(a) Waiver of Appearance
A person who is charged with a petty offense as defined in 18 U.S.C. § 19, or
with violating any regulation promulgated by any department or agency of the
United States government, may, in lieu of appearance, waive appearance and
pay the fine amount indicated in the summons and as identified by the fee
schedules promulgated by this Court and made publicly available on the
Court’s website.
(b) Waiver Not Allowed
For all other petty offenses, the person charged must appear before a
magistrate judge.
District of Maine Local Rules
Appendices
District of Maine Local Rules
Appendix A
Glossary of Frequently Used Terms
The following phrases and terms will have the following meaning in these rules:
(1) ADR means alternative dispute resolution, and includes judicial
settlement conferences conducted by judges in the District of Maine,
mediation, arbitration, early neutral evaluation, non-binding summary
trial, and any other agreed-upon means of resolving the case without a
trial.
(2) Appendix means the Appendix to these rules.
(3) Bankruptcy Court means the United States Bankruptcy Court for the
District of Maine.
(4) Clerk means the Clerk of Court for the United States District Court for
the District of Maine and includes employees of the Clerk’s Office.
(5) Court means the United States District Court for the District of Maine.
(6) District means the District of Maine.
(7) ECF or ECF system means the CM/ECF case management/electronic
case file system.
(8) Forms means the forms that appear on the Court’s website, https://
www.med.uscourts.gov/forms.
(9) HSD means highly sensitive document as defined in Local Rules 5 and
5.3.
(10) Judge means a U.S. District Judge or a U.S. Magistrate Judge.
(11) Marshal means the U.S. Marshal for the District of Maine and any
Deputy U.S. Marshal.
(12) Probation Office means the United States Probation Office for the
District of Maine.
(13) PDF means portable document format, an electronic file format.
District of Maine Local Rules
(14) PSR means the Presentence Investigation Report prepared and filed by
the Probation Office.
(15) State means the State of Maine.
District of Maine Local Rules
Appendix B
Administrative Procedures Governing the
Filing and Service by Electronic Means
Electronic Filing and PDF
Electronic filing is the process of uploading a document from a registered user’s
computer, using the Court’s Internet-based Electronic Case Files (ECF) system, to
file the document in the Court’s case file. The ECF system only accepts documents in
a portable document format (PDF). Although there are two types of PDF documents–
electronically converted PDFs and scanned PDFs–only electronically converted PDFs
may be filed with the Court using the ECF system, unless otherwise authorized by
local rule or order.
Electronically converted PDFs are created from word processing documents (MS
Word, WordPerfect, etc.) using Adobe Acrobat or similar software. They are text
searchable and their file size is small.
Scanned PDFs are created from paper documents run through an optical scanner.
Scanned PDFs are not searchable and have a large file size.
Software used to electronically convert documents to PDF which includes proprietary
or advertisement information within the PDF document is prohibited.
Administrative Procedures
(a) General Information
(1) All documents submitted for filing in civil and criminal cases, except
those documents specifically exempted in subsection (g) of these
procedures, shall be filed electronically using the ECF system.
(2) The official Court record in ECF cases shall be the electronic file
maintained on the Court’s servers together with any physical media and
paper documents filed in accordance with these procedures.
(3) All documents filed by electronic means must comply with technical
standards, if any, established by the Judicial Conference of the United
States or by this Court.
(4) Documents filed with the Clerk’s Office will normally be reviewed no
later than the close of the next business day. It is the responsibility of
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the filing party to promptly notify the Clerk via telephone of a matter
that requires the immediate attention of a judge.
(5) A party may apply to the Court for permission to file paper documents.
(b) Registration
(1) Attorneys admitted to the bar of this Court, including visiting attorneys,
must register as filing users of the Court’s ECF system prior to filing
any pleadings. Registration must be on an Attorney Registration Form,
a copy of which is on the Court’s website, www.med.uscourts.gov.
(2) A non-prisoner who is a party to a civil action and who is not represented
by an attorney may register to receive service electronically and to
electronically transmit their documents to the Court for filing in the
ECF system. If during the course of the action the person retains an
attorney who appears on the person’s behalf, the Clerk will terminate
the person’s registration upon the attorney’s appearance.
(3) A registered user may not allow another person to file a document using
the user’s login and password, except for an authorized agent of the
filing user. Use of a user’s login and password by a staff member shall
be deemed to be the act of the registered user.
(4) Registration constitutes consent to service of all documents by electronic
means as provided in these procedures.
(c) Filing and Service of Civil Case Opening Documents
(1) Civil case opening documents, such as a complaint, petition, or notice of
removal, together with a properly completed summons and civil cover
sheet, must be sent in PDF form to MaineECFIntake@
med.uscourts.gov, so that the documents can be added to ECF.
(2) The Clerk will imprint the seal of the Court and the Clerk’s signature
on the summons and issue the summons electronically to counsel. A
party may not electronically serve a civil complaint but must print the
embossed summons and effect service under Federal Rule of Civil
Procedure 4.
District of Maine Local Rules
(d) Electronic Filing
(1) Electronic transmission of a document to the ECF system, together with
the transmission of a Notice of Electronic Filing (NEF) from the Court,
constitutes filing of the document for all purposes of the Federal Rules
of Civil Procedure and constitutes entry of the document on the docket
maintained by the Clerk under Federal Rules of Civil Procedure 58, 79,
and 49 and Federal Rule of Criminal Procedure 55.
(2) A document filed electronically will be deemed filed at the time and date
stated on the NEF.
(3) All pleadings filed electronically must be titled using the approved list
of civil or criminal events for the ECF system of this Court.
(e) Service of Electronically Filed Documents
(1) Whenever a non-sealed pleading is filed electronically, the ECF system
will automatically generate and send a NEF to the filing user and
registered users of record. The user filing the document should retain a
paper or digital copy of the NEF, which will serve as the Court’s date-
stamp and proof of filing.
(2) Although the filing of sealed documents in civil cases produces an NEF,
the document itself cannot be accessed and counsel are responsible for
serving the sealed documents.
(3) Attorneys who have not yet registered as users with ECF and pro se
litigants who have not registered with ECF must be served a paper copy
of any electronically filed pleading or other document under Federal
Rule of Civil Procedure 5.
(f) Deadlines.
Filing documents electronically does not alter any filing deadlines. All
electronic transmissions of documents must be completed prior to midnight,
Eastern Time, to be considered filed that day. Where a specific time-of-day
deadline is set by Court order or stipulation, the electronic filing must be
completed by that time.
District of Maine Local Rules
(g) Special Filing Requirements and Exceptions
(1) Except as otherwise provided below, all documents in civil cases must
be filed electronically, including:
(A) motions to file documents under seal and sealed documents;
(B) ex parte motions and applications;
(C) unredacted documents; and
(D) administrative records in Social Security Disability cases.
(2) The following documents may be filed in paper:
(A) administrative review proceeding records other than
administrative records in social security disability cases; and
(B) the state court record and other Rule 5 materials in habeas corpus
cases filed in 28 U.S.C. § 2254 proceedings.
(3) The following documents must be filed in paper or via alternate
electronic means such as email with the Clerk. These documents will be
uploaded into ECF (Note that sealed documents in criminal cases will
not generate an NEF and the docket entry and documents will not be
accessible):
(A) motions to file documents under seal and documents filed under
seal in criminal cases;
(B) ex parte motions and applications filed in criminal cases;
(C) pleadings and documents filed in sealed cases, both civil and
criminal;
(D) the charging document in a criminal case, such as the complaint,
indictment, or information;
(E) any pleading or document in a criminal case containing the
signature of a defendant; and
(F) affidavits for search and arrest warrants.
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(4) The following restricted criminal documents must be electronically filed
by the United States Probation Office and access will be provided only
to applicable parties in criminal cases:
(A) pretrial services reports, any addenda, and release status reports;
(B) all versions of presentence investigation reports; and
(C) revocation reports.
(5) The following criminal documents must be electronically filed by the
United States Probation Office and the documents will be sealed:
(A) sentencing recommendations; and
(B) revocation justifications.
(6) The following restricted criminal documents must be electronically filed
by counsel and access will be provided only to applicable parties in
criminal cases:
(A) objections to presentence investigation reports; and
(B) restricted documents in felony information cases (if not filed with
the original filing paperwork), until the waiver of indictment is
held, at which time it will become unrestricted.
(7) The following restricted criminal documents will be scanned by the
Clerk and uploaded into ECF:
(A) financial declarations;
(B) writs of habeas corpus;
(C) forensic psychiatric evaluation reports;
(D) statements of reasons and findings affecting sentencing; and
(E) revocation judgment personal identifier attachment.
(8) The following documents must be filed in paper, and may also be
scanned into ECF by the Clerk:
(A) all handwritten pleadings; and
District of Maine Local Rules
(B) all documents filed by pro se litigants who are incarcerated or who
are not registered ECF users.
(9) The following documents must be scanned by counsel and filed using
ECF:
(A) Rule 4 executed service of process documents; and
(B) the state court record filed in 28 U.S.C. § 1446 removal
proceedings.
(10) The following documents may be delivered to the Clerk, but may not be
filed, electronically or otherwise, unless ordered by the Court:
(A) character letters and general documents in support of sentencing
(excluding sentencing memoranda), whose admission will be
moved at the time of sentencing;
(B) hearing and trial exhibits; and
(C) letters in support of downward departure motions.
(11) Any document to be filed with or submitted to the Court may not be
password protected or encrypted.
(h) Signature
(1) Attorneys. The user login and password together with a user’s name on
the signature block constitutes the attorney’s signature under the
Federal Rules of Civil Procedure and the Local Rules of this Court. All
electronically filed documents must include a signature block and must
set forth the attorney’s name, address, telephone number and email
address. The name of the ECF user under whose login and password the
document is submitted must be preceded by a “/s/” in the space where
the signature would otherwise appear.
(2) Multiple Signatures. The filer of any document requiring more than
one signature (e.g., stipulations, joint status reports) must list all the
names of other signatories, preceded by a “/s/” in the space where the
signatures would otherwise appear. By submitting such a document, the
filing attorney certifies that each of the other signatories has expressly
agreed to the form and substance of the document and that the filing
attorney has their actual authority to submit the document
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electronically. The filing attorney must retain any records evidencing
this concurrence for future production, if necessary, until 2 years after
the expiration of the time for filing a timely appeal. A non-filing
signatory or party who disputes the authenticity of an electronically
filed document containing multiple signatures must file an objection to
the document within 10 days of the date on the NEF.
(3) Affidavits. Except as provided in subsection (g)(3)(F), affidavits shall
be filed electronically; however, the electronically filed version must
contain the typed name of the signatory, preceded by a “/s/” in the space
where the signature would otherwise appear indicating that the paper
document bears an original signature. The filing attorney must retain
the original for future production, if necessary, for 2 years after the
expiration of the time for filing a timely appeal.
(i) Privacy Protection for Filings Made with the Court
The Clerk is not required to review documents filed with the Court for
compliance with Federal Rule of Civil Procedure 5.2 or Federal Rule of
Criminal Procedure 49.1. Counsel and the party or nonparty making the filing
are responsible for redacting filings.
(j) Attachments
Attachments to filings and exhibits must be filed in accordance with the
Court’s ECF User Manual, unless otherwise ordered by the Court.
(1) When there are 50 or fewer attachments to a pleading, the attachments
must be filed by counsel electronically using ECF.
(2) When there are more than 50 attachments, the attachments must be
filed in one of the following ways:
(A) Using ECF, as attachments to the pleading being filed;
(B) Using ECF, using the “Additional Attachments” menu item;
(C) On paper; or
(D) On a properly labeled 3.5” floppy disk, CD, or DVD.
District of Maine Local Rules
Attachments filed on paper or on disk must contain a comprehensive
index that clearly describes each document.
(3) A filing user must submit as attachments only those excerpts of the
referenced documents that are directly germane to the matter under
consideration by the Court. Excerpted material must be clearly and
prominently identified as such. Users who file excerpts of documents do
so without prejudice to their right to timely file additional excerpts or
the complete document, as may be allowed by the Court. Responding
parties may timely file additional excerpts or the complete document
that they believe are directly germane.
(4) Filers may not attach as an exhibit any pleading or other paper already
on file with the Court in that case, but should instead reference that
document by title and ECF document number.
(k) Orders and Judgments
(1) Proposed orders may not be filed unless requested by the Court. When
requested by the Court, proposed orders must be filed by email in word
processing format.
(2) A judge, or any authorized member of the Court staff, may grant routine
orders by a text-only entry on the docket. In such cases, no PDF
document will issue; the text-only entry will be the Court’s only order on
the matter and counsel will receive a system-generated NEF.
(3) Any order or other court-issued document filed electronically without
the original signature of a judge or the Clerk has the same force and
effect as if the judge or the Clerk had signed a paper copy of the order
and it had been entered on the docket in a conventional manner.
(l) Transcripts
(1) Proceedings of this Court.
(A) A transcript of a proceeding of this Court must be filed
electronically using ECF. The transcript shall be available at the
Clerk’s Office, for inspection only, for a period of 90 days after it
is filed. During this 90-day period, a copy of the transcript may be
obtained from the court reporter or transcriber at the rate
established by the Judicial Conference. The transcript will be
District of Maine Local Rules
available at the public terminal at the courthouse and remotely
electronically available to any attorneys of record who have
purchased a copy from the court reporter or transcriber.
(B) In compliance with the policy of the Judicial Conference of the
United States and to address privacy concerns outlined in section
(i) of this appendix:
(i) parties must file a notice of intent to redact within 7
calendar days of the filing of the official court transcript;
(ii) if redaction is requested, parties must submit to the court
reporter a redaction request within 21 days from the filing
of the official court transcript;
(iii) parties must move the Court for any additional redactions
beyond those identified in section (i) of this appendix;
(iv) any redacted transcript must be filed using ECF within 31
days from the filing of the official court transcript;
(v) after the 90-day inspection-only period has ended, the
original transcript, or redacted transcript, if so filed, will
be publicly available through PACER.
(C) As required by the Judicial Conference of the United States Policy
on Privacy and Public Access to Electronic Case Files, documents
in criminal cases containing identifying information about jurors
or potential jurors will not be included in the public case file and
will not be made available to the public at the courthouse or via
remote electronic access. Transcripts of proceedings may become
public record; therefore, counsel are advised to use juror numbers
instead of juror names during court hearings.
(2) Transcripts from Other Courts. A transcript of a proceeding of
another court must be filed electronically in PDF if possible and
otherwise in paper.
(3) Depositions. Excerpts of depositions in support of or in opposition to a
motion must be filed using ECF, unless otherwise permitted by the
Court. Full transcripts of depositions to be used at trial should be filed
in paper.
District of Maine Local Rules
(m) Fax
No pleadings or other documents may be submitted to the Court for filing by
fax without prior leave of Court.
(n) Technical Failures
(1) A filing user whose filing is made untimely as the result of a technical
failure may seek appropriate relief from the Court.
(2) A technical failure of the Court’s ECF system is deemed to have occurred
when the system cannot accept filings continuously or intermittently
over the course of any period of time greater than one hour. Known
system outages will be posted on the Court’s website along with
guidance on how to proceed, if applicable.
(o) Unrepresented Parties
Non-prisoner unrepresented parties in civil actions may register with ECF or
may file (and serve) all pleadings and other documents in paper. The Clerk will
scan into ECF any pleadings and documents filed on paper in accordance with
section (g) of these procedures.
(p) Access to Documents
(1) Electronically Stored Documents. The public may review at the
Clerk’s Office all filings that have not been sealed. Except for social
security cases, the public may access civil filings made after January 1,
2003, and criminal filings made after November 1, 2004, in ECF at the
Court’s website, www.med.uscourts.gov, by obtaining a PACER login
and password. In social security cases, the public may access judgments,
opinions, and orders filed on or after December 1, 2007. Access to other
documents filed in social security cases will be restricted to the attorneys
of record.
(2) Sealed Cases and Documents
(A) In General. In both civil and criminal actions, cases may be
sealed in their entirety, or only as to certain documents. Sealing
may be required when a case is initiated or at various times
during the proceedings. Cases and documents can only be sealed
by statute, local rule, or Court order. A sealed case or document
District of Maine Local Rules
may not be examined except by order of the Court, or by the
following judicial employees: Clerk of Court, Chief Deputy,
Information Systems Analysts, Case Managers, Chambers Staff
and Probation Office employees.
(B) Criminal. In a criminal case that is not sealed in its entirety,
when an individual document is sealed, neither the docket entry
nor the document will be available to the public without a Court
order, unless the Local Rules provide otherwise.
(C) Civil. In a civil case that is not sealed in its entirety, when an
individual document is sealed, the docket entry remains publicly
available, unless the Local Rules provide otherwise. However, the
sealed document itself will not be available to the public except
by Court order.
District of Maine Local Rules
Appendix C
Model Complaint in Social Security Appeal
UNITED STATES DISTRICT COURT
DISTRICT OF MAINE
ABC, )
)
Plaintiff, )
) No. ___________
v. )
)
XYZ, Commissioner of Social Security, )
)
Defendant. )
Complaint
The above-named plaintiff makes the following representations to this Court
for the purpose of obtaining judicial review of a decision of the defendant adverse to
the plaintiff:
1. The plaintiff is a resident of (City) , (State) .
2. The plaintiff complains of a decision which adversely affects the plaintiff in
whole or in part. The decision has become the final decision of the
Commissioner for purposes of judicial review and bears the following caption:
In the Case of Claim for
(Claimant) ________________________
(Wage Earner)
3. The plaintiff has exhausted administrative remedies in this matter and this
Court has jurisdiction for judicial review pursuant to 42 U.S.C. § 405(g).
District of Maine Local Rules
WHEREFORE plaintiff seeks judicial review by this Court and the entry of a
judgment for such relief as may be proper, including costs.
(Date) (Attorney for Plaintiff)
(Address)
(Telephone)
(E-mail )
District of Maine Local Rules
Appendix D
Agreement on Acceptance of Service
To facilitate and assure timely service of process and to provide adequate time to
answer civil complaints filed by in forma pauperis litigants and habeas corpus
petitions under 28 U.S.C. § 2254, the Clerk of Court of the United States District
Court for the District of Maine and the Attorney General of the State of Maine agree
to the following procedures. This agreement addresses cases in which the United
States District Judge or Magistrate Judge determines that service documents are to
issue when a plaintiff has been granted in forma pauperis status in a civil action
involving the State of Maine or its employees and in all cases where a petitioner has
filed a habeas corpus petition under 28 U.S.C. § 2254, regardless of whether or not
the filing fee has been paid.
(a) General Provisions
(1) At case opening, the case manager will add an appropriate entity
specified by the Attorney General as a “Notice Only Party” to the court’s
Case Management and Electronic Case Filing System (CM/ECF). The
Attorney General’s Office will thereby receive electronic notice of all case
filings and activity, including the case initiating documents, to any
email accounts specified by that office in their “Notice Only” designation.
If the Attorney General ultimately enters an appearance on behalf of
one or more defendants in the case, the “Notice Only Party” will be
terminated and the attorney/(s) who enters his/her appearance will be
designated as the counsel to whom notice is sent.
(2) These procedures shall take effect for any case filed after May 1, 2009,
and remain in effect until terminated by the Attorney General or the
Clerk.
(b) Habeas Corpus Petitions
Pursuant to the Rules 4 and 5 Governing § 2254 Cases, following preliminary
review by the Court, the respondent is only required to answer or otherwise
respond to the petition if ordered to do so by the court. In its order the Court
will fix the time by which response must be made, normally allowing 60 days.
The Attorney General agrees that entry of the order to respond on the docket
by the clerk complies with the requirement of service of the petition on the
District of Maine Local Rules
respondent, the Attorney General, or other appropriate officer and will accept
service of the same.
(c) Prisoner IFP Complaints wherein Maine Employees and/or the
Department of Corrections are Defendants
Pursuant to 28 U.S.C. § 1915A all prisoner complaints will be subject to
mandatory screening before the Court will order service of complaint. The
Attorney General shall file no pleadings in the case until after the Court
completes its preliminary review. If the Court determines that the complaint
should be served, the clerk will enter the following notice on the docket:
NOTICE: The court has completed its preliminary review and ordered the
complaint to be served. Pursuant to the Agreement on Service between the
Clerk of Court and the Maine Attorney General, this Notice constitutes service
as directed by the court. The Maine Attorney General shall file notice of
acceptance or declination of acceptance of service within thirty (30) days.
(1) If service is accepted, it shall constitute both proof of service and
acceptance of service under Federal Rule of Civil Procedure 4, and the
clerk shall commence the 60 day answer period from the date the Notice
was entered on the docket, as though service had been made by mailing
a request for a waiver to the defendant pursuant to the provisions of
Federal Rule of Civil Procedure 4(d)(3).
(2) If service is declined, the Attorney General, shall to the extent able,
explain the reason for declination, e.g., the defendant is no longer
employed by the State of Maine, there is a conflict of interest, or the
defendant has declined representation by the Attorney General. A notice
of acceptance or declination of service shall be filed in every case where
the Attorney General has been listed as a “Notice Only Party.”
(3) In those cases where service is declined, the Court shall immediately
order in-hand service by the United States Marshals Service on behalf
of any indigent prisoner and shall further order the Attorney General to
provide the last known address of the defendant to the United States
Marshals Service to be used only for the purpose of attempting to
effectuate in-hand service.
District of Maine Local Rules
(4) If the Court determines that a shortened response time is required
because the plaintiff has filed a preliminary motion for injunctive relief,
or for any other reason requiring an expedited response, it shall notify
the Attorney General of any shortened response date by a specific order.
(d) Nonprisoner IFP cases wherein Maine Employees and/or Maine
Agencies or Departments are Defendants
(1) The Attorney General shall file no pleadings in a non-prisoner IFP case
until after the Court issues an order on the plaintiff’s IFP status. If the
plaintiff is granted IFP status and service documents are to issue, the
clerk will enter the following notice on the docket:
(2) NOTICE: The court has granted IFP status and ordered the complaint
to be served. Pursuant to the Agreement on Service between the Clerk
of Court and Maine Attorney General, this Notice constitutes service as
directed by the court. The Maine Attorney General shall file notice of
acceptance or declination of acceptance of service within thirty (30) days.
(3) Following entry of the Notice, the procedures applicable to prisoner IFP
cases, outlined above, shall apply.
DATE: 12/1/2019 /s/ Aaron Frey
Attorney General
State of Maine
DATE: 12/1/2019 /s/ Christa K. Berry
Clerk of Court
District of Maine
District of Maine Local Rules
Appendix E
Judicial Conference Guidance on Highly Sensitive Documents (HSDs)
The Judicial Conference Committee on Court Administration and Case
Management developed the following guidance for Highly Sensitive Documents
(HSDs).
HSDs are a narrow subset of sealed documents that must, for their protection,
be stored offline. The added protection for HSDs is important because, in the event of
a breach of the courts’ electronic case management system by a sophisticated actor,
those documents are more likely to be sought out and stolen, or their unauthorized
access or exposure are likely to have outsized consequences beyond that of most
sealed documents, or both.
The following definition and guidance are intended to assist courts in
identifying highly sensitive documents and managing the offline handling of HSDs.
This guidance does not apply to classified information, which should be handled
according to the Classified Information Procedures Act (CIPA) and the Chief Justice’s
Security Procedures related thereto, 18 U.S.C. app. 3 §§ 1, 9(a). 1
(a) Definition
A Highly Sensitive Document (HSD) is a document or other material that
contains sensitive, but unclassified, information that warrants exceptional
handling and storage procedures to prevent significant consequences that
could result if such information were obtained or disclosed in an unauthorized
way. Although frequently related to law enforcement materials, especially
sensitive information in a civil case could also quality for HSD treatment.
1 The Chief Justice’s Security Procedures (criminal prosecutions) and the Department of
Justice (DOJ) regulation 28 C.F.R. § 17.17(c) (civil actions) govern classified information in
any form in the custody of a court. Such classified information may not be filed on CM/ECF
or any other court network or standalone computer system. Courts are assisted in their
protection of classified information by classified information security officers, who are
detailed to the courts by the DOJ’s Litigation Security Group, a unit independent of the
attorneys representing the government. Courts should direct questions regarding how to
handle classified documents to the DOJ’s Litigation Security Group. See also, Robert Timothy
Reagan, Keeping Government Secrets: A Pocket Guide on the State-Secrets Privilege, the
Classified Information Procedures Act and Classified Information Security Officers, (Federal
Judicial Center, 2d ed. 2013).
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(1) Examples of HSDs: Examples include ex parte sealed filings relating
to: national security investigations, cyber investigations, and especially
sensitive public corruption investigations; and documents containing a
highly exploitable trade secret, financial information, or computer
source code belonging to a private entity, the disclosure of which could
have significant national or international repercussions.
(2) Exclusions: Most materials currently filed under seal do not meet the
definition of an HSD and do not merit the heightened protections
afforded to HSDs. The form or nature of the document, by itself, does
not determine whether HSD treatment is warranted. Instead, the focus
is on the severity of the consequences for the parties or the public should
the document be accessed without authorization. Most presentence
reports, pretrial release reports, pleadings related to cooperation in
criminal cases, social security records, administrative immigration
records, applications for search warrants, interception of wire, oral, or
electronic communications under 18 U.S.C. § 2518, and applications for
pen registers, trap, and trace devices would not meet the HSD definition.
(b) HSDs: Sources and Characteristics
(1) HSD designation may be requested by a party in a criminal, civil,
appellate, or bankruptcy matter.
(2) HSDs vary in their physical form and characteristics. They may be
paper, electronic, audiovisual, microform, or other media. The term
“document” includes all recorded information, regardless of its physical
form or characteristics.
(3) An opinion or order entered by the court related to an HSD may itself
constitute an HSD, if it reveals sensitive information in the HSD.
(4) An HSD in the lower court’s record will ordinarily be also regarded by
an appellate court as an HSD.
(c) HSD Designation
(1) A court’s standing order, general order, or equivalent directive should
include the HSD definition set forth in (a) above and outline procedures
for requesting, filing, and maintaining HSDs.
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(2) The onus is on the party, including the Department of Justice and other
law enforcement agencies, to identify for the court those documents that
the party believes qualify as HSDs and the basis for that belief. In
moving for HSD treatment, the filing party must articulate why HSD
treatment is warranted, including, as appropriate: the contents of the
document; the nature of the investigation or litigation; and the potential
consequences to the parties, the public, or national interests, in the
event the information contained in the document is accessed or
disseminated without authorization.
(3) Judicial Determination:
(A) The presiding judge (or, when no presiding judge is available, the
chief judge) should determine whether a document meets the
HSD definition by evaluating whether a party has properly
articulated sufficient reasons for such treatment, including the
consequences for the matter, should the document be exposed.
Most applications for HSD treatment are likely to be ex parte, but
the presiding judge should resolve any disputes about whether a
document qualifies as an HSD as defined in (a) above. The fact
that a document may contain sensitive, proprietary, confidential,
personally identifying, or financial information about an entity or
an individual, that may justify sealing of the document or case,
does not alone qualify the document as an HSD.
(B) In making this determination, the court should consider properly
articulated concerns that the unauthorized access or disclosure of
the information contained in the document at issue would result
in significant adverse consequences that outweigh the
administrative burden of handling the document as an HSD. As
a general matter, courts should give careful and appropriate
consideration to the concerns articulated by the executive branch
in matters implicating the authority of the executive branch to
oversee the military and safeguard national security. If relevant,
the court has the discretion to consider the impact of the
heightened protection provided by offline placement to any other
party’s right of access.
(d) Exceptional Administrative Treatment for HSDs:
(1) Filing: HSDs and requests for HSD treatment will be accepted for filing
only in paper form or via a secure electronic device (e.g., USB stick or
portable hard drive).
District of Maine Local Rules
(2) Handling: The court must handle the HSDs by storing all information
offline. Furthermore, any pleadings or other filings created in
connection with the proceedings should not disclose the subject matter
of the HSD (including information that may identify the place, object, or
subject of an ex parte filing).
(3) Docketing: Docket entries for HSDs should not include personal or
other identifying details related to or contained within them. For
example:
8/25/22 [no link] SYSTEM ENTRY-Docket Entry 92
Restricted until further notice (Entered 8/25/22).
(4) Storing: HSDs shall be stored and handled only in a secure paper filing
system, or an encrypted external hard drive attached to an air-gapped
system (i.e., entirely disconnected from networks and systems, including
a court unit’s local area network and the judiciary’s network).
(5) Safeguarding Internal Communication: Care should also be taken
in judicial communications regarding HSDs, including notes and pre-
decisional materials, not to include the protected substance of HSDs in
any communication using the internet or a computer network.
(e) Duration of HSD Treatment
HSDs are stored temporarily or permanently offline as the situation requires.
When designating a document as an HSD, courts should indicate when the
designation will automatically lapse or when the designation should be
revisited by the judicial officer. HSDs should be migrated as sealed documents
to the court’s electronic docketing system and unsealed, as appropriate as soon
as the situation allows.
District of Maine Local Rules
Appendix F
Confidentiality Orders
In cases in which a party believes a confidentiality order is appropriate, the
Court provides the following forms: (1) the Standard Confidentiality Order (Standard
Order); and (2) the Heightened Confidentiality Order (Heightened Order), which are
also available on the Court’s website, https://www.med.uscourts.gov/forms.
If all parties consent to a motion to use the Standard Order, the Court
ordinarily will grant it. If all parties consent to amend the Standard Order, the
parties must include in their motion an explanation of the proposed changes.
In limited circumstances that meet the heightened standard to treat certain
information as “attorneys’ eyes only,” a party may propose to use the Heightened
Order instead of the Standard Order. A party may also propose amendments to this
order. Even if all parties consent to the use of this order or an amended version of it,
the parties must explain why the use of a heightened order is appropriate.
If the parties are requesting amendments to either of these orders, they must
submit a redlined version with the requested changes to the court with their motion.
If all parties do not consent to use or amend the same confidentiality order,
any party seeking a confidentiality order must file a motion under Local Rule 7.
Appendix F-1 Form Standard Confidentiality Order
UNITED STATES DISTRICT COURT
DISTRICT OF MAINE
ABC, )
)
Plaintiff, )
)
v. ) No.
)
XYZ, )
)
Defendant. )
Confidentiality Order
Upon consent of the parties, or upon motion for good cause shown, it is
ORDERED:
1. Scope and Purpose. This Order is entered based on the
representations of the parties and for the purpose of facilitating discovery. All
testimony, documents, things, material, and other information produced in discovery
are subject to this Order, including information produced by third parties in response
to a subpoena or otherwise. This Order is binding upon all counsel and their law
firms, the parties, and persons who receive confidential information in this case.
2. Service of Order to Third Parties. This Order must be served on any
third party with any subpoena served in this matter.
3. Definition of Confidential Information. Confidential information
(Confidential Information) is information that a party believes in good faith is
protected from disclosure by law or that should be protected from disclosure as
District of Maine Local Rules
confidential because it is likely to be detrimental if disclosed, including for example,
sensitive personal information, trade secrets, confidential or proprietary financial
information, competitive information, personnel records, or commercially sensitive
information. Information that is publicly available is not confidential. The
designation of information as confidential does not mean that the information has
any status or protection by statute or otherwise except to the extent and for the
purposes of this Order.
4. Form and Timing of Designation. Any party or third party may
designate documents, testimony, things, material, or other information as
Confidential Information and restricted from disclosure under this Order when they
are produced by marking them “Confidential” on all copies in a manner that will not
interfere with the legibility of the information. The right to designate information as
confidential is granted to third parties who testify or produce documents or
information in response to a subpoena. Information should be designated confidential
before or at the time of the production or disclosure of the information.
5. Inadvertent Production. Information inadvertently produced
without a confidentiality designation must be designated as soon as practicable after
the inadvertent disclosure and will be treated as confidential from the date written
notice of the designation is provided to the receiving party. Inadvertent production
alone will not constitute a waiver of the confidentiality designation. If the producing
person notifies all parties that confidential information was inadvertently produced,
the receiving parties must return or destroy the information and may not use the
District of Maine Local Rules
information unless the parties agree or the Court rules on it.
6. Depositions. Deposition testimony will be deemed confidential only if
designated. A party must take the following steps to designate deposition testimony
as Confidential Information:
(a) A party must state on the record during the deposition that the
testimony contains Confidential Information protected by this Order. Any
testimony so designated will remain confidential for 45 days after receipt of
the deposition transcript from the court reporter.
(b) Within 45 days after receipt of the transcript from the court
reporter, a designating party must serve a Notice of Designation on all parties
of record as to specific portions of the transcript, identified by page and line, to
be designated confidential. Thereafter, the portions so designated will be
protected as confidential pending objection under the terms of this Order.
(c) The failure to serve a Notice of Designation waives the
confidential designation made on the record.
7. Protection of Confidential Information. Confidential Information
must not be used or disclosed for any purpose other than to conduct this litigation.
The Confidential Information may only be used or disclosed as provided in this Order
or additional orders.
8. Disclosure of Confidential Information. Confidential Information
may only be disclosed to the following people and only as specifically needed for the
purposes of this litigation:
District of Maine Local Rules
(a) counsel, including necessary employees;
(b) parties, including necessary employees;
(c) mediators, special masters or neutrals;
(d) court reporters and video operators;
(e) consultants, experts, and contractors;
(f) deponents; and
(g) witnesses or others by written consent of the affected parties.
9. Acknowledgement Required. If Confidential Information is disclosed
to witnesses, contractors, consultants, experts, or others by written consent, each of
the individuals must be advised that the information is confidential and must sign
Exhibit A.
10. Unauthorized Disclosure. If counsel or any party or third party
learns of an unauthorized disclosure of Confidential Information, that individual
must promptly report the disclosure to the party that produced the information and
take steps to retrieve the information and remedy any harm caused by the disclosure.
11. Procedures for Filing Confidential Information. This Order does
not authorize the sealing of Confidential Information without Court approval. Parties
wishing to file Confidential Information under seal must follow the procedures in
Local Rule 5.2(a).
12. No Greater Protection of Specific Information. No party may
withhold information from discovery on the ground that it requires protection greater
than provided in this Order unless the party moves for an order providing additional
District of Maine Local Rules
protection.
13. Challenges to Confidential Designations. Any confidential
designation is subject to challenge by any party or producing third party. A party may
challenge a designation under this Order as follows:
(a) Challenge to Information Designation. A party need not
challenge a designation when the information is designated. If a party later
disputes a confidentiality designation, the affected parties must make a good
faith effort to resolve the dispute. If they cannot resolve the dispute, any
affected party may seek to resolve the discovery dispute under Local Rule 26(c).
(b) Challenge to Qualified Person. A party or producing third
party may challenge the designation of a person as qualified to receive such
information under this Order within 21 days of becoming aware the person has
received or will receive the information. If they cannot resolve the dispute
through a good faith effort, any affected party may seek to resolve the discovery
dispute under the Local Rules.
14. Action by the Court. Applications to the Court for orders relating to
Confidential Information must be made by motion under Local Rule 7.
15. Use of Confidential Information at Trial. A party that intends to
present at trial or anticipates that another party may present Confidential
Information at trial should identify the issue, not the specific Confidential
Information, in the pretrial memorandum. The Court may make such orders as are
necessary to govern the use of such documents or information at trial.
District of Maine Local Rules
16. Obligations on Conclusion of Litigation.
(a) Order Remains in Effect. Unless otherwise agreed or ordered,
this Order will remain in force after dismissal or entry of final judgment not
subject to further appeal. Filings made under seal will only be deleted from
ECF upon order of the Court.
(b) Return or Destruction of Confidential Information. Within
60 days after the conclusion of the litigation, including any appeal or claim for
attorneys’ fees, the receiving party must either (i) return the Confidential
Information or (ii) destroy the Confidential Information and certify to the
producing party that it was destroyed. But counsel are entitled to retain copies
of all pleadings, motion papers, trial, deposition, and hearing transcripts, legal
memoranda, correspondence, deposition and trial exhibits, expert reports,
attorney work product, and consultant and expert work product, even if such
materials contain Confidential Information. Such materials retained by
counsel that contain or constitute Confidential Information remain subject to
this Order.
(c) Third Parties. When any third party produces Confidential
Information voluntarily or in response to a subpoena, the receiving party must
notify the producing third party promptly after the conclusion of the litigation,
including any appeal, so that the producing third party may avail itself of the
rights afforded by this Order.
17. No Judicial Determination. This Order is not a judicial
District of Maine Local Rules
determination that any documents or information designated confidential are subject
to protection under any statute or rule. Nothing in this Order or any action or
agreement of a party under this Order limits the Court’s power to make orders
concerning the disclosure of documents produced in discovery or at trial.
18. Non-Waiver of Privilege or Protection and Inadvertent
Disclosure. Nothing in this Order waives or limits any applicable privilege, work
product, or other protection, including confidential business information or personal
identifying information, or limits the ability of a party to seek relief for inadvertent
disclosure of information protected by privilege, work product, or other protection.
19. Attorney-Client Privilege. This Order will be interpreted to provide
the maximum protection allowed by Federal Rule of Evidence 502(d).
District of Maine Local Rules
20. Modification. The Court may modify this Order either on its own or at
a party’s request by motion filed under Local Rule 7.
So Ordered.
Dated:
U.S. District Judge
U.S. Magistrate Judge
U.S. Bankruptcy Judge
District of Maine Local Rules
Exhibit A
UNITED STATES DISTRICT COURT
DISTRICT OF MAINE
ABC, )
)
Plaintiff, )
)
v. ) No.
)
XYZ, )
)
Defendant. )
Acknowledgement and
Agreement to be Bound
The undersigned hereby acknowledges that they have read the Confidentiality
Order dated ____________________________ in the above-captioned action,
understands its terms, and agrees to be bound by them. The undersigned submits to
the jurisdiction of the United States District Court for the District of Maine in matters
relating to the Confidentiality Order and understands that the terms of the
Confidentiality Order obligate them to use materials designated confidential in
accordance with the Confidentiality Order solely for the purposes of the above-
captioned action, and not to disclose any such documents or information derived from
them to any other person, firm, or entity.
District of Maine Local Rules
The undersigned acknowledges that violation of the Confidentiality
Order may result in penalties for contempt of court.
Name:
Job Title:
Employer:
Business
Address:
Date: Signature:
District of Maine Local Rules
Appendix F-2 Form Heightened Confidentiality Order
UNITED STATES DISTRICT COURT
DISTRICT OF MAINE
ABC, )
)
Plaintiff, )
)
v. ) No.
)
XYZ, )
)
Defendant. )
Heightened Confidentiality Order
Upon motion for good cause shown, it is ORDERED:
1. Scope and Purpose. This Order is entered based on the
representations of the parties and for the purpose of facilitating discovery. All
testimony, documents, things, material, and other information produced in discovery
are subject to this Order, including information produced by third parties in response
to a subpoena or otherwise. This Order is binding upon all counsel and their law
firms, the parties, and persons who receive confidential information in this case.
2. Service of Order to Third Parties. This Order must be served on any
third party with any subpoena served in this matter.
3. Definition of Confidential Information. Confidential information
(Confidential Information) is information that a party believes in good faith is
protected from disclosure by law or that should be protected from disclosure as
confidential because it is likely to be detrimental if disclosed, including for example,
District of Maine Local Rules
sensitive personal information, trade secrets, confidential or proprietary financial
information, competitive information, personnel records, or commercially sensitive
information. Information that is publicly available is not confidential. The
designation of information as confidential does not mean that the information has
any status or protection by statute or otherwise except to the extent and for the
purposes of this Order.
4. Definition of Attorneys’ Eyes Only Confidential Information.
Attorneys’ Eyes Only Confidential Information is information: (a) that meets the
above definition of Confidential Information; and (b) that a party or party’s counsel,
after reviewing the information, has a good faith belief contains information so
sensitive that it could cause harm if disclosed to another party in this action.
Confidential Information and Attorneys’ Eyes Only Confidential Information are
referred to collectively as Protected Information.
5. Form and Timing of Designation. Any party or third party may
designate documents, testimony, things, material, or other information as Protected
Information and restricted from disclosure under this Order when they are produced
by marking them “Confidential” or “Attorneys’ Eyes Only” on all copies in a manner
that will not interfere with the legibility of the information. The right to designate
information as Protected Information is granted to third parties who testify or
produce documents or information in response to a subpoena. Information should be
designated protected before or at the time of the production or disclosure of the
information.
District of Maine Local Rules
6. Inadvertent Production. Information inadvertently produced
without a confidentiality designation must be designated as soon as practicable after
the inadvertent disclosure and will be treated as protected from the date written
notice of the designation is provided to the receiving party. Inadvertent production
alone will not constitute a waiver of the confidentiality designation. If the producing
person notifies all parties that protected information was inadvertently produced, the
receiving parties must return or destroy the information and may not use the
information unless the parties agree or the Court rules on them.
7. Depositions. Deposition testimony will be deemed Protected
Information only if designated. A party must take the following steps to designate
deposition testimony as Confidential Information or Attorneys’ Eyes Only
Confidential Information:
(a) A party must state on the record during the deposition that the
testimony contains such information protected by this Order. Any testimony
so designated will remain protected under this Order for 45 days after receipt
of the deposition transcript from the court reporter.
(b) Within 45 days after receipt of the transcript from the court
reporter, a designating party must serve a Notice of Designation on all parties
of record as to specific portions of the transcript, identified by page and line, to
be designated as a form of Protected Information. Thereafter, the portions so
designated will be so protected pending objection under the terms of this Order.
District of Maine Local Rules
(c) The failure to serve a Notice of Designation waives the
designation made on the record.
8. Protection of Confidential Information. Protected Information
must not be used or disclosed for any purpose other than to conduct this litigation.
Protected Information may only be used or disclosed as provided in this Order or
additional orders.
9. Disclosure of Confidential Information. Confidential Information
may only be disclosed to the following people and only as specifically needed for the
purposes of this litigation:
(a) counsel, including necessary employees;
(b) parties, including necessary employees;
(c) mediators, special masters or neutrals;
(d) court reporters and video operators;
(e) consultants, experts, and contractors;
(f) deponents; and
(g) witnesses or others by written consent of the affected parties.
10. Disclosure of Attorneys’ Eyes Only Confidential Information.
Attorneys’ Eyes Only Confidential Information may not be disclosed to parties or
their employees. Such information may only be disclosed to the following people and
only as specifically needed for the purposes of this litigation:
(a) outside counsel, including necessary employees;
(b) experts, court reporters and video operators; or
District of Maine Local Rules
(c) others by written consent of the affected parties.
11. Acknowledgement Required. If Protected Information is disclosed to
witnesses, contractors, consultants, experts or others by written consent, each of the
individuals must be advised that the information is protected and must sign
Exhibit A.
12. Unauthorized Disclosure. If counsel or any party or third party
learns of an unauthorized disclosure of Protected Information, that individual must
promptly report the disclosure to the party that produced the information and take
steps to retrieve the information and remedy any harm caused by the disclosure.
13. Procedures for Filing Confidential Information. This Order does
not authorize the sealing of Protected Information without Court approval. Parties
wishing to file Protected Information under seal must follow the procedures in Local
Rule 5.2(a).
14. No Greater Protection of Specific Information. No party may
withhold information from discovery on the ground that it requires protection greater
than provided in this Order unless the party moves for an order providing additional
protection.
15. Challenges to Designations. Any confidential or attorneys’ eyes only
designation is subject to challenge by any party or producing third party. A party may
challenge a designation under this Order as follows:
(a) Challenge to Information Designation. A party need not
challenge a designation when the information is designated. If a party later
District of Maine Local Rules
disputes a designation, the affected parties must make a good faith effort to
resolve the dispute. If they cannot resolve the dispute, any affected party may
seek to resolve the discovery dispute under Local Rule 26(c).
(b) Challenge to Qualified Person. A party or producing third
party may challenge the designation of a person as qualified to receive such
information under this Order within 21 days of becoming aware the person has
received or will receive the information. If they cannot resolve the dispute
through a good faith effort, any affected party may seek to resolve the discovery
dispute under the District of Maine Local Rules.
16. Action by the Court. Applications to the Court for orders relating to
Protected Information must be made by motion under Local Rule 7.
17. Use of Protected Information at Trial. A party that intends to
present at trial or anticipates that another party may present at trial Protected
Information should identify the issue, not the specific information, in the pretrial
memorandum. The Court may make such orders as are necessary to govern the use
of such documents or information at trial.
18. Obligations on Conclusion of Litigation.
(a) Order Remains in Effect. Unless otherwise agreed or ordered,
this Order will remain in force after dismissal or entry of final judgment not
subject to further appeal. Filings made under seal will only be deleted from
ECF upon order of the Court.
District of Maine Local Rules
(b) Return or Destruction of Confidential Information. Within
60 days after the conclusion of the litigation, including any appeal or claim for
attorneys’ fees, the receiving party must either (i) return the Protected
Information or (ii) destroy the Protected Information and certify to the
producing party that it was destroyed. But counsel are entitled to retain copies
of all pleadings, motion papers, trial, deposition, and hearing transcripts, legal
memoranda, correspondence, deposition and trial exhibits, expert reports,
attorney work product, and consultant and expert work product, even if such
materials contain Protected Information. Such materials retained by counsel
that contain or constitute Protected Information remain subject to this Order.
(c) Third Parties. When any third party produces Protected
Information voluntarily or in response to a subpoena, the receiving party must
notify the producing third party promptly after the conclusion of the litigation,
including any appeal, so that the producing third party may avail itself of the
rights afforded by this Order.
19. No Judicial Determination. This Order is not a judicial
determination that any documents or information designated confidential or
attorneys’ eyes only are subject to protection under any statute or rule. Nothing in
this Order or any action or agreement of a party under this Order limits the Court’s
power to make orders concerning the disclosure of documents produced in discovery
or at trial.
20. Non-Waiver of Privilege or Protection and Inadvertent
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Disclosure. Nothing in this Order waives or limits any applicable privilege, work
product, or other protection, including confidential business information or personal
identifying information, or limits the ability of a party to seek relief for inadvertent
disclosure of information protected by privilege, work product, or other protection.
21. Attorney-Client Privilege. This Order will be interpreted to provide
the maximum protection allowed by Federal Rule of Evidence 502(d).
22. Modification. The Court may modify this Order either on its own or at
a party’s request by motion filed under Local Rule 7.
So Ordered.
Dated:
U.S. District Judge
U.S. Magistrate Judge
U.S. Bankruptcy Judge
District of Maine Local Rules
Exhibit A
UNITED STATES DISTRICT COURT
DISTRICT OF MAINE
ABC, )
)
Plaintiff, )
)
v. ) No.
)
XYZ, )
)
Defendant. )
Acknowledgement and
Agreement to be Bound
The undersigned hereby acknowledges that they have read the Heightened
Confidentiality Order dated ____________________________ in the above-captioned
action, understands its terms, and agrees to be bound by them. The undersigned
submits to the jurisdiction of the United States District Court for the District of
Maine in matters relating to the Heightened Confidentiality Order and understands
that the terms of the Heightened Confidentiality Order obligate them to use
materials protected in accordance with the Heightened Confidentiality Order solely
for the purposes of the above-captioned action, and not to disclose any such
documents or information derived from them to any other person, firm, or entity.
District of Maine Local Rules
The undersigned acknowledges that violation of the Heightened
Confidentiality Order may result in penalties for contempt of court.
Name:
Job Title:
Employer:
Business
Address:
Date: Signature:
