DOCSTIP

DOCUMENT STIPULATION APPENDICES
EXPLANATION OF FIELDS IN DATABASE:

Identification of defendant

RESPOND Name of defendant (e.g., BAXTER) who responded to the Rule 31 requests. Note that some defendants have responded not only with respect to the documents they produced, but also for documents produced by certain other companies. For example, Bristol Myers has provided the information not only for itself and MEC, but also for Aesthetech, Natural Y, and Sirod

Identification of document
(Documents are identified by BATES number assigned to pages of the document)

PREFIX When documents were assigned Bates numbers, most exhibits were assigned a prefix of up to six characters. E.g., the prefix BAX was assigned to many of the documents produced by Baxter

STARTNO The Bates number of up to 9 digits that was assigned to the first page of a document.

STARTSUF An additional one or two characters that, on a few occasions, may have been added at the end of the Bates number for the first page of a document

ENDNO The Bates number of up to 9 digits that was assigned to the last page of a document. For a single-page document, this will be the same as the startno.

ENDSUF An additional one or two characters that, on a few occasions, may have been added at the end of the Bates number for the last page of a document.

CONFID Where a document is subject to a protective order (e.g., certain "trade secret" documents produced by 3M), the code "C" will be shown in this field. In general, this means that the producing defendant believed the document contains trade secrets to which other defendants should not have access.

DATE To indicate the approximate date of the document. A "soft-date" field in that "00/00/86" is used to indicate 1986 and "05/00/86" is used to indicate May 1986. This field is provided for convenience of reference, and does not indicate a stipulation as to the date. Note that in multi-page documents there may be different dates for different pages within the document. Note also that the database itself contains (though not displayed in various printouts or monitor reviews) additional date fields used for ordering of documents by date or where, for some documents, a secondary date is also given.

DESCRIP A description of up to 254 characters and digits, intended for convenient reference and as a potential description of a document on a court's listing of trial documents. In general, this represents a neutral description of the document as provided by the plaintiffs, though the defendants are not stipulating to the accuracy of the description.

AUTHOR Some defendants have provided information identifying the authors of various documents. Even when so provided, this information should be understood as provided for convenient reference and not as a stipulation as to the actual author(s) of the document.

RECIPIENT Some defendants have provided information identifying the recipients of various documents. Even when so provided, this information should be understood as provided for convenient reference and not as a stipulation as to the actual recipients(s) of the document.

Special Notes: Sometimes a multi-page document may be subdivided and shown as separate items in the database (although each segment may still be described by the original description for the document as a whole). This may have occurred because some pages in the document constituted FRE 803(6) business records while other pages did not. Or there may be skips in the page numbering sequence. Also, some separate documents have been gathered under a single generic description and startno/endno sequence.

Designated

DESIGNATED For most defendants, the items in the database do not list all documents produced by that defendant, but only those documents that were identified by the plaintiffs, by that defendant, or by other defendants on a "short list," intended to identify those records that most frequently have been offered by parties at trial or on motions. Codes such as "P" for plaintiffs, "D" for the responding defendant, or "B" for both plaintiffs and the responding defendant have been included to indicate who listed the item in their short list.
By designating a document, a party does not stipulate that the document is relevant or admissible, and does not waive any objections to the document that are permitted under the document stipulation.

Copy

COPY_3 Intended primarily as a means for applying FRE 1003, a "YES" answer in this field means that an accurate printout of the image of the document contained on a CD-Rom disk constitutes an accurate copy of the document that was produced to the document depository and that the item produced to the document depository was an accurate copy of a document that the producing defendant then possessed (or of a document then possessed by a company on whose behalf it is answering the stipulation). Note that this does not constitute a stipulation as to when the producing defendant first possessed the document--check the terms of the document stipulation for agreements regarding time of receipt.
A "NO" answer may mean (i) that there are problems with the CD-ROM image though not necessarily with the copy on file in the document depository; (ii) that, although the document was produced by a defendant, it was not produced from that company's records; or (iii) that the page span designated by the plaintiffs or another defendant are either so unrelated or incomplete that the responding defendant is unwilling to stipulate that such pages comprise a document. For a few items, the answer provided is "NO*" (with asterisk), meaning that there are problems with the CD-Rom disk image, though not with the copy that is on file in the document depository.
As a reminder regarding provisions of the document stipulation: the fact that a document is an accurate copy does not necessarily mean that it is admissible, or when it is admissible.

Business Record Exception to Hearsay Rule

BUSREC_4A A "YES" answer in this field means that, subject to the potential for further review and challenge as detailed in the document stipulation, the document, when offered for truth of assertions therein, satisfies the various criteria of FRE 803(6) as an exception to the hearsay rule. As a reminder regarding provisions of the document stipulation, this stipulation and answer does not necessarily mean that it is admissible, or when it is admissible.

When a "YES" answer is given, the remaining fields will usually be blank, but implicitly what this means is "YES" to RECORD_4B, AT_NEAR_4C, KNOWLDG_4D, REGKEPT_4E, and REGMADE_4F, and "NO" to UNTRUST_4G.

A "NO" answer (or a N/A answer or no response) to BUSREC_4A does not preclude a court from determining (whether on an offer by a plaintiff or a defendant) on the basis of other evidentiary submissions that, notwithstanding this answer, the document nevertheless satisfies the requirements of FRE 803(6), nor does it mean that the document would be inadmissible if offered as a statement by a party-opponent or for non-hearsay purposes, such as when relevant on issues of notice. Also, a "NO" answer will generally be followed by answers relating to the various criteria of FRE 803(6).

For a few documents, the answer in this field involves more than "YES" or "NO" response. The answer is given by a special reference "FNx", as follows:
FN1--Yes, except any post 8/3/84 document
FN2--Yes if doc. clearly made by Heyer-Schulte (i.e., on Heyer-Schulte stationery, have Heyer-Schulte letterhead, or reflect Heyer-Schulte corporate logo); otherwise no.
FN3--Yes except any pre 6/1/77 or post 8/3/84 document
FN4--Yes (except articles)
FN5--Yes, except for marginalia, since not possessed after 3/81
FN6--No as busrec of MMM; Yes as busrec of foreign sub.
FN7--Per court ruling, DowCorn lacks knowledge to stipulate
FN8--Court ruled DowCorn lacks knowledge to stipulate
Note: these footnote numbers do not necessarily match the footnote numbers that were contained on the appendices filed by the responding defendants.

RECORD_4B A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, the document is "a memorandum, report, record, or data compilation of acts, event, conditions, or diagnoses".

AT_NEAR_4C A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, the document was "made at or near the time" of the reported acts, events, conditions, opinions, or diagnoses.

KNOWLDG_4D A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, the document was "made by, or from information submitted by, a person with knowledge" of the reported acts, events, conditions, opinions, or diagnoses.

REGKEPT_4E A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, the document was "kept in the course of a regularly conducted business activity".

REGMADE_4F A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, "it was the regular practice of the business to make" such memoranda, reports, records, or data compilations.

UNTRUST_4G A "NO" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, there is nothing about "the source of information or the method or circumstances of preparation" of the document that indicates "a lack of trustworthiness." A "YES " answer means that, even if the other criteria of FRE 803(6) are satisfied, the responding defendant believes that "the source of information or the method or circumstances of preparation indicate lack of trustworthiness." Note that the answer to this question affects the determination of whether a document satisfies the criteria of FRE 803(6) as an exception to the hearsay rule in just the opposite manner as answers to the 5 preceding questions.
Note: "FN9 " in this field means that, because the document is illegible, incomplete, or blank, it should therefore be considered as untrustworthy.

PREFIX	When documents were assigned Bates numbers, most exhibits were assigned a prefix of up to six characters. E.g., the prefix BAX was assigned to many of the documents produced by Baxter
STARTNO	The Bates number of up to 9 digits that was assigned to the first page of a document.
STARTSUF	An additional one or two characters that, on a few occasions, may have been added at the end of the Bates number for the first page of a document
ENDNO	The Bates number of up to 9 digits that was assigned to the last page of a document. For a single-page document, this will be the same as the startno.
ENDSUF	An additional one or two characters that, on a few occasions, may have been added at the end of the Bates number for the last page of a document.
CONFID	Where a document is subject to a protective order (e.g., certain "trade secret" documents produced by 3M), the code "C" will be shown in this field. In general, this means that the producing defendant believed the document contains trade secrets to which other defendants should not have access.
DATE	To indicate the approximate date of the document. A "soft-date" field in that "00/00/86" is used to indicate 1986 and "05/00/86" is used to indicate May 1986. This field is provided for convenience of reference, and does not indicate a stipulation as to the date. Note that in multi-page documents there may be different dates for different pages within the document. Note also that the database itself contains (though not displayed in various printouts or monitor reviews) additional date fields used for ordering of documents by date or where, for some documents, a secondary date is also given.

DESCRIP	A description of up to 254 characters and digits, intended for convenient reference and as a potential description of a document on a court's listing of trial documents. In general, this represents a neutral description of the document as provided by the plaintiffs, though the defendants are not stipulating to the accuracy of the description.
AUTHOR	Some defendants have provided information identifying the authors of various documents. Even when so provided, this information should be understood as provided for convenient reference and not as a stipulation as to the actual author(s) of the document.
RECIPIENT	Some defendants have provided information identifying the recipients of various documents. Even when so provided, this information should be understood as provided for convenient reference and not as a stipulation as to the actual recipients(s) of the document.
	Special Notes: Sometimes a multi-page document may be subdivided and shown as separate items in the database (although each segment may still be described by the original description for the document as a whole). This may have occurred because some pages in the document constituted FRE 803(6) business records while other pages did not. Or there may be skips in the page numbering sequence. Also, some separate documents have been gathered under a single generic description and startno/endno sequence.

BUSREC_4A	A "YES" answer in this field means that, subject to the potential for further review and challenge as detailed in the document stipulation, the document, when offered for truth of assertions therein, satisfies the various criteria of FRE 803(6) as an exception to the hearsay rule. As a reminder regarding provisions of the document stipulation, this stipulation and answer does not necessarily mean that it is admissible, or when it is admissible.
	When a "YES" answer is given, the remaining fields will usually be blank, but implicitly what this means is "YES" to RECORD_4B, AT_NEAR_4C, KNOWLDG_4D, REGKEPT_4E, and REGMADE_4F, and "NO" to UNTRUST_4G.
	A "NO" answer (or a N/A answer or no response) to BUSREC_4A does not preclude a court from determining (whether on an offer by a plaintiff or a defendant) on the basis of other evidentiary submissions that, notwithstanding this answer, the document nevertheless satisfies the requirements of FRE 803(6), nor does it mean that the document would be inadmissible if offered as a statement by a party-opponent or for non-hearsay purposes, such as when relevant on issues of notice. Also, a "NO" answer will generally be followed by answers relating to the various criteria of FRE 803(6).
	For a few documents, the answer in this field involves more than "YES" or "NO" response. The answer is given by a special reference "FNx", as follows: FN1--Yes, except any post 8/3/84 document FN2--Yes if doc. clearly made by Heyer-Schulte (i.e., on Heyer-Schulte stationery, have Heyer-Schulte letterhead, or reflect Heyer-Schulte corporate logo); otherwise no. FN3--Yes except any pre 6/1/77 or post 8/3/84 document FN4--Yes (except articles) FN5--Yes, except for marginalia, since not possessed after 3/81 FN6--No as busrec of MMM; Yes as busrec of foreign sub. FN7--Per court ruling, DowCorn lacks knowledge to stipulate FN8--Court ruled DowCorn lacks knowledge to stipulate Note: these footnote numbers do not necessarily match the footnote numbers that were contained on the appendices filed by the responding defendants.

RECORD_4B	A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, the document is "a memorandum, report, record, or data compilation of acts, event, conditions, or diagnoses".
AT_NEAR_4C	A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, the document was "made at or near the time" of the reported acts, events, conditions, opinions, or diagnoses.
KNOWLDG_4D	A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, the document was "made by, or from information submitted by, a person with knowledge" of the reported acts, events, conditions, opinions, or diagnoses.
REGKEPT_4E	A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, the document was "kept in the course of a regularly conducted business activity".
REGMADE_4F	A "YES" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, "it was the regular practice of the business to make" such memoranda, reports, records, or data compilations.
UNTRUST_4G	A "NO" answer in this field means that, although other criteria in FRE 803(6) may not be satisfied, there is nothing about "the source of information or the method or circumstances of preparation" of the document that indicates "a lack of trustworthiness." A "YES " answer means that, even if the other criteria of FRE 803(6) are satisfied, the responding defendant believes that "the source of information or the method or circumstances of preparation indicate lack of trustworthiness." Note that the answer to this question affects the determination of whether a document satisfies the criteria of FRE 803(6) as an exception to the hearsay rule in just the opposite manner as answers to the 5 preceding questions. Note: "FN9 " in this field means that, because the document is illegible, incomplete, or blank, it should therefore be considered as untrustworthy.