Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_02-cv-01486/USCOURTS-cand-4_02-cv-01486-4/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 Page s]

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

OAKLAND DIVISION

In re JDS UNIPHASE CORPORATION 

SECURITIES LITIGATION

This Document Relates To:

ALL ACTIONS

No. C-02-1486 CW (EDL)

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. ”

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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.

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 protectionat 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 

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of confidentiality is owed. This Order shall 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 Materia l 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 explain the basis for the chosen designation. A challenging party 

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may proceed to the next stage of the challenge process only if it has engaged in this meet-andconfer 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.

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

information.

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 

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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.

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 

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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.

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, 

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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. 

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: September 19, 2005

MELVIN R. GOLDMAN 

JORDAN ETH 

TERRI GARLAND 

PHILIP T. BESIROF

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: September 19, 2005

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: September 16, 2005

JOSEPH T. TABACCO, JR. 

CHRISTOPHER T. HEFFELFINGER

MICHAEL W. STOCKER

BERMAN DeVALERIO PEASE

 TABACCO BURT & PUCILLO 

425 California Street 

San Francisco, CA 94104-2205 

Telephone: (415) 433-3200 

Facsimile: (415) 433-6382 

BARBARA J. HART 

JONATHAN M. PLASSE

ANTHONY J. HARWOOD

LISA BUCKSER-SCHULZ 

JON ADAMS

GOODKIND LABATON RUDOFF 

 & SUCHAROW LLP

100 Park Avenue 

New York, NY 10017-5563 

Telephone: (212) 907-0700 

Facsimile: (212) 818-0477

By: /s/ Anthony J. Harwood

Anthony J. Harwood

Counsel for Lead Plaintiff

Connecticut Retirement Plans

and Trust Funds 

PURSUANT TO STIPULATION, IT IS SO ORDERED. 

Dated: 9/21/05 /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 ofIn re JDS Uniphase Corporation 

Securities Litigation, No. C-02-1486 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-01486-CW Document 348 Filed 09/21/05 Page 15 of 15