MCFADYEN et al v. DUKE UNIVERSITY et al

Filing 279

REPLY, filed by Defendant DUKE UNIVERSITY, to Response to #271 MOTION for Protective Order on Confidentiality and Prospective Sealing Order filed by DUKE UNIVERSITY. (Attachments: #1 Exhibit A- Email from Wells to Ekstrand, #2 Exhibit B- Email from Ekstrand to Ellis, #3 Exhibit C- Email from Wells to Ekstrand, #4 Exhibit D- Email from Sun to Ekstrand, #5 Exhibit E- Email from Sun to Ekstrand, #6 Exhibit F- Letter from Smith to Segars dated May 3, 2012)(SUN, PAUL)

Download PDF
([KLELW ( )URP 6HQW 7R &F 6XEMHFW $WWDFKPHQWV 3DXO 6XQ )ULGD\ 0DUFK    30 5REHUW (NVWUDQG 6WHIDQLH 6PLWK 'L[LH :HOOV ): 0F)DG\HQ Y 'XNH 3URSRVHG 3URWHFWLYH 2UGHU 5$/ Y0F)DG\HQB3URSRVHGB6WLSXODWHGB3URWHFWLYHB2UGHUB'2&; 'HDU %RE DQG 6WHIDQLH ± :H KDYH FDUHIXOO\ FRQVLGHUHG WKH FKDQJHV WKDW \RX SURSRVHG WR WKH VWLSXODWHG SURWHFWLYH RUGHU HQWHUHG LQ WKH &DUULQJWRQ FDVH DV ZHOO DV WKH SRLQWV WKDW \RX PDGH GXULQJ RXU WHOHSKRQH FRQYHUVDWLRQ RQ )HEUXDU\  :H DUH DEOH WR DJUHH WR VRPH RI WKH FKDQJHV WKDW \RX KDYH SURSRVHG EXW DV GLVFXVVHG EHORZ ZH DUH QRW DEOH WR DJUHH WR RWKHU FKDQJHV WKDW \RX KDYH SURSRVHG $WWDFKHG LV D UHGOLQHG GRFXPHQWV VKRZLQJ WKH FKDQJHV WR ZKLFK ZH DUH DEOH WR DJUHH $V LW VHHPV WKDW ZH ZLOO QRW EH DEOH WR UHDFK DJUHHPHQW RQ WKH WHUPV RI VXFK DQ RUGHU LW LV RXU SODQ WR ILOH D PRWLRQ ZLWK WKH FRXUW RQ 7XHVGD\ 0DUFK  UHTXHVWLQJ WKDW WKH FRXUW HQWHU D SURWHFWLYH RUGHU WKDW ZRXOG FRQWDLQ WKH WHUPV VHW IRUWK LQ WKH DWWDFKHG GRFXPHQW :KDW IROORZV LV RXU SRVLWLRQ ZLWK UHJDUG WR WKH VSHFLILF FKDQJHV WKDW \RX KDYH SURSRVHG  ,Q SDUDJUDSK  WKH &DUULQJWRQ RUGHU SURYLGHV WKDW DQ\RQH ZKR ZDQWV DFFHVV WR FRQILGHQWLDO LQIRUPDWLRQ PXVW H[HFXWH ([KLELW $ ± ZKLFK LV DQ $JUHHPHQW &RQFHUQLQJ 3URWHFWLYH ,QIRUPDWLRQ <RX VHHN WR DOORZ DFFHVV WR FRQILGHQWLDO LQIRUPDWLRQ E\ YHUEDO DVVXUDQFH RQ WKH UHFRUG RU ³ZULWWHQ DFNQRZOHGJHPHQW RI WKHLU DJUHHPHQW WR DELGH E\ WKH WHUPV RI WKLV 3URWHFWLYH 2UGHU´ $Q\RQH ZKR LV DOORZHG DFFHVV WR WKH SDUWLHV¶ FRQILGHQWLDO LQIRUPDWLRQ VKRXOG KDYH WR UHDG WKH SURWHFWLYH RUGHU DQG DFNQRZOHGJH WKDW KHVKH LV ERXQG E\ WKDW RUGHU :H GR QRW VHH ZK\ DQ\RQH VKRXOG EH DOORZHG DFFHVV WR WKH SDUWLHV¶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³IRU VXSSRUWLQJ RU RSSRVLQJ DQ\ PRWLRQ´ :H DJUHH WKDW WKLV FKDQJH LV DSSURSULDWH %XW \RX DOVR VHHN WR GHOHWH WKH SURYLVLRQ LQ SDUDJUDSK  WKDW FODULILHV ZKDW LW PHDQV WR OLPLW WKH XVH RI FRQILGHQWLDO LQIRUPDWLRQ WR ³WKLV OLWLJDWLRQ´ :LWKRXW WKLV ODQJXDJH LW LV XQFOHDU ZKDW ³WKLV OLWLJDWLRQ´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³VWHW´ :H DVVXPH WKDW PHDQV WKDW \RX ZDQW WR OHDYH WKH ODQJXDJH DV LW LV LQ WKH &DUULQJWRQ RUGHU ,I WKLV LV QRW WKH FDVH SOHDVH OHW XV NQRZ ,Q SDUDJUDSK  \RX KDYH DGGHG D UHIHUHQFH WR SDUDJUDSK  :H GR QRW XQGHUVWDQG WKLV DGGLWLRQDO ODQJXDJH RU ZKDW LWV LQWHQGHG HIIHFW LV <RX KDYH SURSRVHG GHOHWLQJ SDUDJUDSK  D DQG UHYLVLQJ 3DUDJUDSK  E VXFK WKDW WKH RUGHU ZRXOG LQFOXGH D SURVSHFWLYH VHDOLQJ SURYLVLRQ ZLWKRXW UHJDUG WR ZK\ WKH GRFXPHQW LV EHLQJ ILOHG ZLWK WKH FRXUW 7KHUH DUH RSLQLRQV LQ WKH 0'1& DQG WKURXJKRXW WKH FRXQWU\ LQ ZKLFK FRXUWV UHIXVH WR DOORZ SURVSHFWLYH VHDOLQJ SURYLVLRQV ZKHUH WKH FRQILGHQWLDO LQIRUPDWLRQ LV ILOHG ZLWK D GLVSRVLWLYH PRWLRQ EXW DOORZLQJ SURVSHFWLYH VHDOLQJ SURYLVLRQV ZKHUH WKH FRQILGHQWLDO LQIRUPDWLRQ LV ILOHG ZLWK D GLVFRYHU\ PRWLRQ  :H FDQQRW DJUHH WR VXEPLW VRPHWKLQJ WR WKH FRXUW WKDW LV QRW LQ DFFRUG ZLWK WKHVH GHFLVLRQV ,Q SDUDJUDSK  \RX VHHN WR DGG ³DV WKH HQGV RI MXVWLFH UHTXLUH´ 5XOH  F  XVHV WKH ODQJXDJH ³JRRG FDXVH´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³3URWHFWLYH 2UGHU´  ,7 ,6 7+(5()25( 25'(5(' DV IROORZV  3DUWLHV 7R 7KH 3URWHFWLYH 2UGHU 7KH SDUWLHV WR WKLV 3URWHFWLYH 2UGHU DUH 3ODLQWLIIV DQG WKH 'XNH 8QLYHUVLW\ 'HIHQGDQWV FROOHFWLYHO\ WKH ³3DUWLHV´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³&RQILGHQWLDOLW\ $JUHHPHQW´  6SHFLILFDOO\ DQG ZLWKRXW OLPLWLQJ WKH IRUHJRLQJ LI DQ\ SDUW\ WR WKH DERYHFDSWLRQHG OLWLJDWLRQ ³/LWLJDWLRQ´ ZKR LV QRW D 3DUW\ WR WKLV 3URWHFWLYH 2UGHU HJ D SDUW\ WKDW LV LQYROYHG LQ D FODLP IRU ZKLFK GLVFRYHU\ KDV EHHQ VWD\HG VHHNV DFFHVV WR LQIRUPDWLRQ GHVLJQDWHG DV FRQILGHQWLDO VHHNV WR DWWHQG D SRUWLRQ RI DQ\ GHSRVLWLRQ DW ZKLFK FRQILGHQWLDO LQIRUPDWLRQ LV GLVFXVVHG RU VHHNV WR UHYLHZ DQ\ GHSRVLWLRQ H[KLELW FRQWDLQLQJ FRQILGHQWLDO LQIRUPDWLRQ VXFK SDUW\ RU LWV FRXQVHO PXVW ILUVW H[HFXWH WKH &RQILGHQWLDOLW\ $JUHHPHQW $V XVHG KHUHLQ WKH WHUP ³6LJQDWRU\´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³&RQILGHQWLDO ,QIRUPDWLRQ´ )RU SXUSRVHV RI WKLV 3URWHFWLYH 2UGHU ³&RQILGHQWLDO ,QIRUPDWLRQ´ PHDQV LQIRUPDWLRQ LQ DQ\ IRUP LQFOXGLQJ WKRVH GHVFULEHG LQ SDUDJUDSK  WKDW LV GLVFORVHG DQG GHVLJQDWHG LQ DFFRUGDQFH ZLWK WKH SURFHGXUHV VHW IRUWK LQ WKLV 3URWHFWLYH 2UGHU DQG WKDW UHIOHFWV RU FRQWDLQV SHUVRQDO ILQDQFLDO LQIRUPDWLRQ HJ VDODU\ LQIRUPDWLRQ DFFRXQW VWDWHPHQWV DQG WD[ UHWXUQV DQG UHODWHG VFKHGXOHV DQG VXSSRUWLQJ GRFXPHQWV SHUVRQDO KHDOWK LQIRUPDWLRQ HJ PHGLFDO UHFRUGV SURWHFWHG XQGHU WKH +HDOWK ,QVXUDQFH 3RUWDELOLW\ DQG $FFRXQWDELOLW\ $FW ³+,3$$´  HGXFDWLRQ UHFRUGV DV WKDW WHUP LV GHILQHG LQ WKH )DPLO\ (GXFDWLRQDO 5LJKWV DQG 3ULYDF\ $FW ³)(53$´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³&21),'(17,$/´ $ 3DUW\ RU RWKHU SHUVRQ PD\ LQ WKH H[HUFLVH RI JRRG IDLWK GHVLJQDWH DQ\ PDWHULDO DV &RQILGHQWLDO ,QIRUPDWLRQ SXUVXDQW WR WKLV 3URWHFWLYH 2UGHU 'RFXPHQWV UHVSRQVHV WR LQWHUURJDWRULHV UHVSRQVHV WR  UHTXHVWV IRU DGPLVVLRQ H[KLELWV DQG RWKHU PDWHULDO PD\ EH GHVLJQDWHG DV FRQWDLQLQJ &RQILGHQWLDO ,QIRUPDWLRQ E\ VWDPSLQJ WKH ZRUG ³&21),'(17,$/´ RQ HDFK SDJH RU PHGLXP FRQWDLQLQJ WKH PDWHULDO RU GDWD VRXJKW WR EH SURWHFWHG VXFK WKDW WKH PDWHULDO RU GDWD DSSHDULQJ RQ WKH SDJH LV QRW REVFXUHG 8SRQ UHTXHVW RI FRXQVHO IRU DQ\ 3DUW\ WR WKLV /LWLJDWLRQ WKH GHVLJQDWLQJ SHUVRQ VKDOO SURPSWO\ DQG SUHFLVHO\ LGHQWLI\ WKH &RQILGHQWLDO ,QIRUPDWLRQ RQ D SDJH VWDPSHG ³&21),'(17,$/´ 0DWHULDO SURGXFHG RU XVHG LQ D QRQ KDUG FRS\ IRUPDW LH D QDWLYH IRUPDW VXFK DV DQ ([FHO VSUHDGVKHHW ILOH RU :RUG GRFXPHQW ILOH PD\ EH GHVLJQDWHG DV FRQWDLQLQJ &RQILGHQWLDO ,QIRUPDWLRQ E\ VWDPSLQJ WKH ZRUG ³&21),'(17,$/´ RQ DQ\ FRPSDFW GLVF FRQWDLQLQJ VXFK PDWHULDO DQGRU E\ RWKHUZLVH FRQVSLFXRXVO\ LQGLFDWLQJ DV DSSURSULDWH IRU WKH W\SH RI HOHFWURQLF PDWHULDO DW LVVXH WKDW VXFK PDWHULDO LV ³&21),'(17,$/´ HJ E\ LQFOXGLQJ WKH ZRUG ³&21),'(17,$/´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³5('$&7('´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¶V ULJKW WR VHHN UHOHDVH RI WKDW WUDQVFULSW IURP WKH WHUPV DQG SURYLVLRQV RI WKLV 3URWHFWLYH 2UGHU SXUVXDQW WR SDUDJUDSK   'HVLJQDWLRQV $IWHU 7KH 'HSRVLWLRQ $OWHUQDWLYHO\ FRXQVHO IRU WKH GHVLJQDWLQJ SDUW\ PD\ GHVLJQDWH DQ HQWLUH WUDQVFULSW RU GHVLJQDWH VSHFLILF SDJHV DQG OLQHV RI WKH WUDQVFULSW RU YLGHR UHFRUGLQJ RI WKH GHSRVLWLRQ DV &RQILGHQWLDO ,QIRUPDWLRQ E\ QRWLI\LQJ FRXQVHO IRU WKH 3DUWLHV DQG RWKHU DWWHQGHHV RI WKH GHSRVLWLRQ LQ ZULWLQJ ZLWKLQ WKLUW\  FDOHQGDU GD\V RI UHFHLSW RI WKH WUDQVFULSW RU YLGHR UHFRUGLQJ RI VXFK GHSRVLWLRQ ,I ZLWKLQ WKLUW\  FDOHQGDU GD\V RI UHFHLSW RI WKH WUDQVFULSW RU YLGHR UHFRUGLQJ RI VXFK GHSRVLWLRQ QR SHUVRQ WLPHO\ GHVLJQDWHV WKH WUDQVFULSW RU UHFRUGLQJ RU DQ\ SRUWLRQ WKHUHRI DV &RQILGHQWLDO ,QIRUPDWLRQ WKHQ WKH WUDQVFULSW DQG DQ\ UHFRUGLQJ VKDOO QRW WKHUHDIWHU EH VXEMHFW WR WKLV 3URWHFWLYH 2UGHU 'HSRVLWLRQ H[KLELWV WKDW DUH PDUNHG DV ³&21),'(17,$/´ ZLOO FRQWLQXH WR EH SURWHFWHG ZLWKRXW IXUWKHU GHVLJQDWLRQ DQG WKH  FRQWLQXHG SURWHFWLRQ RI VXFK H[KLELWV ZLOO QRW EH GHSHQGHQW XSRQ WKH WUDQVFULSW RU DQ\ SRUWLRQ WKHUHRI EHLQJ GHVLJQDWHG DV &RQILGHQWLDO ,QIRUPDWLRQ $ VHSDUDWHO\ERXQG WUDQVFULSW RI WKRVH SRUWLRQV RI WKH GHSRVLWLRQ WHVWLPRQ\ DQG H[KLELWV WKDW DUH GHVLJQDWHG DV &RQILGHQWLDO ,QIRUPDWLRQ VKDOO EH PDGH DQG WKH FRYHU VKDOO EH PDUNHG ZLWK WKH ³&21),'(17,$/´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¶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³&21),'(17,$/´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³&21),'(17,$/´ ,QIRUPDWLRQ %\ 5HFHLYLQJ 3DUW\ ,I D 3DUW\ RU RWKHU SHUVRQ UHFHLYLQJ ³&21),'(17,$/´ ,QIRUPDWLRQ OHDUQV WKDW E\ LQDGYHUWHQFH RU RWKHUZLVH LW KDV GLVFORVHG VXFK LQIRUPDWLRQ XQGHU FLUFXPVWDQFHV QRW  DXWKRUL]HG XQGHU WKLV 3URWHFWLYH 2UGHU VXFK UHFHLYLQJ 3DUW\ RU SHUVRQ VKDOO LPPHGLDWHO\ L QRWLI\ LQ ZULWLQJ WKH SHUVRQ ZKR GHVLJQDWHG WKH LQIRUPDWLRQ DV ³&21),'(17,$/´ RI WKH XQDXWKRUL]HG GLVFORVXUHV LL XVH LWV EHVW HIIRUWV WR UHWULHYH DOO FRSLHV RI WKH ³&21),'(17,$/´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³PHHW DQG FRQIHU´ DPRQJ DOO 3DUWLHV WR WKLV 3URWHFWLYH 2UGHU DQG WKH SHUVRQ ZKR GHVLJQDWHG WKH PDWHULDO DV &RQILGHQWLDO ,QIRUPDWLRQ ,I WKH 3DUWLHV DQG WKH GHVLJQDWLQJ SHUVRQ DUH XQDEOH WR DJUHH DV WR ZKHWKHU WKH PDWHULDO DW LVVXH LV SURSHUO\ GHVLJQDWHG &RQILGHQWLDO ,QIRUPDWLRQ FRXQVHO IRU WKH GHVLJQDWLQJ SHUVRQ PD\ ZLWKLQ  GD\V RI WKH ³PHHW DQG FRQIHU´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¶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¶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¶V &0(&) GRFNHW ,Q WKH HYHQW WKDW WKH SHUVRQ VHHNLQJ WR ILOH UHIHUHQFH RU TXRWH &RQILGHQWLDO ,QIRUPDWLRQ LV QRW WKH SHUVRQ ZKR GHVLJQDWHG WKH PDWHULDO DV  &RQILGHQWLDO ,QIRUPDWLRQ WKH SHUVRQ VHHNLQJ WR ILOH UHIHUHQFH RU TXRWH VXFK PDWHULDO VKDOO JLYH WKH GHVLJQDWLQJ SHUVRQ WHQ  GD\V DGYDQFH QRWLFH WKDW LW LQWHQGV WR GR VR 7KH GHVLJQDWLQJ SHUVRQ WKHQ PD\ ILOH D PRWLRQ ZLWK WKH &RXUW VHHNLQJ DQ RUGHU WKDW VXFK PDWHULDO PXVW EH ILOHG XQGHU VHDO DV SURYLGHG LQ WKLV VXESDUDJUDSK ,Q WKDW HYHQW QR &RQILGHQWLDO ,QIRUPDWLRQ VKDOO EH ILOHG UHIHUHQFHG RU TXRWHG LQ D SXEOLFO\DYDLODEOH ILOLQJ XQWLO WKH &RXUW UXOHV RQ VXFK PRWLRQ ,Q WKH HYHQW WKDW WKH GHVLJQDWLQJ SHUVRQ ILOHV VXFK PRWLRQ DQG WKH &RXUW GRHV QRW UXOH RQ VXFK PRWLRQ E\ WKH WLPH WKH &RQILGHQWLDO ,QIRUPDWLRQ LV ILOHG WKH &RQILGHQWLDO ,QIRUPDWLRQ VKDOO EH ILOHG SURYLVLRQDOO\ XQGHU VHDO SHQGLQJ WKDW UXOLQJ ,I XSRQ WKH WHQ  GD\V DGYDQFH QRWLFH GHVFULEHG DERYH WKH GHVLJQDWLQJ SHUVRQ KDV QRW ILOHG VXFK D PRWLRQ ZLWKLQ WKRVH WHQ GD\V WKHQ WKH PDWHULDO DW LVVXH PD\ EH GHHPHG QRQFRQILGHQWLDO DQG QRW SURWHFWHG E\ WKH WHUPV RI WKLV 3URWHFWLYH 2UGHU E )RU 'LVFRYHU\5HODWHG 0RWLRQV $Q\ &RQILGHQWLDO ,QIRUPDWLRQ ILOHG LQ FRQQHFWLRQ ZLWK D GLVFRYHU\UHODWHG PRWLRQ DQG DQ\ SRUWLRQ RI DQ\ GLVFRYHU\UHODWHG PRWLRQ WKDW UHIHUHQFHV RU TXRWHV &RQILGHQWLDO ,QIRUPDWLRQ PXVW EH ILOHG XQGHU VHDO DQG WKLV 3URWHFWLYH 2UGHU VKDOO EH FLWHG DV DXWKRULW\ IRU VXFK ILOLQJ XQGHU VHDO 7KH ILOLQJ RI &RQILGHQWLDO ,QIRUPDWLRQ XQGHU VHDO VKDOO EH GRQH DFFRUGLQJ WR WKH ORFDO UXOHV DQG RWKHU DXWKRULW\ JRYHUQLQJ WKH ILOLQJ RI PDWHULDO XQGHU VHDO LQ WKLV 'LVWULFW )RU DQ\ ILOLQJ RU SRUWLRQ WKHUHRI VXEPLWWHG XQGHU VHDO SXUVXDQW WR WKLV 3URWHFWLYH 2UGHU WKH ILOLQJ SHUVRQ VKDOO ILOH D UHGDFWHG YHUVLRQ WKDW GRHV QRW UHIOHFW &RQILGHQWLDO ,QIRUPDWLRQ VXFK WKDW WKH UHGDFWHG ILOLQJ LV SXEOLFO\DYDLODEOH RQ WKH &RXUW¶V &0(&) GRFNHW   1R :DLYHU %\ FRQVHQWLQJ WR WKLV 3URWHFWLYH 2UGHU QR 3DUW\ ZDLYHV DQ\ ULJKW LW PD\ KDYH WR GLVSXWH DQ\ SHUVRQ¶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³3URWHFWLYH 2UGHU´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

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.


Why Is My Information Online?