Federal Insurance Company v. Aletheia Research and Management Inc
Filing
104
AMENDED STIPULATED 103 CONFIDENTIALITY ORDER by Magistrate Judge Paul L. Abrams. **See Order for details.** (ch)
1
2
3
4
5
6
7
8
9
10
11
12
13
14
SEDGWICK LLP
MARTIN J. O’LEARY Bar No. 106546
BRIAN D. HARRISON Bar No. 157123
VEENA A. MITCHELL Bar No. 161153
333 Bush Street, 30th Floor
San Francisco, California 94104
Telephone: (415) 781-7900
Facsimile: (415) 781-2635
Email: martin.o’leary@sedgwicklaw.com
brian.harrison@sedgwicklaw.com
veena.mitchell@sedgwicklaw.com
Attorneys for Plaintiff
FEDERAL INSURANCE COMPANY
NOSSAMAN LLP
JOAN M. COTKIN Bar No. 70665
TERRY C. LEUIN Bar No. 105968
777 South Figueroa Street, 34th Floor
Los Angeles, California 90017
Telephone: (213) 672-1800
Facsimile: (213) 612-7801
Email: jcotkin@nossaman.com
tleuin@nossaman.com
Attorneys for Defendant
ALETHEIA RESEARCH & MANAGEMENT, INC.
15
UNITED STATES DISTRICT COURT
16
CENTRAL DISTRICT OF CALIFORNIA
17
18
19
20
21
22
23
24
FEDERAL INSURANCE
COMPANY, an Indiana corporation,
Plaintiff,
v.
CASE NO. CV 11-08920 RGK (PLAx)
AMENDED
STIPULATED
CONFIDENTIALITY ORDER
Complaint Filed: November 3, 2011
ALETHEIA RESEARCH &
MANAGEMENT, INC., a California
corporation,
Defendant.
25
26
27
28
SF/2686885v1
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
1.
1.1
2
3
PURPOSES AND LIMITATIONS
Good Cause Statement
As set forth in the accompanying Stipulation filed by Federal and Aletheia,
4
which is incorporated herein as though fully set forth, disclosure and discovery
5
activity in this action are likely to involve the production of confidential,
6
proprietary, or private information for which special protection from public
7
disclosure and from use for any purpose other than prosecuting this litigation
8
would be warranted, including the production of:
9
Proprietary business models and investment strategies, as well as
10
private financial information. Federal Rule of Civil Procedure
11
26(c)(1)(G) (The court may, for good cause, issue an order to protect a
12
party or person from annoyance, embarrassment, oppression, or undue
13
burden or expense, including one or more of the following: […] (G)
14
requiring that a trade secret or other confidential research,
15
development, or commercial information not be revealed or be
16
revealed only in a specified way[.]”)
17
Confidential settlement discussions and agreements. See, e.g.,
18
Phillips v. GMC, 307 F.3d 1206, 1212 (9th Cir. 2002) (“courts have
19
granted protective orders to protect confidential settlement
20
agreements”).
21
Further, Federal seeks discovery of documents produced in the Boskovich v.
22
Aletheia litigation, Los Angeles Superior Court case no. BC 398381 (consolidated
23
with SC 100238, and collectively referred to herein as “the Underlying Actions”),
24
some of which have been designated as confidential and must be treated as such
25
pursuant to the April 6, 2009 protective order entered there (attached hereto as
26
Exhibit A-1).
27
28
SF/2686885v1
1.2
Agreement and Acknowledgment
By signing this Stipulation, the Parties agree that documents designated as
1
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
confidential in the Underlying Actions shall also be treated as Protected Material,
2
as defined in Section 2.7 below, in the instant action. As such, all of the rights,
3
obligations, and responsibilities concerning the treatment of Protected Material, as
4
set forth below, shall apply equally to those documents designated as confidential
5
in the Underlying Actions.
6
However, the Parties acknowledge that this Order does not confer blanket
7
protections on all disclosures or responses to discovery and that the protection it
8
affords extends only to the limited information or items that are entitled to
9
confidential treatment under the applicable legal principles. The Parties further
10
acknowledge, as set forth in Section 10, below, that this Order creates no
11
entitlement to file confidential information under seal; Civil Local Rule 79-5 sets
12
forth the procedures that must be followed and reflects the standards that will be
13
applied when a party seeks permission from the court to file material under seal.
14
15
2.
DEFINITIONS
2.1
Party: any party to this action, including all of its officers,
16
directors, employees, consultants, retained experts, and outside counsel (and their
17
support staff) (collectively, “the Parties”).
18
2.2
Disclosure or Discovery Material: all items or information,
19
regardless of the medium or manner generated, stored, or maintained (including,
20
among other things, testimony, transcripts, or tangible things) that are produced or
21
generated in disclosures or responses to discovery in this matter.
22
2.3
“Confidential” Information or Items: information (regardless of
23
how generated, stored or maintained) or tangible things that qualify for protection
24
under standards developed under F.R.Civ.P. 26(c) which is designated by a
25
producing party as “Confidential”.
26
27
2.4
Receiving Party: a Party that receives Disclosure or Discovery
Material from a Producing Party.
28
SF/2686885v1
2
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
2
2.5
Producing Party: a Party or non-party that produces Disclosure
or Discovery Material in this action.
3
2.6
Designating Party: a Party or non-party that designates
4
information or items that it produces in disclosures or in responses to discovery as
5
“Confidential.”
6
2.7
7
designated as “Confidential.”
8
2.8
9
Protected Material: any Disclosure or Discovery Material that is
Outside Counsel: attorneys who are not employees of a Party
but who are retained to represent or advise a Party in this action.
10
2.9
11
2.10 Counsel (without qualifier): Outside Counsel and House
12
House Counsel: attorneys who are employees of a Party.
Counsel (as well as their support staffs).
13
2.11 Expert: a person with specialized knowledge or experience in a
14
matter pertinent to the litigation who has been retained by a Party or its counsel to
15
serve as an expert witness or as a consultant in this action and who is not a past or
16
a current employee of a Party or of a competitor of a Party’s and who, at the time
17
of retention, is not anticipated to become an employee of a Party or a competitor of
18
a Party’s. This definition includes a professional jury or trial consultant retained in
19
connection with this litigation.
20
2.12 Professional Vendors: persons or entities that provide litigation
21
support services (e.g., photocopying; videotaping; translating; preparing exhibits or
22
demonstrations; organizing, storing, retrieving data in any form or medium; etc.)
23
and their employees and subcontractors.
24
3.
25
The protections conferred by this Stipulation and Order cover not only
26
Protected Material (as defined above), but also any information copied or extracted
27
therefrom, as well as all copies, excerpts, summaries, or compilations thereof, plus
28
testimony, conversations, or presentations by Parties or Counsel to or in court or in
SF/2686885v1
SCOPE
3
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
other settings that might reveal Protected Material. Protected Material shall be
2
used only for the purpose of the prosecution, defense or settlement of the action,
3
and for no other purpose.
4
Nothing herein shall impose any restrictions on the use or disclosure by a
5
Party of material obtained by such Party independent of discovery in this action,
6
whether or not such material is also obtained through discovery in this action, or
7
from disclosing its own confidential information as it deems appropriate; however,
8
documents designated as confidential in the Underlying Actions shall be treated as
9
Protected Material within the meaning of this Stipulation.
10
4.
11
Even after the termination of this litigation, the confidentiality obligations
DURATION
12
imposed by this Order shall remain in effect until a Designating Party agrees
13
otherwise in writing or a court order otherwise directs.
14
15
5.
DESIGNATING PROTECTED MATERIAL
5.1
Exercise of Restraint and Care in Designating Material for
16
Protection. Each Party or non-party that designates information or items for
17
protection under this Order must take care to limit any such designation to specific
18
material that qualifies under the appropriate standards. A Designating Party must
19
take care to designate for protection only those parts of material, documents, items,
20
or oral or written communications that qualify—so that other portions of the
21
material, documents, items, or communications for which protection is not
22
warranted are not swept unjustifiably within the ambit of this Order.
23
Mass, indiscriminate, or routinized designations are prohibited.
24
Designations that are shown to be clearly unjustified, or that have been made for an
25
improper purpose (e.g., to unnecessarily encumber or retard the case development
26
process, or to impose unnecessary expenses and burdens on other parties), expose
27
the Designating Party to sanctions.
28
SF/2686885v1
If it comes to a Party’s or a non-party’s attention that information or items
4
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
that it designated for protection do not qualify for protection at all, or do not
2
qualify for the level of protection initially asserted, that Party or non-party must
3
promptly notify all other parties that it is withdrawing the mistaken designation.
4
5.2
Manner and Timing of Designations. Except as otherwise
5
provided in this Order (see, e.g., second paragraph of section 5.2(a), below), or as
6
otherwise stipulated or ordered, material that qualifies for protection under this
7
Order must be clearly so designated before the material is disclosed or produced.
8
9
Designation in conformity with this Order requires:
5.2.1 for information in documentary form (apart from
10
transcripts of depositions or other pretrial or trial proceedings), that the Producing
11
Party affix the legend “CONFIDENTIAL” on each page that contains protected
12
material. If only a portion or portions of the material on a page qualifies for
13
protection, the Producing Party also must clearly identify the protected portion(s)
14
(e.g., by making appropriate markings in the margins).
15
A Party or non-party that makes original documents or
16
materials available for inspection need not designate them for protection until after
17
the inspecting Party has indicated which material it would like copied and
18
produced. During the inspection and before the designation, all of the material
19
made available for inspection shall be deemed “CONFIDENTIAL.” After the
20
inspecting Party has identified the documents it wants copied and produced, the
21
Producing Party must determine which documents, or portions thereof, qualify for
22
protection under this Order, then, before producing the specified documents, the
23
Producing Party must affix the appropriate legend on each page that contains
24
Protected Material. If only a portion or portions of the material on a page qualifies
25
for protection, the Producing Party also must clearly identify the protected
26
portion(s) (e.g., by making appropriate markings in the margins).
27
28
SF/2686885v1
5.2.2 for testimony given in deposition or in other pretrial or
trial proceedings, that the Party or non-party offering or sponsoring the testimony
5
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
identify on the record, before the close of the deposition, hearing, or other
2
proceeding, all protected testimony.
3
Transcript pages containing Protected Material must be separately bound by
4
the court reporter, who must affix to the bottom of each such page the legend
5
“CONFIDENTIAL” as instructed by the Party or non-party offering or sponsoring
6
the witness or presenting the testimony.
7
5.2.3 for information produced in some form other than
8
documentary, and for any other tangible items, that the Producing Party affix in a
9
prominent place on the exterior of the container or containers in which the
10
information or item is stored the legend “CONFIDENTIAL.” If only portions of
11
the information or item warrant protection, the Producing Party, to the extent
12
practicable, shall identify the protected portions.
13
5.3
Inadvertent Failures to Designate. If timely corrected, an
14
inadvertent failure to designate qualified information or items as “Confidential”
15
does not, standing alone, waive the Designating Party’s right to secure protection
16
under this Order for such material. If material is appropriately designated as
17
“Confidential” after the material was initially produced, the Receiving Party, on
18
timely notification of the designation, must make reasonable efforts to assure that
19
the material is treated in accordance with the provisions of this Order.
20
21
6.
CHALLENGING CONFIDENTIALITY DESIGNATIONS
6.1
Timing of Challenges. Unless a prompt challenge to a
22
Designating Party’s confidentiality designation is necessary to avoid foreseeable
23
substantial unfairness, unnecessary economic burdens, or a later significant
24
disruption or delay of the litigation, a Party does not waive its right to challenge a
25
confidentiality designation by electing not to mount a challenge promptly after the
26
original designation is disclosed.
27
28
SF/2686885v1
6.2
Meet and Confer. A Party that elects to initiate a challenge to a
Designating Party’s confidentiality designation must do so in good faith and must
6
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
begin the process by conferring directly (in voice to voice dialogue; other forms of
2
communication are not sufficient) with counsel for the Designating Party. In
3
conferring, the challenging Party must explain the basis for its belief that the
4
confidentiality designation was not proper and must give the Designating Party an
5
opportunity to review the designated material, to reconsider the circumstances,
6
and, if no change in designation is offered, to explain the basis for the chosen
7
designation. A challenging Party may proceed to the next stage of the challenge
8
process only if it has engaged in this meet and confer process first.
9
6.3
Judicial Intervention. A Party that elects to press a challenge to
10
a confidentiality designation after considering the justification offered by the
11
Designating Party may file and serve a motion under Civil Local Rule 37 (and in
12
compliance with Civil Local Rule 79-5, if applicable) that identifies the challenged
13
material and sets forth in detail the basis for the challenge. Each such motion must
14
be accompanied by a competent declaration that affirms that the movant has
15
complied with the meet and confer requirements imposed in the preceding
16
paragraph and that sets forth with specificity the justification for the confidentiality
17
designation that was given by the Designating Party in the meet and confer
18
dialogue.
19
The burden of persuasion in any such challenge proceeding shall be
20
on the Designating Party. Until the court rules on the challenge, all parties shall
21
continue to afford the material in question the level of protection to which it is
22
entitled under the Producing Party’s designation.
23
24
7.
ACCESS TO AND USE OF PROTECTED MATERIAL
7.1
Basic Principles. A Receiving Party may use Protected
25
Material that is disclosed or produced by another Party or by a non-party in
26
connection with this case only for prosecuting, defending, or attempting to settle
27
this litigation. Such Protected Material may be disclosed only to the categories of
28
persons and under the conditions described in this Order. When the litigation has
SF/2686885v1
7
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
been terminated, a Receiving Party must comply with the provisions of Section 11,
2
below (FINAL DISPOSITION).
3
Protected Material must be stored and maintained by a Receiving Party at a
4
location and in a secure manner that ensures that access is limited to the persons
5
authorized under this Order.
6
7.2
Disclosure of “CONFIDENTIAL” Information or Items.
7
Unless otherwise ordered by the court or permitted in writing by the Designating
8
Party, a Receiving Party may disclose any information or item designated
9
CONFIDENTIAL, including documents designated as confidential in the
10
Underlying Actions, only to:
7.2.1 Counsel of record for any Party, including partners,
11
12
associates, deputies, and assistants of such counsel;
7.2.2 Paralegal, stenographic, clerical and secretarial personnel
13
14
employed by counsel described in Section 7.2.1;
7.2.3 Any Party and any of a Party’s officers, directors,
15
16
employees, trustees, partners, agents, or in-house legal personnel (or to any officer,
17
director, employee, or in-house legal personnel of a parent, subsidiary or affiliate
18
of any Party);
19
7.2.4 experts (as defined in this Order) of the Receiving Party
20
to whom disclosure is reasonably necessary for this litigation and who have signed
21
the “Agreement to Be Bound by Confidentiality Order” (Exhibit A);
22
7.2.5 reinsurers, auditors and regulators of the Receiving Party;
23
however, the Receiving Party shall take reasonable precautions to ensure that such
24
reinsurers, auditors and regulators sign the “Agreement to Be Bound by
25
Confidentiality Order” (Exhibit A);
26
7.2.6 the Court and its personnel;
27
7.2.7 court reporters, their staffs, and professional vendors to
28
SF/2686885v1
whom disclosure is reasonably necessary for this litigation and who have signed
8
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
the “Agreement to Be Bound by Confidentiality Order” (Exhibit A);
2
7.2.8 during their depositions, witnesses in the action to whom
3
disclosure is reasonably necessary and who have signed the “Agreement to Be
4
Bound by Confidentiality Order” (Exhibit A). Pages of transcribed deposition
5
testimony or exhibits to depositions that reveal Protected Material must be
6
separately bound by the court reporter and may not be disclosed to anyone except
7
as permitted under this Order.
8
9
10
11
7.2.9 the author of the document or the original source of the
information.
8.
PROTECTED MATERIAL SUBPOENAED OR ORDERED
PRODUCED IN OTHER LITIGATION
If a Receiving Party is served with a subpoena or an order issued in
12
13
other litigation that would compel disclosure of any information or items
14
designated in this action or the Underlying Actions as “CONFIDENTIAL,” the
15
Receiving Party must so notify the Designating Party, in writing (by email, if
16
possible) immediately and in no event more than three court days after receiving
17
the subpoena or order. Such notification must include a copy of the subpoena or
18
court order.
19
The Receiving Party also must immediately inform in writing the
20
Party who caused the subpoena or order to issue in the other litigation that some or
21
all the material covered by the subpoena or order is the subject of this Order. In
22
addition, the Receiving Party must deliver a copy of this Order promptly to the
23
party in the other action that caused the subpoena or order to issue.
24
The purpose of imposing these duties is to alert the interested parties
25
to the existence of this Order and to afford the Designating Party in this case an
26
opportunity to try to protect its confidentiality interests in the court from which the
27
subpoena or order issued. The Designating Party shall bear the burdens and the
28
expenses of seeking protection in that court of its confidential material—and
SF/2686885v1
9
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
nothing in these provisions should be construed as authorizing or encouraging a
2
Receiving Party in this action to disobey a lawful directive from another court.
3
9.
4
MATERIAL
UNAUTHORIZED DISCLOSURE OF PROTECTED
5
If a Receiving Party learns that, by inadvertence or otherwise, it has
6
disclosed Protected Material to any person or in any circumstance not authorized
7
under this Order, the Receiving Party must immediately (a) notify in writing the
8
Designating Party of the unauthorized disclosures, (b) use its best efforts to retrieve
9
all copies of the Protected Material, (c) inform the person or persons to whom
10
unauthorized disclosures were made of all the terms of this Order, and (d) request
11
such person or persons to execute the “Acknowledgment and Agreement to Be
12
Bound” that is attached hereto as Exhibit A.
13
10.
14
Without written permission from the Designating Party or a court order
15
secured after appropriate notice to all interested persons, a Party may not file in the
16
public record in this action any Protected Material. A Party that seeks to file under
17
seal any Protected Material must comply with Civil Local Rule 79-5. However,
18
the Parties acknowledge that this Order creates no entitlement to file confidential
19
information under seal; Civil Local Rule 79-5 sets forth the procedures that must
20
be followed and reflects the standards that will be applied when a party seeks
21
permission from the court to file material under seal.
FILING PROTECTED MATERIAL
22
11.
23
After the final termination of this action, each Receiving Party may retain,
24
return or destroy all Protected Material. All Protected Material that a Receiving
25
Party retains remains subject to this Order as set forth in Section 4 (DURATION),
26
above.
27
28
SF/2686885v1
FINAL DISPOSITION
As used in this subdivision, all “Protected Material” includes all copies,
abstracts, compilations, summaries or any other form of reproducing or capturing
10
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
2
any of the Protected Material.
12.
3
4
MISCELLANEOUS
12.1 Right to Further Relief. Nothing in this Order abridges the
right of any person to seek its modification by the Court in the future.
5
12.2 Right to Assert Other Objections. By stipulating to the entry of
6
this Order no Party waives any right it otherwise would have to object to disclosing
7
or producing any information or item on any ground not addressed in this Order.
8
Similarly, no Party waives any right to object on any ground to use in evidence of
9
any of the material covered by this Order.
10
IT APPEARING TO THE COURT that all Parties have consented to the
11
entry of this Amended Stipulated Confidentiality Order; Good Cause appearing
12
therefore;
13
IT IS SO ORDERED:
14
DATED: May 22, 2012
15
___________________________________
Hon. Paul L. Abrams
United States Magistrate Judge
16
17
18
19
20
21
22
23
24
25
26
27
28
SF/2686885v1
11
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER
1
EXHIBIT A
2
ACKNOWLEDGMENT AND AGREEMENT TO BE BOUND
3
I, _______________ [print or type full name], of _______________ [print
4
or type full address], declare under penalty of perjury that I have read in its entirety
5
and understand the Stipulated Confidentiality Order that was issued by the United
6
States District Court for the Central District of California on April __, 2012 in the
7
case of Federal Insurance Company v. Aletheia Research & Management, Inc.,
8
Case No. CV 11-08920 RGK (PLAx). I understand that documents designated as
9
confidential in the Underlying Actions shall be treated as Protected Material and
10
subject to all of the terms set forth in this Stipulated Confidentiality Order. I agree
11
to comply with and to be bound by all the terms of this Stipulated Confidentiality
12
Order and I understand and acknowledge that failure to so comply could expose
13
me to sanctions and punishment in the nature of contempt. I solemnly promise that
14
I will not disclose in any manner any information or item that is subject to this
15
Stipulated Confidentiality Order to any person or entity except in strict compliance
16
with the provisions of this Order.
17
I further agree to submit to the jurisdiction of the United States District
18
Court for the Central District of California for the purpose of enforcing the terms
19
of this Stipulated Confidentiality Order, even if such enforcement proceedings
20
occur after termination of this action.
21
I hereby appoint _______________ [print or type full name] of
22
_______________ [print or type full address and telephone number] as my
23
California agent for service of process in connection with this action or any
24
proceedings related to enforcement of this Stipulated Confidentiality Order.
25
Date: _______________________
26
City and State where sworn and signed: __________________________________
27
Printed name: _____________________________
[printed name]
Signature: ________________________________
[signature]
28
SF/2686885v1
1
[PROPOSED] AMENDED STIPULATED CONFIDENTIALITY ORDER: EXHIBIT A
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
Why Is My Information Online?