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IN RE:

PAUL A. DYER

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PROTECTIVE ORDER

Docket No. INS-09-217

 

WHEREAS Bureau of Insurance Staff ("Staff ") has initiated an enforcement action against insurance producer Paul A. Dyer ("Respondent") for alleged violations of the Maine Insurance Code, 24-A M.R.S. § 1 et seq.

WHEREAS Respondent has requested from Staff, pursuant to Me. Bur. Of Ins., 02 031 CMR 350-10, certain documents concerning the enforcement action.

WHEREAS some or all of the documents requested by Respondent are records, correspondence, and reports of investigation in connection with actual or claimed violations of the Insurance Code or prosecution or disciplinary action for those violations, and are thus confidential pursuant to 24-A M.R.S.§ 216(2).

NOW, THEREFORE, the Superintendent of Insurance ORDERS the following:

  1. Designation of Documents. Staff shall designate as confidential any documents to be produced to Respondent that Staff, in its reasonable discretion, believes to be confidential pursuant to any applicable statute or rule, including without limitation 24-A M.R.S. § 216(2) (the "Confidential Documents"). Staff shall indicate such designation by stamping the first page of each Confidential Document with the word "CONFIDENTIAL."
  2. No Public Disclosure. Except as provided in paragraphs 4, 6, and 7 below, all Confidential Documents shall be and remain exempt from public disclosure under the terms of this Order unless removed from the coverage of this Order by order of the Superintendent
  3. Authorized Persons. Unless and until otherwise ordered by the Superintendent, Staff shall produce Confidential Documents only to the following defined "Authorized Persons": Respondent and his counsel of record.
  4. Experts. Respondent may disclose Confidential Documents to consultants, investigators, or experts (referred to collectively as "Experts") employed by Respondent or Respondent's counsel of record to assist in the preparation and adjudication of the Enforcement Action, provided that the Expert has signed the Acknowledgement of Confidentiality attached as Exhibit A and filed it with the Superintendent.
  5. Limited Use. Authorized Persons may use the Confidential Documents only for purposes of defending or attempting to settle the enforcement action.
  6. Duty to Preserve Confidentiality. No Authorized Person to whom access to these Confidential Documents is accorded shall disclose or reveal, directly or indirectly, the content of the Confidential Documents to others, except to other Authorized Persons. Authorized Persons shall take such steps as may be reasonably necessary to preserve the confidentiality of the Confidential Documents while in their office files and shall not further disseminate the Confidential Documents without order of the Superintendent. Authorized Persons shall not be deemed in violation of this order if they have acted in good faith to preserve the confidentiality of the Confidential Documents and, upon notice of an inadvertent disclosure, have taken all reasonable measures to recover the applicable Confidential Document(s).
  7. Use as Evidence. Confidential Documents may, if otherwise admissible, be offered by either Staff or Respondent as evidence in the enforcement action. The admission into evidence of a Confidential Document shall waive the document's confidentiality and render it part of the public record of the hearing unless, at the request of any party or sua sponte, the hearing officer otherwise orders, in which event that portion of the hearing concerning the Confidential Document shall be held in executive session. The hearing officer may, at the request of any party or sua sponte, order the redaction for the public record of any prehearing motion containing Confidential Documents or descriptions thereof.
  8. Inadvertent Failure to Designate. Staff's inadvertent failure to designate Confidential Documents as confidential does not, standing alone, waive Staff's right to secure protection under this Order for such documents. Upon correction of a designation, all Authorized Persons must make reasonable efforts to assure that the material is treated in accordance with the provisions of this Order.
  9. Challenges by a Party to Designation as Confidential. Nothing in this order shall limit the right of Respondent and Respondent's counsel of record to object to the designation of documents to be produced as confidential.
  10. Privileged Documents. Staff's inadvertent production of privileged documents shall not waive that privilege. Upon notice, Respondent shall return or destroy any inadvertently produced documents that Staff asserts to be privileged.
  11. Final Disposition. Within 60 days of final disposition of the enforcement action, including any appeal therefrom, Respondent shall return to Staff or destroy all Confidential Documents. Respondent shall provide Staff with written confirmation of any destruction of documents pursuant to this paragraph or paragraph 10.
  12. Persons Bound. This Order shall take effect when entered and shall be binding upon Respondent, Respondent's counsel of record and experts, and Staff. Authorized Persons who receive or have access to Confidential Documents pursuant to the provisions of this Order shall be subject to the jurisdiction of the Maine Bureau of Insurance and the courts of the State of Maine in all matters relating to the enforcement of this Order, and shall be subject to the applicable penalties for violation thereof.
SO ORDERED: _____________________________________
MlLA KOFMAN, Superintendent of Insurance

 

Dated: November 18,2010
Gardiner, Maine

 

Exhibit A

STATE OF MAINE
BUREAU OF INSURANCE

IN RE:

PAUL A. DYER

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ACKNOWLEDGMENT OF
CONFIDENTIALITY

Docket No. INS-09-217

 

I, _______________________________, have been retained by Paul A. Dyer as his __________________ in the above-captioned enforcement proceeding. As part of my work in this matter I may be given access to documents that have been designated "CONFIDENTIAL" by Bureau of Insurance staff. I have read the attached Protective Order ("Order") and I agree to be bound by its terms. I understand that if I disclose any confidential documents or otherwise violate any provisions of the Order I may be subject to penalties under Maine law.

____________________________________
(signature)
___________
(date)

 


 

 

Last Updated: January 22, 2014