UNITED STATES DISTRICT COURT FOR
THE DISTRICT OF KANSAS
UNITED STATES OF AMERICA,
Plaintiff,
v.
AMR CORPORATION, AMERICAN AIRLINES, INC. and AMR EAGLE HOLDING CORPORATION,
Defendants.
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Case No. 99-1180-JTM
Stamp: FILED U.S. DISTRICT COURT DISTRICT OF KANSAS Sep 14 10 47 AK '99 (Unreadable) BY /s/ DEPUTY
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STIPULATED PROTECTIVE ORDER
GOVERNING CONFIDENTIAL
INFORMATION
In the interest of ensuring that confidential commercial information
submitted pursuant to discovery in this action is not improperly disclosed, the
parties, by and through their counsel in this action stipulate, pursuant to Fed. R.
Crv. P. 26(c)(7), subject to approval and entry by the Court, to the following
Stipulated Protective Order ("Order") relating to confidential material:
DEFINITIONS
- As used in this Order, the
following words shall have the following meanings:
- "Court" means the United States District Court for the District of Kansas;
- "defendants" means AMR Corporation, American Airlines, Inc. and/or AMR
Eagle Holding Corporation, and any wholly-owned direct or indirect subsidiary
of
AMR Corporation;
- "disclosed" is used in its broadest sense and includes, inter alia, shown,
divulged,
revealed, produced, described or transmitted, in whole or in part;
- "discovery" is given the same meaning as ascribed to it in the Federal
Rules of
Civil Procedure;
- "Designated Material" means any material designated as "Level One" or
"Level
Two" as defined below;
- "Level One" means any materials which the producing party or non-party
reasonably believes (i) is not to be in the public domain and (ii) contains any
trade
secret or other confidential research, development, or commercial information
as
such terms are used in Fed. R. Civ. P. 26(c)(7);
- "Level Two" means any materials which the producing party or non-party
reasonably believes to be so competitively sensitive that its disclosure to
business
competitors would materially affect the business, commercial or financial
interests of the producing party or non-party;
- "materials" means any documents, answers to interrogatories, responses
to requests for admission, deposition testimony, deposition transcripts
and exhibits, other responses to requests for information and/or other
written information, whether produced voluntarily or involuntarily, either
in the course of any precomplaint investigation by the plaintiff or in
response to discovery requests in this action by any party or non-party;
- "non-party" means any natural person, partnership, corporation,
association or other legal entity not named in the action captioned above
and pending in this Court;
- "outside counsel" means the counsel of record in this action and their law
firms as well as (1) other attorneys or consultants employed or retained by
such law firms,
or (2) any attorney subsequently retained or designated by the
defendants to
appear in this action, provided that any attorney or consultant covered
under
subparagraphs j(l) or (2) is not involved in the day-to-day business
operations of
the defendants;
- "party" or "parties" means the plaintiff or one or more
of the defendants in this
action;
- "plaintiff' means the United States, its branches, departments
and agencies, and
any person acting on its behalf, including, without limitation, officials,
employees, consultants, attorneys or agents;
- "protected person" means
any party or non-party that furnishes or has furnished
any information or material to any party that is sought in discovery in
this action;
and
- "this action" means the civil action captioned above and pending
in this Court.
GENERAL PROVISIONS
- The parties or any protected person, in complying with discovery requests
served upon them pursuant to the Federal Rules of Civil Procedure, or with informal
discovery requests, may denominate any material submitted in response to such
discovery requests as Designated Material. Such denomination shall constitute a
representation to the Court that counsel believes in good faith that the materials
constitute Designated Material.
- Any defendant or any protected person may denominate as Designated
Material any
material or portion of any material that it submitted to the United States
Department
of Justice in connection with any Department of Justice investigation that
covered the
subject areas included in the pleadings filed in this action (the "DOJ
investigations"),
including, but not limited to, any document, interrogatory response,
transcript or recording. Such denomination shall constitute a
representation to the Court that counsel believes in good faith that the
materials constitute Designated Material.
- Simultaneous with entry of this Order, the Department of Justice shall
provide notice
and a copy of this Order to all non-parties who provided materials to the
Department
of Justice that is sought in discovery in this action, and shall call their particular
attention to this paragraph. The non-party who produced that material shall have
21 days from the notice of entry of this Order to make appropriate
confidentiality designations consistent with the terms of this Order, and in the
meantime, the parties shall treat all such materials as Level Two (as that term
is defined in Paragraph l(g) of this Order). The plaintiff will produce to the
defendants all materials provided to it by any non-party in connection with
the DOJ investigations, that are responsive to a valid discovery request,
within 9 days after receiving the designations of confidentiality from the
non-party, so that discovery in this action can proceed without unnecessary
delay. If no designation is made by the non-party within the 21 day period,
the materials produced pursuant to this paragraph shall thereafter be treated
as Level One (as that term is defined in Paragraph l(f) of this Order). If, within
21 days after the entry of this Order, a non-party who provided materials to
the Department of Justice files a motion for a protective order objecting to the
produaion of its documents pursuant to this paragraph, the plaintiff shall not
produce those documents until the Court has ruled on the pending motion.
- The parties, or non-parties, and their attorneys shall make a good faith effort
to
designate materials so as to provide the greatest level of disclosure possible, but
still
preserve confidentiality as appropriate. Thus, the presumption shall be
that Designated Material is to be denominated Level One, unless
otherwise indicated.
- Only that portion of a document or other tangible Designated Material
constituting
protected information shall be denominated as such in accordance with the terms
set
forth above. Either party may request from a protected person a redacted copy of
specifically identified Designated Material containing both protected and
unproteaed
information.
- A party or protected person denominating material as Designated Material that
is in a
form other than a document shall specify in writing the information that is
Designated
Material at the time that such information is supplied.
- A party or protected person denominating a document as Designated Material
pursuant to the terms of this Order shall affix a legend to each page of the
document
containing such material. The legend shall read "US v. AMR, et al. - Protective
Order Material - Level [One or Two]." The legend shall not interfere with the
legibility of any such document.
- If a party obtains documents that are properly in the public domain -- or from
a source
other than the party or non-party, including its consultants, agents, attorneys,
employees or principals, who denominated it as Designated Material -- those
documents are not protected by this Order, regardless of whether such
information is
also contained in Designated Material pursuant to this Order.
- Nothing in this Order shall prevent disclosure of Designated Material with the
consent of counsel for the designating party or protected person.
- The parties shall serve a copy of this Order simultaneously with any discovery
request made to a non-party.
- All persons who obtained access to Designated Material by reason of its
production in
connection with this action shall use such Designated Material only for
preparation
and trial of this action, including any appeal and retrial, and shall not use such
Designated Material for any other purpose, including the furtherance of that
person's
business interests or in any administrative or judicial proceeding; provided,
however,
that the Department of Justice, subject to taking appropriate steps to preserve the
confidentiality of such material, may (i) disclose Designated Material provided in
connection with this action to employees of the Executive Branch outside the
Department of Justice for valid law enforcement purposes, and (ii) use such
information for any valid law enforcement purpose pursuant to 15 U.S.C § 1313.
Unless otherwise prohibited by federaJ law or regulation, and absent a clear
showing
of exigent circumstances concerning matters of health or safety, the plaintiff will
provide ten days written notice to the party or protected person who provided
the
Designated Material of its intent to disclose the Designated Material pursuant to
this
paragraph. In the event that the plaintiff provides such notice pursuant to this
paragraph, the party who provided the Designated Material may apply to the
Court
for an order precluding the dissemination of the Designated Materials.
DISCLOSURE OF DESIGNATED MATERIAL
- Designated Material denominated as Level Two pursuant to this Order may
be
disclosed to only:
- the Court and all persons assisting the Court in this action, in the
manner set forth in Paragraph 20 below, court reporters taking
testimony involving
such information, and necessary stenographic and clerical
personnel thereof,
- Department of Justice attorneys, employees, and agents in
connection with
this action;
- outside counsel working as an attorney for any defendant in
connection
with this action and the employees of such outside'counsel, provided
that
they are not presently, and have no present plans to become,
employees of
any defendant,
- persons retained to assist counsel for any party for the purpose of
this
action, including consultants, experts, litigation support services,
outside
copying services and principals and employees of the firm with which
consultants or experts are associated, provided that such persons and
their
employees are not presently, and have no present plans to become
employees of any defendant;
- employees of, or counsel for, the party or protected person that
designated
such materials as Level Two;
- authors, addressees, or copyees of documents designated as Level
Two;
- any person who may testify as a witness, either at a
deposition or court
proceeding in this action, and for the purpose of assisting in the
preparation or examination of the witness, subject to the terms of
Paragraphs 16 and 17; and
- any person with prior knowledge of
the Level Two information, including
any person who was, or whom counsel for any party in good faith
believes
to have been, a participant in a communication or other act and
from whom verification of that communication or other act is
sought, subject to the terms of Paragraph 17.
- Designated Material denominated as Level One pursuant to this Order
may be
disclosed only to:
- all categoriesof persons identified in Paragraphs 13(a) through (d),
- all categories of persons identified in Paragraph 13(e), (f) and (h)
but as
they would pertain to Level One, as opposed to Level Two,
Designated
Material; and
- the general counsel, and in-house counsel who are working on this
action,
for each of the defendants, their secretaries, paralegals, and/or any
other
administrative personnel with document handling responsibilities
who are
assisting in this action.
- On motion, and upon a showing of the receiving party that counsel's decision
making
ability is extraordinarily limited without the defendant's employees reviewing
the
specifically identified Designated Material, the Court may order that up to five
specifically identified employees of the defendants may have access to the
specifically identified Designated Materials. In the case of material provided by
a
non-party, the defendants shall provide sufficient notice to the non-party that
the
matter has been referred to the Court to allow the non-party to oppose the
motion.
- Counsel for any party may disclose Designated Material to any witness or
potential
witness provided counsel has obtained consent of counsel for the party or
non-party
who produced that Designated Material, except that consent need not be
obtained if
(i) the person is an author or recipient of the Designated Material, or (ii) the
person is a former employee of the designating party or protected person and
is known to have prior knowledge of the substance of the specific Designated
Material to be disclosed.
- Each person to whom Designated Material is disclosed pursuant to
Paragraphs 13(d),
(g) or (h) of this Order, other than employees of the party or protected person
denominating the material as Designated Material, shall execute an
Acknowledgment
in the form attached hereto as Exhibit A and shall agree to be bound by this
Order.
The original of such executed Acknowledgment shall be retained by the counsel
disclosing Designated Material to such persons for a period of one year
following the
final resolution of this action.
- In the event that the plaintiff, consistent with Paragraph 12, discloses any
Designated
Material to any employee of the Executive Branch outside the Department of
Justice,
(i) the person to whom the Designated Material is disclosed shall execute an
Acknowledgment in the form attached hereto as Exhibit A and shall agree to be
bound by this Order, and (ii) the Acknowledgement shall be provided to the
party or
protected person who denominated the material as Designated Material within
5 days
from the date the Acknowledgement is executed. Moreover, this Court shall
retain
specific jurisdiction over all issues attendant to disclosure of Designated
Material
even after final resolution of this action.
USE OF DESIGNATED MATERIAL IN
COURT PAPERS, HEARINGS OR
TRIAL
- The parties shall confer and attempt to agree before any trial or other
evidentiary
hearing on the procedures under which Designated Material may be introduced
into
evidence or otherwise used at such trial or hearing. Upon reaching agreement,
the
parties shall give notice of the terms of such agreement to each non-party who
produced any Designated Material which may be used or introduced at such
trial or hearing. Absent agreement, the Court shall be asked to issue an order
governing the use of such Designated Material at trial or evidentiary hearing
upon reasonable notice to all parties and non-parties who have produced such
information. The parties shall provide non-parties with notice of potential use at
trial of any Designated Material produced by them if and when they are listed as
potential exhibits in the required filings prior to commencement of trial. The
parties shall give notice as soon as practicable after Designated Material which is
not listed on the exhibit list is determined to be used by counsel for a party in the
course of examination or cross-examination at trial.
- In the event that any
Designated Material is contained in any pleading, motion,
exhibit, or other paper (collectively "Papers") filed or to be filed with the
Clerk of the Court, the Clerk shall be so informed by the party filing such
Papers, and the Clerk shall keep such Papers under seal until further order of
the Court; provided, however, that such Papers shall be furnished to the
Court, the Department of Justice, and defendants' outside counsel.
Information filed under seal shall be placed in sealed envelopes on which
shall be written the title to this action, the words "FILED UNDER SEAL," and
a statement substantially in the following form:
"This envelope is sealed pursuant to order of this Court and contains
confidential information filed in this case by [name of party] and is not to
be opened or the contents thereof to be displayed or revealed except by
order of the Court."
As soon as possible after the filing of any paper containing Designated
Material, the filing party shall file on the public record a duplicate copy of the
paper with the Designated Material deleted.
INADVERTENT PRODUCTION OF DESIGNATED MATERIAL
- The production of material without the appropriate designation of
confidentiality shall
not be deemed a waiver or impairment of any claim of protection of the
confidential
nature of any such material. Upon receiving notice from a producing party or
protected person that Designated Material has not been appropriately so
denominated,
all such material shall be redenominated and treated appropriately. The party
receiving such undenominated Designated Material shall make a reasonable,
good
faith effort to ensure that any analyses, memoranda or notes that were generated
based upon such material shall immediately be treated in conformity with any
such
redesignation.
DEPOSITIONS
- A party, protected person, or deponent may, on the record of a deposition,
denominate portions of a deposition or exhibits used therein as Designated
Material
pursuant to the criteria set forth in this Order. Within 20 days of the receipt of a
deposition transcript, a party, protected person, or deponent may denominate,
by page
and line, portions of the transcript or exhibits thereto as Designated Material and,
until such time, all parties shall treat the transcript and exhibits in their entirety
as
Level Two. If, by the end of the 20-day period, a party, protected person or
deponent
has denominated any transcript portion or exhibits as Designated Material, then,
thereafter, such transcript portions or exhibits shall be disclosed only in
accordance
with this Order. If none of the material is denominated as Designated Material at
the
end of the 20-day period, then none of the transcript or exhibits shall be
treated as Designated Material.
RETAINED RIGHTS OF THE PARTIES
- This Order shall be without prejudice to the right of any party to bring before
the
Court the question of whether any particular material merits the protections
afforded to Designated Material pursuant to this Order, provided that the
party has complied with the procedures set forth in this Order. No party
concedes by entering into this Order that any material denominated by any
party or protected person as Designated Material does in fact contain or
reflect trade secrets or other Level One research, development or commercial
information, as those terms are used in Fed. R. Crv. P. 26(c)(7), or does in fact
contain material that is so competitively sensitive that its disclosure to
business competitors would materially affect the business, commercial or
financial interests of the producing party or non-party.
- In the event that a party believes that another party or protected person has
denominated material as Designated Material that is not entitled to such
protection,
the parties and any affected protected person shall confer and attempt to resolve
the
disagreement over the classification of the material. If the parties and the
protected
person cannot resolve the matter, any party or the producing party may submit
the
issue to the Court for resolution. In the case of material provided by a non-party,
the
party that contests the Designated Material denomination shall provide
reasonable
notice to the non-party that the matter has been referred to the Court. In the event
that
a Designated Material denomination by a party is contested, the party
denominating
the material shall have the burden of showing that the material is entitled to
protection.
- The parties to this action reserve all rights to apply to the Court for any order:
- modifying this Order, or
- seeking further protection against discovery or other use of
Designated
Material or other information, documents, transcripts, or material
reflecting claimed Level One or Level Two material.
- Any protected person requiring further confidentiality protection may
petition the
Court for a separate order governing disclosure of its information.
COMPLETION OF LITIGATION
- Within 60 days after the final resolution of this action, each defendant in
possession
of Designated Material, and any person to whom disclosure of such materials has
been made pursuant to the provisions of this Order, shall return such materials to
the
party or protected person that designated them, or alternatively, confirm in
writing
that the materials have been destroyed.
- Within 60 days after the final resolution of this action, the Department of Justice
shall
return all Designated Material to the party or protected person that designated
them,
or alternatively, confirm in writing that the materials have been destroyed, except
as
provided for in Paragraph 12 of this Order. To the extent that plaintiff retains any
Designated Material consistent with Paragraph 12 of this Order, plaintiff shall
provide
the party or protected person that denominated them with a list of documents
being
retained for that purpose.
- The parties agree to abide by the terms of this Order pending the Court's
entry of this
Order or any other Order that the Court, in its discretion, may
enter.
This 14th day of September, 1999.
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_______________/s/________________
Stephen E. Robison
Fleeson, Gooing, Coulson
& Kitch, L.L.C.
125 North Market, Suite 1600
Wichita, KS 67201
(316) 267-7361
(316) 267-1754 (fax)
On Behalf of Defendants AMR
Corp., American Airlines, Inc., and
AMR Eagle Holding Corp. And
their Counsel
_______________/s/________________
Rebekah J. French
Montana State Bar Number 2463
U.S. Department of Justice
Antitrust Division
325 7th Street, NW, Suite 500
Washington, DC 20530
(202) 514-8369
On Behalf of Plaintiff
United States of America
And its Counsel
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SO ORDERED
this 14th day of September, 1999.
_______________/s/________________
UNITED STATES DISTRICT JUDGE
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