{"id":"court_sdny_61_1","court":"SDNY","case_no":"23-cr-00118","doc_number":61,"sub_number":1,"doc_type":"ORDER","filed_date":"2023-04-30","title":"UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK UNITED STATES OF AMERICA","summary_zh":"提议的保护令 —— 美国诉 Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）案，SDNY 1:23-cr-00118 ECF #61（2023年4月30日）。美国政府提议法院下达保护令以规范发现程序中敏感信息的披露，得到被告 Ho Wan Kwok 和 Yanping Wang 律师的同意。","summary_en":"Proposed Protective Order — United States v. Ho Wan Kwok (a/k/a Miles Guo, Guo Wengui), SDNY 1:23-cr-00118 ECF #61 (April 30, 2023). The United States proposed a protective order to govern disclosure of sensitive materials in discovery, with the consent of counsel for defendants Ho Wan Kwok and Yanping Wang.","body_en":"## UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK\n\n## UNITED STATES OF AMERICA\n\nv.\n\nHO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\"\n\nKIN MING JE, a/k/a \"William Je,\"\n\nYANPING WANG, a/k/a \"Yvette,\"\n\nDefendants.\n\n# **[Proposed] Protective Order**\n\nS1 23 Cr. 118 (AT)\n\nUpon the application of the United States of America, with the consent of counsel for the defendants HO WAN KWOK and YANPING WANG, and having requested discovery under Fed. R. Crim. P. 16, the Court hereby finds and orders as follows:\n\n1. **Disclosure Material.** The Government will make disclosure to the defendants of documents, objects and information, including electronically stored information (\"ESI\"), pursuant to Federal Rule of Criminal Procedure 16, 18 U.S.C. § 3500, and the Government's general obligation to produce exculpatory and impeachment material in criminal cases, all of which will be referred to herein as \"disclosure material.\"\n\n2. **Confidential Material.** Certain of the Government's disclosure material, referred to herein as \"Confidential Material,\" contains material that affects the privacy and confidentiality of individuals or entities, including but not limited to: financial information (e.g. bank account information, credit card information, and mobile payment information) and personal identifying\n\ninformation (e.g. names, addresses phone numbers). Any Confidential Material produced by the Government in this action shall be Bates-stamped with the designation \"Confidential\" or otherwise identified by the Government to counsel for the defendants as Confidential Material. The Government's designation of material as Confidential Material will be controlling absent contrary order of the Court.\n\n3. **Highly Confidential Material.** Certain of the Government's disclosure material, referred to herein as \"Highly Confidential Material,\" contains highly confidential material that affects the privacy and confidentiality of individuals or entities such that its disclosure could cause substantial harm to those individuals or entities, including but not limited to: sensitive financial information (financial information of victims), personal identifying information of victims and their family members (e.g. names, addresses, Social Security numbers, Passport numbers, dates of birth, phone numbers, e-mail addresses, visual images and voices), and other sensitive information. Any Highly Confidential Material produced by the Government in this action shall be Batesstamped with the designation \"Highly Confidential\" or otherwise identified by the Government to counsel for the defendants as Highly Confidential Material. The Government's designation of material as Highly Confidential Material will be controlling absent contrary order of the Court.\n\n4. **Attorneys' Eyes Only Material.** Certain of the Government's disclosure material, referred to herein as \"Attorneys' Eyes Only Material,\" contains highly confidential and highly sensitive material that affects the privacy, confidentiality, and/or safety interests of individuals or entities, such that its disclosure could cause substantial harm and/or pose safety concerns to individuals or entities, including but not limited to: information related to victims subject to\n\nharassment, and materials concerning the Government's ongoing investigation (i.e. sources, methods, identities, identifiers or locations relating to uncharged individuals). Any Attorneys' Eyes Only Material produced by the Government in this action shall be Bates-stamped with the designation \"Attorneys' Eyes Only\" or otherwise identified by the Government to counsel for the defendant as Attorneys' Eyes Only Material. The Government's designation of material as Attorneys' Eyes Only will be controlling absent contrary order of the Court.\n\n5. **Facilitation of Discovery.** The entry of a protective order in this case will permit the Government to produce expeditiously the disclosure material without further litigation or the need for redaction. It will also afford the defense prompt access to those materials.\n\n6. **Good Cause.** There is good cause for entry of the protective order set forth herein.\n\n7. **Restrictions on Confidential Material**. Confidential Material disclosed to the defendants or to their counsel during the course of proceedings in this action:\n\n- a. Shall be used by the defendants and their counsel only for purposes of the defense of this action;\n- b. Shall not be duplicated by the defendants and their counsel except for purposes of the defense of this action;\n- c. Shall be kept and maintained by the defendants and their counsel in a secure container and location;\n- d. Shall not be disclosed in any form by the defendants or their counsel, including by posting to any Internet site or network site to which persons\n\nother than the parties hereto have access or by disclosing to the media or any third party, except as set forth in paragraph 7(e) below; and\n\n- e. May be disclosed by the defendants or their counsel only to the following persons (hereinafter \"Designated Persons\"), as needed for purposes of defending this action:\n\t- i. investigative, secretarial, clerical, and paralegal personnel employed full-time or part-time by defense counsel;\n\t- ii. independent expert witnesses, investigators, or advisors retained by defense counsel in connection with this action;\n\t- iii. other prospective witnesses, [1](#page-3-0) and their counsel, to the extent deemed necessary by defense counsel, for hearing or trial preparation;\n\t- iv. foreign-language interpreters retained by defense counsel in connection with this action; and\n\t- v. such other persons as hereafter may be authorized by the Court upon motion by any defendant.\n\n8. **Restrictions on Highly Confidential Material.** Restrictions on Highly Confidential Material are the same as Confidential Disclosure Material, *see* ¶ 7, except that Highly Confidential Material may be disclosed by counsel to the defendants only for defendants' review\n\n<span id=\"page-3-0\"></span><sup>1</sup> Prospective witnesses may not retain confidential material, duplicate confidential material, or make or retain any notes of confidential material.\n\nat the offices of defense counsel, in the presence of defense counsel or any member of the defense team (*i.e.*, attorneys, experts, consultants, paralegals, investigators, support personnel, and secretarial staff involved in the representation of the defendant in this case), or during video conference calls provided the provision of Highly Confidential Material is not transmitted in a permanent or fixed manner (*i.e.* counsel shall not transmit vis email or messages which are maintained by the defendants), for purposes related to this case. The defendants shall not maintain, retain, or keep copies of any Highly Confidential Material, or summaries or notes describing Highly Confidential Material, outside of (i) defense counsels' office or homes; (ii) offices or homes of Designated Persons; or (iii) locations approved by the parties or the Court. The defendants shall not make or retain any notes that include any Highly Confidential Material outside the offices of defense counsel. Highly Confidential Material may not be maintained in any prison facility. Highly Confidential Material may be disclosed to Designated Persons consistent with the terms of Confidential Material.\n\n9. **Restrictions on Attorneys' Eyes Only Material.** Restrictions on Attorneys' Eyes Only Material are the same as Highly Confidential Material, *see* ¶ 8, except that Attorneys' Eyes Only Material, including any copies, excerpts, summaries or notes of such material, shall not be disclosed to, or possessed by, the defendants. Attorneys' Eyes Only Material may be disclosed only to defense counsel and to any investigative, secretarial, clerical, and paralegal personnel employed full-time or part-time by defense counsel or such other persons as hereafter may be authorized by the Court upon motion by any defendant.\n\n10. **Provisions for Designated Persons.** The defendants and their counsel shall provide a copy of this Order to Designated Persons to whom they disclose Confidential Material, Highly Confidential Material, and Attorney's Eyes Only Material pursuant to paragraphs 7, 8, and 9. The defendants and/or their counsel shall maintain a record of all such Designated Persons to whom they provide Confidential Material, Highly Confidential Material, and Attorney's Eyes Only Material. If Confidential Material or Confidential Material is provided to any prospective witnesses, pursuant to paragraph 7(e)(iii) and 8, counsel shall make reasonable efforts to seek the return or destruction of such materials in accordance with paragraph 11 below. Prior to disclosure of Confidential Material, Highly Confidential Material or Attorney's Eyes Only Material pursuant to paragraphs 7(e), 8 and 9, any such individual shall agree to be subject to the terms of this Order by signing a copy hereof and stating that they \"Agree to be bound by the terms herein,\" and providing such copy to the defendant's counsel. However, the defendants and their counsel need not obtain signatures from any member of the defense team (*i.e.*, attorneys, experts, consultants, paralegals, investigators, support personnel, and secretarial staff involved in the representation of the defendant in this case), all of whom are nonetheless bound by this Protective Order.\n\n11. **Protection of Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material.** The defendants and/or their counsel shall use reasonable care to ensure that the Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material are not disclosed or disseminated to any third parties in violation of this Protective Order. In the event of an inadvertent disclosure of Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material, the defendants and/or their counsel shall promptly notify the\n\nCourt and the Government as to the identity of the recipient of the inadvertently produced Confidential Material and/or Highly Confidential Material and/or Attorneys' Eyes Only Material and shall use reasonable efforts to secure the return and/or destruction of the inadvertently produced Confidential Material and/or Highly Confidential Material and/or Attorneys' Eyes Only Material.\n\n12. **Use of Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material at Public Hearings and Trial.** The provisions of this Order shall not be construed as preventing the disclosure of any information in any motion, hearing, trial, any appeal therefrom, or sentencing proceeding held in connection with the above-referenced action or to any District Judge or Magistrate Judge of this Court (or their staff) for purposes of the above-referenced action, provided, however, that Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material referenced or included in any written filing should initially be publicly filed in redacted form or under seal, absent consent of the Government or Order of the Court. All filings should comply with the privacy protection provisions of Fed. R. Crim. P. 49.1.\n\n13. **Disclosure and Protection of Seized ESI.** The Government has advised that information that may be subject to disclosure in this case may be contained within ESI that the Government has seized during the course of the investigation from various computers, cell phones, and other devices and storage media. The Government is authorized to disclose to counsel for the defendants, for use solely as permitted herein, the entirety of such seized ESI as the Government believes may contain disclosure material (\"the seized ESI disclosure material\"). The defendants,\n\ndefense counsel, and personnel for whose conduct counsel is responsible, *i.e.*, personnel employed by or retained by counsel, may review the seized ESI disclosure material to identify items pertinent to the defense. They shall not further disseminate or disclose any portion of the seized ESI disclosure material except as otherwise set forth under this Order.\n\n14. **Return or Destruction of Material.** Except for Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material that has been made part of the record in this case, the defendants and their counsel shall return to the Government or securely destroy or delete all Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material, including the seized ESI disclosure material, within 30 days of the expiration of the period for direct appeal from any verdict in the above-captioned case; the period of direct appeal from any order dismissing any of the charges in the above-captioned case; or the granting of any motion made on behalf of the Government dismissing any charges in the above-captioned case, whichever date is later.\n\n15. **Retention of Jurisdiction.** The provisions of this Order shall not terminate at the conclusion of this criminal prosecution and the Court will retain jurisdiction to enforce this Order following termination of the case.\n\n16. **Third-party Requests.** Defense counsel shall notify the Government at least ten business days prior to disclosing any Disclosure Material pursuant to a subpoena, an order issued by another court, and/or a request from another government authority. When providing the Government notice, defense counsel shall provide the Government a copy of the subpoena, court\n\norder, or request that defense counsel believes requires them to produce Disclosure Material in response.\n\nSO ORDERED:\n\nDated: New York, New York May \\_\\_, 2023\n\n> THE HON. ANALISA TORRES UNITED STATES DISTRICT JUDGE\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_","body_zh":"UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK（美国纽约南区联邦地区法院）\nUNITED STATES OF AMERICA（美利坚合众国）\n\nv.（诉）\n\nHO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“七哥”，又名“校长”，\n\nKIN MING JE（余建明），又名“William Je”，\n\nYANPING WANG（王雁平），又名“Yvette”，\n\n被告。\n[拟定] 保护令\n\nS1 23 Cr. 118 (AT)\n\n经美利坚合众国申请，并经被告 HO WAN KWOK（郭文贵）及 YANPING WANG（王雁平）之辩护律师同意，且已根据 Fed. R. Crim. P. 16 请求证据开示，本法院特此认定并裁定如下：\n\n1. 开示材料。政府将根据《联邦刑事诉讼规则》第 16 条（Fed. R. Crim. P. 16）、18 U.S.C. § 3500 以及政府在刑事案件中提供开脱罪责和弹劾材料的一般义务，向被告开示文件、物品和信息，包括电子存储信息（“ESI”），所有上述各项在此均统称为“开示材料”。\n\n2. 机密材料。政府的部分开示材料（在此称为“机密材料”）包含影响个人或实体隐私与保密性的材料，包括但不限于：财务信息（例如银行账户信息、信用卡信息和移动支付信息）以及个人身份识别信息（例如姓名、地址、电话号码）。政府在本诉讼中提供的任何机密材料均应加盖指定为“机密”（Confidential）的贝茨编号（Bates-stamped）印记，或由政府以其他方式向被告辩护律师明确指明为机密材料。在没有本法院相反命令的情况下，政府对材料作为机密材料的指定具有约束力。\n\n3. 高度机密材料。政府的部分开示材料（在此称为“高度机密材料”）包含影响个人或实体隐私与保密性的高度机密材料，其披露可能对该等个人或实体造成重大损害，包括但不限于：敏感财务信息（受害者的财务信息）、受害者及其家属的个人身份识别信息（例如姓名、地址、社会安全号码、护照号码、出生日期、电话号码、电子邮件地址、视觉图像和声音），以及其他敏感信息。政府在本诉讼中提供的任何高度机密材料均应加盖指定为“高度机密”（Highly Confidential）的贝茨编号印记，或由政府以其他方式向被告辩护律师明确指明为高度机密材料。在没有本法院相反命令的情况下，政府对材料作为高度机密材料的指定具有约束力。\n\n4. 仅限律师查阅材料。政府的部分开示材料（在此称为“仅限律师查阅材料”）包含影响个人或实体隐私、保密性和/或安全利益的高度机密和高度敏感材料，其披露可能对个人或实体造成重大损害和/或构成安全隐患，包括但不限于：与遭受骚扰的受害者相关的信息，以及涉及政府正在进行的调查的材料（即与未被起诉个人相关的线索来源、方法、身份、标识符或位置）。政府在本诉讼中提供的任何仅限律师查阅材料均应加盖指定为“仅限律师查阅”（Attorneys' Eyes Only）的贝茨编号印记，或由政府以其他方式向被告辩护律师明确指明为仅限律师查阅材料。在没有本法院相反命令的情况下，政府对材料作为仅限律师查阅的指定具有约束力。\n\n5. 促进证据开示。在本案中签发保护令将允许政府迅速提供开示材料，而无需进一步诉讼或进行涂黑删节。这也将使辩方能够及时查阅这些材料。\n\n6. 充分理由。签发本文所述的保护令具有充分理由。\n\n7. 对机密材料的限制。在本诉讼程序进行期间向被告或其辩护律师开示的机密材料：\n- a. 仅限被告及其辩护律师用于本诉讼的辩护目的；\n- b. 除为本诉讼辩护目的外，被告及其辩护律师不得复制；\n- c. 被告及其辩护律师应将其保存在安全容器和安全地点；\n- d. 被告或其辩护律师不得以任何形式披露，包括发布到本协议各方以外之人可访问的任何互联网网站或网络站点，或向媒体或任何第三方披露，但下文第 7(e) 款规定的情况除外；以及\n- e. 被告或其辩护律师仅可根据为本诉讼进行辩护的需要，向下列人员（以下简称“指定人员”）披露：\n  - i. 辩护律师全职或兼职雇用的调查、秘书、文职及律师助理人员；\n  - ii. 辩护律师就本诉讼聘请的独立专家证人、调查员或顾问；\n  - iii. 其他预期证人[1]及其法律顾问，以辩护律师认为为听证会或审判准备所必需的范围为限；\n  - iv. 辩护律师就本诉讼聘请的外语翻译人员；以及\n  - v. 经任何被告提出动议后由本法院此后授权的其他人员。\n\n8. 对高度机密材料的限制。对高度机密材料的限制与机密开示材料相同，参见第 7 段，但高度机密材料仅可由辩护律师出于与本案相关的目的，在辩护律师办公室由辩护律师或辩护团队任何成员（即参与本案被告代理工作的律师、专家、顾问、律师助理、调查员、支持人员和秘书人员）在场的情况下，或在通过视频会议通话且高度机密材料的提供不以永久或固定方式传输（即律师不得通过电子邮件或被告保留的信息进行传输）的前提下，向被告披露供其审阅。被告不得在以下地点之外保存、留存或保留任何高度机密材料的副本，或描述高度机密材料的摘要或笔记：(i) 辩护律师的办公室或住所；(ii) 指定人员的办公室或住所；或 (iii) 经当事各方或本法院批准的地点。被告不得在辩护律师办公室之外制作或留存包含任何高度机密材料的任何笔记。高度机密材料不得保存在任何监狱设施内。高度机密材料可按照机密材料的条款向指定人员披露。\n\n[1] 预期证人不得留存机密材料、复制机密材料，或制作或留存机密材料的任何笔记。\n\n9. 对仅限律师查阅材料的限制。对仅限律师查阅材料的限制与高度机密材料相同，参见第 8 段，但仅限律师查阅材料（包括该等材料的任何副本、摘录、摘要或笔记）不得向被告披露，亦不得由被告持有。仅限律师查阅材料仅可向辩护律师以及辩护律师全职或兼职雇用的任何调查、秘书、文职和律师助理人员，或经任何被告提出动议后由本法院此后授权的其他人员披露。\n\n10. 关于指定人员的规定。被告及其辩护律师应向其根据第 7、8 和 9 段向其披露机密材料、高度机密材料和仅限律师查阅材料的指定人员提供本命令的副本。被告和/或其辩护律师应保存其向其提供机密材料、高度机密材料和仅限律师查阅材料的所有该等指定人员的记录。如果根据第 7(e)(iii) 和 8 段向任何预期证人提供了机密材料，辩护律师应根据下文第 11 段尽合理努力要求退还或销毁该等材料。在根据第 7(e)、8 和 9 段披露机密材料、高度机密材料或仅限律师查阅材料之前，任何该等个人应通过签署本命令副本并声明其“同意受本文条款约束”，并将该签署副本提供给被告辩护律师，以表示同意受本命令条款的约束。然而，被告及其辩护律师无需从辩护团队的任何成员（即参与本案被告代理工作的律师、专家、顾问、律师助理、调查员、支持人员和秘书人员）处获取签名，但所有该等人员均受本保护令的约束。\n\n11. 机密材料、高度机密材料及仅限律师查阅材料的保护。被告和/或其辩护律师应尽合理注意，确保机密材料、高度机密材料和仅限律师查阅材料不被违反本保护令而向任何第三方披露或传播。如果发生意外披露机密材料、高度机密材料和仅限律师查阅材料的情况，被告和/或其辩护律师应立即向本法院和政府通报意外提供的机密材料和/或高度机密材料和/或仅限律师查阅材料的接收人身份，并应尽合理努力确保意外提供的机密材料和/或高度机密材料和/或仅限律师查阅材料得以退还和/或销毁。\n\n12. 在公开听证会和审判中使用机密材料、高度机密材料和仅限律师查阅材料。本命令的各项规定不得被解释为阻止在与上述诉讼相关的任何动议、听证会、审判、其引起的任何上诉或量刑程序中，或向本法院的任何地区法官或治安法官（或其工作人员）出于上述诉讼之目的披露任何信息，但前提是，在未经政府同意或法院命令的情况下，在任何书面提交文件中引用或包含的机密材料、高度机密材料和仅限律师查阅材料最初应以涂黑删节形式或密封（under seal）形式公开归档。所有提交文件均应遵守 Fed. R. Crim. P. 49.1 的隐私保护规定。\n\n13. 扣押 ESI 的开示与保护。政府已告知，本案中可能需要开示的信息可能包含在政府在调查过程中从各种计算机、手机以及其他设备和存储介质中扣押的 ESI 内。政府获准向被告辩护律师开示政府认为可能包含开示材料的全部该等扣押 ESI（“扣押 ESI 开示材料”），且仅限用于本文允许的用途。被告，\n\n辩护律师以及由其承担行为责任的人员（即律师所雇用或聘用的人员）可审阅被扣押的ESI（电子存储信息）披露材料，以确认与辩护相关的事项。除本裁定另有规定外，其不得进一步传播或披露被扣押的ESI披露材料的任何部分。\n\n14. 材料的归还或销毁。除已构成本案诉讼记录一部分的机密材料、高度机密材料和仅限律师查阅材料外，被告及其律师应在以下较晚日期届满后的30天内，向政府归还或以安全方式销毁或删除所有机密材料、高度机密材料以及仅限律师查阅材料（包括被扣押的ESI披露材料）：对本标题所示案件的任何判决提起直接上诉的期限届满之日；对驳回本标题所示案件中任何指控的任何裁定提起直接上诉的期限届满之日；或准予代表政府提出的驳回本标题所示案件中任何指控的动议之日。\n\n15. 管辖权的保留。本裁定的各项规定不因本刑事起诉程序的终结而终止，在本案终结后，本法院将继续保留执行本裁定的管辖权。\n\n16. 第三方请求。辩护律师依据传票、另一法院签发的裁定和/或另一政府机关的请求披露任何披露材料前，应至少提前十个工作日通知政府。在向政府提供通知时，辩护律师应向政府提供该传票、法院裁定或请求的副本，即辩护律师认为据此要求其提供披露材料以作为回应的文件。\n\n特此裁定：\n\n日期：2023年5月__日，于纽约州纽约市\n\nAnalisa Torres（阿纳丽莎·托雷斯）阁下\n美国联邦地区法院法官\n\n_________________________________________","key_entities":["Je","Kwok","Guo","Ho Wan Kwok","Yanping Wang","Miles Guo","Kin Ming Je","William Je","Torres","Analisa Torres","CIPA"],"ecf_references":[],"word_count":2029,"status":"published","published_at":"2023-04-30 00:00:00","created_at":"2023-04-30","updated_at":"2026-08-23 07:39:40"}