USDC SDNY
DOCUMENT
ELEC","summary_zh":"保护令 —— 美国诉 Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）案，SDNY 1:23-cr-00118 ECF #63（2023年5月4日）。法院根据被告 Ho Wan Kwok 和 Yanping Wang 的同意，下达保护令规范发现程序中敏感信息的披露，设置机密材料、高度机密材料及仅供律师审阅材料等级别。","summary_en":"Protective Order — United States v. Ho Wan Kwok (a/k/a Miles Guo, Guo Wengui), SDNY 1:23-cr-00118 ECF #63 (May 4, 2023). The court entered a protective order governing disclosure of sensitive materials during discovery, with consent of defendants Ho Wan Kwok and Yanping Wang, establishing categories including Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material.","body_en":"|
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
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USDC SDNY
DOCUMENT
ELECTRONICALLY FILED
| DOC #: | |
| DATE FILED: | 5/4/2023 |
| DOC #: | | DATE FILED: | 5/4/2023 |\n|--------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|--|-------------|----------|\n| DOC #: | | | | | |\n| DATE FILED: | 5/4/2023 | | | | |\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\nDATE FIELD\n\n# **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 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
1 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 for one year 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 4, 2023\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nTHE HON. ANALISA TORRES UNITED STATES DISTRICT JUDGE","body_zh":"UNITED STATES DISTRICT COURT\nSOUTHERN DISTRICT OF NEW YORK（美国纽约南区联邦地区法院）\nUSDC SDNY\nDOCUMENT\nELECTRONICALLY FILED\nDOC #:\nDATE FILED: 5/4/2023\nDOC #: DATE FILED: 5/4/2023\nDOC #:\nDATE FILED: 5/4/2023\nUNITED STATES OF AMERICA（美利坚合众国）\n\nv.（诉）\n\nHO WAN KWOK（郭文贵），又名“Miles Guo”、“Miles Kwok”、“Guo Wengui”、“七哥”、“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\nDATE FIELD\n保护令（Protective Order）\n\nS1 23 Cr. 118 (AT)\n\n经美利坚合众国提出申请，并经被告 HO WAN KWOK 和 YANPING WANG 的辩护律师同意，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（Disclosure Material）。政府应依据《联邦刑事诉讼规则》（Federal Rule of Criminal Procedure）第 16 条、18 U.S.C. § 3500 以及政府在刑事案件中开示无罪证据和弹劾材料的一般性义务，向被告开示文件、物品和信息，包括电子存储信息（“ESI”），所有上述内容在此统称为“开示材料”。\n\n2. 机密材料（Confidential Material）。政府开示材料中的某些部分（在此统称为“机密材料”）包含影响个人或实体隐私和保密性的材料，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）。政府在本案中提供的任何机密材料均应加盖标有“Confidential”（机密）字样的贝茨编号印章（Bates-stamped），或由政府以其他方式向被告辩护律师明确指定为机密材料。在没有法院相反命令的情况下，政府将材料指定为机密材料的决定具有约束力。\n\n3. 高度机密材料（Highly Confidential Material）。政府开示材料中的某些部分（在此统称为“高度机密材料”）包含高度机密的材料，其影响个人或实体的隐私和保密性，若予披露可能会对这些个人或实体造成实质性损害，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。政府在本案中提供的任何高度机密材料均应加盖标有“Highly Confidential”（高度机密）字样的贝茨编号印章，或由政府以其他方式向被告辩护律师明确指定为高度机密材料。在没有法院相反命令的情况下，政府将材料指定为高度机密材料的决定具有约束力。\n\n4. 仅限律师查阅材料（Attorneys' Eyes Only Material）。政府开示材料中的某些部分（在此统称为“仅限律师查阅材料”）包含高度机密且高度敏感的材料，涉及个人或实体的隐私、保密性和/或安全利益，若予披露可能会造成实质性损害和/或对个人或实体构成安全隐患，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（即与未被起诉的个人有关的来源、方法、身份、标识符或位置）。政府在本案中提供的任何仅限律师查阅材料均应加盖标有“Attorneys' Eyes Only”（仅限律师查阅）字样的贝茨编号印章，或由政府以其他方式向被告辩护律师明确指定为仅限律师查阅材料。在没有法院相反命令的情况下，政府将材料指定为仅限律师查阅材料的决定具有约束力。\n\n5. 促进证据开示（Facilitation of Discovery）。在本案中作出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遮盖处理。这也将使辩方能够及时获取这些材料。\n\n6. 正当理由（Good Cause）。作出本令所列之保护令具有正当理由。\n\n7. 对机密材料的限制（Restrictions on Confidential Material）。在本案诉讼程序进行期间向被告或其辩护律师披露的机密材料：\n\na. 仅供被告及其辩护律师用于本案辩护之目的；\nb. 被告及其辩护律师不得复制，但为本案辩护目的除外；\nc. 应由被告及其辩护律师妥善保存并维护于安全的容器和场所内；\nd. 被告或其辩护律师不得以任何形式予以披露，包括不得发布到本案当事人以外的其他人可以访问的任何互联网站点或网络站点上，亦不得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\ne. 被告或其辩护律师仅可出于为本案辩护的需要，向下列人员（以下简称“指定人员”）披露：\ni. 辩护律师雇用的全职或兼职调查人员、秘书、文员和律师助理人员；\nii. 辩护律师就本案聘请的独立专家证人、调查员或顾问；\niii. 其他潜在证人1及其律师（在辩护律师认为对听证会或审判准备确属必要的范围内）；\niv. 辩护律师就本案聘请的外语翻译人员；以及\nv. 今后可能由法院根据任何被告的动议所授权的其他人员。\n\n8. 对高度机密材料的限制（Restrictions on Highly Confidential Material）。对高度机密材料的限制与机密开示材料相同，参见第 7 款，但高度机密材料仅可在辩护律师事务所内、在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，或者在视频会议期间（前提是高度机密材料的提供不得以永久或固定的方式传输，即辩护律师不得通过由被告保留的电子邮件或信息进行传输）由辩护律师向被告披露以供被告出于与本案相关的目的进行审阅。\n\n1 潜在证人不得留存机密材料、不得复制机密材料，亦不得制作或留存机密材料的任何笔记。\n\n被告不得在以下地点之外保存、留存或持有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) 双方当事人或法院批准的地点。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与机密材料条款一致的方式向指定人员披露。\n\n9. 对仅限律师查阅材料的限制（Restrictions on Attorneys' Eyes Only Material）。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 款，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，亦不得由被告占有。仅限律师查阅材料仅可向辩护律师以及辩护律师雇用的全职或兼职调查人员、秘书、文员和律师助理人员披露，或向今后可能由法院根据任何被告的动议所授权的其他人员披露。\n\n10. 关于指定人员的规定（Provisions for Designated Persons）。被告及其辩护律师应向依据第 7、8 和 9 款向其披露机密材料、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) 款和第 8 款向任何潜在证人提供了机密材料或高度机密材料，辩护律师应做出合理努力，以根据下文第 11 款索回或销毁该等材料。在根据第 7(e)、8 和 9 款披露机密材料、高度机密材料或仅限律师查阅材料之前，任何该等个人均应通过签署本命令副本并声明“同意受本协议条款约束”，并将该副本提交给被告辩护律师，从而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，但所有这些人员同样受本保护令的约束。\n\n11. 机密材料、高度机密材料和仅限律师查阅材料的保护（Protection of Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material）。被告和/或其辩护律师应予以审慎注意，以确保机密材料、高度机密材料和仅限律师查阅材料不会在违反本保护令的情况下被披露或传播给任何第三方。如果发生无意中披露机密材料、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将无意中提供的机密材料和/或高度机密材料和/或仅限律师查阅材料的接收人身份通知法院和政府，并应尽合理努力确保索回和/或销毁该无意中提供的机密材料和/或高度机密材料和/或仅限律师查阅材料。\n\n12. 机密材料、高度机密材料和仅限律师查阅材料在公开听证会和审判中的使用（Use of Confidential Material, Highly Confidential Material, and Attorneys' Eyes Only Material at Public Hearings and Trial）。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、由此引起的任何上诉或量刑程序中披露任何信息，或阻止出于上述诉讼之目的向本法院的任何地区法官或治安法官（或其工作人员）披露任何信息；但是，在任何书面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，在未经政府同意或法院命令的情况下，最初应以涂黑遮盖形式或密封形式（under seal）公开提交。所有提交的文件均应遵守 Fed. R. Crim. P. 49.1 的隐私保护规定。\n\n13. 扣押 ESI 的开示与保护（Disclosure and Protection of Seized ESI）。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 中。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此类扣押 ESI（“扣押 ESI 开示材料”），且仅限用于本文所允许的用途。被告、\n\n辩护律师以及由其承担行为责任的人员（即由辩护律师雇佣或聘请的人员）可审查查扣的ESI披露材料，以识别与辩护相关的事项。除本裁定另有规定外，其不得进一步传播或披露查扣的ESI披露材料的任何部分。\n\n14. 材料的返还或销毁。除已构成本案记录一部分的机密材料、高度机密材料以及仅限律师查阅材料外，被告及其辩护律师应在上述标题案件中任何裁决的直接上诉期届满后30天内；在上述标题案件中驳回任何指控的任何裁定的直接上诉期届满后30天内；或在代表政府提出的驳回上述标题案件中任何指控的任何动议获准后30天内（以较晚的日期为准），将所有机密材料、高度机密材料以及仅限律师查阅材料（包括查扣的ESI披露材料）返还给政府，或予以安全销毁或删除。\n\n15. 管辖权的保留。本裁定的各项规定不因本刑事诉讼的终结而终止，法院将在本案终结后一年内保留执行本裁定的管辖权。\n\n16. 第三方请求。辩护律师根据传票、其他法院签发的裁定和/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。在向政府发出通知时，辩护律师应向政府提供辩护律师认为要求其据此出示披露材料的传票、法院裁定或请求的副本。\n\n特此裁定。\n\n日期：纽约州纽约市 2023年5月4日\n\n____________________________________\n\nHon. Analisa Torres（阿娜丽莎·托雷斯阁下）\nUnited States District Judge（美国联邦地区法院法官）","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":2067,"status":"published","published_at":"2023-05-04 00:00:00","created_at":"2023-05-04","updated_at":"2026-08-23 07:40:08"}