Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_02-cv-04656/USCOURTS-cand-4_02-cv-04656-3/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15:78m(a) Securities Exchange Act

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[PROPOSED] ORDER REGARDING CONFIDENTIALITY 

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[Counsel Listed on Signature Pages] 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

OAKLAND DIVISION 

SHIRLEY ZELMAN, TRUSTEE, F/B/O 

SHIRLEY ZELMAN LIVING TRUST, on 

behalf of plaintiff and all others similarly 

situated, 

 Plaintiff, 

 v. 

JDS UNIPHASE CORPORATION, JOZEF 

STRAUS, ANTHONY R. MULLER, 

CHARLES J. ABBE, and KEVIN 

KALKHOVEN, 

 Defendants. 

No. C-02-4656 CW 

ORDER REGARDING 

CONFIDENTIALITY

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[PROPOSED] ORDER REGARDING CONFIDENTIALITY 

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Disclosure and discovery activity in this action are likely to involve production of 

confidential, proprietary, or private information for which special protection from public 

disclosure and from use for any purpose other than prosecuting this litigation would be warranted. 

Accordingly, the parties hereby stipulate to and petition the Court to enter the following Order. 

1. DEFINITIONS

1.1 Disclosure or Discovery Material: all items or information, regardless of 

the medium or manner generated, stored, or maintained (including, among other things, 

testimony, transcripts, or tangible things) that are produced or generated in disclosures or 

responses to discovery in this matter. 

1.2 “Confidential” Information or Items: Disclosure or Discovery Material 

that is non-public and that a party in good faith believes must be held confidential to protect 

personal privacy interests or proprietary commercial or business information, including trade 

secrets. 

1.3 “Highly Confidential” Information or Items: “Confidential” Information or 

Items, the disclosure of which the Producing Party in good faith believes would create a 

substantial risk of serious injury that could not be avoided by less restrictive means. 

1.4 Receiving Party: a party that receives Disclosure or Discovery Material 

from a Producing Party. 

1.5 Producing Party: a party or non-party that produces Disclosure or 

Discovery Material in this action. 

1.6 Designating Party: a party or non-party that designates information or 

items that it produces in disclosures or in responses to discovery as “Confidential” or “Highly 

Confidential.” 

1.7 Protected Material: any Disclosure or Discovery Material that is 

designated as “Confidential” or as “Highly Confidential.” 

1.8 Outside Counsel: attorneys who are not employees of a party but who are 

retained to represent or advise a party in this action. 

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1.9 In-house Counsel: attorneys who are employees of a party. 

1.10 Counsel (without qualifier): Outside Counsel and In-house Counsel (as 

well as their support staffs). 

1.11 Expert: a person with specialized knowledge or experience in a matter 

pertinent to the litigation who has been retained by a party or its counsel to serve as an expert 

witness or as a consultant in this action. No representative plaintiff or its Counsel may retain an 

expert witness or consultant who is (a) a past or current employee or consultant of JDS Uniphase 

or of one of its predecessors, (b) a past or current employee or consultant of a competitor of JDS 

Uniphase or of one of its predecessors, or (c) at the time of retention, anticipated to become an 

employee or consultant of JDS Uniphase or of a competitor of JDS Uniphase. This definition 

includes a professional jury or trial consultant retained in connection with this litigation. 

1.12 Professional Vendors: persons or entities that provide litigation support 

services (e.g., photocopying; videotaping; translating; preparing exhibits or demonstrations; 

organizing, storing, retrieving data in any form or medium; etc.) and their employees and 

subcontractors. 

2. SCOPE

The protections conferred by this Stipulation and Order cover not only Protected 

Material (as defined above), but also any information copied or extracted therefrom, as well as all 

copies, excerpts, summaries, or compilations thereof (whether in written, computer or other 

form), plus testimony, conversations, or presentations by parties or counsel to or in court or in 

other settings that might reveal Protected Material. 

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3. DURATION

Even after the termination of this litigation, the confidentiality obligations imposed 

by this Order shall remain in effect until each Designating Party agrees otherwise in writing or a 

court order otherwise directs. 

4. DESIGNATING PROTECTED MATERIAL

4.1 Marking of Protected Material (Other Than Deposition Transcripts): Any 

party to this litigation, or non-party who produces Disclosure or Discovery Material, shall have 

the right to designate as “CONFIDENTIAL” or “HIGHLY CONFIDENTIAL” any Protected 

Material it produces. All Protected Material shall bear a legend on each page stating that the 

material is “CONFIDENTIAL” or “HIGHLY CONFIDENTIAL.” In order to speed the process 

of producing large volumes of Protected Material, multi-page documents in which Protected 

Material is pervasive may be marked “CONFIDENTIAL” or “HIGHLY CONFIDENTIAL” 

throughout, with the understanding that portions of those documents not containing Protected 

Material can be de-designated through the meet-and-confer process of Paragraph 5.2. Where it is 

not possible to affix a legend to particular Protected Material, the Producing Party shall take 

reasonable steps to give all Receiving Parties notice of its status as Protected Material. Where a 

computer disk has been marked as Protected Material and the files on it are not individually 

bates-numbered or identified as Protected Material, all files contained on the disk shall be 

considered Protected Material. 

Mass, indiscriminate, or routinized designations are prohibited. Designations that 

are shown to be clearly unjustified, or that have been made for an improper purpose (e.g., to 

unnecessarily encumber or retard the case development process, or to impose unnecessary 

expenses and burdens on other parties), expose the Designating Party to sanctions. If it comes to 

a party’s or a non-party’s attention that Disclosure or Discovery Material designated as Protected 

Material does not qualify for protection at all, or does not qualify for the level of protection 

initially asserted, that party or non-party must promptly notify all other parties that it is 

withdrawing the mistaken designation. 

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4.2 Depositions: Deposition testimony may be classified as Protected Material 

at the deposition, or at any time during a review period of up to and including 30 days after 

receipt of the official transcript of such testimony by counsel for the party whose information has 

been disclosed, or in the case of non- parties or others whose information has been disclosed, up 

to and including 30 days after the transcript is available for review, whichever period is longer. 

Each deposition transcript in its entirety shall be treated as having been designated “HIGHLY 

CONFIDENTIAL” during the review period. Designations of Protected Material made during 

the deposition will be reasonably identified at the beginning of the deposition transcript when 

produced. Designations of Protected Material made during the review period will be made in 

writing served on all parties. It will be the responsibility of counsel of record to take reasonable 

steps to make sure that Protected Material in deposition transcripts is used only as expressly 

permitted in this Order. Party representative(s) attending any deposition will be temporarily 

excused from the deposition room at times when testimony then being designated by another 

party as “HIGHLY CONFIDENTIAL” is being given. Expert witnesses who have been approved 

in accordance with the provisions of paragraph 6.4 may attend depositions in their entirety. 

4.3 Contractual Obligations to Non-Parties: During the course of this action, a 

party may be requested to produce information that is subject to contractual or other obligations 

of confidentiality owed to a non-party. The party subject to the contractual or other obligation of 

confidentiality shall timely contact the person to whom the obligation is owed to determine 

whether that person is willing to permit disclosure of the confidential information under the terms 

of this Order. If that person is willing, the information shall be produced in accordance with this 

Order. If the person to whom the obligation is owed is not willing to permit disclosure of the 

confidential information under the terms of this Order, the party seeking the information in this 

litigation shall be notified, and any documents withheld on the basis of a contractual or other 

confidentiality obligation shall be identified on a separate index stating the reason for withholding 

the document and the person to whom the obligation of confidentiality is owed. This Order shall 

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not preclude any party from moving the Court for an order compelling production of such 

material. 

4.4 Re-Designation: Inadvertent production of any Protected Material without 

a designation of confidentiality will not, standing alone, be deemed to waive a later claim as to its 

proper designation, nor will it prevent the Producing Party from designating said document or 

material “CONFIDENTIAL” or “HIGHLY CONFIDENTIAL” at a later date. The Producing 

Party shall comply with Paragraph 4.1 when redesignating Disclosure or Discovery Material as 

Protected Material. Following any redesignation of Disclosure or Discovery Material as 

Protected Material (or redesignation of “CONFIDENTIAL” material as “HIGHLY 

CONFIDENTIAL”), the party receiving such Protected Material shall take reasonable steps to 

comply with the redesignation including, without limitation, retrieving all copies and excerpts of 

any redesignated Protected Material from persons not entitled to receive it. However, the 

Receiving Party shall not be obligated to remove from the public record any Disclosure or 

Discovery Material that had been filed with the Court as part of the public record prior to the 

Producing Party’s redesignation of that Disclosure or Discovery Material as Protected Material. 

The Producing Party may move to have any such document sealed. 

5. CHALLENGING CONFIDENTIALITY DESIGNATIONS

5.1 Timing of Challenges: A party does not waive its right to challenge a 

confidentiality designation merely by electing not to mount a challenge promptly after the 

original designation is disclosed. 

5.2 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 begin the 

process by conferring directly (in voice-to-voice dialogue) with counsel for the Designating Party. 

In conferring, the challenging party must explain the basis for its belief that the confidentiality 

designation was not proper and must give the Designating Party an opportunity to review the 

Protected Material, to reconsider the circumstances, and, if no change in designation is offered, to 

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explain the basis for the chosen designation. A challenging party may proceed to the next stage 

of the challenge process only if it has engaged in this meet-and-confer process first. 

5.3 Judicial Intervention: A party that elects to press a challenge to a 

confidentiality designation after considering the justification offered by the Designating Party 

may file and serve a motion under Civil Local Rule 7 (and in compliance with Civil Local Rule 

79-5, if applicable) that identifies the challenged material and sets forth in detail the basis for the 

challenge. Each motion must be accompanied by a competent declaration that affirms that the 

movant has complied with the meet-and-confer requirements imposed in the preceding paragraph 

and that sets forth with specificity the justification for the confidentiality designation that was 

given by the Designating Party in the meet-and-confer dialogue. 

The burden of persuasion in any such challenge proceeding shall be on the 

Designating Party. Information classified as Protected Material shall retain its Protected Material 

status as well as its category of designation until such time as this Court enters an order 

reclassifying such material or stripping it of its Protected Material status; the time to seek review 

of the Court's order has expired, no appeal having been taken; or in the event review is sought, the 

reviewing court has completed its review and rendered a decision on the matter. 

6. ACCESS TO AND USE OF PROTECTED MATERIAL

6.1 Basic Principles: A Receiving Party may use Protected Material that is 

disclosed or produced by another party or by a non-party in connection with this case only for 

prosecuting, defending, or attempting to settle this litigation. It may not use Protected Material 

for any other purpose, including, without limitation, any other litigation or any business, 

competitive, or governmental purpose or function. Protected Material may be disclosed only to 

the categories of persons and under the conditions described in this Order. When the litigation 

has been terminated, a Receiving Party must comply with the provisions of Section 7 below, 

(FINAL DISPOSITION). 

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Protected material must be stored and maintained by a Receiving Party at a 

location and in a secure manner that ensures that access is limited to the persons authorized under 

this Order. 

6.2 Disclosure of “CONFIDENTIAL” Information or Items: Unless otherwise 

ordered by the court or permitted in writing by the Designating Party, a Receiving Party may 

disclose any information or item designated CONFIDENTIAL only to: 

(a) the Receiving Party’s Outside Counsel of record in this action, as 

well as employees of said Counsel to whom it is reasonably necessary to disclose the information 

for this litigation and who have signed the “Agreement to Be Bound by Order” that is attached 

hereto as Exhibit A; 

(b) the former and current officers, directors, and employees (including 

In-house Counsel) of the Receiving Party to whom disclosure is reasonably necessary for this 

litigation and who have signed the “Agreement to Be Bound by Order” (Exhibit A); 

(c) Experts (as defined by this Order) of the Receiving Party to whom 

disclosure is reasonably necessary for this litigation and who have signed the “Agreement to Be 

Bound by Order” (Exhibit A); 

(d) the Court and its personnel; 

(e) court reporters, their staffs, and professional vendors to whom 

disclosure is reasonably necessary for this litigation and who have signed the “Agreement to Be 

Bound by Order” (Exhibit A); 

(f) during their depositions, witnesses in the action to whom disclosure 

is reasonably necessary and who have signed the “Agreement to Be Bound by Order” (Exhibit 

A). Pages of transcribed deposition testimony or exhibits to depositions that reveal Protected 

Material must be separately bound by the court reporter and may not be disclosed to anyone 

except as permitted under this Stipulated Order. 

(g) the author of the document or the original source of the 

information. 

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6.3 Disclosure of “HIGHLY CONFIDENTIAL” Information or Items: Unless 

otherwise ordered by the court or permitted in writing by the Designating Party, a Receiving 

Party may disclose any information or item designated “HIGHLY CONFIDENTIAL” only to: 

(a) the Receiving Party’s Outside Counsel of record in this action, as 

well as employees of said Outside Counsel to whom it is reasonably necessary to disclose the 

information for this litigation and who have signed the “Agreement to Be Bound by Order” that is 

attached hereto as Exhibit A; 

(b) Experts (as defined in this Order) (1) to whom disclosure is 

reasonably necessary for this litigation, (2) who have signed the “Agreement to Be Bound by 

Order” (Exhibit A), and (3) as to whom the procedures set forth in paragraph 6.4, below, have 

been followed; 

(c) the Court and its personnel; 

(d) court reporters, their staffs, and professional vendors to whom 

disclosure is reasonably necessary for this litigation and who have signed the “Agreement to Be 

Bound by Order” (Exhibit A); and 

(e) the author of the document or the original source of the 

information. 

6.4 Procedure for Disclosure of “HIGHLY CONFIDENTIAL” Information or 

Items to “Experts”: Unless otherwise ordered by the Court or agreed in writing by the 

Designating Party, a party that seeks to disclose to an “Expert” (as defined in this Order) any 

information or item that has been designated “HIGHLY CONFIDENTIAL” first must (1) identify 

in writing to the Designating Party the specific HIGHLY CONFIDENTIAL information that the 

Receiving Party seeks to disclose to the Expert; (2) receive a written representation from its 

Expert that the Expert is not currently affiliated, and has never been affiliated, with any 

competitor of Defendant JDS Uniphase; and (3) inform the Designating Party that the Expert has 

provided the written representation to counsel for the Receiving Party. 

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6.5 Protected Material Subpoenaed or Ordered Produced in Other Litigation: 

If a Receiving Party is served with a subpoena or an order issued in other litigation that would 

compel disclosure of any information or items designated in this action as “CONFIDENTIAL” or 

“HIGHLY CONFIDENTIAL,” the Receiving Party must so notify the Designating Party, in 

writing (by fax, if possible) immediately and in no event more than three court days after 

receiving the subpoena or order. Such notification must include a copy of the subpoena or court 

order. 

The Receiving Party also must immediately inform in writing the party who 

caused the subpoena or order to issue in the other litigation that some or all the material covered 

by the subpoena or order is the subject of this Order. In addition, the Receiving Party must 

deliver a copy of this Stipulated Order promptly to the party in the other action that caused the 

subpoena or order to issue. 

The purpose of imposing these duties is to alert the interested parties to the 

existence of this Order and to afford the Designating Party in this case an opportunity to try to 

protect its confidentiality interests in the court from which the subpoena or order issued. The 

Designating Party shall bear the burdens and the expenses of seeking protection in that court of its 

CONFIDENTIAL MATERIAL, and nothing in these provisions should be construed as 

authorizing or encouraging a Receiving Party in this action to disobey a lawful directive from 

another court. 

6.6 Unauthorized Disclosure of Protected Material: If a Receiving Party learns 

that, by inadvertence or otherwise, it has disclosed Protected Material to any person or in any 

circumstance not authorized under this Stipulated Order, the Receiving Party must immediately 

(a) notify in writing the Designating Party of the unauthorized disclosures, (b) use its best efforts 

to retrieve all copies of the Protected Material, (c) inform the person or persons to whom 

unauthorized disclosures were made of all the terms of this Order, and (d) request such person or 

persons to execute the “Acknowledgment and Agreement to Be Bound” that is attached hereto as 

Exhibit A. 

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6.7 Using Protected Material in Court: Without written permission from the 

Designating Party or a court order secured after appropriate notice to all interested persons, a 

party may not file in the public record in this action any Protected Material. A party that seeks to 

file under seal any Protected Material must comply with Civil Local Rule 79-5. 

In the event that Protected Material is to be offered into evidence in any public 

hearing or proceeding, including trial, the offering party shall so notify the Court and the Court 

shall then consider what steps, if any, should be taken to protect the information. 

6.8 Own Use: Nothing contained herein shall prevent any Designating Party 

from disclosing its own Protected Material to any person as it deems appropriate. 

7. FINAL DISPOSITION

Unless otherwise ordered or agreed in writing by the Producing Party, within sixty days 

after the final termination of this action, each Receiving Party must return all Protected Material 

to the Producing Party. As used in this subdivision, “all Protected Material” includes all copies, 

abstracts, compilations, summaries or any other form of reproducing or capturing any of the 

Protected Material. With permission in writing from the Designating Party, the Receiving Party 

may destroy some or all of the Protected Material instead of returning it. Whether the Protected 

Material is returned or destroyed, the Receiving Party must submit a written certification to the 

Producing Party (and, if not the same person or entity, to the Designating Party) by the sixty-day 

deadline that identifies (by category, where appropriate) all the Protected Material that was 

returned or destroyed and that affirms that the Receiving Party has not retained any copies, 

abstracts, compilations, summaries, or other forms of reproducing or capturing any of the 

Protected Material. Notwithstanding this provision, Counsel are entitled to retain one archival 

copy of all pleadings, motion papers, transcripts, legal memoranda, correspondence, or attorney 

work product, even if such materials contain Protected Material. Any such archival copies that 

contain or constitute Protected Material remain subject to this Order as set forth in Section 3 

(DURATION), above. 

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8. RIGHT TO FURTHER RELIEF

Nothing in this Order abridges the right of any person to seek its modification by the 

Court in the future. 

9. RIGHT TO ASSERT OTHER OBJECTIONS

By stipulating to the entry of this Order, no party waives any right it otherwise would have 

to object to disclosing or producing any information or item on any ground not addressed in this 

Order. Similarly, no party waives any right to object on any ground to use in evidence of any of 

the material covered by this Order. 

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IT IS SO STIPULATED, THROUGH COUNSEL OF RECORD. 

Dated: February 3, 2006 

JORDAN ETH 

TERRI GARLAND 

PHILIP T. BESIROF 

RAYMOND M. HASU 

MORRISON & FOERSTER LLP 

425 Market Street 

San Francisco, CA 94105-2482 

Telephone: (415) 268-7000 

Facsimile: (415) 268-7522 

By: /s/ Terri Garland 

 Terri Garland 

 Attorneys for Defendants 

 JDS Uniphase Corporation, 

 Charles J. Abbe, Jozef Straus, and Anthony 

 Muller 

Dated: February 3, 2006 

MICHAEL J. SHEPARD 

HOWARD S. CARO 

HELLER EHRMAN LLP 

333 Bush Street 

San Francisco, CA 94104-2878 

Telephone: (415) 772-6000 

Facsimile: (415) 772-6268 

MICHAEL L. CHARLSON 

J. CHRISTOPHER MITCHELL 

HELLER EHRMAN LLP 

275 Middlefield Road 

Menlo Park, CA 94025-3506 

Telephone: (650) 324-7000 

Facsimile: (650) 324-0638 

By: /s/ Howard S. Caro 

 Howard S. Caro 

 Attorneys for Defendant 

 Kevin Kalkhoven 

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Dated: January 25, 2006 

JEFFREY H. SQUIRE 

IRA M. PRESS 

MARK A. STRAUSS 

KIRBY McINERNEY & SQUIRE, LLP 

830 Third Avenue, 10th Floor 

New York, NY 10022 

Telephone: (212) 371-6600 

Facsimile: (212) 751-2540 

 -andLIONEL GLANCY 

SUSAN G. KUPFER 

GLANCY, BINKOW & GOLDBERG, LLP 

455 Market Street, Suite 1810 

San Francisco, CA 94105 

Telephone: (415) 972-8160 

Facsimile: (415) 972-8166 

PETER A. BINKOW 

GLANCY, BINKOW & GOLDBERG, LLP 

1801 Avenue of the Stars, Suite 311 

Los Angeles, CA 90067 

Telephone: (310) 201-9150 

Facsimile: (310) 201-9160 

By: /s/ Ira M. Press 

 Ira M. Press 

 Attorneys for Plaintiffs 

 

PURSUANT TO STIPULATION, IT IS SO ORDERED; but see Local Rule 79-5. 

Dated: 2/7/06 

 /s/ CLAUDIA WILKEN 

 

 HONORABLE CLAUDIA WILKEN 

 United States District Judge 

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EXHIBIT A 

ACKNOWLEDGMENT AND AGREEMENT TO BE BOUND BY ORDER 

I, _________________________________________________, [print or type full name], 

of _______________________________________________ [print or type full address], declare 

under penalty of perjury that I have read in its entirety and understand the Order Regarding 

Confidentiality that was issued by the United States District Court for the Northern District of 

California on _______ in the case of Zelman v. JDS Uniphase Corporation, No. C-02-4656 CW. 

I agree to comply with and to be bound by all the terms of this Order Regarding Confidentiality 

and I understand and acknowledge that failure to so comply could expose me to sanctions and 

punishment in the nature of contempt. I solemnly promise that I will not disclose in any manner 

any information or item that is subject to this Order Regarding Confidentiality to any person or 

entity except in strict compliance with the provisions of this Order. 

I further agree to submit to the jurisdiction of the United States District Court for the 

Northern District of California for the purpose of enforcing the terms of this Order Regarding 

Confidentiality, even if such enforcement proceedings occur after termination of this action. 

I hereby appoint _______________________________ [print or type full name] of 

________________________________________________________________ [print or type full 

address and telephone number] as my California agent for service of process in connection with 

this action or any proceedings related to enforcement of this Order Regarding Confidentiality. 

Date: ___________________ 

City and State where sworn and signed: ________________________________ 

Printed name: _______________________________ 

Signature: _______________________________ 

Case 4:02-cv-04656-CW Document 93 Filed 02/07/06 Page 15 of 16
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[PROPOSED] ORDER REGARDING CONFIDENTIALITY 

No. C-02-4656 CW 

sf-2048818

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I, Raymond M. Hasu, am the ECF User whose ID and password are being used to file this 

Stipulation and [Proposed] Order Regarding Confidentiality. In compliance with General Order 

45, X.B., I hereby attest that Ira Press, attorney for Plaintiffs, and Howard S. Caro, attorney for 

Defendant Kevin Kalkhoven, have concurred in this filing. 

Dated: February 3, 2006 MORRISON & FOERSTER LLP 

 By: _______/s/ Raymond M. Hasu__________

 Raymond M. Hasu 

 Attorneys for Defendants 

Case 4:02-cv-04656-CW Document 93 Filed 02/07/06 Page 16 of 16