(a) Generally. All pleadings and documents submitted in criminal cases must conform to the
filing, service, and format requirements contained in Local Rules CV-5, CV-10, and CV-
11.
(1) Defendant Number. In multi-defendant cases, each defendant receives a
“defendant number.” The numbers are assigned in the order in which defendants
are listed on the complaint or indictment. When filing documents with the court,
parties shall identify by name and number each defendant to whom a document
applies.
(2) Sealed Indictments. In multi-defendant cases involving one or more sealed
indictments, the government should, at the time the sealed indictment is filed,
provide the clerk with appropriately redacted copies of the indictment for each
defendant. The goal of this procedure is to protect the confidential aspect of the
sealed indictment with regard to any defendants not yet arrested.
(b) Public Access to Criminal Case Documents Generally. In order to serve the legal
presumption of openness in criminal case proceedings, pleadings in this court are generally
to be filed unsealed. Except for the documents listed in Section (c) of this rule, decisions
as to whether to seal a particular pleading are made on a case-by-case basis by the court,
with findings specific enough that a reviewing court can determine whether the sealing or
closure was properly entered.
(1) Absent specific court findings to the contrary, all documents other than those
specifically listed in paragraph (c) below and those submitted with a motion to seal
in accordance with Local Rules CV-5(a)(7) and CR-49(a) are to remain unsealed.
(c) Authorization to Routinely Seal Particular Types of Criminal Case Documents.
Despite the general rule cited in Section (b) above, there is an overriding interest in
routinely sealing certain types of criminal case documents, because public dissemination
of the documents would substantially risk endangering the lives or safety of law
enforcement officers, United States Marshals, agents, defendants, witnesses, cooperating
informants, judges, court employees, defense counsel, prosecutors, or their respective
family members, and could jeopardize continuing criminal investigations. The documents
that trigger this overriding interest are:
(1) unexecuted summonses or warrants (e.g., search warrants, arrest warrants);
(2) pen register or a trap and trace device applications pursuant to either 18 U.S.C. §
3121 et seq. or 18 U.S.C. § 2516 et seq.;
(3) pretrial bail or presentence investigation reports and any addenda and objections
thereto;
(4) the statements of reasons in the judgment of conviction;
(5) plea agreements,3 which are governed by Section (d) below;
(6) addenda to plea agreements described in Section (e) below;
(7) motions for downward departure for substantial assistance, and responsive
pleadings and orders granting or denying the same;
(8) motions pursuant to Section 5K1.1 of the United States Sentencing Guidelines,
memoranda in support thereof, responsive pleadings and orders granting or
denying the same;
(9) motions for reduction of sentence under Fed. R. Crim. P. 35(b), memoranda in
support thereof, responsive pleadings and orders granting or denying the same;
(10) amended judgments pursuant to a grant of a Fed. R. Crim. P. 35(b) motion;
and
(11) orders restoring federal benefits filed in conjunction with item 10 above.
The documents listed above shall be filed under seal without need of a motion to seal or a
certification by counsel. Other than plea agreements, the documents shall remain sealed
unless otherwise ordered by the court.
(d) Sealing and Unsealing of Plea Agreements.
(1) Until it is accepted by the court, a plea agreement is in the nature of an unaccepted
offer of terms between parties. In addition to the findings of Section (c) above,
making a plea agreement public before it has been accepted may lead to publicity
that would tend to prejudice a defendant who decides to exercise his right to trial
by making it more difficult to select jurors who have not formed an opinion about
the case. Such publicity may also provide details of the case pertinent to co-
defendants who have not pled, thus prejudicing them. Therefore, plea agreements
shall be filed under seal.
(2) The plea agreement shall be unsealed when the terms and conditions of the plea
agreement are accepted absent a further court order finding that there is an
overriding policy interest in keeping that particular plea agreement sealed and
providing findings specific enough that a reviewing court can determine whether
the sealing or closure was properly entered. The routine unsealing of sealed plea
The plea agreement does not include the factual basis of the offense and stipulation or the
elements of the offense, which are separate documents typically filed at the same time as the plea
agreement.
agreements is intended to serve the right of public access to criminal case
documents.
(e) Sealed Addendums to Plea Agreements. Every plea agreement in this court shall have
an addendum that is sealed (see Section (c) 6 above). The addendum will either state “no
provisions are included in this addendum,” or it will contain specific provisions dealing
with possible reductions in sentence in return for the defendant’s substantial assistance to
the government. This will allow each plea agreement to be unsealed upon sentencing
without prejudicing or endangering a cooperating defendant or the defendant’s family or
other informants and defendants.
(f) In those instances where the court orders an entire criminal case sealed, case documents
shall be e-mailed to the following addresses for filing by the relevant divisional clerk’s
office:
Beaumont
[email protected]
Lufkin
[email protected]
Marshall
[email protected]
Sherman
[email protected]
Texarkana
[email protected]
Tyler
[email protected]
(g) Defendants proceeding pro se shall submit all sealed criminal case documents in paper
format to the clerk’s office for filing.
(h) Unless otherwise ordered by the presiding judge, counsel filing a document under seal
must send a paper copy of that document to the presiding judge’s chambers. The paper
copy should be sent directly to the judge’s chambers, not to the clerk’s office.
