Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-azd-2_12-cv-00790/USCOURTS-azd-2_12-cv-00790-3/pdf.json

Nature of Suit Code: 555
Nature of Suit: Prisoner - Prison Condition
Cause of Action: 42:1983 Prisoner Civil Rights

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 Federal Rule of Civil Procedure 5.2(d) provides that a district “[c]ourt may order

that a filing be made under seal without redaction. The court may later unseal the filing or

order the person who made the filing to file a redacted version for the public record.” While

this Rule plainly gives a district court discretion to seal or redact filed documents, how that

discretion is exercised depends on the reasons for sealing or redaction, when the request is

made, and whether the appropriate legal standard is met. 

WO

IN THE UNITED STATES DISTRICT COURT

FOR THE DISTRICT OF ARIZONA

Bruce Gamble, 

Plaintiff, 

vs.

Joe Arpaio, et al., 

Defendants. 

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No. CV-12-790-PHX-GMS (LOA)

ORDER

This case arises on Defendant Joe Arpaio’s (“Sheriff Arpaio”) Motion for Order

Authorizing Defendant Sheriff Arpaio to file Motion to Dismiss under Seal and Motion to

Enforce Release and Motion to Dismiss with Prejudice, lodged under seal on January 7,

2013. (Docs. 30-31) Relying on Federal Rule of Civil Procedure 5.2(d)1

 and civil Local

Rule (“LRCiv”) 5.6(b), Sheriff Arpaio requests the Court seal his dispositive motion and

attached copy of a settlement agreement executed by the parties when they settled a prior

lawsuit which, according to Sheriff Arpaio, bars Plaintiff from bringing this action. (Doc.

Case 2:12-cv-00790-GMS Document 32 Filed 01/11/13 Page 1 of 9
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30) Sheriff Arpaio contends that because the prior “settlement agreement expressly provides

that the parties to the agreement shall maintain the confidentiality of the terms of the

agreement[,]” good cause exists to seal his dispositive motion. (Id.) Because no compelling

reason is proffered to seal Sheriff Arpaio’s dispositive motion and the prior settlement

agreement, the Court will deny the motion to seal his dispositive motion and attached

settlement agreement.

I. Background

After filing his original complaint on April 13, 2012 and thereafter amending that

complaint, pro se Plaintiff, an inmate in the Arizona Department of Corrections, filed a Third

Amended Complaint on October 9, 2012, alleging his First Amendment rights were violated

by Sheriff Arpaio’s Maricopa County Jail mail policy which restricted Plaintiff’s receipt to

only postcards from outside senders. (Doc. 21) Plaintiff claims Sheriff Arpaio’s mail policy

damaged his business while he was incarcerated in the Maricopa County Jail because he

could not receive bank statements and other documents relevant to the production of his CD,

“Dream after Dream.” (Id. at 3) Though two other counts were dismissed for failure to state

a claim, Count I survived the 28 U.S.C. § 1915A(a) mandatory screening and this § 1983

civil rights action was allowed to proceed. (Doc. 22) 

On December 10, 2012, the Court denied as premature Plaintiff’s Motion for

Disposition of Case because Sheriff Arpaio had until January 7, 2013 in which to file his

answer or other responsive pleading as authorized by Rule 12, Fed.R.Civ.P. (Doc. 29) 

Federal Rule of Civil Procedure 8(c)(1) requires Sheriff Arpaio to affirmatively state any

avoidance or affirmative defense, like release, res judicata, and, perhaps, claim or issue

preclusion, in his first responsive pleading. Rule 8(c)(1), Fed.R.Civ.P., enumerates eighteen

affirmative defenses, including release and res judicata. See Santiago v. Amdocs, Inc., 2011

WL 6372348, at *4 (N.D. Cal. Dec. 19, 2011); Lattanzio v. Ackerman, 682 F.Supp.2d 781

(E.D. Ky. Feb. 1, 2010); In re Chase, 392 B.R. 72, 79-80 (Bankr. S.D.N.Y. Aug. 18, 2008)

(“[R]es judicata is a judicial doctrine encompassing two different principles, commonly

referred to as claim preclusion and issue preclusion.”) (citation omitted). Rather than file an

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answer, Sheriff Arpaio elected to lodge timely motions to seal and dismiss, claiming

Plaintiff’s lawsuit is barred by the parties’ 2008 Receipt, Release and Indemnity Agreement.

(Doc. 31-1 at 6-7, Exhibit (“Exh.”) A)

Sheriff Arpaio’s Motion to Enforce Release and Motion to Dismiss with Prejudice

alleges that “[b]y operation of the Release, Plaintiff contracted that Sheriff Arpaio is

‘release[d] and forever discharge[d]’ from that claim, including ‘any and all liability’ arising

out of the implementation of the [Jail] postcard policy and ‘any and all future injuries, death

and/or damages arising out of the [MCSO postcard policy], including those not now known

to any of the parties hereto, but which may later develop or be discovered, and including but

not limited to the effects or consequences thereof, and including all causes of action, claim

or right thereof.’” (Doc. 31 at 5) (citing Exh. A at 1, ¶ 3). He seeks dismissal with prejudice

of this action because “[t]he Release forever barred [Plaintiff’s] claims relating to the matter

settled, that is, Sheriff Arpaio’s alleged First Amendment violations arising out of the MCSO

postcard policy.” (Id. at 5) 

Though he cites only Arizona substantive law, Sheriff Arpaio’s dismissal motion does

not address whether Arizona or federal substantive law controls the settlement issue raised

in his dismissal motion. See, e.g.,Petro-Ventures, Inc. v. Takessian, 967 F.2d 1337, 1340 (9th

Cir. 1992) (“[F]ederal law always governs the validity of releases of federal causes of

action.”). Assuming without deciding that Arizona law controls Sheriff Arpaio’s dismissal

motion, upon the execution of a release and settlement agreement, Arizona law bars

subsequent litigation between the same parties if the parties “unequivocally expressed their

intention” to bar all claims which the parties reasonably contemplated and intended to

dispose of at the time of the settlement agreement, “even if the claims were unknown at the

time of the settlement.” See BFD Invs. v. Barnyard Heritage, 2012 WL 3945318 (Az. Ct.

App. Sept. 11, 2012) (citing Dansby v. Buck, 92 Ariz. 1, 7, 373 P.2d 1, 5 (Ariz. 1962); see

also Cumis Ins. Soc., Inc. v. Merrick Bank Corp, 680 F.Supp.2d 1077, 1094-95 (D. Ariz.

2010); Invitrogen Corp. v. Employers Ins. Co. of Wausau, 2007 WL 841413, at *6-7 (D.

Ariz. March 16, 2007); Jackson v. ABC Nissan, Inc., 2007 WL 2701982 (D. Ariz. Sept. 13,

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 Generally, the categories of documents “traditionally kept secret” are more

frequently found in criminal cases or criminal investigations, such as, grand jury transcripts

and warrants in pre-indictment investigations. Kamakana, 447 F.3d at 1178; see also In re

Copley Press, Inc., 518 F.3d 1022 (9th Cir. 2008) and Oregonian Pub. Co. v. U.S. Dist.

Court for Dist. of Oregon, 920 F.2d 1462, 1463 (9th Cir. 1990) (sealing plea agreement and

transcript of guilty plea colloquy ); Phoenix Newspapers, Inc. v. U.S. Dist. Court for Dist.

of Arizona, 156 F.3d 940, 943–44 (9th Cir. 1998) (closure of hearing and sealing transcripts

conducted during jury deliberations concerning threats to jurors);Times Mirror Co. v. United

States, 873 F.2d 1210, 1211 (9th Cir. 1989) (sealing of search warrants, supporting affidavits,

and inventories); United States v. Loughner, 807 F.Supp.2d 828, 835 (D. Ariz. 2011) (“If

there is no presumptive right of access to the investigation materials, other than under a state

law that has no force in this federal proceeding, then the analysis needn’t go much further.”).

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2007); Mardan Corp. v. C.G.C. Music, Ltd., 600 F.Supp. 1049, 1056 (D. Ariz. 1984) (“[T]he

Settlement Agreement and Release are effective to bar all claims which the parties

reasonably contemplated and intended to dispose of at the time of the Settlement Agreement

and Release were executed.”) (citation omitted). “Construction and enforcement of

settlement agreements, including determinations as to the validity and scope of release terms,

are governed by general contract principles.” Emmons v. Superior Court, 192 Ariz. 509, 512,

968 P.2d 582, 585 (Az. Ct. App. 1998). Courts attempt to enforce a contract according to the

parties’ intent. Taylor v. State Farm Mut. Auto. Ins. Co., 175 Ariz. 148, 152, 854 P.2d 1134,

1138 (Ariz. 1993). 

II. Sealing Dispositive Motions and Exhibits 

Historically, “[c]ourts of this country recognize a general right to inspect and copy

public records and documents, including judicial records and documents.” Nixon v. Warner

Communications, Inc., 435 U.S. 589, 597 (1978) (footnotes and citations omitted). “Unless

a particular court record is one traditionally kept secret, courts generally apply a strong

presumption in favor of access.”2 Kamakana v. City & Cnty. of Honolulu, 447 F.3d 1172,

1178 (9th Cir. 2006) (quoting Foltz v. State Farm Mut. Auto. Ins. Co., 331 F.3d 1122, 1135

(9th Cir. 2003) (internal quotation marks omitted). Even “[t]he fruits of pre-trial discovery

are, in the absence of a court order to the contrary, presumptively public.” Phillips v.

General Motors Corp., 307 F.3d 1206, 1210 (9th Cir. 2002). “Rule 26(c) authorizes a district

court to override this presumption where ‘good cause’ is shown.” Id. Whether good cause

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exists to protect information from being disclosed to the public requires the district court to

balance the needs for discovery against the need for confidentiality. Id. at 1213. 

Under Rule 26(c), Fed.R.Civ.P., district courts have “broad latitude to grant protective

orders to prevent disclosure of materials for many types of information, including, but not

limited to, trade secrets or other confidential research, development, or commercial

information. Id. at 1211 (citation omitted); see also deBarros v. Walmart Stores, Inc., 857

F.Supp.2d 1109 (D. Or. 2012). “[C]ourts have consistently granted protective orders that

prevent disclosure of many types of information, such as letters protected under

attorney-client privilege which revealed the weaknesses in a party’s position and was

inadvertently sent to the opposing side, . . . medical and psychiatric records confidential

under state law . . . [and] to protect confidential settlement agreements.” Phillips, 307 F.3d

at 1212 (citing, inter alia, Kalinauskas v. Wong, 151 F.R.D. 363, 365–67 (D. Nev. 1993)).

Some district courts have sealed confidential settlement agreements because they “[b]enefit

society and the parties involved by resolving disputes relatively quickly, with slight judicial

intervention, and presumably result in greater satisfaction to the parties. Sound judicial

policy fosters and protects this form of alternative dispute resolution . . .The secrecy of a

settlement agreement and the contractual rights of the parties thereunder deserve court

protection.” Kalinauskas, 151 F.R.D. at 365; see also Prosurance Group, Inc. v. Liberty Mut.

Group, Inc., 2011 WL 704456 (N.D. Cal. Feb. 18, 2011); Daniels v. Bursey, 2006 WL

468015, at *4 (N.D. Ill. Feb. 23, 2006) (strong public policy favoring settlement of claims

was “good cause” to issue protective order for a confidential settlement agreement); but see

El Paso Natural Gas Co. v. Southwest Forest Products, Inc., 2008 WL 4808892 (D. Ariz.

Oct. 28, 2008) (denying parties’ joint request to seal confidential settlement agreement for

“fail[ing] to articulate how the parties’ need for confidentiality of the settlement agreement

overcomes the strong presumption of public access to the parties' agreement.”). 

When a dispute arises, however, on a claim a party breached a confidential settlement

agreement, district courts have authorized the filing of the complaint and motion for

preliminary injunction under seal pursuant to Rule 26(c)’s good cause standard until required

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by law to unseal them. See, e.g., United Rentals, Inc. v. Ahern Rentals, Inc., 2012 WL

5418355 (D. Nev. Nov. 2, 2012); Rushford v. New Yorker Magazine, Inc., 846 F.2d 249, 252

(4th Cir. 1988) (“Once the [sealed discovery] documents are made part of a dispositive

motion, such as a summary judgment motion, they lose their status of being raw fruits of

discovery.” (emphasis added, citation and internal quotation marks omitted), cited with

approval in Phillips, 307 F.3d at 1213).

The Ninth Circuit distinguishes between motions to seal documents attached to

dispositive versus non-dispositive motions. In the context of civil litigation, like the case sub

judice, where a party seeks to file under seal documents attached to a non-dispositive motion,

a showing of “good cause” under Rule 26(c), Fed.R.Civ.P., may outweigh the public’s

interest in access, as “the public has less of a need for access to court records attached only

to non-dispositive motions because those documents are often unrelated, or only tangentially

related, to the underlying cause of action.” Apple, Inc. v. Samsung Elecs. Co., Ltd., 2012 WL

2936432, at *1 (N.D. Cal. July 18, 2012) (quoting Kamakana, 447 F.3d at 1179) (internal

quotation marks omitted). 

“By contrast, where a party seeks to file under seal documents attached to a

dispositive motion, the strong presumption of public access can be overcome only by an

articulat[ion of] compelling reasons supported by specific factual findings, and the Court

must conscientiously balance the competing interests’ of the public and the party who seeks

to keep certain judicial records secret. Apple, Inc., 2012 WL 2936432, at *1 (quoting

Kamakana, 447 F.3d at 1178-79) (internal quotation marks omitted). “A good cause showing

will not, without more, satisfy a compelling reasons’ test.” Id. (citation omitted); see also

Pintos v. Pac. Creditors Ass’n, 565 F.3d 1106, 1115 (9th Cir. 2009). As part of this

distinction, the Ninth Circuit has noted that “private materials unearthed during discovery

are not part of the judicial record.” Pintos, 504 F.3d at 801 (quoting Kamakana, 447 F.3d

at 1180). Thus, Rule 26(c)’s good cause standard applies to such documents. Id.

The District Court of Arizona has recognized that a settlement agreement in an action

alleging a violation Fair Labor Standards Act which contained “confidential, personal

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information of the parties” was “an insufficient interest to overcome the presumption that

an approved FLSA settlement agreement is a judicial record, open to the public.” In re

Sepracor Inc. Fair Labor Standards Act (FLSA) Litigation, 2009 WL 3253947, at *1 (D.

Ariz. Oct. 8, 2009) (noting “[s]ealing [FLSA] settlement agreement from public scrutiny

would thwart the public’s independent interest in assuring that employee’s wages are fair and

thus do not endanger the national health and well-being.”) (internal quotation marks and

citations omitted). Of course, the compelling-reasons standard applies to other civil actions

as well. See Idaho Bus. Holdings, LLC v. City of Tempe, 2007 WL 2390889, at *2 (D. Ariz.

Aug. 22, 2007) (denying joint motion to seal settlement agreement in an action challenging

the validity of certain Arizona statutes for failure to meet Kamakana’s compelling reasons

standard).

“It is uncontested, however, that the right to inspect and copy judicial records is not

absolute. Every court has supervisory power over its own records and files, and access has

been denied where court files might have become a vehicle for improper purposes.” Nixon,

435 U.S. at 598. The Ninth Circuit has explained that “compelling reasons” that justify

sealing court records generally exist when “the use of records to gratify private spite,

promote public scandal, circulate libelous statements, or release trade secrets.” Kamakana,

447 F.3d at 1179 (citation and internal quotation marks omitted). “The mere fact that the

production of records may lead to a litigant’s embarrassment, incrimination, or exposure to

further litigation will not, without more, compel the court to seal its records.” Id. (citing

Foltz, 331 F.3d at 1136).

III. Dispositive Motions

“Motions to dismiss are typically treated as dispositive.” BT Collective v. IP

Holdings, LLC, 2011 WL 5873388, at *3 (S.D. Cal. Nov. 23, 2011) (citing In re PPA

Products Liability Litigation, 460 F.3d 1217, 1231 (9th Cir. 2006) (In MDL litigation,

transferee judge is authorized to “exercise the powers of a district judge in any district . . .

including dispositive motions such as motions to dismiss, motions for summary judgment,

. . . .”) (emphasis added); see also Brock v. Skolnik, 2011 WL 6026298, at *4 (D. Nev. Dec.

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3

 See Daubert v. Merrell Dow Pharm., Inc., 509 U.S. 579 (1993).

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2, 2011) (“The court finds that defendants’ motion to dismiss, being at least potentially

dispositive, is governed by the “compelling reasons” standard.”). Even a Daubert3

 motion

when connected to a pending summary judgment motion may be effectively dispositive,

requiring a compelling-reasons analysis prior to sealing such records. In re Midland Nat. Life

Ins. Co. Annuity Sales Practices Litig., 686 F.3d 1115, 1119-20 (9th Cir. 2012) (district court

order that expert’s report and related records be sealed until court determined whether the

report was admissible was reversed for not identifying compelling reasons to temporarily

seal the records). Requesting the dismissal of this action with prejudice, as the title to his

motion requests, Sheriff Arpaio’s motion is clearly dispositive, elevating the sealing standard

to a showing of compelling reasons. 

IV. Discussion

Sheriff Arpaio’s motion to seal does not discuss, much less establish, the compelling

reasons standard required by the Ninth Circuit to seal his dispositive motion. Here, neither

party is requesting the settlement agreement be sealed as an exhibit to a complaint or answer

nor is it a “private material[] unearthed during discovery.” Pintos, 504 F.3d at 801. Rather,

it is a document voluntarily entered into to settle prior litigation between the parties, which

is directly relevant to Sheriff Arpaio’s release defense in this action. Because the parties’

prior settlement agreement required them to maintain the confidentiality of the terms of their

agreement is not a compelling reason to seal the settlement agreement upon the filing of a

dispositive motion. “[T]he [mere] fact that the parties’ agreement contains a confidentiality

provision is an insufficient interest to overcome the presumption that a [court] approved . .

. settlement agreement is a judicial record, open to the public.” M.P. ex rel. Provins v. Lowe's

Cos., Inc., 2012 WL 1574801, at *2 (E.D. Cal. May 3, 2012) (citation omitted).

V. Leave to Withdraw or File Motion to Dismiss with Prejudice

Sheriff Arpaio has the option of withdrawing the Motion to Enforce Release and

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Motion to Dismiss with Prejudice or moving forward with it as part of a public record. If

Sheriff Arpaio wishes to withdraw the Motion to Enforce Release and Motion to Dismiss

with Prejudice and proceed by answer or other motion, he must file a notice to that effect on

or before Friday, January 18, 2013. If Sheriff Arpaio decides to proceed with the Motion to

Enforce Release and Motion to Dismiss with Prejudice, he must file an unsealed Motion to

Enforce Release and Motion to Dismiss with Prejudice on or before Friday, January 18,

2013. The Court will stay sua sponte Sheriff Arpaio’s deadline to file an answer or otherwise

respond to Plaintiff’s Third Amended Complaint to Friday, January 18, 2013.

VI. Conclusion

As a dispositive motion predicated upon an attached exhibit, “[t]he presumption in

favor of access applies and [Sheriff Arpaio] must offer compelling reasons for sealing the

[dispositive motion and attached exhibit].” BT Collective, 2011 WL 5873388, at *3 (citing

Kamakana, 447 F.3d at 1179). He has failed to do so.

Based on the foregoing,

IT IS ORDERED that Defendant Joe Arpaio’s Motion for Order Authorizing

Defendant Sheriff Arpaio to file Motion to Dismiss under Seal, doc. 30, is DENIED.

IT IS FURTHER ORDERED that Defendant Joe Arpaio’s deadline to file an

answer or otherwise respond to Plaintiff’s Third Amended Complaint is STAYED to, and

including, Friday, January 18, 2013.

IT IS FURTHER ORDERED that the Clerk of Court is kindly directed to deliver

a copy of this Order to Plaintiff.

DATED this 10th day of January, 2013.

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