even stipulated protective orders require good 11 cause showing
How later courts described this case
- even stipulated protective orders require good 11 cause showing
Written by the judges who cited it.
The opinion
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 1 of 25 Page IDF #IL:1E6D9
CLERK, U.S. DISTRICTCOURT
0011//1188//22002222
1 AMY JANE LONGO (Cal. Bar No. 198304) CENTRAL DISTRICTOF CALIFORNIA
Email: longoa@sec.gov BY: ____jj _mm ______________ DEPUTY
2
JANET RICH WEISSMAN (Cal. Bar No. 137023)
3 Email: weissmanj@sec.gov
4 Attorneys for Plaintiff
5 Securities and Exchange Commission
Michele Wein Layne, Regional Director
6 Ansu N. Banerjee, Associate Regional Director
7 444 S. Flower Street, Suite 900
Los Angeles, California 90071
8 Telephone: (323) 965-3998
9 Facsimile: (213) 443-1904
10
11 UNITED STATES DISTRICT COURT
12 CENTRAL DISTRICT OF CALIFORNIA
13 Western Division
14
15 SECURITIES AND EXCHANGE Case No. 2:21-cv-07339-CAS-AS
COMMISSION,
16
Plaintiff, AMENDED STIPULATED
17
PROTECTIVE ORDER1
18 vs.
19 SHE BEVERAGE COMPANY, INC.,
LUPE L. ROSE, SONJA F. SHELBY
20
AND KATHERINE E. DIRDEN,
21
Defendants.
22
23
24
25
26
27
1 This Amended Stipulated Protective Order cures the deficiencies listed in the “Notice to Filer of
28
Deficiencies in Electronically Filed Documents.” (Dkt. No. 31)
AMENDED STIPULATED PROTECTIVE ORDER 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 2 of 25 Page ID #:170
1 1. A. PURPOSES AND LIMITATIONS
2 Discovery in this action is likely to involve production of confidential,
3 proprietary, or private information for which special protection from public
4 disclosure and from use for any purpose other than prosecuting this litigation may be
5 warranted. Plaintiff Securities and Exchange Commission (“SEC”) takes the position
6 that when considering whether good cause for a protective order under Rule 26(c)
7 exists, courts must weigh the presumption of openness of litigation materials against
8 the asserted right of confidentiality. When the government is a party to the litigation,
9 those matters are of significant public concern which may often outweigh any
10 competing interest in confidentiality. Nevertheless, to facilitate the exchange of
11 information, the parties hereby stipulate to and petition the Court to enter the
12 following Stipulated Protective Order. The parties acknowledge that this Order does
13 not confer blanket protections on all disclosures or responses to discovery and that
14 the protection it affords from public disclosure and use extends only to the limited
15 information or items that are entitled to confidential treatment under the applicable
16 legal principles. The parties further acknowledge, as set forth in Section 12.3, below,
17 that this Stipulated Protective Order does not entitle them to file confidential
18 information under seal; Civil Local Rule 79-5 sets forth the procedures that must be
19 followed and the standards that will be applied when a party seeks permission from
20 the court to file material under seal.
21 B. GOOD CAUSE STATEMENT
22 This action is likely to involve commercial and/or financial information for
23 which special protection from public disclosure and from use for any purpose other
24 than prosecution of this action is warranted. Such confidential and proprietary
25 materials and information consist of, among other things, confidential business or
26 financial information, information regarding confidential business practices, or other
27 confidential research, development, or commercial information (including
28 information implicating privacy rights of third parties), information otherwise
AMENDED STIPULATED PROTECTIVE ORDER 1 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 3 of 25 Page ID #:171
1 generally unavailable to the public, or which may be privileged or otherwise
2 protected from disclosure under state or federal statutes, court rules, case decisions,
3 or common law. Accordingly, to expedite the flow of information, to facilitate the
4 prompt resolution of disputes over confidentiality of discovery materials, to
5 adequately protect information the parties are entitled to keep confidential, to ensure
6 that the parties are permitted reasonable necessary uses of such material in
7 preparation for and in the conduct of trial, to address their handling at the end of the
8 litigation, and serve the ends of justice, a protective order for such information is
9 justified in this matter. It is the intent of the parties that information will not be
10 designated as confidential for tactical reasons and that nothing be so designated
11 without a good faith belief that it has been maintained in a confidential, non-public
12 manner, and there is good cause why it should not be part of the public record of this
13 case.
14 2. DEFINITIONS
15 2.1 Action: SEC v SHE Beverage, Inc. et al., Case No. Case No. 2:21-cv-
16 07339-CAS-AS.
17 2.2 Challenging Party: a Party or Non-Party that challenges the designation of
18 information or items under this Order.
19 2.3 “CONFIDENTIAL” Information or Items: information (regardless of how
20 it is generated, stored or maintained) or tangible things that qualify for
21 protection under Federal Rule of Civil Procedure 26(c), and as specified above
22 in the Good Cause Statement.
23 2.4 Counsel: Outside Counsel of Record and House Counsel (as well as their
24 support staff).
25 2.5 Designating Party: a Party or Non-Party that designates information or
26 items that it produces in disclosures or in responses to discovery as
27 “CONFIDENTIAL.”
28 2.6 Disclosure or Discovery Material: all items or information, regardless of
AMENDED STIPULATED PROTECTIVE ORDER 2 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 4 of 25 Page ID #:172
1 the medium or manner in which it is generated, stored, or maintained
2 (including, among other things, testimony, transcripts, and tangible things), that
3 are produced or generated in disclosures or responses to discovery in this
4 matter.
5 2.7 Expert: a person with specialized knowledge or experience in a matter
6 pertinent to the litigation who has been retained by a Party or its counsel to
7 serve as an expert witness or as a consultant in this Action.
8 2.8 House Counsel: attorneys who are employees of a party to this Action.
9 House Counsel does not include Outside Counsel of Record or any other
10 outside counsel.
11 2.9 Non-Party: any natural person, partnership, corporation, association, or
12 other legal entity not named as a Party to this action.
13 2.10 Outside Counsel of Record: attorneys who are not employees of a party to
14 this Action but are retained to represent or advise a party to this Action and
15 have appeared in this Action on behalf of that party or are affiliated with a law
16 firm which has appeared on behalf of that party, and includes support staff.
17 2.11 Party: any party to this Action, including all of its officers, directors,
18 employees, consultants, retained experts, and Outside Counsel of Record (and
19 their support staffs).
20 2.12 Producing Party: a Party or Non-Party that produces Disclosure or
21 Discovery Material in this Action.
22 2.13 Professional Vendors: persons or entities that provide litigation support
23 services (e.g., photocopying, videotaping, translating, preparing exhibits or
24 demonstrations, and organizing, storing, or retrieving data in any form or
25 medium) and their employees and subcontractors.
26 2.14 Protected Material: any Disclosure or Discovery Material that is
27 designated as “CONFIDENTIAL.”
28 2.15 Receiving Party: a Party that receives Disclosure or Discovery Material
AMENDED STIPULATED PROTECTIVE ORDER 3 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 5 of 25 Page ID #:173
1 from a Producing Party.
2 3. SCOPE
3 The protections conferred by this Stipulation and Order cover not only
4 Protected Material (as defined above), but also (1) any information copied or
5 extracted from Protected Material; (2) all copies, excerpts, summaries, or
6 compilations of Protected Material; and (3) any testimony, conversations, or
7 presentations by Parties or their Counsel that might reveal Protected Material. Any
8 use of Protected Material at trial shall be governed by the orders of the trial judge.
9 This Order does not govern the use of Protected Material at trial.
10 The protections conferred by this Protective Order do not cover the
11 following information: (a) any information that is in the public domain at the time of
12 disclosure to a Receiving Party or becomes part of the public domain after its
13 disclosure to a Receiving Party as a result of publication not involving violation of
this Protective Order, including becoming part of the public record through trial or
14
otherwise; (b) any information known to the Receiving Party prior to the disclosure
15
or obtained by the Receiving Party after the disclosure from a source who obtained
16
the information lawfully and under no obligation of confidentiality to the Designating
17
Party; and (c) any information that has come into the possession of a Receiving Party
18
prior to the entry of this Protective Order.
19
Notwithstanding any other provision contained herein, this Protective Order
20
shall not limit or otherwise abrogate the ability and authority of the SEC to, without
21
notifying the Designating Party: (1) use, disclose, or retain any materials to the
22 extent required by law; and/or (2) use or disclose any materials in a manner consistent
23 with paragraphs 1-22 of Section H of SEC Form 1662 (the “Routine Uses of
24 Information”), a copy of which is attached hereto as Exhibit B.
25 Notwithstanding any other provision of this Protective Order, the SEC shall not
26 be limited in its ability to share, disclose, or produce any information received in
27 connection with this action with any other federal or state authority, agency, or
28 department.
AMENDED STIPULATED PROTECTIVE ORDER 4 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 6 of 25 Page ID #:174
1 4. DURATION
2 Even after final disposition of this litigation, the confidentiality obligations
3 imposed by this Order shall remain in effect until a Designating Party agrees
4 otherwise in writing or a court order otherwise directs. Final disposition shall be
5 deemed to be the later of (1) dismissal of all claims and defenses in this Action, with
6 or without prejudice; and (2) final judgment herein after the completion and
7 exhaustion of all appeals, rehearings, remands, trials, or reviews of this Action,
8 including the time limits for filing any motions or applications for extension of time
9 pursuant to applicable law.
10 5. DESIGNATING PROTECTED MATERIAL
11 5.1 Exercise of Restraint and Care in Designating Material for Protection. Each
12 Party or Non-Party that designates information or items for protection under this
13 Order must take care to limit any such designation to specific material that qualifies
14 under the appropriate standards. The Designating Party must designate for protection
15 only those parts of material, documents, items, or oral or written communications that
16 qualify so that other portions of the material, documents, items, or communications
17 for which protection is not warranted are not swept unjustifiably within the ambit of
18 this Order.
19 Mass, indiscriminate, or routinized designations are prohibited. Designations
20 that are shown to be clearly unjustified or that have been made for an improper
21 purpose (e.g., to unnecessarily encumber the case development process or to impose
22 unnecessary expenses and burdens on other parties) may expose the Designating
23 Party to sanctions.
24 If it comes to a Designating Party’s attention that information or items that it
25 designated for protection do not qualify for protection, that Designating Party must
26 promptly notify all other Parties that it is withdrawing the inapplicable designation.
27 5.2 Manner and Timing of Designations. Except as otherwise provided in this
28 Order (see, e.g., second paragraph of section 5.2(a) below), or as otherwise stipulated
AMENDED STIPULATED PROTECTIVE ORDER 5 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 7 of 25 Page ID #:175
1 or ordered, Disclosure or Discovery Material that qualifies for protection under this
2 Order must be clearly so designated before the material is disclosed or produced.
3 Designation in conformity with this Order requires:
4 (a) for information in documentary form (e.g., paper or electronic documents,
5 but excluding transcripts of depositions or other pretrial or trial
6 proceedings), that the Producing Party affix at a minimum, the legend
7 “CONFIDENTIAL” (hereinafter “CONFIDENTIAL legend”), to each page
8 that contains protected material. If only a portion or portions of the material
9 on a page qualifies for protection, the Producing Party also must clearly
10 identify the protected portion(s) (e.g., by making appropriate markings in
11 the margins).
12 A Party or Non-Party that makes original documents available for inspection
13 need not designate them for protection until after the inspecting Party has indicated
14 which documents it would like copied and produced. During the inspection and
15 before the designation, all of the material made available for inspection shall be
16 deemed “CONFIDENTIAL.” After the inspecting Party has identified the documents
17 it wants copied and produced, the Producing Party must determine which documents,
18 or portions thereof, qualify for protection under this Order. Then, before producing
19 the specified documents, the Producing Party must affix the “CONFIDENTIAL
20 legend” to each page that contains Protected Material. If only a portion or portions of
21 the material on a page qualifies for protection, the Producing Party also must clearly
22 identify the protected portion(s) (e.g., by making appropriate markings in the
23 margins).
24 (b) for testimony given in depositions that the Designating Party identify the
25 Disclosure or Discovery Material on the record, before the close of the deposition all
26 protected testimony.
27 (c) for information produced in some form other than documentary and for any
28 other tangible items, that the Producing Party affix in a prominent place on the
AMENDED STIPULATED PROTECTIVE ORDER 6 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 8 of 25 Page ID #:176
1 exterior of the container or containers in which the information is stored the legend
2 “CONFIDENTIAL.” If only a portion or portions of the information warrants
3 protection, the Producing Party, to the extent practicable, shall identify the protected
4 portion(s).
5 5.3 Inadvertent Failures to Designate. If timely corrected, an inadvertent failure
6 to designate qualified information or items does not, standing alone, waive the
7 Designating Party’s right to secure protection under this Order for such material.
8 Upon timely correction of a designation, the Receiving Party must make reasonable
9 efforts to assure that the material is treated in accordance with the provisions of this
10 Order.
11 6. CHALLENGING CONFIDENTIALITY DESIGNATIONS
12 6.1 Timing of Challenges. Any Party or Non-Party may challenge a
13 designation of confidentiality at any time that is consistent with the Court’s
14 Scheduling Order.
15 6.2 Meet and Confer. The Challenging Party shall initiate the informal dispute
16 resolution process set forth in the Court's Procedures and Schedules. see
17 http://www.cacd.uscourts.gov/honorable-alka-sagar
18 6.3 The burden of persuasion in any such challenge proceeding shall be on the
19 Designating Party. Frivolous challenges, and those made for an improper purpose
20 (e.g., to harass or impose unnecessary expenses and burdens on other parties) may
21 expose the Challenging Party to sanctions. Unless the Designating Party has waived
22 or withdrawn the confidentiality designation, all parties shall continue to afford the
23 material in question the level of protection to which it is entitled under the Producing
24 Party’s designation until the Court rules on the challenge.
25 7. ACCESS TO AND USE OF PROTECTED MATERIAL
26 7.1 Basic Principles. A Receiving Party may use Protected Material that is
27 disclosed or produced by another Party or by a Non-Party in connection with this
28 Action only for prosecuting, defending, or attempting to settle this Action. Such
AMENDED STIPULATED PROTECTIVE ORDER 7 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 9 of 25 Page ID #:177
1 Protected Material may be disclosed only to the categories of persons and under the
2 conditions described in this Order. When the Action has been terminated, a Receiving
3 Party must comply with the provisions of section 12 below (FINAL DISPOSITION).
4 Protected Material must be stored and maintained by a Receiving Party at a
5 location and in a secure manner that ensures that access is limited to the persons
6 authorized under this Order.
7 7.2 Disclosure of “CONFIDENTIAL” Information or Items. Unless otherwise
8 ordered by the court or permitted in writing by the Designating Party, a Receiving
9 Party may disclose any information or item designated “CONFIDENTIAL” only to:
10 (a) the Receiving Party’s Outside Counsel of Record in this Action, as well as
11 employees of said Outside Counsel of Record to whom it is reasonably necessary to
12 disclose the information for this Action;
13 (b) the officers, directors, and employees (including House Counsel) of the
14 Receiving Party to whom disclosure is reasonably necessary for this Action;
15 (c) Experts (as defined in this Order) of the Receiving Party to whom
16 disclosure is reasonably necessary for this Action and who have signed the
17 “Acknowledgment and Agreement to Be Bound” (Exhibit A);
18 (d) the court and its personnel;
19 (e) court reporters and their staff;
20 (f) professional jury or trial consultants, mock jurors, and Professional Vendors
21 to whom disclosure is reasonably necessary for this Action and who have signed the
22 “Acknowledgment and Agreement to Be Bound” (Exhibit A);
23 (g) the author or recipient of a document containing the information or a
24 custodian or other person who otherwise possessed or knew the information;
25 (h) during their depositions, witnesses, and attorneys for witnesses, in the
26 Action to whom disclosure is reasonably necessary provided: (1) the deposing party
27 requests that the witness sign the form attached as Exhibit A hereto; and (2) they will
28 not be permitted to keep any confidential information unless they sign the
AMENDED STIPULATED PROTECTIVE ORDER 8 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 10 of 25 Page ID #:178
1 “Acknowledgment and Agreement to Be Bound” (Exhibit A), unless otherwise
2 agreed by the Designating Party or ordered by the court. Pages of transcribed
3 deposition testimony or exhibits to depositions that reveal Protected Material may be
4 separately bound by the court reporter and may not be disclosed to anyone except as
5 permitted under this Stipulated Protective Order; and
6 (i) any mediator or settlement officer, and their supporting personnel, mutually
7 agreed upon by any of the parties engaged in settlement discussions.
8 8. PROTECTED MATERIAL SUBPOENAED OR ORDERED
9 PRODUCED IN OTHER LITIGATION
10 If a Party is served with a subpoena or a court order issued in other litigation
11 that compels disclosure of any information or items designated in this Action as
12 “CONFIDENTIAL,” that Party must:
13 (a) promptly notify in writing the Designating Party. Such notification shall
14 include a copy of the subpoena or court order;
15 (b) promptly notify in writing the party who caused the subpoena or order to
16 issue in the other litigation that some or all of the material covered by the subpoena or
17 order is subject to this Protective Order. Such notification shall include a copy of this
18 Stipulated Protective Order; and
19 (c) cooperate with respect to all reasonable procedures sought to be pursued by
20 the Designating Party whose Protected Material may be affected. If the Designating
21 Party timely seeks a protective order, the Party served with the subpoena or court
22 order shall not produce any information designated in this action as
23 “CONFIDENTIAL” before a determination by the court from which the subpoena or
24 order issued, unless the Party has obtained the Designating Party’s permission. The
25 Designating Party shall bear the burden and expense of seeking protection in that
26 court of its confidential material and nothing in these provisions should be construed
27 as authorizing or encouraging a Receiving Party in this Action to disobey a lawful
28 directive from another court.
AMENDED STIPULATED PROTECTIVE ORDER 9 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 11 of 25 Page ID #:179
1 9. A NON-PARTY’S PROTECTED MATERIAL SOUGHT TO BE
2 PRODUCED IN THIS LITIGATION
3 (a) The terms of this Order are applicable to information produced by a
4 NonParty in this Action and designated as “CONFIDENTIAL.” Such information
5 produced by Non-Parties in connection with this litigation is protected by the
6 remedies and relief provided by this Order. Nothing in these provisions should be
7 construed as prohibiting a Non-Party from seeking additional protections.
8 (b) In the event that a Party is required, by a valid discovery request, to
9 produce a Non-Party’s confidential information in its possession, and the Party is
10 subject to an agreement with the Non-Party not to produce the Non-Party’s
11 confidential information, then the Party shall:
12 (1) promptly notify in writing the Requesting Party and the Non-Party
13 that some or all of the information requested is subject to a confidentiality
14 agreement with a Non-Party;
15 (2) promptly provide the Non-Party with a copy of the Stipulated
16 Protective Order in this Action, the relevant discovery request(s), and a
17 reasonably specific description of the information requested; and (3) make the
18 information requested available for inspection by the Non-Party, if requested.
19 (c) If the Non-Party fails to seek a protective order from this court within 14
20 days of receiving the notice and accompanying information, the Receiving Party may
21 produce the Non-Party’s confidential information responsive to the discovery request.
22 If the Non-Party timely seeks a protective order, the Receiving Party shall not
23 produce any information in its possession or control that is subject to the
24 confidentiality agreement with the Non-Party before a determination by the court.
25 Absent a court order to the contrary, the Non-Party shall bear the burden and expense
26 of seeking protection in this court of its Protected Material.
27 10. UNAUTHORIZED DISCLOSURE OF PROTECTED MATERIAL
28 If a Receiving Party learns that, by inadvertence or otherwise, it has disclosed
AMENDED STIPULATED PROTECTIVE ORDER 10 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 12 of 25 Page ID #:180
1 Protected Material to any person or in any circumstance not authorized under this
2 Stipulated Protective Order, the Receiving Party must immediately (a) notify in
3 writing the Designating Party of the unauthorized disclosures, (b) use its best efforts
4 to retrieve all unauthorized copies of the Protected Material, (c) inform the person or
5 persons to whom unauthorized disclosures were made of all the terms of this Order,
6 and (d) request such person or persons to execute the “Acknowledgment and
7 Agreement to Be Bound” that is attached hereto as Exhibit A.
8 11. INADVERTENT PRODUCTION OF PRIVILEGED OR OTHERWISE
9 PROTECTED MATERIAL
10 When a Producing Party gives notice to Receiving Parties that certain
11 inadvertently produced material is subject to a claim of privilege or other protection,
12 the obligations of the Receiving Parties are those set forth in Federal Rule of Civil
13 Procedure 26(b)(5)(B). This provision is not intended to modify whatever procedure
14 may be established in an e-discovery order that provides for production without prior
15 privilege review. Pursuant to Federal Rule of Evidence 502(d) and (e), insofar as the
16 parties reach an agreement on the effect of disclosure of a communication or
17 information covered by the attorney-client privilege or work product protection, the
18 parties may incorporate their agreement in the stipulated protective order submitted to
19 the court.
20 12. MISCELLANEOUS
21 12.1 Right to Further Relief. Nothing in this Order abridges the right of any
22 person to seek its modification by the Court in the future.
23 12.2 Right to Assert Other Objections. By stipulating to the entry of this
24 Protective Order no Party waives any right it otherwise would have to object to
25 disclosing or producing any information or item on any ground not addressed in this
26 Stipulated Protective Order. Similarly, no Party waives any right to object on any
27 ground to use in evidence of any of the material covered by this Protective Order.
28 12.3 Filing Protected Material. A Party that seeks to file under seal any
AMENDED STIPULATED PROTECTIVE ORDER 11 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 13 of 25 Page ID #:181
1 Protected Material must comply with Civil Local Rule 79-5. Protected Material may
2 only be filed under seal pursuant to a court order authorizing the sealing of the
3 specific Protected Material at issue. If a Party's request to file Protected Material
4 under seal is denied by the court, then the Receiving Party may file the information in
5 the public record unless otherwise instructed by the court.
6 There is a strong presumption that the public has a right of access to judicial
7 proceedings and records in civil cases. In connection with non-dispositive motions,
8 good cause must be shown to support a filing under seal. See Kamakana v. City and
9 County of Honolulu, 447 F.3d 1172, 1176 (9th Cir. 2006), Phillips v. Gen. Motors
Corp., 307 F.3d 1206, 1210-11 (9th Cir. 2002), Makar-Welbon v. Sony Electrics, Inc.,
10
187 F.R.D. 576, 577 (E.D. Wis. 1999) (even stipulated protective orders require good
11
cause showing), and a specific showing of good cause or compelling reasons with
12
proper evidentiary support and legal justification, must be made with respect to
13
Protected Material that a party seeks to file under seal. The parties’ mere designation
14
of Disclosure or Discovery Material as CONFIDENTIAL does not—without the
15
submission of competent evidence by declaration, establishing that the material
16
sought to be filed under seal qualifies as confidential, privileged, or otherwise
17
protectable—constitute good cause.
18 Further, if a party requests sealing related to a dispositive motion or trial, then
19 compelling reasons, not only good cause, for the sealing must be shown, and the
20 relief sought shall be narrowly tailored to serve the specific interest to be protected.
21 See Pintos v. Pacific Creditors Ass’n, 605 F.3d 665, 677-79 (9th Cir. 2010). For each
22 item or type of information, document, or thing sought to be filed or introduced under
23 seal in connection with a dispositive motion or trial, the party seeking protection must
24 articulate compelling reasons, supported by specific facts and legal justification, for
the requested sealing order. Again, competent evidence supporting the application to
25
file documents under seal must be provided by declaration.
26
Any document that is not confidential, privileged, or otherwise protectable in
27
its entirety will not be filed under seal if the confidential portions can be redacted. If
28
AMENDED STIPULATED PROTECTIVE ORDER 12 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 14 of 25 Page ID #:182
1 documents can be redacted, then a redacted version for public viewing, omitting only
2 the confidential, privileged, or otherwise protectable portions of the document, shall
3 be filed. Any application that seeks to file documents under seal in their entirety
4 should include an explanation of why redaction is not feasible.
5 13. FINAL DISPOSITION
6 After the final disposition of this Action, as defined in paragraph 4, within 60
7 days of a written request by the Designating Party, each Receiving Party must return
8 all Protected Material to the Producing Party or destroy such material. As used in this
9 subdivision, “all Protected Material” includes all copies, abstracts, compilations,
10 summaries, and any other format reproducing or capturing any of the Protected
11 Material. Whether the Protected Material is returned or destroyed, the Receiving
12 Party must submit a written certification to the Producing Party (and, if not the same
13 person or entity, to the Designating Party) by the 60 day deadline that (1) identifies
14 (by category, where appropriate) all the Protected Material that was returned or
15 destroyed and (2)affirms that the Receiving Party has not retained any copies,
16 abstracts, compilations, summaries or any other format reproducing or capturing any
17 of the Protected Material. Notwithstanding this provision, Counsel are entitled to
18 retain an archival copy of all pleadings, motion papers, trial, deposition, and hearing
19 transcripts, legal memoranda, correspondence, deposition and trial exhibits, expert
20 reports, attorney work product, and consultant and expert work product, even if such
21 materials contain Protected Material. Any such archival copies that contain or
22 constitute Protected Material remain subject to this Protective Order as set forth in
23 Section 4 (DURATION).
24 Unlike private litigants, the SEC has separate and additional document
25 retention obligations mandated by statutes, including, but not limited to, the
26 following: (1) 18 U.S.C. §§ 641 and 2071; (2) 44 U.S.C. Chapters 21, 29, 31, and
27 33; and (3) 36 C.F.R. Parts 1220-1239. As a result, Paragraph 13 shall not apply to
any Protected Material in the possession of the SEC. In addition, nothing in this
28
AMENDED STIPULATED PROTECTIVE ORDER 13 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 15 of 25 Page ID #:183
1 Protective Order shall restrict or limit the SEC from retaining any materials to the
2 extent required by law. The SEC may retain any Protected Material should it or its
3 staff determine that it should or must retain such information to fulfill its record-
4 keeping obligations or any other obligation, or to carry out any permitted uses
under the SEC’s Form 1662, Exhibit B.
5
14. Any violation of this Order may be punished by any and all appropriate
6
measures including, without limitation, contempt proceedings and/or monetary
7
sanctions.
8
9
IT IS SO STIPULATED, THROUGH COUNSEL OF RECORD.
10
11
DATED: January 14, 2022
12
13
s/ Amy Jane Longo
14
Amy Jane Longo
15 Janet Rich Weissman
Attorneys for Plaintiff
16
17
DATED: January 14, 2022
18
19
s/ Jonathan Bletzacker
20 Jonathan Bletzacker
21 Attorneys for Defendants
22
FOR GOOD CAUSE SHOWN, IT IS SO ORDERED. DATED: 01/18/2022
23
24
/S/
25 Honorable Alka Sagar
26 United States Magistrate Judge
27
28
AMENDED STIPULATED PROTECTIVE ORDER 14 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 16 of 25 Page ID #:184
1 EXHIBIT A
2 ACKNOWLEDGMENT AND AGREEMENT TO BE BOUND
3 I, _____________________________ [print or type full name], of
4 _________________ [print or type full address], declare under penalty of perjury that
5 I have read in its entirety and understand the Stipulated Protective Order that was
6 issued by the United States District Court for the Central District of California on
7 [date] in the case of Securities and Exchange Commission v. SHE Beverage
8 Company, Inc., et al., Civil Case No.: 2:21-cv-07339-CAS-AS. I agree to comply
9 with and to be bound by all the terms of this Stipulated Protective Order and I
10 understand and acknowledge that failure to so comply could expose me to sanctions
11 and punishment in the nature of contempt. I solemnly promise that I will not disclose
12 in any manner any information or item that is subject to this Stipulated Protective
13 Order to any person or entity except in strict compliance with the provisions of this
14 Order. I further agree to submit to the jurisdiction of the United States District Court
15 for the Central District of California for the purpose of enforcing the terms of this
16 Stipulated Protective Order, even if such enforcement proceedings occur after
17 termination of this action. I hereby appoint __________________________ [print or
18 type full name] of _______________________________________ [print or type full
19 address and telephone number] as my California agent for service of process in
20 connection with this action or any proceedings related to enforcement of this
21 Stipulated Protective Order.
22
23 Date: ______________________________________
24 City and State where sworn and signed: ________________________________
25
26 Printed name: _______________________________
27 Signature: __________________________________
28
AMENDED STIPULATED PROTECTIVE ORDER 15 2:21-cv-07339-CAS-AS
Case 2:21-cv-07339-CAS-AS EXNHIBIT age 2a ExoAAG Heh SRin
Data Delivery Standards
Seu
i on U.S. Securities and Exchange Commission
=
wo kin Fg □□ Data Delivery Standards
SOUS
This document describes the technical requirements for paper and electronic document productions to the U.S.
Securities and Exchange Commission (SEC). **Any questions or proposed file formats other than those
described below must be discussed with the legal and technical staff of the SEC Division of Enforcement
prior to submission.**
Gemeral Instructions... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□
Delivery □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 2
T. Timaged Productions... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□
Tima ges... cee □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ O
2. Image Cross-Reference File 0... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□
3. Data File... eee □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□
A TeX cece cece ceec ence cece cece □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 3
5. Linked Native Files... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□
Il. Native File Productions without Load Files □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 4
TH. Adobe PDF File Productions □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ cece □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A
TV. Audio Files oo... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A
© VW, Video Files □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 4
VI. Electronic Trade and Bank Records □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ cece □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A
VII. Electromic Phone Records □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A
VIL. Audit Workpapets ...... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□
TX. Mobile Device Data 2.0... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ D
General Instructions
Due to COVID-19 restrictions the current, temporary mailing address for all physical productions sent to the SEC is:
ENF-CPU (U.S. Securities & Exchange Commission), 14420 Albemarle Point Place, Suite 102, Chantilly, VA 20151-1750
Electronic files must be produced in their native format, i.e. the format in which they are ordinarily used and maintained during the
normal course of business. For example, an MS Excel file must be produced as an MS Excel file rather than an image of a spreadsheet.
(Note: An Adobe PDF file is not considered a native file unless the document was initially created as a PDF.)
In the event produced files require the use of proprietary software not commonly found in the workplace, the SEC will explore
other format options with the producing party.
The proposed use of file de-duplication methodologies or computer-assisted review or technology-assisted review (TAR) during
the processing of documents must be discussed with and approved by the legal and technical staff of the Division of
Enforcement (ENF). If your production will be de-duplicated it is vital that you 1) preserve any unique metadata associated with
the duplicate files, for example, custodian name and file location and, 2) make that unique metadata part of your production to the
SEC,
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U.S. Securities and Exchange Commission
Data Delivery Standards
General requirements for ALL document productions are:
1. A cover letter must be included with each production and should include the following information:
a. Case number, case name and requesting SEC staff member name
b. A list of each piece of media included in the production with its unique production volume number
c. A list of custodians, identifying the Bates range for each custodian
d. The time zone in which the emails were standardized during conversion
e. Whether the production contains native files produced from Mac operating system environments
2. Data can be produced on CD, DVD, thumb drive, etc., using the media requiring the least number of deliverables and
labeled with the following:
a. Case number
b. Production date
c. Producing party
d. Bates range (if applicable)
3. All submissions must be organized by custodian unless otherwise instructed.
4. All document family groups, i.e. email attachments, embedded files, etc., should be produced together and children files
should follow parent files sequentially in the Bates numbering.
5. All load-ready collections should include only one data load file and one image pointer file.
6. All load-ready text must be produced as separate document-level text files.
7. All load-ready collections should account for custodians in the custodian field.
8. All load-ready collections must provide the extracted contents of any container files to ensure all relevant files are produced
as separate records.
9. Audio files should be separated from data files if both are included in the production.
10. Only alphanumeric characters and the underscore character are permitted in file names and folder names. Special characters
are not permitted.
11. All electronic productions submitted on media must be produced using industry standard self-extracting encryption software.
12. The SEC uses 7zip to access compressed files. Note that the SEC cannot accept files that use AES-256 Jpeg or pkAES-256-
Cert Deflate compression methods, even if the files are created with 7zip. If you have any questions or need additional
information, please reach out to the requesting SEC staff member.
13. Electronic productions of 20 GB or less are strongly encouraged to be submitted via Secure File Transfer. All Secure File
Transfers should be sent to the SEC Centralized Production Unit (ENF-CPU@sec.gov) with a CC to the requesting SEC staff
member. If you do not have your own Secure File Transfer application, you may reach out to the requesting SEC staff member
for a link to the SEC system in order to upload your production. If using the SEC Secure File Transfer system, you will NOT
be able to CC individuals outside the SEC on your upload transmission. Note that the SEC cannot accept productions made
using file sharing sites such as Google Drive, Microsoft Office 365 or Dropbox.
14. Productions containing BSA or SAR material must be delivered on encrypted physical media. The SEC cannot accept
electronic transmission of BSA or SAR material. Any BSA or SAR material produced should be segregated and appropriately
marked as BSA or SAR material, or should be produced separately from other case related material.
15. Passwords for electronic documents, files, compressed archives and encrypted media must be provided separately either via
email or in a cover letter apart from the media.
16. All electronic productions should be produced free of computer viruses.
17. Before producing forensically collected images, parties should reach out to the requesting SEC staff member in order to
discuss appropriate handling.
18. Before producing unique data sets (large sets of relational data, website reconstruction, chat room data, etc.), parties should
reach out to the requesting SEC staff member in order to discuss an appropriate production format.
19. Additional technical descriptions can be found in the addendum to this document.
*Please note that productions sent to the SEC via United States Postal Service are subject to Mail Irradiation, and as a
result electronic productions may be damaged.*
2
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U.S. Securities and Exchange Commission
Data Delivery Standards
Delivery Formats
I. Imaged Productions
The SEC prefers that all scanned paper and electronic file collections be produced in a structured format including industry
standard load files, Bates numbered image files, native files and searchable document-level text files.
1. Images
a. Black and white images must be 300 DPI Group IV single-page TIFF files
b. Color images must be produced in JPEG format
c. File names cannot contain embedded spaces or special characters (including the comma)
d. Folder names cannot contain embedded spaces or special characters (including the comma)
e. All image files must have a unique file name, i.e. Bates number
f. Images must be endorsed with sequential Bates numbers in the lower right corner of each image
g. The number of image files per folder should not exceed 2,000 files
h. Excel spreadsheets should have a placeholder image named by the Bates number of the file
i. AUTOCAD/photograph files should be produced as a single page JPEG file
2. Image Cross-Reference File
The image cross-reference file (.LOG or .OPT) links the images to the database records. It should be a comma-delimited
file consisting of seven fields per line with a line in the cross-reference file for every image in the database with the
following format:
ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,BoxBreak,PageCount
3. Data File
The data file (.DAT) contains all of the fielded information that will be loaded into the database.
a. The first line of the .DAT file must be a header row identifying the field names
b. The .DAT file must use the following Concordance® default delimiters:
Comma ASCII character (020)
Quote þ ASCII character (254)
c. If the .DAT file is produced in Unicode format it must contain the byte order marker
d. Date fields should be provided in the format: mm/dd/yyyy
e. Date and time fields must be two separate fields
f. The time zone must be included in all time fields
g. If the production includes imaged emails and attachments, the attachment fields must be included to preserve the
parent/child relationship between an email and its attachments
h. An OCRPATH field must be included to provide the file path and name of the extracted text file on the produced
storage media. The text file must be named after the FIRSTBATES. Do not include the text in the .DAT file.
i. For productions with native files, a LINK field must be included to provide the file path and name of the native file
on the produced storage media. The native file must be named after the FIRSTBATES.
j. BEGATTACH and ENDATTACH fields must be two separate fields
k. A complete list of metadata fields is available in Addendum A to this document
4. Text
Text must be produced as separate document-level text files, not as fields within the .DAT file. The text files must be named
per the FIRSTBATES/Image Key and the full path to the text file (OCRPATH) should be included in the .DAT file. Text files
may be in either ANSI or Unicode format, however, ALL text files must be in the same format within the same production. Note
that productions containing text with foreign characters must produce text files in Unicode format to preserve the foreign
characters. Text files must be in a separate folder, and the number of text files per folder should not exceed 2,000 files. There
should be no special characters (including commas) in the folder names. For redacted documents, provide the full text for
the redacted version.
5. Linked Native Files
Copies of original email and native file documents/attachments must be included for all electronic productions.
a. Native file documents must be named per the FIRSTBATES number
b. The full path of the native file must be provided in the .DAT file for the LINK field
c. The number of native files per folder should not exceed 2,000 files
3
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U.S. Securities and Exchange Commission
Data Delivery Standards
II. Native File Production without Load Files
With prior approval, native files may be produced without load files. The native files must be produced as they are maintained
in the normal course of business and organized by custodian-named file folders. When approved, native email files (.PST or
.MBOX) may be produced. A separate folder should be provided for each custodian.
III. Adobe PDF File Production
With prior approval, Adobe PDF files may be produced in native file format.
1. All PDFs must be unitized at the document level, i.e., each PDF must represent a discrete document.
2. PDF files should be produced in separate folders named by the custodian. The folders should not contain any special
characters (including commas).
3. All PDF files must contain embedded text that includes all discernible words within the document, not selected text
or image only. This requires all layers of the PDF to be flattened first.
4. If PDF files are Bates endorsed, the PDF files must be named by the Bates range.
IV. Audio Files
Audio files from telephone recording systems must be produced in a format that is playable using Microsoft Windows
Media Player™. Additionally, the call information (metadata) related to each audio recording MUST be provided. The
metadata file must be produced in a delimited text format. Field names must be included in the first row of the text file.
The metadata must include, at a minimum, the following fields:
1) Caller Name: Caller’s name or account/identification number
2) Originating Number: Caller’s phone number
3) Called Party Name: Called party’s name
4) Terminating Number: Called party’s phone number
5) Date: Date of call
6) Time: Time of call
7) Filename: Filename of audio file
V. Video Files
Video files must be produced in a format that is playable using Microsoft Windows Media Player™.
VI. Electronic Trade and Bank Records
When producing electronic trade records, bank records, or financial statements, provide the files in one of the following formats:
1. MS Excel spreadsheet with header information detailing the field structure. If any special codes exist in the dataset, a
separate document must be provided that details all such codes. If details of the field structure do not fit in the header, a
separate document must be provided that includes such details.
2. Delimited text file with header information detailing the field structure. The preferred delimiter is a vertical bar “|”. If
any special codes exist in the dataset, a separate document must be provided that details all such codes. If details of the
field structure do not fit in the header, a separate document must be provided that includes such details.
VII. Electronic Phone Records
When producing electronic phone records, provide the files in the following format:
1. MS Excel spreadsheet with header information detailing the field structure. If any special codes exist in the dataset, a
separate document must be provided that details all such codes. If details of the field structure do not fit in the header, a
separate document must be provided that includes such details. Data must be formatted in its native format (i.e.
dates in a date format, numbers in an appropriate numerical format, and numbers with leading zeroes as text).
a. The metadata that must be included is outlined in Addendum B of this document. Each field of data must be
loaded into a separate column. For example, Date and Start_Time must be produced in separate columns and
not combined into a single column containing both pieces of information. Any fields of data that are provided
in addition to those listed in Addendum B must also be loaded into separate columns.
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VIII. Audit Workpapers
The SEC prefers for workpapers to be produced in two formats: (1) With Bates numbers in accordance with the SEC Data
Delivery Standards; and (2) in native format or if proprietary software was used, on a standalone laptop with the appropriate
software loaded so that the workpapers may be reviewed as they would have been maintained in the ordinary course of
business. The laptop must have printing capability, and when possible, the laptop should be configured to enable a Virtual
Machine (VM) environment.
IX. Mobile Device Data
Before producing mobile device data (including but not limited to text messages) parties should reach out to the requesting
SEC staff member in order to discuss the appropriate production format.
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ADDENDUM A
The metadata of electronic document collections should be extracted and provided in a .DAT file using the field definition and
formatting described below:
Field Name Sample Data Description
FIRSTBATES EDC0000001 First Bates number of native file document/email
LASTBATES EDC0000001 Last Bates number of native file document/email
**The LASTBATES field should be populated
for single page documents/emails.
ATTACHRANGE EDC0000001 - EDC0000015 Bates number of the first page of the parent
document to the Bates number of the last page of the
last attachment “child” document
BEGATTACH EDC0000001 First Bates number of attachment range
ENDATTACH EDC0000015 Last Bates number of attachment range
PARENT_BATES EDC0000001 First Bates number of parent document/Email
**This PARENT_BATES field should be populated
in each record representing an attachment “child”
document
CHILD_BATES EDC0000002; EDC0000014 First Bates number of “child” attachment(s); can be
more than one Bates number listed depending on the
number of attachments
**The CHILD_BATES field should be populated in
each record representing a “parent” document
CUSTODIAN Smith, John Email: Mailbox where the email resided
Native: Name of the individual or department from
whose files the document originated
FROM John Smith Email: Sender
Native: Author(s) of document
**semi-colon should be used to separate multiple
entries
TO Coffman, Janice; LeeW Recipient(s)
[mailto:LeeW@MSN.com] **semi-colon should be used to separate multiple
entries
CC Frank Thompson [mailto: Carbon copy recipient(s)
frank_Thompson@cdt.com] **semi-colon should be used to separate multiple
entries
BCC John Cain Blind carbon copy recipient(s)
**semi-colon should be used to separate multiple
entries
SUBJECT Board Meeting Minutes Email: Subject line of the email
Native: Title of document (if available)
FILE_NAME BoardMeetingMinutes.docx Native: Name of the original native file, including
extension
DATE_SENT 10/12/2010 Email: Date the email was sent
Native: (empty)
TIME_SENT/TIME 07:05 PM GMT Email: Time the email was sent/ Time zone in which
_ZONE the emails were standardized during conversion.
Native: (empty)
**This data must be a separate field and cannot be
combined with the DATE_SENT field
TIME_ZONE GMT The time zone in which the emails were standardized
during conversion.
Email: Time zone
Native: (empty)
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LINK D:\001\ EDC0000001.msg Hyperlink to the email or native file document
**The linked file must be named per the
FIRSTBATES number
MIME_TYPE application/msword The content type of an email or native file document
as identified/extracted from the header
FILE_EXTEN MSG The file type extension representing the email or
native file document; will vary depending on the
format
AUTHOR John Smith Email: (empty)
Native: Author of the document
LAST_AUTHOR Jane Doe Email: (empty)
Native: Last Author of the document
DATE_CREATED 10/10/2010 Email: (empty)
Native: Date the document was created
TIME_CREATED/T 10:25 AM GMT Email: (empty)
IME_ZONE Native: Time the document was created including time
zone
**This data must be a separate field and cannot be
DATE_MOD 10/12/2010 Email: (empty)
Native: Date the document was last modified
TIME_MOD/TIME_ 07:00 PM GMT Email: (empty)
ZONE Native: Time the document was last modified including
the time zone
**This data must be a separate field and cannot be
DATE_ACCESSD 10/12/2010 Email: (empty)
Native: Date the document was last accessed
TIME_ACCESSD/T 07:00 PM GMT Email: (empty)
IME_ZONE Native: Time the document was last accessed including
the time zone
**This data must be a separate field and cannot be
PRINTED_DATE 10/12/2010 Email: (empty)
Native: Date the document was last printed
FILE_SIZE 5,952 Size of native file document/email in KB
PGCOUNT 1 Number of pages in native file document/email
PATH J:\Shared\SmithJ\October Email: (empty)
Agenda.doc Native: Path where native file document was stored
including original file name.
INTFILEPATH Personal Folders\Deleted Email: original location of email including original
Items\Board Meeting file name.
Minutes.msg Native: (empty)
INTMSGID <000805c2c71b$75977050$cb Email: Unique Message ID
8306d1@MSN> Native: (empty)
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HEADER Return-Path: Email: The email header information
<example_from@dc.edu> Native: (empty)
X-SpamCatcher-Score:1[X]
Received:from[136.167.40.119]
(HELO dc.edu)
by fe3.dc.edu (CommuniGate
Pro SMTP4.1.8)
with ESMTP-TLS id 61258719
for example_to@mail.dc.edu;
Mon, 23 Aug 2004 11:40:10 -
0400
Message-ID:
<4129F3CA.2020509@dc.edu>
Date: Mon, 23 Aug 2005
11:40:36 -400
From: Taylor Evans
<example_from@dc.edu>
User-Agent:Mozilla/5.0
(Windows;U; Windows NT 5.1;
en-US;rv:1.0.1)
Gecko/20020823 Netscape/7.0
X-Accept-Language:en-us,en
MIME-Version:1.0
To: Jon Smith
<example_to@mail.dc.edu>
Subject:Business Development
Meeting
Content-Type:
text/plain;charset=us-ascii;
format=flowed
Content-Transfer-Encoding:7bit
MD5HASH d131dd02c5e6eec4693d9a069 MD5 Hash value of the document.
8aff95c
2fcab58712467eab4004583eb
8fb7f89
OCRPATH TEXT/001/EDC0000001.txt Path to extracted text of the native file
Sample Image Cross-Reference File:
IMG0000001,,E:\001\IMG0000001.TIF,Y,,,
IMG0000002,,E:\001\IMG0000002.TIF,,,,
IMG0000003,,E:\001\IMG0000003.TIF,,,,
IMG0000004,,E:\001\IMG0000004.TIF,Y,,,
IMG0000005,,E:\001\IMG0000005.TIF,Y,,,
IMG0000006,,E:\001\IMG0000006.TIF,,,,
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ADDENDUM B
For Electronic Phone Records, include the following fields in separate columns:
For Calls:
1) Account Number
2) Connection Date – Date the call was received or made
3) Connection Time – Time call was received or made
4) Seizure Time – Time it took for the call to be placed in seconds
5) Originating Number – Phone that placed the call
6) Terminating Number – Phone that received the call
7) Elapsed Time – The length of time the call lasted, preferably in seconds
8) End Time – The time the call ended
9) Number Dialed – Actual number dialed
10) IMEI Originating – Unique id to phone used to make call
11) IMEI Terminating– Unique id to phone used to receive call
12) IMSI Originating – Unique id to phone used to make call
13) IMSI Terminating- Unique id to phone used to receive call
14) Call Codes – Identify call direction or other routing information
15) Time Zone – Time Zone in which the call was received or placed, if applicable
For Text messages:
1) Account Number
2) Connection Date – Date the text was received or made
3) Connection Time – Time text was received or made
4) Originating Number – Who placed the text
5) Terminating Number – Who received the text
6) IMEI Originating – Unique id to phone used to make text
7) IMEI Terminating– Unique id to phone used to receive text
8) IMSI Originating - Unique id to phone used to make text
9) IMSI Terminating- Unique id to phone used to receive text
10) Text Code – Identify text direction, or other text routing information
11) Text Type Code – Type of text message (sent SMS, MMS, or other)
12) Time Zone – Time Zone in which the call was received or placed, if applicable
For Mobile Data Usage:
1) Account Number
2) Connection Date – Date the data was received or made
3) Connection Time – Time data was received or made
4) Originating number – Number that used data
5) IMEI Originating – Unique id of phone that used data
6) IMSI Originating - Unique id of phone that used data
7) Data or Data codes – Identify data direction, or other data routing information
8) Time Zone – Time Zone in which the call was received or placed, if applicable
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