location: left, center or right; and, header or footer.  At this point, before inserting the Bates Number code into the desired location box, make your choice for the font, size and color for the Bates numbers. Using a color other than black makes the numbers stand out when reviewed on screen or if the documents are printed in color (if printed with a black-and-white printer, the color will translate to black).  Click in the desired location box (Left Header, Center Header, Right Header; Left Footer, Center Footer, Right Footer) then click on the Insert Bates Number… button.  When you click on the Insert Bates Number… button, a small dialog box opens, offering Bates Numbering Options. Here, select the number of digits, the starting number, and specify any prefix and, or, suffix.  When the options have been selected, press OK. The information (code) for the selected Bates numbering options appears in the location field on the Add Header Footer dialog box with a preview of the first page. Clicking OK produces a message box informing you that Bates numbering has been successfully applied to the selected .PDF files.

If you have been using Bates numbers before moving to digital files, you know the reasoning and importance that underlies this practice.  If you are new to Bates numbering understanding why this represents a best practice will lead to considerations of how you number documents.  In the context of litigation, the Federal Rules of Civil Procedure and most corresponding state court rules require the disclosure of all documents that a party may use to support its claims or defenses.  Conversely stated, documents that are not disclosed cannot be used to support claims or defenses. In addition to disclosures, documents are produced or received through Rule 34 requests for production.  Beyond disclosures and discovery, documents may also be produced or obtained pursuant to subpoenas. Whether documents are produced or obtained through disclosure, discovery or subpoena, it becomes important to have a record of precisely who produced what to whom. When the documents bear unique sequential numbers or alpha-numerical markings, questions about whether they were or were not produced can be avoided.  For example, when 1,000 pages are Bates numbered and produced there can be no dispute about whether a particular page or set of pages was included.  When an opposing party produces or discloses documents that are not Bates numbered, consider marking them and then serving a request that the party admit that the Bates numbered copies are all of the documents that they produced or disclosed.

As you know or might imagine, litigation documents can come from a wide variety of sources. Given the potential for a wide variety of sources, you should take time to consider the importance of the alpha-portion of the Bates number.  Documents produced by a party can be alpha-labeled with letters that identify the party.  Likewise, those from non-party witnesses and experts can be alpha-marked to correspond to the source.

When you start using Acrobat to apply Bates numbers to digital documents the hassles and errors associated with mechanical stamps and labels are avoided.  No pages are skipped, no number used twice. You will have better control over the documents associated with any litigated matter. Better document control means better information management, and managing information is what litigation is all about.

Links

Links in .PDF files are like hyperlinks in Web pages.  Clicking on a link takes you to a new location. Links can take you to a specific page in the current document, to the first page of another document, to a specific page in another document, or to a Web site; they can open another file type, play audio or video, and more.  Links make .PDF documents interactive and truly powerful. In the transactional practice, think of a long contract with links built into it that takes the reader to the various exhibits or schedules to the contract. Every reference to Exhibit A can be linked to that exhibit; a click on the link takes the reader to the exhibit. In the litigation context, links are the magic that add power to electronic briefs. When a citation to a case, statute, or other authority appears in your brief, it can be linked to the cited material so that with a click of the mouse, the reader sees the authority you have cited. Links let you and other readers of the document jump to other locations in the same document, to other electronic documents, to Web sites, and more. Links can initiate actions, such as playing a sound or movie file. They can be visible or invisible (color-coded invisible links are the best). Of the commonly used power features of Acrobat, links are probably the most difficult to master. That said, once mastered, links bring a level of interactivity to .PDF files that simply cannot be matched in the paper world.

Links are created in .PDF documents using the Link tool. The Link tool looks like two links of connected chain; it resides on the Advanced Editing toolbar, so before you can use it you must display that toolbar. Links can be created directly from text and images using the Select Text tool or the Select Image tool. Using the Select Text tool insures that links are matched to exact text and provides uniform link sizing. Links can also be created on any space in a .PDF file; that means that you can build links within image-only documents. Links can be created directly from text and images using the Select Text tool or the Select Image tool. Using the Select Text tool insures that Links are matched to the exact text and provides uniform link sizing. After text has been selected, right-click and select Create Link then work through the dialog boxes.

Trial Presentation

Beginning with Version 6.0, Acrobat contains a great feature called Full Screen Mode. In display mode, the toolbars, menus, and navigation panes disappear, and the current page of the open .PDF file fills the screen. Because computer displays do not have the same height-to-width ratio as most .PDF files (typically based on standard paper sizes), the image has a border that fills the screen.  You can use this feature for presentations in the office, in court, or anywhere else. Display mode can be used to present exhibits at trial, much like specialized trial-presentation applications. There are limits to display mode, but they can be overcome quickly if you are willing to drop back to the standard view for highlighting and zooming in on portions of a page. The shift from display mode to normal and back again can be done in the blink of an eye using the keyboard commands. The process of shifting between Full Screen view and one of the standard page views may seem clunky at first, but with use will become smooth and second nature.

You might be wondering why you would want to use Acrobat for presentations, rather than Microsoft PowerPoint. The short answer is that if you prepare your presentation in PowerPoint and then print (or publish) it to .PDF, anyone with Acrobat Reader can view it. Your audience does not need to have PowerPoint or use the same operating system. Your presentation is relatively secure in that you have not sent the viewer the native application file (in PowerPoint format). If your presentation includes full images of pages of original documents, then inserting those full pages into an Acrobat document works much better than trying to show a full 81/2”-by-11” page in PowerPoint. Keep in mind that PowerPoint is presentation software, while Acrobat is digital document software.  If you need to give a presentation, then PowerPoint might be the better tool. On the other hand, if you need to display and work with digital documents, then Acrobat is the better choice. If you need to give a presentation that includes digital documents, prepare the slides using PowerPoint, print the slide show to .PDF, and then insert documents at the desired locations.

Combining Files and PDF Packages

There are many advantages to saving multiple files to a single .PDF document or a .PDF package. One example is the creation of ebriefs, or a real estate closing, or any other deliverable that would benefit from conversion to a single file, rather than multiple files. For instance, an attorney can now combine all files to deliver to the client at the close of a matter. Rather than sending multiple emails with multiple attachments, printing out the documents and binding them, or burning individual documents to a CD or DVD, attorneys can now save all the files to a single .PDF or in a PDF package. These resulting files provide all the features and functions of a .PDF document – platform independent, searchable, links, bookmarks, comments, etc.

• Creating a PDF from Multiple Files. To create a single PDF file, Acrobat 7.0 and above have the “combine files” option. Simply choose multiple files, place in the order that you prefer and convert. You may choose to combine files of many file types, from .TIFF to .PDF to .DOC to .XLS, then sort, delete, and add documents. Users can choose to add only certain pages of certain documents, from within the “combine files” menu. Finally, with a single click Acrobat will convert them all and place them in the order specified. Users can then insert links and bookmarks, add headers and footers, and other options to create an extremely user-friendly document that is easy to share.
• Creating .PDF Packages.  The process to create a .PDF package is primarily the same as creating a single .PDF from multiple files. The benefits of the .PDF package lies in the fact that the package, which appears as a single file with the extension “.PDF”, is actually an envelope or container that can hold .PDFs and other types of documents. The package offers a spreadsheet-like view, which may be sorted and customized. Users can choose to create full-text indexes of packages, for optimal searching. The .PDF package can also be easily disassembled, removing and adding documents very easily. Another benefit of the package format is that individual documents within the package retain their security status. If a document within the package has a security setting, such as password protection or copying disabled, that security setting is maintained within the package. The package also allows for automatic generation of a cover sheet, either using the first document in the package or creating one with Acrobat.

Forms

Adobe Acrobat 8 Professional allows users to create forms more easily than ever before. Creating forms is one of the more difficult functions in Adobe, using the LiveCycle Designer that is embedded in Adobe Acrobat 8.0 Professional. However, learning to use this tool can be of invaluable assistance to a law firm. Consider the benefits of forms for use both with clients and with staff - client intake forms, checklists, new employee forms.

The creation of forms in Adobe Acrobat 8.0 Pro is much improved. Often “forms” created in MS Word or Corel WordPerfect are actually documents that use lines and autoshapes to create the look of a form. When recipients fill it out the “form” begins to shift, as lines are moved around and formatting is changed. One can take a form like this, convert it to a .PDF, and the resulting file is still not a fillable form, although it can be filled out when printed or with the Typewriter tool in Acrobat 7.0 and above. In Acrobat 8.0 Professional forms can be taken one step further to create an actual, fillable form. Simply choose the “create form” option and follow the instructions. An advancement in Acrobat 8.0 Pro is the form creator’s ability to identify form fields automatically. This saves the form designer valuable time, although it is likely that some tweaks will still need to be made. Buttons such as “Email” and “Print” are now part of the program wizard.

Forms can now be enabled to let users of Acrobat Reader 8.0 save the form with the information intact. In the past, users of the Reader could fill out a form and send the data back, but the form itself would not allow the data to be saved in the Reader. Now, by enabling this functionality, users of the free Reader can save form data.

Another enhancement is the receipt of the form data. By using the “distribute” and “collect” options in the forms menus, users can send the form to email recipients, and then receive the form back via email. By clicking on the returned document in the email, Acrobat merges the data from each returned form, showing not only the filled form, but also parsing the data so that it can be viewed separately from the form. The data collected can then easily be exported to a .CSV file to read and manipulate with MS Excel or other spreadsheet program.

Security

Adobe Acrobat 7.0 Professional and above allows users to employ simple to quite sophisticated security measures to protect documents. From encryption to digital signature, authentication to password protection, Acrobat 8.0 Pro users have many options. Ethical duties to protect client’s confidential information can be fulfilled by taking steps to secure .PDFs, as well as removing metadata.

Even if the document does not contain sensitive or confidential information, some attorneys may want to restrict rights for copying, extraction, or printing to keep work product protected. Acrobat 7.0 and higher allows creation of security policies. Some attorneys may want to create a policy called “client review” which would allow recipients of that document to use commenting tools, but disallow copying, extraction, and printing. Another policy could be called “Shared with opposing counsel” which could strip metadata and restrict rights to copy or print. Finally, for very sensitive documents a policy could be created to encrypt and digitally sign documents. In Adobe Acrobat 8.0 professional, security policies can be applied through a batch process. Additionally security policies can be set up individually, or can be available for an entire firm.

For those who create .PDF packages, be mindful of how security is applied. Because the package is a container, applying password security to the container does not protect the individual documents. Users can use the Security Envelope function to secure multiple documents inside a package. For larger firms, or firms that demand a high level of security and control options, Adobe - through the LiveCycle server - can restrict forwarding of documents, automatically expire documents, show which documents have been opened and a host of other functions.

Collaboration

The new version of Adobe Acrobat offers many opportunities to collaborate with others on .PDF documents, both with Acrobat or the free Reader. Collaboration allows lawyers to share documents with others while maintaining the original file in its native format. Recipients can use commenting tools to markup the .PDF and then return the document with comments for consideration. If applicable, these comments can then be incorporated into the original MS Word document through the track changes feature. Adobe has a number of ways for people to collaborate on .PDF documents. Some review methods require the user to have a supported email application, such as Lotus Notes or MS Outlook in order to function.

• Send for Review. The simplest way to share a document is to send it via email, using the method of selecting the file as an attachment. If the reviewer will be using the free Reader, the .PDF document will need to be saved with permissions to allow commenting and the recipient must have version 8.0 of the free Reader. From within Adobe Acrobat 8.0, users can choose from the “Review and Comment” toolbar to send a file for review. Following the instructions a file is sent via email. The recipient is invited to review the document, and commenting is automatically enabled in the Reader. The recipient can comment and markup the document and then return it. The document originator can collect comments from multiple parties, incorporate all comments into the master document, and view comments by type, reviewer, and status. A reviewer tracker feature lets you see what reviews you have participated in, and what reviews you have initiated.
• Sharing and Incorporating PDF Comments.  Shared review increases the functionality of a review session, by allowing multiple reviewers to comment on a document by placing the document on a shared network drive, a SharePoint workspace or on the web via a webdev or extranet through the “Review and Comment” toolbar in Adobe Acrobat 8. This works best for groups of people on the same network. People are then invited to review the document and changes are incorporated in realtime. The requestor is notified of comments, even if she does not have the document open. Reviewers can be tracked and reviews can be sorted by a variety of fields.
• Acrobat – Word Round Trip.  Once a review has taken place, comments and changes can be incorporated into the original MS Word document, if applicable. From the .PDF document in Adobe Acrobat 8.0 Pro, choose “Export Comments to Word” from the Review and Comments toolbar. Changes to text can then be accepted or rejected using the MS Word function.
• Acrobat Connect.  Acrobat Connect is a real-time, online web-based collaborative environment. It requires a subscription at $39 per month, for up to 15 people. Like GoToMeeting and WebEx, Acrobat Connect allows users to collaborate on the Internet, using whiteboarding, teleconferencing, video, and screen sharing. Features such as chat, and document sharing are available. This service is currently only available in North America, but for firms with savvy clients, geographically diverse locations, or intensive collaboration needs, Acrobat Connect is a product to consider.

Batch Processing

If you need to apply one or more routine sets of commands to .PDF files, you can save time and keystrokes by using an automated batch sequence—a defined series of commands with specific settings and in a specific order that you apply in a single step. You can apply a sequence to a single document, to several documents, or to an entire collection of documents. Acrobat ships with a number of predefined batch processes or sequences, for example, Batch OCR, Print All, and Save All as RTF.  You can also create and save your own custom batch processing sequences. To work with batch processing in Acrobat 7.0 go to Advanced > Batch Processing; in Acrobat 8 go to Advanced > Document Processing > Batch Processing.