OAH Docket No. 4-2500-19221-2
MPUC Docket No. E015/SA-07-1079
STATE OF
OFFICE OF ADMINISTRATIVE HEARINGS
FOR THE
|
In the Matter of the Joint
Application of |
PROTECTIVE ORDER |
BACKGROUND
1. This
matter was referred to the Office of Administrative Hearings by the Minnesota
Public Utilities Commission (Commission) for a contested case hearing in its
Notice and Order for Hearing issued on September 20, 2007 in the above-entitled
docket.
2. During
the proceedings in this matter, Parties may request, provide, and use trade
secret information or nonpublic data (“Trade Secret Information or Nonpublic
Data”) as defined by the Minnesota Government Data Practices Act (“Minnesota Data
Practices Act”), Minnesota Statutes chapter 13.01 et seq.
3. Minnesota
Statutes section 14.60, subdivision 2 allows the Administrative Law Judge in a
contested case to conduct a closed hearing to discuss trade secret information or
nonpublic data, issue necessary protective orders, and seal all or part of the
hearing record.
ACCORDINGLY,
IT IS HEREBY ORDERED
1. Trade Secret Information and Nonpublic
Data.
(a) All Trade Secret Information and Nonpublic
Data shall be furnished pursuant to the terms of this Protective Order, and
shall be treated by all persons accorded access thereto pursuant to this
Protective Order as constituting confidential, competitive, trade secret, and/or
business information, which shall be used solely for the purpose of this
proceeding (e.g., discovery, testimony, comments, information requests,
motions, cross-examination and argument) and solely in accordance with this
Protective Order, and shall not be used or disclosed for any other purpose or
in any other manner.
All data claimed to be Trade Secret
Information or Nonpublic Data shall be marked in accordance with the
Commission’s September 1, 1999, Revised Procedures for Handling Trade Secret
and Privileged Data (“Commission’s Procedures”).
All copies of documents so marked will be
made and maintained in a manner that will facilitate maintaining
confidentiality of the information. For
purposes hereof, notes made pertaining to or prepared as the result of a review
of Trade Secret Information or Nonpublic Data shall be subject to the terms of
this Protective Order. Trade Secret
Information or Nonpublic Data may not be served electronically on any party,
but rather shall only be served by hand, by mail, or by other physical delivery
service. Any such material received in
photographic, digital or electronic formats shall be identified as protected by
the disclosing party by means appropriate to the medium and shall be handled by
the receiving party in a manner suitable to protect its confidentiality.
(b) Trade
Secret Information or Nonpublic Data shall not include information which is demonstrated by the party in
possession of the information:
(i) to
have been in its possession or the possession of its officers, directors,
employees, affiliates, or agents prior to receiving it from the disclosing
party, and not subject to a confidentiality obligation, or
(ii) to
have been in the public domain prior to the disclosure of such information by
the disclosing party to the receiving party, or becomes a part of the public
domain through no breach of this Order by the receiving party, or
(iii) to
have been supplied to the receiving party without restriction by a third party
who is under no obligation to the disclosing party to maintain such information
in confidence.
The party in possession of information subject to
this exclusion shall inform the disclosing party claiming the information is
Trade Secret or Non-Public Data that it is subject to this exclusion prior to
using it in reliance on this exclusion.
2. Use of Trade Secret Information
or Nonpublic Data and Persons Entitled to Review.
(a) Persons
entitled to review; use restrictions.
Trade Secret Information and Nonpublic Data shall only be disclosed to those
formally granted party status pursuant to Minnesota Rules 7829.0800 or
1400.6200. All Trade Secret Information and
Nonpublic Data made available pursuant to this Protective Order shall be given
solely to counsel for the party or other authorized persons who are designated
by counsel as being the party’s staff member, expert, or witness involved in
this proceeding and who has executed Exhibit A to this Protective Order in a
timely manner prior to receipt of the Trade Secret Information or Nonpublic Data. The Trade Secret Information or Nonpublic
Data may not be used or referenced in other proceedings in Minnesota or in
other jurisdictions, including but not limited to (i) use by any party in
connection with any subsequent competitive bidding and/or resource acquisition
process in Minnesota or other jurisdictions, or (ii) used by any party or any
affiliates or consultants in connection with any efforts in Minnesota or other
jurisdictions to seek to develop, amend or lobby for any legislation. Unless otherwise provided in this Protective
Order, all Trade Secret Information and Nonpublic Data must be safeguarded and
handled in accordance with the Commission’s Procedures.
(i) Minnesota Department
of Commerce. Subject to claims of
privilege, relevance, and other exclusions from discovery, if a discovery
request calls for the production of Trade Secret Information or Nonpublic Data,
the Minnesota Department of Commerce ("Department") shall be entitled
to obtain all such data and shall not be restricted in any respect from
reviewing and using such data in connection with this proceeding except as
provided by the Minnesota Data Practices Act and this Protective Order.
(ii) Third-Party
Protections. Prior to furnishing
Trade Secret Information or Nonpublic Data generated by any unaffiliated third party
to a party requesting the information, the disclosing party shall be allowed 48
hours to notify the affected unaffiliated third party of the identity of the receiving
party and the nature of the requested information. If the unaffiliated third party objects to
its disclosure to a particular receiving party, the disclosing party shall
bring a motion for a protective order within 24 hours.
(iii) Copies and databases. Neither a receiving party nor any other person
who may become authorized or who otherwise may gain access to the Trade Secret Information
or Nonpublic Data shall copy or duplicate it in any way, in whole or in part,
except to the extent necessary for reasonable use with respect to this proceeding.
Trade Secret Information and Nonpublic Data
shall be managed so that it can be secured in a manner consistent with this
agreement. Trade Secret Information and
Nonpublic Data shall be maintained in a secure location accessible only to
individuals authorized by this Protective Order to review the Trade Secret Information
or Nonpublic Data.
(b) Nondisclosure
Protective Agreement and Order.
Prior to giving access to any Trade Secret Information or Nonpublic Data
to any staff member, expert, or witness, the receiving party of such
information shall cause the staff member, expert, or witness to review the
terms and conditions of this Protective Order and agree in writing to comply
with and be bound by it. Trade Secret
Information or Nonpublic Data shall not be disclosed by a receiving party to
any person who has not signed the Nondisclosure Agreement attached hereto and
incorporated herein as Exhibit A. Upon
execution, the Nondisclosure Agreement shall be delivered to counsel for the
party disclosing the Trade Secret Information or Nonpublic Data at least 24
hours, excluding weekends and holidays, prior to the receiving party’s staff
member, expert, or witness gaining access to the Trade Secret Information or
Nonpublic Data. If counsel for the disclosing
party notifies the Administrative Law Judge of an objection within the 24
hours, no Trade Secret Information or Nonpublic Data shall be provided to the
staff member, expert, or witness by the receiving party until so ordered by the
Administrative Law Judge.
3. Challenges
or Other Special Requests. This
Protective Order establishes a procedure for the expeditious handling of material
designated Trade Secret Information or Nonpublic Data. It shall not be construed as an agreement or
ruling on the discoverability, confidentiality, or trade secret designation of
any such information or document. Any
party at any time upon five (5) business days prior notice may seek by
appropriate pleading to have documents or other matters that have been
designated as Trade Secret Information or Nonpublic Data removed from the
protective requirements of this Protective Order or handled in a manner
differently than described in this Protective Order (either for greater or
lesser confidentiality protections). If
the trade secret or nonpublic nature of information is challenged, resolution
of the issue shall be made by the Administrative Law Judge or Commission after in
camera proceedings which shall be conducted under circumstances such that only
those persons duly authorized hereunder to have access to such trade secret or
nonpublic matter shall be present. The
record of such in camera hearings shall be marked “CONTAINS TRADE SECRET
INFORMATION - USE OF NONPUBLIC DATA RESTRICTED PER PROTECTIVE ORDER IN DOCKET
NO. E-015/SA-07-1079,” unless the Administrative Law Judge or Commission
determines that the proceeding should not be classified as involving Trade
Secret Information or Nonpublic Data.
Notwithstanding anything herein to the contrary, a party receiving Trade
Secret Information or Nonpublic Data may disclose that data if legally
compelled or required to do so by any court, administrative agency, or other
governmental authority, provided that the receiving party give the disclosing party
notice so the disclosing party may, at its own expense, seek a protective order
or other appropriate remedy prior to the receiving party disclosing the data,
or waive compliance with this Order.
4. Use
of Trade Secret Information and Nonpublic Data in Comments or Pleadings. Where
reference to Trade Secret Information or Nonpublic Data is required in
comments, information requests, motions, testimony, cross-examinations, briefs,
oral arguments, or any other pleadings, transcripts or presentations submitted
for the record in this proceeding, it shall be by citation of title or exhibit
number or by some other non-confidential description. Any further use of or substantive reference
to Trade Secret Information or Nonpublic Data shall be placed in a separate
“Nonpublic” copy of the comments, information request, motion, testimony, cross-examination,
brief, oral argument, pleading, transcript, or presentation submitted to the
Commission or Office of Administrative Hearings pursuant to the terms of the
Commission’s Procedures. This
“Nonpublic” copy shall be served only on a party’s counsel of record who has
signed a Nondisclosure Agreement. All
the protections afforded in this Protective Order apply to materials prepared
and distributed under this paragraph.
5. Use
of Trade Secret Information and Nonpublic Data in Depositions. If, in the course of depositions, counsel for
any party concludes that testimony or exhibits will involve Trade Secret
Information or Nonpublic Data, counsel shall request that the court reporter
record such testimony in a confidential transcript that is marked “CONTAINS
TRADE SECRET INFORMATION- USE OF NONPUBLIC DATA RESTRICTED PER PROTECTIVE ORDER
IN DOCKET NO. E-115/SA-07-15079.” All
Exhibits which have been marked as involving Trade Secret Information or
Nonpublic Data shall be attached to the confidential transcript and marked
consistent with the Commission’s Procedures.
Each party has the right to identify a transcript or exhibits as
including Trade Secret Information or Nonpublic Data pursuant to this paragraph
for up to three (3) business days after the deposition is completed.
6. Use
of Trade Secret Information and Nonpublic Data in Hearings or Commission Meetings. The receiving party shall not use Trade
Secret Information or Nonpublic Data in a hearing without first (a) providing
prior notice to the disclosing party regarding the information to be used and
(b) conferring with the disclosing party regarding limitations or procedures
that can be used to avoid disclosing the confidential aspects of the
information at issue to persons not otherwise entitled to receive such
information. If the parties cannot reach
agreement regarding the use of such information, then the dispute shall be
submitted to the Administrative Law Judge or the Commission before the
information is used or publicly disclosed.
Without limiting the foregoing, no party shall refer to Trade Secret Information
or Nonpublic Data in oral testimony, cross-examination, or argument except in
accordance with this paragraph.
7. Return
or Destruction. Unless otherwise
ordered, all Trade Secret Information and Nonpublic Data, including transcripts
of any depositions to which a claim of trade secret or nonpublic status is
made, shall remain under seal, shall continue to be subject to the protective
requirements of this Protective Order and, except as provided in Paragraph 11,
shall within 30 days after final settlement or conclusion of this proceeding,
including administrative or judicial review thereof, either (i) be returned to
counsel for the disclosing party, or (ii) destroyed and a certificate of
destruction provided to counsel for the disclosing party, unless otherwise
agreed by the disclosing party, except that the receiving party may in all
cases retain a copy of such documents to the extent required to be maintained
pursuant to regulatory requirements, in which case it shall continue to be
maintained subject to the protections of this Protective Order.
8. Preservation
of Non-Publicity. All persons who
may be entitled to receive or who are afforded access to any Trade Secret Information
or Nonpublic Data by reason of this Protective Order shall neither use nor
disclose the Trade Secret or Nonpublic Data for purposes of business or
competition, or any other purpose other than the purposes of preparation for
and conduct of this proceeding, and then solely as contemplated herein, and
shall take reasonable precautions to keep all Trade Secret Information and
Nonpublic Data secure and in accordance with the purposes and intent of this
Protective Order.
9. Reservation
of Rights. The parties affected by
the terms of this Protective Order further retain the right to question,
challenge, and object to the admissibility of any and all data that comes
within the scope this Protective Order on the grounds of relevancy or materiality.
10. Inadvertent
Disclosure. No party shall have
waived its right to designate any documents, data, information, studies, or
other materials as Trade Secret Information or Nonpublic Data by inadvertent
disclosure, provided the disclosing party thereafter gives written notice to
the recipient(s) that the material should have been designated as Trade Secret
Information or Nonpublic Data. From and
after receipt of such notice, the previously disclosed material subsequently
identified as Trade Secret Information or Nonpublic Data shall be marked as
Trade Secret Information or Nonpublic Data by the receiving party and treated
as such under the terms of this Protective Order.
11. Information
Provided to State Agencies. The
files of the Public Utilities Commission, the Office of Administrative
Hearings, the Department of Commerce, the Office of the Attorney General, and
other state agencies containing Trade Secret Information or Nonpublic Data
shall be treated as required by Minn. Stat. §§ 13.01, et seq. and 138.161, et seq.
and shall not be subject to the return requirements of this Protective
Order. Notwithstanding the restrictions
set forth in paragraphs 1-9 above, employees of the state agencies are not
required to sign Exhibit A to receive Trade Secret Information or Nonpublic Data.
Dated: October 3, 2007
s/Bruce
H. Johnson
|
BRUCE H. JOHNSON Assistant Chief
Administrative Law Judge |
OAH Docket No. 4-2500-19221-2
MPUC Docket No. E015/SA-07-1079
STATE OF
OFFICE OF ADMINISTRATIVE HEARINGS
FOR THE
|
In the Matter of the Joint
Application of |
EXHIBIT A NON-DISCLOSURE AGREEMENT FOR TRADE
SECRET INFORMATION AND NONPUBLIC DATA |
I, the undersigned, hereby acknowledge
that I have read the attached Protective Order dated October 3, 2007, in
Minnesota Public Utilities Commission Docket No. E-115/SA-07-1079, OAH Docket No.
4-2500-19221-2, and understand the terms thereof and agree to be bound by all
such terms. Without limiting the
generality of the foregoing, I agree not to disclose any materials or
information designated Trade Secret or Nonpublic, or disclose any copies of or
extracts from such materials or information, to any person or entity not
authorized to receive such materials or information under the terms of said
Protective Order. I further agree to use
any Trade Secret or Nonpublic materials disclosed to me solely for the purpose
of this proceeding and for no other purpose.
I hereby submit myself to the jurisdiction of the Office of
Administrative Hearings in
|
Date: ____________________ |
Signature Type or Print Name Address Name of Employer Name of Party Signatory’s Role in
Proceeding |