UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`JDS UNIPHASE CORPORATION
`Petitioner
`
`v.
`
`CAPELLA PHOTONICS, INC.
`Patent Owner
`
`____________________
`
`Case IPR2015-00739
`Patent RE42,678
`____________________
`
`
`JOINT MOTION TO SEAL AND FOR
`ENTRY OF PROTECTIVE ORDER
`
`
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`JDS UNIPHASE CORPORATION
`Petitioner
`
`v.
`
`CAPELLA PHOTONICS, INC.
`Patent Owner
`
`____________________
`
`Case IPR2015-00739
`Patent RE42,678
`____________________
`
`
`JOINT MOTION TO SEAL AND FOR
`ENTRY OF PROTECTIVE ORDER
`
`
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`
`Inter Partes Review No. 2015-00739
`Joint Motion to Seal and for Entry of Protective Order
`
`I.
`
`RELIEF REQUESTED
`
`Pursuant to 37 C.F.R. §§ 42.14 and 42.54, and for the reasons set forth
`
`below, Petitioner JDS Uniphase Corporation (“Petitioner”)1 and Patent Owner
`
`Capella Photonics, Inc. (“Patent Owner”) (collectively, “Parties”) respectfully and
`
`jointly request that the Board seal the unredacted version of Patent Owner’s
`
`Exhibit 2032, the Deposition Transcript of Sheldon McLaughlin. Petitioner and
`
`Patent Owner further jointly request entry of the Proposed Stipulated Protective
`
`Order (Ex. A).2
`
`The Parties submit concurrently herewith: (i) Confidential Unredacted
`
`Exhibit 2032; (ii) Redacted Exhibit 2032; (iii) Proposed Protective Order (Ex. A);
`
`and (iv) Redline reflecting changes from the Default Protective Order (Ex. B.)
`
`
`1 As a result of a reorganization involving original Petitioner JDS Uniphase
`
`Corporation, the real parties-in-interest in this proceeding are now Lumentum
`
`Holdings Inc., Lumentum Inc., and Lumentum Operations LLC. See IPR2015-
`
`00731, Updated Mandatory Notice, Paper 11 (Sept. 15, 2015); IPR2015-00739,
`
`Updated Mandatory Notice, Paper 10 (Sept. 15, 2015).
`
`2 Pursuant to 37 C.F.R. § 42.54, the parties have conferred in good faith and jointly
`
`request the relief identified herein.
`
`1
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`
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`Inter Partes Review No. 2015-00739
`Joint Motion to Seal and for Entry of Protective Order
`II. MOTION TO SEAL
`Documents filed in an IPR are generally available to the public. 37 C.F.R. §
`
`42.14. However, the Board may, for good cause, protect confidential information
`
`from public disclosure. 37 C.F.R. § 42.54; see also Garmin Int’l v. Cuozzo Speed
`
`Tech., LLC, IPR2012-00001, Paper 36 (Apr. 5, 2013) (“Garmin”), at 3-4.
`
`The standard for granting a motion to seal is “for good cause.” 37 C.F.R. §
`
`42.54. When determining good cause, the Board balances the public’s interest in a
`
`complete and understandable file history with the parties’ interest in protecting
`
`sensitive information. See Garmin at 3-4 (citing Office Trial Practice Guide, 77
`
`Fed. Reg. at 48760). However, the public’s interest in having access to a party’s
`
`confidential business information that is only indirectly related to patent validity is
`
`low. Id. at 8-9. Here, the Petitioner’s interests in protecting confidential business
`
`information outweighs the public’s interest in viewing that information.
`
`The Parties seek to seal portions of Exhibit 2032, the Deposition Transcript
`
`of Sheldon McLaughlin, a Senior Principal Optical Development Engineer
`
`employed by Petitioner. Petitioner has represented to Patent Owner that the
`
`information requested to be sealed contains confidential business information of
`
`Petitioner, including technical designs and specifications of Petitioner’s products,
`
`activities relating to the development of Petitioner’s products and employment-
`
`related matters. Petitioner represents that this information goes to the heart of
`
`2
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`
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`Inter Partes Review No. 2015-00739
`Joint Motion to Seal and for Entry of Protective Order
`Petitioner’s business activities and its product lines. Petitioner further represents
`
`that disclosure of this sensitive information to persons not directly involved with
`
`this IPR proceeding could have a serious negative impact on Petitioner and its
`
`business. For the purposes of this motion and proceeding, Patent Owner accepts
`
`Petitioner’s representations.
`
`To address the balance between Petitioner’s interest in protecting sensitive
`
`information with the public’s interest in a complete and understandable file history,
`
`the Parties are submitting with this motion a redacted version of Exhibit 2032,
`
`rather than seeking to seal the entire document. See Office Trial Practice Guide,
`
`77 Fed. Reg. 48756, 48761 (2012). Petitioner further certifies that the information
`
`sought to be sealed by this motion has not been published or otherwise made
`
`public.
`
`In sum, the public’s interest in having access to the limited redacted portions
`
`of Exhibit 2032, reflecting Petitioner’s confidential business information, is
`
`relatively low, and is outweighed by Petitioner’s interest in maintaining the
`
`confidentiality of this information. For these reasons, the Parties respectfully
`
`request that this joint motion to seal be granted.
`
`III. MOTION FOR ENTRY OF PROTECTIVE ORDER
`Pursuant to 37 C.F.R. § 42.54, the Parties move for entry of the proposed
`
`protective order submitted as Exhibit A with this motion. A red-line of the
`
`3
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`
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`Inter Partes Review No. 2015-00739
`Joint Motion to Seal and for Entry of Protective Order
`differences between the proposed order and the Default Protective Order is
`
`submitted as Exhibit B with this motion.
`
`Good cause exists for entering the proposed Protective Order with the
`
`proposed changes, as described more fully below:
`
`No. Proposed Change from
`Default Protective Order
`1. Addition of caption and
`
`Reason for Proposed Change
`
`This change identifies that the Protective Order
`
`deletion of first sentence
`
`applies to this proceeding, and that it is different
`
`from the Standing Protective Order.
`
`2. Addition of Section 1.1.
`
`Because there have been requests for joinder
`
`(“Party” definition)
`
`filed, there may be some ambiguity as to
`
`whether “party” would include joined
`
`parties. This definition clarifies that it does
`
`not. Thus, for example, information designated
`
`as confidential by the Petitioner/RPI or Patent
`
`Owner could not be shared with outside counsel
`
`or experts of a joined party. This is important
`
`for the reasons discussed in points 4 and 5,
`
`below.
`
`3. Footnote 1
`
`This identifies the Petitioner’s real parties in
`
`interest to the proceeding, as a result of a
`
`4
`
`
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`Inter Partes Review No. 2015-00739
`Joint Motion to Seal and for Entry of Protective Order
`corporate reorganization after the filing of the
`
`Petition and as reflected in the updated
`
`mandatory notices.
`
`4. Section 2: Addition of
`
`The confidential information relevant to this
`
`“Outside Counsel” and
`
`proceeding is highly sensitive in nature, going to
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`deletion of “Parties,”
`
`the heart of Petitioner’s business activities and
`
`“Party Representatives,”
`
`its product lines. Disclosure of this sensitive
`
`and “Other Employees of
`
`information to persons not directly involved
`
`a Party”
`
`with this IPR proceeding could have a serious
`
`and negative impact on Petitioner and its
`
`business. Accordingly, this change is necessary
`
`to ensure that confidential information is
`
`provided only to outside counsel handling the
`
`IPR, and not the parties themselves.
`
`5. Section 2(C)
`
`Disclosure of this sensitive information to
`
`(Modifications to
`
`persons not directly involved with this IPR
`
`definition of “in-house
`
`proceeding could have a serious and negative
`
`counsel”)
`
`impact on Petitioner and its
`
`business. Accordingly, this change is necessary
`
`to ensure that confidential information is
`
`5
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`
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`Inter Partes Review No. 2015-00739
`Joint Motion to Seal and for Entry of Protective Order
`provided only to up to two in-house counsel for
`
`each party, and that the producing party knows
`
`the identity of these counsel so that it knows
`
`who is receiving its confidential
`
`information. Without this provision, there
`
`would be uncertainty as to the extent to which
`
`confidential information is being disclosed to
`
`the receiving party’s in-house counsel.
`
`6. Addition of caption on the
`
`This change identifies the Acknowledgment as
`
`Acknowledgement
`
`applying to the present proceeding.
`
`
`
`6
`
`
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`Inter Partes Review No. 2015-00739
`Joint Motion to Seal and for Entry of Protective Order
`IV. CONCLUSION
`For the reasons described above, the Parties respectfully request that this
`
`Motion to Seal and Motion for Entry of the Proposed Protective Order submitted as
`
`Respectfully submitted,
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`/Jason D. Eisenberg/
`
`Jason D. Eisenberg
`Registration No. 43,447
`Attorney for Patent Owner
`
`
`
`FAEGRE BAKER DANIELS LLP
`
`/Walter C. Linder/
`
`Walter C. Linder
`Registration No. 31,707
`Attorney for Petitioner
`
`7
`
`Exhibit A be granted.
`
`Date: December 1, 2015
`
`
`
`
`
`1100 NEW YORK AVENUE, NW
`WASHINGTON, D.C. 20005
`(202) 371-2600
`
`
`
`Date: December 1, 2015
`
`
`
`2200 WELLS FARGO CENTER
`90 SOUTH SEVENTH STREET
`MINNEAPOLIS, MN 55402-3901
`(612) 766-7000
`
`
`
`
`
`
`
`
`
`Exhibit A
`
`Exhibit A
`
`
`
`
`
`
`
`
`
`JDS UNIPHASE CORPORATION
`Petitioner
`
`v.
`
`CAPELLA PHOTONICS, INC.
`Patent Owner
`
`
`Inter Partes Review No. 2015-00731
`Patent No. RE42,368
`
`Inter Partes Review No. 2015-00739
`Patent No. RE42,678
`__________________
`
`PROTECTIVE ORDER
`
`
`
`This standing protective order governs the treatment and filing of
`
`confidential information, including documents and testimony.
`
`1. Confidential information shall be clearly marked “PROTECTIVE
`
`ORDER MATERIAL.”
`
`1.1 “Party” or “party” as used in this Protective Order is limited to
`
`Petitioner1 and Patent Owner of record, and does not include any joined
`
`entities.
`
`
`1 As a result of a reorganization involving original Petitioner JDS Uniphase
`Corporation, the real parties-in-interest in this proceeding are now Lumentum
`Holdings Inc., Lumentum Inc., and Lumentum Operations LLC (collectively,
`“Lumentum”). See IPR2015-00731, Updated Mandatory Notice, Paper 11 (Sept.
`15, 2015); IPR2015-00739, Updated Mandatory Notice, Paper 10 (Sept. 15, 2015).
`
`
`
`
`2. Access to confidential information is limited to the following
`
`individuals who have executed the acknowledgment appended to this order:
`
`(A) Outside Counsel. Outside Counsel of each party.
`
`(B) Experts. Retained experts of a party in the proceeding who
`
`further certify in the Acknowledgement that they are not a competitor
`
`to any party, or a consultant for, or employed by, such a competitor
`
`with respect to the subject matter of the proceeding.
`
`(C) In-house counsel. Up to two in-house counsel of each party;
`
`provided that such in-house counsel are identified to the other party
`
`before access is given.
`
`(D) The Office. Employees and representatives of the Office who
`
`have a need for access to the confidential information shall have such
`
`access without the requirement to sign an Acknowledgement. Such
`
`employees and representatives shall include the Director, members of
`
`the Board and their clerical staff, other support personnel, court
`
`reporters, and other persons acting on behalf of the Office.
`
`(E) Support Personnel. Administrative assistants, clerical staff, court
`
`reporters and other support personnel of the foregoing persons who
`
`
`Accordingly, “Party” or “party” as used with respect to Petitioner means real
`parties-in-interest Lumentum, collectively.
`
`
`
`are reasonably necessary to assist those persons in the proceeding
`
`shall not be required to sign an Acknowledgement, but shall be
`
`informed of the terms and requirements of the Protective Order by the
`
`person they are supporting who receives confidential information.
`
`3. Persons receiving confidential information shall use reasonable efforts
`
`to maintain the confidentiality of the information, including:
`
`(A) Maintaining such information in a secure location to which
`
`persons not authorized to receive the information shall not have
`
`access;
`
`(B) Otherwise using reasonable efforts to maintain the confidentiality
`
`of the information, which efforts shall be no less rigorous than those
`
`the recipient uses to maintain the confidentiality of information not
`
`received from the disclosing party;
`
`(C) Ensuring that support personnel of the recipient who have access
`
`to the confidential information understand and abide by the obligation
`
`to maintain the confidentiality of information received that is
`
`designated as confidential; and
`
`(D) Limiting the copying of confidential information to a reasonable
`
`number of copies needed for conduct of the proceeding and
`
`maintaining a record of the locations of such copies.
`
`
`
`
`
`4. Persons receiving confidential information shall use the following
`
`procedures to maintain the confidentiality of the information:
`
`(A) Documents and Information Filed With the Board.
`
`(i) A party may file documents or information with the Board under
`
`seal, together with a non-confidential description of the nature of the
`
`confidential information that is under seal and the reasons why the
`
`information is confidential and should not be made available to the
`
`public. The submission shall be treated as confidential and remain
`
`under seal, unless, upon motion of a party and after a hearing on the
`
`issue, or sua sponte, the Board determines that the documents or
`
`information do not to qualify for confidential treatment.
`
`(ii) Where confidentiality is alleged as to some but not all of the
`
`information submitted to the Board, the submitting party shall file
`
`confidential and non-confidential versions of its submission, together
`
`with a Motion to Seal the confidential version setting forth the reasons
`
`why the information redacted from the non-confidential version is
`
`confidential and should not be made available to the public. The non-
`
`confidential version of the submission shall clearly indicate the
`
`locations of information that has been redacted. The confidential
`
`version of the submission shall be filed under seal. The redacted
`
`
`
`information shall remain under seal unless, upon motion of a party
`
`and after a hearing on the issue, or sua sponte, the Board determines
`
`that some or all of the redacted information does not qualify for
`
`confidential treatment.
`
`(B) Documents and Information Exchanged Among the Parties.
`
`Information designated as confidential that is disclosed to another
`
`party during discovery or other proceedings before the Board shall be
`
`clearly marked as “PROTECTIVE ORDER MATERIAL” and shall
`
`be produced in a manner that maintains its confidentiality.
`
`(j) Standard Acknowledgement of Protective Order. The following
`
`form may be used to acknowledge a protective order and gain access
`
`to information covered by the protective order:
`
`
`
`
`
`
`
`JDS UNIPHASE CORPORATION
`Petitioner
`
`v.
`
`CAPELLA PHOTONICS, INC.
`Patent Owner
`
`
`Inter Partes Review No. 2015-00731
`Patent No. RE42,368
`
`Inter Partes Review No. 2015-00739
`Patent No. RE42,678
`__________________
`
`Standard Acknowledgment for Access to Protective Order Material
`
` __________________________________________, affirm that I have read the
`
` I
`
`Protective Order; that I will abide by its terms; that I will use the confidential
`
`information only in connection with this proceeding and for no other purpose; that
`
`I will only allow access to support staff who are reasonably necessary to assist me
`
`in this proceeding; that prior to any disclosure to such support staff I informed or
`
`will inform them of the requirements of the Protective Order; that I am personally
`
`responsible for the requirements of the terms of the Protective Order and I agree to
`
`submit to the jurisdiction of the Office and the United States District Court for the
`
`Eastern District of Virginia for purposes of enforcing the terms of the Protective
`
`Order and providing remedies for its breach.
`
`____________________________________
`Signature
`
`
`
`
`
`Exhibit B
`
`Exhibit B
`
`
`
`
`
`
`
`JDS UNIPHASE CORPORATION
`Petitioner
`
`v.
`
`CAPELLA PHOTONICS, INC.
`Patent Owner
`
`
`Inter Partes Review No. 2015-00731
`Patent No. RE42,368
`
`Inter Partes Review No. 2015-00739
`Patent No. RE42,678
`__________________
`
`DEFAULT PROTECTIVE ORDER
`
`The following Standing Protective Order will be automatically entered into the
`
`proceeding upon the filing of a petition for review or institution of a derivation:
`
`Standing Protective Order
`
`This standing protective order governs the treatment and filing of
`
`confidential information, including documents and testimony.
`
`1. Confidential information shall be clearly marked “PROTECTIVE
`
`ORDER MATERIAL.”
`
`
`
`1.1 “Party” or “party” as used in this Protective Order is limited to
`
`Petitioner1 and Patent Owner of record, and does not include any joined
`
`entities.
`
`2. Access to confidential information is limited to the following
`
`individuals who have executed the acknowledgment appended to this order:
`
`(A) Outside Counsel. Outside Counsel of each party.
`
`(A) Parties. Persons who are owners of a patent involved in the proceeding and
`
`other persons who are named parties to the proceeding.
`
`(B) Party Representatives. Representatives of record for a party in the proceeding.
`
`(C) Experts. Retained experts of a party in the proceeding who
`
`further certify in the Acknowledgement that they are not a competitor
`
`to any party, or a consultant for, or employed by, such a competitor
`
`with respect to the subject matter of the proceeding.
`
`(CD) In-house counsel. Up to two inIn-house counsel of eacha party;
`provided that such .
`
`
`1 As a result of a reorganization involving original Petitioner JDS Uniphase
`Corporation, the real parties-in-interest in this proceeding are now Lumentum
`Holdings Inc., Lumentum Inc., and Lumentum Operations LLC (collectively,
`“Lumentum”). See IPR2015-00731, Updated Mandatory Notice, Paper 11 (Sept.
`15, 2015); IPR2015-00739, Updated Mandatory Notice, Paper 10 (Sept. 15, 2015).
`Accordingly, “Party” or “party” as used with respect to Petitioner means real
`parties-in-interest Lumentum, collectively.
`
`(B)
`
`
`
`
`
`(E) Other Employees of a Party. Employees, consultants or other persons
`
`performing work for a party, other than in-house counsel are identified to
`
`and
`
`in-house counsel’s
`
`support
`
`staff, who
`
`sign
`
`the other party
`
`beforeAcknowledgement shall be extended access is givento confidential
`
`information only upon agreement of the parties or by order of the Board upon a
`
`motion brought by the party seeking to disclose confidential information to that
`
`person. The party opposing disclosure to that person shall have the burden of
`
`proving that such person should be restricted from access to confidential
`
`information.
`
`(DF) The Office. Employees and representatives of the Office who
`
`have a need for access to the confidential information shall have such
`
`access without the requirement to sign an Acknowledgement. Such
`
`employees and representatives shall include the Director, members of
`
`the Board and their clerical staff, other support personnel, court
`
`reporters, and other persons acting on behalf of the Office.
`
`(EG) Support Personnel. Administrative assistants, clerical staff,
`
`court reporters and other support personnel of the foregoing persons
`
`who are reasonably necessary to assist those persons in the proceeding
`
`shall not be required to sign an Acknowledgement, but shall be
`
`informed of the terms and requirements of the Protective Order by the
`
`person they are supporting who receives confidential information.
`
`
`
`3. Persons receiving confidential information shall use reasonable efforts
`
`to maintain the confidentiality of the information, including:
`
`(A) Maintaining such information in a secure location to which
`
`persons not authorized to receive the information shall not have
`
`access;
`
`(B) Otherwise using reasonable efforts to maintain the confidentiality
`
`of the information, which efforts shall be no less rigorous than those
`
`the recipient uses to maintain the confidentiality of information not
`
`received from the disclosing party;
`
`(C) Ensuring that support personnel of the recipient who have access
`
`to the confidential information understand and abide by the obligation
`
`to maintain the confidentiality of information received that is
`
`designated as confidential; and
`
`(D) Limiting the copying of confidential information to a reasonable
`
`number of copies needed for conduct of the proceeding and
`
`maintaining a record of the locations of such copies.
`
`4. Persons receiving confidential information shall use the following
`
`procedures to maintain the confidentiality of the information:
`
`(A) Documents and Information Filed With the Board.
`
`
`
`
`
`(i) A party may file documents or information with the Board under
`
`seal, together with a non-confidential description of the nature of the
`
`confidential information that is under seal and the reasons why the
`
`information is confidential and should not be made available to the
`
`public. The submission shall be treated as confidential and remain
`
`under seal, unless, upon motion of a party and after a hearing on the
`
`issue, or sua sponte, the Board determines that the documents or
`
`information do not to qualify for confidential treatment.
`
`(ii) Where confidentiality is alleged as to some but not all of the
`
`information submitted to the Board, the submitting party shall file
`
`confidential and non-confidential versions of its submission, together
`
`with a Motion to Seal the confidential version setting forth the reasons
`
`why the information redacted from the non-confidential version is
`
`confidential and should not be made available to the public. The non-
`
`confidential version of the submission shall clearly indicate the
`
`locations of information that has been redacted. The confidential
`
`version of the submission shall be filed under seal. The redacted
`
`information shall remain under seal unless, upon motion of a party
`
`and after a hearing on the issue, or sua sponte, the Board determines
`
`
`
`that some or all of the redacted information does not qualify for
`
`confidential treatment.
`
`(B) Documents and Information Exchanged Among the Parties.
`
`Information designated as confidential that is disclosed to another
`
`party during discovery or other proceedings before the Board shall be
`
`clearly marked as “PROTECTIVE ORDER MATERIAL” and shall
`
`be produced in a manner that maintains its confidentiality.
`
`(j) Standard Acknowledgement of Protective Order. The following
`
`form may be used to acknowledge a protective order and gain access
`
`to information covered by the protective order:
`
`
`
`
`
`
`
`JDS UNIPHASE CORPORATION
`Petitioner
`
`v.
`
`CAPELLA PHOTONICS, INC.
`Patent Owner
`
`
`Inter Partes Review No. 2015-00731
`Patent No. RE42,368
`
`
`Inter Partes Review No. 2015-00739
`Patent No. RE42,678
`__________________
`
`[CAPTION]
`
`
`
`
`
`Standard Acknowledgment for Access to Protective Order Material
`
` I
`
` __________________________________________, affirm that I have read the
`
`Protective Order; that I will abide by its terms; that I will use the confidential
`
`information only in connection with this proceeding and for no other purpose; that
`
`I will only allow access to support staff who are reasonably necessary to assist me
`
`in this proceeding; that prior to any disclosure to such support staff I informed or
`
`will inform them of the requirements of the Protective Order; that I am personally
`
`responsible for the requirements of the terms of the Protective Order and I agree to
`
`submit to the jurisdiction of the Office and the United States District Court for the
`
`Eastern District of Virginia for purposes of enforcing the terms of the Protective
`
`Order and providing remedies for its breach.
`
`
`
`
`
`____________________________________
`Signature
`
`
`
`
`Inter Partes Review No. 2015-00739
`Joint Motion to Seal and for Entry of Protective Order
`
`
`CERTIFICATE OF SERVICE (37 C.F.R. § 42.6(e))
`
`The undersigned hereby certifies that the foregoing JOINT MOTION TO
`
`SEAL AND FOR ENTRY OF PROTECTIVE ORDER was served
`
`electronically via e-mail on December 1, 2015 in its entirety on the following:
`
`walter.linder@FaegreBD.com
`ken.liebman@FaegreBD.com
`paul.sherburne@FaegreBD.com
`
`Walter C. Linder (Lead Counsel)
`Ken Liebman (Back-up Counsel)
`Paul Sherburne (Back-up Counsel)
`
`FAEGRE BAKER DANIELS LLP
`90 South Seventh Street
`2200 Wells Fargo Center
`Minneapolis, MN 55402
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`/Jason D. Eisenberg/
`
`Jason D. Eisenberg
`Registration No. 43,447
`Attorney for the Patent Owner
`
`
`
`
`
`Date: December 1, 2015
`
`1100 New York Avenue, N.W.
`Washington, D.C.20005
`(202) 371-2600
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