Opinion
MDL 1446, Civil Action No. H-01-3913, (Consolidated); Civil Action No. H-03-2257, Consolidated with No. H-01-3913
November 24, 2003
PROTECTIVE ORDER REGARDING THE NORTHERN TRUST COMPANY'S CREDIT REQUEST MEMORANDUM DOCUMENTS AND CERTAIN POLICIES AND PROCEDURES DOCUMENTS
IT IS HEREBY ORDERED as follows:
1. This Order shall govern the use of Confidential Information, as defined in paragraph 2, in all proceedings conducted in the captioned case. Nothing in this Order shall prohibit the use of or reference to any information in Court or at trial.
2. "Confidential Information" shall mean: 1) all documents entitled "Credit Request Memorandum", prepared and maintained by The Northern Trust Company ("Northern Trust") ("Credit Request Memorandum documents"), 2) the document entitled "Northern Trust Corporation Policies" (the "Northern Trust Corporation Policies document"), and 3) the document entitled "Advanced Records Control Policy Procedures" (the "Advanced Records Control Policy Procedures document"). The Credit Request Memorandum documents contain proprietary evaluations and determinations of whether to participate in certain financial transactions. They also contain internal credit rankings, and summarize the method by which Northern Trust evaluates proposed loan transactions. The Northern Trust Corporation Policies Document contains a description of internal policies and procedures governing standards of conduct for employees. The Advanced Records Control Policy Procedures document contains a description of internal policies and procedures governing the storage of records. All of the above documents contain proprietary information and protected trade secrets. The documents subject to protection pursuant to this Order are Bates numbered as follows:
NT000000114 — 163/NT DOL 000114 — 163 NT000000164 — 171/NT DOL 000164 — 171 NT000000217 — 224/NT DOL 000217 — 214 NT000001551 — 1568/NT DOL001551 — 1568 NT000002248 — 2257/NT DOL 002248 — 2257 NT000003339 — 334I/NT DOL 003338 — 3340 NT000003347 — 3364/NT DOL 003346 — 3363 NT000003497 — 3510/NT DOL 003496 — 3509 NT000003543 — 3545/NT DOL 003542 — 3544 NT000003576 — 3593/NT DOL 003575 — 3592 NT000003620 — 3639/NT DOL 003619 — 3638 NT000009969 — 9986/NT DOL 009965 — 9982 NT000010046 — 10053/NT DOL 010042 — 10049 NT000015226 — 15232/NT DOL 027705 — 27711 NT000015243 — 15245/NT DOL 027722 — 27724 NT000016088 — 16099/NT DOL 024501 — 24512; NT DOL 028538 — 28549 NT000016138 — 16149 NT DOL 024539-24551; NT DOL 028588 — 28600 NT000016172 — 16183 NT DOL 024574 — 24585; NT DOL 028623 — 28634 NT000016277 — 16282/NT DOL 028728 — 28733 NT000017563 — 17580/NT DOL 030014 — 30031 NT000017607 — 17626/NT DOL 030058 — 30077 NT000017673 — 17693/NT DOL 030124 — 30144 NT000017898 — 17947/NT DOL 030346 — 030395 NT000017948 — 17955/NT DOL 030396 — 30403 NT000018001 — 18008/NT DOL 030449 — 30456 NT000018132 — 18134/NT DOL 030580 — 30582 NT000018310 — 18327/NT DOL 030758 — 30775 NT000018893 — 18910/NT DOL 031341 — 31358 NT000018961 — 18968/NT DOL 031409 — 31416 NT000019054 — 19067/NT DOL 031502 — 31515 NT000019100 — 19102/NT DOL 031548 — 31550 NT000019201 — 19211/NT DOL 031649 — 31659 NT000019251 — 19259/NT DOL 031699 — 31707 NT000019338 — 19347/NT DOL 031786 — 31795 NT000019369 — 19377/NT DOL 031817 — 31825 NT000019642 — 19647/NT DOL 032090 — 032095 NT000019674 — 19682/NT DOL 032122 — 32130 NT000019728 — 19736/NT DOL 032176 — 32184 NT000020923 — 20933/NT DOL 033354 — 33364 NT000020950 — 20967/NT DOL 033381 — 33398 NT000021003 — 21005/NT DOL 033434 — 33436 NT000021023 — 21040/NT DOL 033454 — 33471 NT000021064 — 21083/NT DOL 033495 — 33514 NT000021108 — 21118/NT DOL 033539 — 33549 NT000021136 — 21146/NT DOL 033567 — 33577 NT000021177 — 21190/NT DOL 033608 — 33621 NT000021224 — 21233/NT DOL 033655 — 33664 NT000021255/NT DOL 024911; NT DOL 033686 NT000021257 — 21268/NT DOL 024913 — 24924; NT DOL 033688 — 33699 NT000021287 — 21297/NT DOL 033718 — 33728 NT000021335 — 21342/NT DOL 033766 — 33773 NT000021402 — 21409/NT DOL 033833 — 33840 NT000021457 — 21459/NT DOL 033888 — 33890 NT000022325 — 22335/NT DOL 034689 — 34699 "Confidential Information" shall also include deposition testimony regarding Confidential Information that is designated as confidential in accordance with paragraph 3.
3. Northern Trust may designate any deposition testimony regarding Confidential Information as confidential by either or both of the following means:
a. designating orally on the record of a deposition the portions of the deposition that are Confidential; or
b. sending written notice to all counsel of record within thirty (30) days of receipt of the deposition transcript designating the portions of the deposition transcript that are Confidential.
4. Confidential Information and any summaries, copies, abstracts, or other documents that contain or are derived in whole or in part from Confidential Information shall be used only for the purpose of the prosecution, defense, settlement, or appeal of the captioned case and for no other purpose. Furthermore, no person, firm, corporation or other entity subject to this Order shall give, show, disclose, make available, or communicate Confidential Information to any person, firm, corporation or other entity not expressly authorized by this Order to receive such Confidential Information.
5. In order to safeguard to the extent practicable all Confidential Information, all such Confidential Information shall be afforded the following protection by every party:
a. Access to Confidential Information shall be limited to:
(1) the litigation counsel of record for the parties in the captioned case and the employees of such litigation counsel;
(2) expert witnesses, or consultants of the parties as may be necessary to provide assistance in this action;
(3) the Court and any employee of the Court;
(4) any person scheduled to appear as a witness at trial or at a deposition when disclosure is reasonably necessary in connection with said appearance; and
(5) any other person to whom the parties agree in writing.
b. Any person who is permitted access to Confidential Information pursuant to this subparagraph shall be bound by the terms of this Confidentiality Order. Any such person, other than the Court, any employee of the Court, counsel of record, and their employees, shall first execute a Confidentiality Agreement in the form attached hereto as Exhibit A.
c. Counsel subject to the Confidentiality Order shall take all steps reasonably necessary to advise any person to whom Confidential Information is disclosed, or by whom it may be used, of the terms of the Order and to ensure that persons required to execute the Confidentiality Agreement in the form attached hereto as Exhibit A, in accordance with subparagraph b above, do so. Counsel shall be responsible for maintaining copies of all acknowledgments signed by persons receiving Confidential Information. Such acknowledgments shall be available for inspection by counsel for all patties after the final termination of the captioned case.
d. Litigation counsel and the other persons allowed access to Confidential Information pursuant to paragraph 5 shall not in any manner, directly or indirectly, transfer or otherwise disclose any such Confidential Information to any person not authorized by paragraph 5 to receive it,
e. All documents containing Confidential Information shall be retained in the custody of the litigation counsel and their employees and, to the extent filed, by the Court and its employees during the pendency of the litigation, except that such Confidential Information may be entrusted to any other person described in paragraph 5.
f. Following a period of thirty (30) days after completion of the litigation (including all appeals), the litigation counsel and their employees who have custody of documents containing Confidential Information, upon request of Northern Trust, shall return to Northern Trust all such documents, or certify in writing that such documents have been destroyed, except that counsel may retain documents reflecting any work product, copies of Court filings and official transcripts and exhibits, provided said retained documents and the Confidential Information contained therein will continue to be treated as provided in this Order.
6. If counsel for any party to the captioned case decides to file with or submit to the Court any documents or papers containing or constituting Confidential Information, such documents or papers shall plainly state on the first page of any bound or stapled set, "CONFIDENTIAL — FILED UNDER SEAL," and shall be filed only in sealed envelopes on which shall be endorsed the caption of this action, and a statement substantially in the following form:
CONFIDENTIAL
This envelope contains documents that are subject to an Order Governing Confidential Material entered by the Court in this action. The contents of this envelope shall not be revealed except to the Court and employees of the Court except by order of the Court.
7. Nothing herein shall restrict use or disclosure of Confidential Information by Northern Trust.
8. The proprietary nature of the Confidential Information makes any breach of this Order unable to be remedied solely by damages. Therefore, if there is a breach or threatened breach of this Order, the parties hereto acknowledge that the non-breaching party shall be entitled to a temporary restraining order and/or injunction; however, this shall not be construed as prohibiting the non-breaching party from pursuing any other remedies for any breach or threatened breach.
EXHIBIT A FOR THE SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION
PAMELA M. TITLE, on behalf of ) herself and a class of persons ) similarly situated, et al., ) ) Plaintiffs, ) ) v. ) Civil Action No. H-01-3913) (Consolidated) ENRORN CORP., an Oregon ) Corporation, et al., ) ) Defendants. )CONFIDENTIALITY AGREEMENT
I, ___________________________, hereby declare and acknowledge that I have read the Protective Order Regarding The Northern Trust Company's Credit Request Memorandum Documents and Certain Policies and Procedures Documents (the "Order") entered by the Court in the captioned proceeding. I agree to comply with and be bound by all of the terms of the Order, and to treat as confidential all materials protected thereby. I acknowledge that my failure to comply with the terms of this Order may be regarded as a contempt of court, and I agree to submit to the jurisdiction of the Southern District of Texas, for purposes of enforcement of this Order.
Dated:_________________
_______________________ [signature]