FILED: March 11, 2022
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
JUDICIAL COUNCIL
In the Matter of the Review of the *
New Court Reporter Management Plan * No. 449
of the United States District Court for *
the Eastern District of Virginia *
ORDER
The Court Reporter Management Plan of the United States District Court for the Eastern
District of Virginia is hereby approved.
FOR THE COUNCIL:
______________________
James N. Ishida
Secretary
Date: March 8, 2022
UNITED STATES DISTRICT COURT
EASTERN DISTRICT OF VIRGINIA
COURT REPORTER
MANAGEMENT PLAN
(March 2022)
TABLE OF CONTENTS
1. PURPOSE OF PLAN ........................................................................................................................................ 4
2. APPLICABILITY OF PLAN ............................................................................................................................ 4
3. TYPES OF COURT REPORTERS ................................................................................................................... 4
a. Official Reporters ....................................................................................................................................... 4
b. Contract Reporters...................................................................................................................................... 4
c. Substitute Reporters ................................................................................................................................... 5
4. COURT REPORTER ALLOCATIONS ............................................................................................................ 5
5. EMPLOYMENT................................................................................................................................................ 5
a. Appointment of Official Reporters............................................................................................................. 5
b. Qualifications of Official Reporters ........................................................................................................... 6
c. Probationary Period .................................................................................................................................... 6
d. Hours of Employment ................................................................................................................................ 6
e. Leave .......................................................................................................................................................... 7
6. RETIRED OR SEPARATED OFFICIAL REPORTERS .................................................................................. 8
7. SUPERVISION ................................................................................................................................................. 8
8. ASSIGNMENT OF COURT REPORTERS...................................................................................................... 9
9. RESTRICTION ON PRIVATE REPORTING ACTIVITIES ........................................................................... 9
10. REPORTER SERVICES TO UNITED STATES MAGISTRATE JUDGES ................................................... 9
11. TRANSCRIPTS ................................................................................................................................................. 9
a. Transcript Orders...................................................................................................................................... 10
b. Format Compliance .................................................................................................................................. 10
c. Filing of Original Transcripts ................................................................................................................... 10
d. Criminal Justice Act Proceedings............................................................................................................. 10
e. Fee Schedule ............................................................................................................................................ 11
1) Fees .................................................................................................................................................. 11
2) Transcripts Requested by a Judge .................................................................................................... 11
3) Electronic Sound Recordings ........................................................................................................... 11
f. Timely Filing of Transcripts .................................................................................................................... 12
g. Billing....................................................................................................................................................... 12
h. Deposits .................................................................................................................................................... 12
i. Overcharging ............................................................................................................................................ 12
j. Fee Reduction........................................................................................................................................... 12
1) Appellate Transcripts ....................................................................................................................... 12
2) Non-Appellate Transcripts ............................................................................................................... 13
k. Cancellation of Transcript Orders ............................................................................................................ 13
l. Expedited Transcripts............................................................................................................................... 13
2 EDVA Court Reporter Management Plan Revised March 2022
m. Production of Daily and Hourly Transcripts .............................................................................................. 13
n. Transcript Backlog ..................................................................................................................................... 13
12. ORDER FOR APPELLATE TRANSCRIPTS ................................................................................................ 13
13. REALTIME REPORTING .............................................................................................................................. 14
14. RECORDS MAINTENANCE ......................................................................................................................... 14
a. Filing, Certification, Availability and Storage of Steno Notes and Audio Files ...................................... 14
b. Transcript or Audio Recordings of Arraignments, Pleas and Sentencings ............................................... 15
c. In Case of Emergency “ICE” Document .................................................................................................. 15
15. MANDATORY REPORTS ............................................................................................................................. 15
a. Attendance and Transcript Report (AO40A)............................................................................................ 15
b. Statement of Earnings Report (AO40B)................................................................................................... 16
c. Records to be Maintained by Court Reporters ......................................................................................... 16
d. Penalty for Not Submitting Reports ......................................................................................................... 17
16. INFORMATION TECHNOLOGY (IT) SECURITY ..................................................................................... 17
17. ACCESS TO DATA COMMUNICATIONS NETWORK (DCN) ................................................................. 17
18. APPROVAL OF THE COURT REPORTER MANAGEMENT PLAN ......................................................... 17
APPENDIX A CERTIFICATION OF COURT REPORTER ....................................................................................... 18
APPENDIX B CERTIFICATION OF COURT REPORTER UPON SEPARATION ................................................... 19
APPENDIX C ELECTRONIC STORAGE OF NOTES & AUDIO FILES ................................................................... 20
APPENDIX D CONSOLIDATED IT SECURITY POLICY ADDENDUM FOR COURT REPORTERS................... 21
Executive Summary ................................................................................................................................................. 22
1. Overview. ........................................................................................................................................................ 23
2. Applicability. ................................................................................................................................................... 23
3. Definitions. ...................................................................................................................................................... 24
4. IT Security Training ........................................................................................................................................ 24
5. Securing Judiciary Data. .................................................................................................................................. 24
6. Unauthorized Disclosure or Compromised Judiciary Data. ............................................................................. 27
7. Sanitization of Devices. ................................................................................................................................... 27
3 EDVA Court Reporter Management Plan Revised March 2022
1. PURPOSE OF PLAN
The purpose of the Court Reporter Management Plan of the United States District Court for
the Eastern District of Virginia is to provide information related to the day-to-day
management of court reporting within the Court.
For more detailed guidelines and procedures relating to every aspect of court reporting in
the federal judiciary, see the Court Reporters' Manual, which can be found in Volume 6 of
the Guide (Guide) to Judiciary Policies and Procedures, 28 U.S.C. § 753, and the Federal
Rules of Appellate Procedure, specifically Rules 10 and 11(a) and (b).
The Court adopts the following Court Reporter Management Plan (Plan), subject to the
approval of the Judicial Council for the Fourth Circuit Court of Appeals, and subject to
the rules and regulations of the Judicial Conference of the United States (Judicial
Conference). When approved, the plan supersedes the former Court Reporter
Management Plan adopted April 12, 2006, in the Eastern District of Virginia.
2. APPLICABILITY OF PLAN
This Plan is applicable to all court reporters (i.e., official, contract, and substitute)
serving in any division of the United States District Court for the Eastern District of
Virginia. The Eastern District of Virginia has four divisions: Norfolk, Alexandria,
Richmond, and Newport News.
3. TYPES OF COURT REPORTERS
Court reporters are categorized according to how they are utilized or employed by
the Court.
a. Official Reporters
Official court reporters, or official reporters, are salaried employees of the
Court, employed en banc, for an indefinite term pursuant to the authority of the
Judicial Conference.
b. Contract Reporters
Contract reporters are reporters that serve the Court on an as-needed basis as
provided under 28 U.S.C. §753(g), and under delegated procurement
authority from the Administrative Office (AO) via daily contracts paid from
contract funds. Contract reporters may be utilized only when all official
reporters are unavailable due to assigned courtroom duties or authorized
leave.
Contract court reporters shall not be paid by the Court when official court reporters
are relieved of their courtroom duties to work on transcript backlogs. Costs
associated with such substitute court reporting services shall be paid by the official
4 EDVA Court Reporter Management Plan Revised March 2022
court reporter so relieved. (See Section 3.c. Substitute Reporters)
Travel of contract reporters within the district shall be limited to those
occasions when no official reporter is available to travel to the location
requiring reporting services. Travel expenses are paid to the extent provided in
the contract.
c. Substitute Reporters
Substitute reporters are employees of official reporters, hired with the approval
of the Court, who must meet the minimum qualification requirements established
by the Judicial Conference. Use should be limited to expedited, daily, or hourly
transcript work. The official reporter is responsible for paying for the substitute
reporter from his or her personal funds. Official reporters are responsible for the
performance of substitute reporters. Guide, Volume 6, Chapter 4, §440.90.
Additionally, the Court may direct an official reporter who is unable to
complete transcripts in a timely fashion to hire and pay for a substitute reporter
to record proceedings while the official reporter works on the backlog of
transcripts.
4. COURT REPORTER ALLOCATIONS
Court reporter resource allocations for the Eastern District of Virginia are based on
computations delineated in Volume 6, Chapter 2, §280.10 of the Guide in relation to the
Court’s number of active district judges and the activity of its senior judges.
5. EMPLOYMENT
a. Appointment of Official Reporters
Official reporters shall be appointed in accordance with the provisions of 28
U.S.C. §753 and Volume 6 of the Guide. Official reporters serve the Court en
banc. To the extent feasible, new official court reporters should be proficient in
realtime reporting or strive to achieve realtime certification.
Upon appointment as an official court reporter, the reporter shall be required by
the human resources representative onboarding them to execute a certification
form (see Appendix A, Certification of Court Reporter) that they have reviewed
the Plan and understand their responsibilities, including:
• retention of all official notes, audio recordings, dictionaries, and software
needed to prepare a transcript of a court proceeding; and,
• preparation and timely filing of all transcripts ordered during employment
or after separation from the Court. A copy of this certification shall be
filed in the official personnel file of said reporter.
5 EDVA Court Reporter Management Plan Revised March 2022
An official reporter shall continue to retain employment at the will of the Court
en banc, regardless of the death, resignation or retirement of an individual judge.
If the volume of work does not justify retention of the full complement of
reporters, a reduction shall be accomplished through relocation, attrition, or by
giving a reasonable notice for termination of the appointment.
Whenever a new Plan is approved, all official court reporters will need to
complete an updated certification form (see Appendix A, Certification of
Court Reporter).
Any official reporter who fails to comply with the provisions of this Plan, a
directive of the chief judge, or his/her designated official, or who does not
perform in a competent and satisfactory manner in connection with his or
her duties shall be subject to disciplinary action up to and including
dismissal.
b. Qualifications of Official Reporters
In order to qualify for appointment, official reporters must meet the
qualifications listed in the Guide Volume 12, Chapter 5, §580.40.30(a). A
Registered Professional Reporter (RPR) certificate from the National Court
Reporter’s Association (NCRA) or evidence of passing an equivalent qualifying
examination must be provided.
Certified realtime reporters are those reporters who have successfully completed
either the Certified Realtime Reporter (CRR) examination offered by the NCRA,
the Federal Certified Realtime Reporter (FCRR) examination offered by the
United States Court Reporters Association (USCRA) or an equivalent
examination that meets or surpasses the established standards for the CRR
certificate. An applicable certificate must be presented as evidence of
completion.
c. Probationary Period
Newly appointed official reporters shall be placed on a 12-month
probationary period. Official reporters who do not perform in a competent
and satisfactory manner shall be subject to dismissal. A court reporter
dismissed during the 12-month probationary period does not have the right
to appeal termination.
d. Hours of Employment
Official reporters are to report to court for duty during their assigned work hours
when the Court and the clerk's office in each division are open, normally from
8:30 a.m. to 5:00 p.m., Monday through Friday, except for legal holidays, and
when needed before and after usual work hours, including weekends, as directed
by the Court and/or the clerk of court. In coordination with their respective
6 EDVA Court Reporter Management Plan Revised March 2022
operations managers, official reporters are placed on a regular tour of duty and
schedule consisting of 80 hours per pay period for full-time reporters or a
reduced designated number of hours for part-time reporters. Official reporters
shall adhere to the employee manual’s time and attendance policies, including
related provisions for lunch breaks between the hours of 11:00 a.m. and 3:00
p.m.
Unless on approved leave, an official reporter must remain available at his or her
duty station or travel location, or remote site approved by the reporter’s assigned
judge(s) or operations manager, for the entire duration of their tour of duty or
within designated work hours. Court reporters may, during their assigned tour of
duty, prepare official transcripts as required by 28 U.S.C. §753(b) or by rule or
order of the Court, including transcripts for which they are entitled to collect a fee
from a party. Leave and telework time requests must be entered and approved
prior to taking the leave or teleworking. (See EDVA Telework policy.)
e. Leave
All official reporters earn leave in accordance with the Annual and Sick Leave
Act of 1951, 5 U.S.C., Chapter 63. Official reporters must use the appropriate
type of leave for any paid absence from work and are required to submit
applicable approved leave requests within the same pay period the leave is
taken.
Leave records for official court reporters shall be maintained by the human
resources department for the district in the same manner as those for other
clerk’s office employees.
1) Annual Leave Policy
All requests for annual leave for official court reporters shall be initially
coordinated with and approved by their respective judge(s). Prior to
entering the request into the Court’s leave system for final approval, the
operations manager or his or her designee will be consulted for coverage
purposes and the need for any required adjustments.
2) Sick Leave Policy
In accordance with the Guide, Volume 12, Chapter 9, § 920.75, use of
sick leave shall be strictly limited to personal illness or medical-related
appointments, adoption-related purposes, general family care and
bereavement, and to provide care to a family member with a serious
health condition. Official court reporters are also eligible to use sick
leave under the Family and Medical Leave Act (FMLA) and the Family
Friendly Leave Act (FFLA).
The operations manager will enter approved requests into the Court’s
7 EDVA Court Reporter Management Plan Revised March 2022
leave system. In accordance with applicable Guide provisions, it is
within the discretion of the operations manager or his or her designee to
request a medical certificate from an employee, including official court
reporters, when sick leave has been requested and/or used before
approval. In no event shall sick leave be used or authorized with the
specific intent to work on a transcript backlog.
6. RETIRED OR SEPARATED OFFICIAL REPORTERS
Whenever an official reporter is separated (resigns, retires, or is dismissed), he or she
will be required to meet with the operations manager and/or human resources to execute
a certification (Appendix B) regarding his or her responsibilities for:
• the preparation of all transcripts which are currently ordered but not yet filed;
• the preparation of transcripts which may be ordered after separation of
proceedings recorded during the period of employment; and,
• the requirement to provide information on any address and telephone
number changes.
7. SUPERVISION
The chief judge has assigned court reporter supervisor duties to the operations manager
of each office whose responsibilities are to effectively manage the court reporters
assigned to their division through proper supervision and procedural systems, including
but not limited to:
a. Working in conjunction with the official reporters for the purpose of fairly and
efficiently distributing the Court’s overall workload while minimizing travel and
assuring the overall lowest cost to the Court.
b. Periodically monitoring requests to ensure that transcripts are prepared,
delivered, and filed in a timely manner in full compliance with format
requirements of the Judicial Conference and the Guide.
c. Periodically reviewing transcript invoices to ensure proper transcript rates are
being charged.
d. Reviewing the records of official reporters to ensure the timely filing of all reports
required by the AO and the Judicial Conference, namely AO Forms 40A
(Attendance and Transcripts of the United States Court Reporters) and 40B
(Statement of Earnings of the United States Court Reporters).
e. Ensuring compliance by all court reporters with the provisions of 28 U.S.C.
§753(b).
f. Serving as liaison to the Fourth Circuit Court of Appeals regarding matters
pertinent to court reporters and transcript production.
8 EDVA Court Reporter Management Plan Revised March 2022
g. Providing the clerk of court with necessary information related to the duties
set forth above, the service status of designated official reporters, and the
scheduling of contract court reporters as needed.
h. Performing such other duties relating to court reporting as directed by the Court.
8. ASSIGNMENT OF COURT REPORTERS
In accordance with the Guide, an official reporter serves the Court en banc; however,
because of the district’s geographical considerations, official court reporters are assigned
by the chief judge to active and/or senior district judges as primary assignments.
To the extent practicable in line with required coverage needs, each official reporter should
work an equal number of hours in court. If a disparity in an official reporter’s workload
exists, upon approval of the chief judge and/or their assigned judge(s), an official reporter
may be reassigned for a specific period. Time spent on transcript production will generally
not be considered by the operations manager when assigning individual reporters.
Out-of-district travel by official reporters for work-related reasons must be approved by
the clerk of court.
9. RESTRICTION ON PRIVATE REPORTING ACTIVITIES
Official reporters are not permitted to perform any private reporting work of any kind
during their regular tour of duty, including depositions and reporting for grand juries, or
utilize the facilities of the Court to perform any private work. The regular tour of duty
extends to time off from duty in a pay status (i.e., annual leave).
Official reporters may perform private reporting work on personal time (nights and
weekends) as long as there is no conflict with official duties or in violation of the Code of
Conduct for Judicial Employees. Such private reporting work must be approved in
advance by their assigned judge(s) or the chief judge. Guide, Volume 6, Chapter 2,
§240.20; Guide, Volume 2, Part A, Chapter 3, Canon 4.
10. REPORTER SERVICES TO UNITED STATES MAGISTRATE JUDGES
As a general rule, For The Record (FTR) electronic sound recording equipment operated
by a deputy clerk will be used to record routine proceedings before a United States
Magistrate Judge. If a magistrate judge determines that the record should be taken by a
court reporter, an official court reporter (if available) or contract reporter will be
assigned by the operations manager or his or her designee. Guide, Volume 6, Chapter 4,
§410.
11. TRANSCRIPTS
The Guide, Volume 6, Chapter 5, governs the preparation, billing, and delivery of
transcripts. Each operations manager shall monitor the timely completion of applicable
transcripts and notify the clerk of court promptly of any potential problems.
9 EDVA Court Reporter Management Plan Revised March 2022
a. Transcript Orders
Requests for non-appellate transcripts must be ordered on AO Form 435,Transcript
Order or a comparable form including the same information. Requests for appellate
transcripts must be ordered on the U.S. Court of Appeals for the Fourth Circuit -
Transcript Order Form. Transcript requests by a Criminal Justice Act (CJA) panel
attorney must be ordered through the Court’s eVoucher system.
Unless otherwise directed by the Court, court reporters will prepare non-appellate
transcripts in chronological order by the date requested, with criminal transcripts
generally taking precedence over civil transcripts. The length and complexity of
each case will be taken into account so as not to deny the court reporter
reasonable time necessary for effective preparation. Expedited orders can be
prepared at the court reporter’s discretion if not in conflict with appellate orders.
b. Format Compliance
All court reporters shall comply with the Judicial Conference transcript format
requirements in the Guide, Volume 6, Chapter 5.
c. Filing of Original Transcripts
Official reporters shall electronically file in CM/ECF all official certified
transcripts of official proceedings within three days of delivery to the ordering
party. Contract reporters shall deliver the certified transcript in portable
document format (PDF) to the clerk of court or designated official within three
days of delivery to the ordering party.
Transcripts filed in CM/ECF will be available at the clerk’s office for inspection
only for a period of 90 days after filing. During the 90-day period, a copy of the
transcript may only be requested from the court reporter and must be requested on
AO Form 435 or comparable form. Fees charged for copies will be at the rate
established by the Judicial Conference, as adopted by the Court. After the 90-day
period has ended, the transcript will be available for copying in the clerk’s office
and for download through PACER at a rate published on the Miscellaneous Fee
Schedule.
If a redacted transcript is filed with the Court, the redacted transcript will be
electronically available through PACER after 90 days from the date of filing of
the original transcript and the original transcript will no longer be publicly
available.
d. Criminal Justice Act Proceedings
Transcript requests by a CJA panel attorney must be requested on a CJA 24 form
through the Court’s eVoucher system. The CJA 24 form must be signed by the
10 EDVA Court Reporter Management Plan Revised March 2022
presiding judge prior to the production of the transcript.
In multi-defendant cases involving CJA defendants, no more than one transcript
should be purchased from the reporter or transcriber on behalf of CJA defendants.
The attorney for the CJA defendant who places the first transcript order will pay
the original page rate and will be notified to provide the electronic version to co-
counsel. However, if a paper transcript is needed by any other appointed CJA
counsel, the court reporter may prepare a copy at commercially competitive rates.
A CJA 24 form must be submitted through the Court’s eVoucher system as the
cost of duplication will be charged to the CJA fund. Guide, Volume 6, Chapter 5,
§550.40.30.
In accordance with Guide, Volume 7, Part A, §320.30.20, the routine
apportionment of accelerated transcript costs among parties in CJA cases is
prohibited.
e. Fee Schedule
1) Fees
No court reporter shall charge fees for transcripts that exceed the
authorized fee schedule of the Judicial Conference, as adopted by the
Court. A copy of the fee schedule showing transcript rates is
available from the clerk’s office in each division and on the Court’s
website. Each court reporter is responsible for making financial
arrangements with the party as soon as practicable.
2) Transcripts Requested by a Judge
As set forth in 28 U.S.C §753(f), official reporters must provide certified
transcripts without charge to a requesting judge. Official reporters may
charge only copy fees for transcripts provided to parties when the original
transcript was produced at the request of a judge.
An official reporter may charge for preparing a transcript that is required
by the district judge of oral hearings held before a magistrate judge on
motions for summary judgment, with a report and recommendation to be
provided. Guide, Volume 6, Chapter 5, §530.75(b)(4).
Contract reporters may charge a fee for producing transcripts ordered by a
judge of this Court.
3) Electronic Sound Recordings
Official reporters may produce transcripts from audio recordings of court
proceedings which the reporter did not attend. The official reporter is
considered a transcriber and may be paid no more than as set out in the
authorized fee schedule of the Judicial Conference, as adopted by the
Court.
11 EDVA Court Reporter Management Plan Revised March 2022
f. Timely Filing of Transcripts
It is the expectation of the Court that all transcripts are to be produced and filed in
a timely manner. Transcript delivery dates are computed from:
• the date upon which satisfactory financial arrangements are made with
private counsel via email; or,
• when the ordering party is the United States, the date upon which the
transcript order is received by the court reporter via email; or,
• when the ordering party is CJA counsel, the date upon which the CJA 24
form is received by the court reporter via email; or,
• when ordered by a judge, the date upon which the Court order is provided
to the court reporter.
g. Billing
All transcript orders shall be billed in writing by the official reporters, using an
AO Form 44 Billing Invoice or comparable invoice including the same
information. A copy of each invoice shall be retained by the court reporter and
provided to the operations manager upon request.
h. Deposits
Reporters may request from the ordering party a deposit for a transcript based on
the estimated number of pages. If the deposit exceeds the actual cost, the reporter
shall reimburse the difference when the transcript is delivered to the ordering
party.
i. Overcharging
Reporters found to be overcharging by violating the prescribed page, line, pitch-
size formats, or by using any other non-conforming format, or by violating the
time limit for delivery on a particular transcript category shall be required to make
immediate restitution to the ordering party and may be subject to disciplinary
action.
j. Fee Reduction
1) Appellate Transcripts
For appellate transcripts that are not timely filed, the Fourth Circuit Court
of Appeals may impose the mandatory fee reduction in accordance with
Rule 11(b) of the Federal Rules of Appellate Procedure. Such reduction
of fees shall be credited to the ordering party by the reporter.
12 EDVA Court Reporter Management Plan Revised March 2022
2) Non-Appellate Transcripts
A court reporter may not charge a higher fee than the one that corresponds
to the delivery category achieved. For ordinary (30-day) non-appellate
transcripts not timely filed, the Court may impose a fee reduction of 10%
of the prescribed fee, unless an extension of time for the delivery of
transcript has been granted by the presiding judge. The extension of time,
if granted, will not exceed fifteen days, unless extraordinary circumstances
exist as determined by the presiding judge.
k. Cancellation of Transcript Orders
A reporter shall immediately stop producing transcripts if advised of a
cancellation. Any deposit received shall be refunded, excluding pages produced
prior to the cancellation notice.
l. Expedited Transcripts
Official court reporters shall not expedite the preparation of any transcripts,
unless ordered by the district court judge, that would delay the preparation of
appellate orders.
m. Production of Daily and Hourly Transcripts
Production of daily and hourly transcripts are not to be subsidized by the Court.
If additional reporters are required to provide such transcripts, the cost of such
reporters shall be paid for by the official reporter. This provision does not,
however, prohibit other official reporters from assisting in producing such
transcripts if there are no other official proceedings to record and no substantial
transcript backlog will result.
n. Transcript Backlog
Official court reporters are required to note transcript backlogs on their quarterly
AO 40A Report Attendance and Transcripts of United States Court Reporters. At
the direction of the judge to whom the official court reporter is assigned, operation
managers are authorized to take measures necessary to reduce or eliminate
transcript backlogs or production delays. Such measures may include, but are not
limited to, the following: (1) reassigning or rotating the official court reporter on a
temporary basis; (2) requiring the official court reporter to hire and pay a substitute
court reporter; and (3) initiating progressive discipline, if necessary.
12. ORDER FOR APPELLATE TRANSCRIPTS
All transcripts of official proceedings produced for the purpose of appeal to the Fourth
Circuit Court of Appeals shall be promptly delivered to the ordering party and filed with
13 EDVA Court Reporter Management Plan Revised March 2022
the clerk of this Court in conjunction with Local Rules 10 and 11 of the Fourth Circuit
Court of Appeals. Each operations manager may periodically monitor fees and delivery
times.
13. REALTIME REPORTING
Court reporters who have successfully completed the Certified Realtime Reporter
examination offered by the National Court Reporters Association (NCRA), the United
States Court Reporters Association (USCRA), or who have passed an equivalent
qualifying examination are recognized as Certified Realtime Reporters (realtime
reporter). Only realtime reporters are permitted, but not required, to sell realtime
translation at rates approved by the Judicial Conference.
All parties requesting realtime services will be responsible for providing their own
personal computers, viewer/annotation software, and monitors. The realtime reporter
will provide wiring necessary for his or her equipment. Official reporters are required to
provide realtime services when requested by a judge of this Court. Realtime services
may only be distributed to ordering parties of a case and will not be made available to the
public unless authorized by the presiding judge.
The transcript format guidelines prescribed by the Judicial Conference apply to realtime
translation with the following exceptions: realtime translation must be clearly marked as
such with a header, footer or watermark on each page as “Realtime Unedited Transcript
Only;” realtime translation should not include an appearance page, index or a
certification; and if applicable, the electronic media label should be a different color than
used on certified transcripts and should be marked with the words “Realtime Unedited
Transcript Only.”
Realtime reporters should request that parties acknowledge receipt of a realtime
translation by signing a disclaimer which explicitly states that the ordering party is aware
that the realtime translation is not an official court record of the court proceedings.
Preferred disclaimer format and language should be similar to that provided in Guide,
Volume 6, Chapter 3, §320.50.50.
14. RECORDS MAINTENANCE
The work of all court reporters should be legible so that the notes of any court reporter can
be read by another reporter, if necessary.
The filing and storing of all notes and audio recordings shall be in accordance with the
procedures noted within the Electronic Storage of Notes and Audio Files (Appendix C).
The stenograph/shorthand notes prepared by court reporters and all required electronic
recordings shall be retained by the clerk’s office in accordance with 28 U.S.C. § 753(b) and
shall be maintained in accordance with the Guide, Volume 10, Appendix 6b: Records
Disposition Schedule 2.
a. Filing, Certification, Availability and Storage of Steno Notes and Audio Files
14 EDVA Court Reporter Management Plan Revised March 2022
All steno notes and audio files shall be uploaded to the court’s designated
server by the 10th of every month for the preceding month.
An audio file can be removed once a transcript is produced in accordance
with Judicial Conference policy.
Each reporter’s dictionary shall be uploaded annually at the time of the
filing of the annual report.
Only reporters and the operations manager shall have access to the
uploaded files.
Contract reporters must submit their steno notes and audio files to the applicable
operations manager or his or her designee via upload to a secure, encrypted USB
drive provided by the Court. The operations manager or his or her designee will
promptly upload the provided files on the secure drive to the designated court
server.
b. Transcript or Audio Recordings of Arraignments, Pleas and Sentencings
Pursuant to the provisions of 28 U.S.C §753(b), court reporters must
stenographically record verbatim and certify such parts of the record of
proceedings as may be required by any rule or order of the Court, including all
arraignments, pleas, and proceedings in connection with the imposition of
sentences in criminal cases unless they have been recorded by electronic sound
recording and such recording has been certified and maintained in the office of
the clerk of court.
c. In Case of Emergency “ICE” Document
With the expectation that transcript production may be needed in emergency
situations, each court reporter is encouraged to maintain an ICE document available
for use in accordance with his/her division's established format.
15. MANDATORY REPORTS
a. Attendance and Transcript Report (AO40A)
Each quarter, all official reporters must prepare and file through the Automated
Court Reporter Application (ACRA) the report of Attendance and Transcripts of
United States Court Reporters (AO40A), which shall be reviewed and signed by
the applicable operations manager. The form must be submitted to the operations
manager within fifteen days after the end of the quarter so that it can be provided
to the AO by the required 20 day deadline.
As part of the verification process, the official reporter must submit conforming
copies of the AO38 Attendance Ledger and the AO39 Transcript Order and
15 EDVA Court Reporter Management Plan Revised March 2022
Collections Ledger to the operations manager.
When reviewing the AO40A, the operations manager must:
• Ascertain that the reporter has completed the form as required;
• Ascertain accuracy and completeness;
• Compare the entries pertaining to attendance to the AO38; and,
• Compare entries pertaining to transcripts to the AO39.
b. Statement of Earnings Report (AO40B)
Each official reporter shall prepare and file through ACRA the annual Statement
of Earnings of the United States Court Reporters (AO40B), which shall be
reviewed and signed by the applicable operations manager. A report shall be
required of all present and former official reporters, who were employed by the
Court during the preceding year, without regard to length of service, including
full or part-time employees and those hired on a limited time basis. A report is
not required of contract reporters. The report shall be submitted to the operations
manager no later than April 15th of each year.
As part of the verification process, the official reporter must submit conforming
copies of the AO37 Expense Ledger, the AO38 Attendance Ledger, and the
AO39 Transcript Order and Collections Ledger and must state that they have
maintained receipts for any expense listed to the operations manager.
When reviewing the AO40B, the operations manager must:
• Ascertain that the reporter has completed the form as required;
• Ascertain accuracy and completeness;
• Compare the entries pertaining to official transcripts to the AO37 and
against allowable expenses;
• Compare entries pertaining to gross income for official transcripts to the
AO39; and,
• If necessary, verify that the court reporter has a receipt for each expense
listed.
c. Records to be Maintained by Court Reporters
In order to permit the routine audit and inspection of records, official reporters
shall maintain accurate, legible and up-to-date records of their expenses,
attendance in court, transcript orders, and invoices. Such records shall be
maintained on forms that conform to those prescribed by the Judicial Conference
which include, but are not limited to, the following:
• AO37 – Expense Ledger
• AO38 – Attendance Ledger
• AO39 – Transcript Order and Collections Ledger
16 EDVA Court Reporter Management Plan Revised March 2022
• AO44 – Invoice
d. Penalty for Not Submitting Reports
Failing to file an AO40A or AO40B may result in the withholding of the official
reporter’s salary until such time that the report is filed. Guide, Volume 6,
Chapter 2, §290.40.80.
16. INFORMATION TECHNOLOGY (IT) SECURITY
IT security requirements for court reporters are maintained in an addendum (Appendix D)
to the Consolidated Information Technology Security Policy. Review and adherence to the
provisions of the addendum is required of all court reporters.
17. ACCESS TO DATA COMMUNICATIONS NETWORK (DCN)
Official reporters shall be provided the necessary hardware (one computer and
peripherals) in order to access the DCN for official use. Official use includes access to
judiciary electronic mail, the J-Net, JENIE, HRMIS, Case Management/Electronic Case
Filing system (CM/ECF), calendaring systems, the automated travel voucher system, and
automated forms. Official reporters are strictly prohibited from using any government-
owned computer hardware or any automated systems access through the DCN to generate
transcript income. Substitute and contract court reporters are prohibited from having
access to the DCN.
18. APPROVAL OF THE COURT REPORTER MANAGEMENT PLAN
The Court adopts this Court Reporter Management Plan (Plan), subject to the approval
of the Judicial Council for the Fourth Circuit Court of Appeals, and subject to the rules
and regulations of the Judicial Conference of the United States (Judicial Conference).
When approved, the plan supersedes the former Court Reporter Management Plan
adopted April 12, 2006, in the Eastern District of Virginia. Updates to Plan
Appendices are authorized as needed as long as changes do not conflict with approved
Plan provisions.
This Court Reporter Management Plan for the Eastern District of Virginia, having been
adopted by the District Judges of the U.S. District Court for the Eastern District of Virginia
on March 1, 2022, and approved by the Judicial Council of the U.S. Court of Appeals for the
Fourth Circuit on March 8, 2022, is effective as of March 8, 2022.
___________________________________
/s/
Mark S. Davis, Chief Judge
Eastern District of Virginia
17 EDVA Court Reporter Management Plan Revised March 2022
APPENDIX A
CERTIFICATION OF COURT REPORTER
(v.3 11/2021)
EMPLOYEE NAME: DATE OF HIRING:
ADDRESS: TELEPHONE NO:
The following certification is made to the clerk of court:
I understand that I have been hired to serve the judges of the United States District Court, Eastern
District of Virginia, en banc, although I may have a primary assignment to one or more judges;
I have read and understand the provisions of the Eastern District of Virginia’s most recently approved Court
Reporter Management Plan;
If newly hired, I understand that I will serve a probationary period of 12 months from the first day of
my employment with the Court;
I will be responsible for preparing or having prepared, in a timely manner, any transcript of proceeding
in which I was the reporter during my employment with the Court and after my separation;
All of my stenographic/shorthand notes will be properly maintained, and uploaded to the designated
server in accordance with the Court Reporter Management Plan;
All of my required audio files will be properly named and uploaded to the designated server in
accordance with the Court Reporter Management Plan;
I will upload to the designated server each year at the time of the filing of the annual report a copy of my main
dictionary for the previous calendar year;
I will immediately inform the operations manager and the human resource department of any change in my
address or telephone numbers in order to facilitate the preparation of transcripts;
I will read and adhere to the court reporter addendum of the Court’s Consolidated Information Technology
Security Policy;
I will uphold the confidentiality of all matters at all times;
I have read and will adhere to all statutory requirements of 28 U.S.C. §753 and the standards of the Code of
Conduct for Judicial Employees; and,
I have read and will adhere to all the administrative practices defined in the Guide to Judiciary Policy,
Volume 6.
Date Court Reporter's Signature
Date Operations Manager’s Signature
18 EDVA Court Reporter Management Plan Revised March 2022
APPENDIX B
(v.1 03/2021)
CERTIFICATION OF COURT REPORTER UPON SEPARATION
Name: Date of Separation:
Address:
Telephone Number:
E-mail Address:
The following certification is made to the clerk of court upon my separation:
1. All my stenographic notes and audio files have been submitted to the clerk of court as
well as a copy of my computer-generated note file and a copy of my personal dictionary.
The software program required is:
.
2. I am responsible for preparing any transcripts currently ordered, but not yet filed and any
transcripts ordered after my separation.
3. I will immediately inform the clerk of court of any change in my address or telephone
number in order to facilitate the preparation of transcripts.
Court Reporter’s Signature Date
Operations Manager’s Signature Date
19 EDVA Court Reporter Management Plan Revised March 2022
APPENDIX C
(v.3 02/2022)
ELECTRONIC STORAGE OF NOTES & AUDIO FILES
The following procedures encompass storage of steno notes and applicable criminal case audio
files. In accordance with 28 U.S.C. § 753(b), also known as the Court Reporter Act, court
reporters are required to file with the clerk of court either a transcript or an electronic sound
recording of all arraignments, pleas, and proceedings in connection with the imposition of a
sentence in criminal cases. Additionally, federal court reporters are required to certify their
original shorthand notes and file them with the clerk’s office.
Today's technology allows for the use of paperless stenograph machines and the creation of
electronic audio files. To ensure the files are accessible to the Court, standards relative to the file
format, naming convention and preferred media are outlined below:
• Audio files must be saved in a computer compatible file format.
• When saving files, court reporters shall rely on the file format that is used by the court
reporter’s software.
• Official court reporters shall place on a designated court server both their steno notes and
audio files for the preceding month by the 10th of every month.
• An audio file can be removed once a transcript is produced in accordance with Judicial
Conference policy.
• Each reporter’s dictionary shall be uploaded annually at the time of the filing of the annual
report.
• Only reporters and the operations manager shall have access to the uploaded files.
• Contract reporters must submit their steno notes and audio files to the applicable operations
manager or his or her designee via upload to a secure, encrypted USB drive provided by the
Court. The operations manager or his or her designee will promptly upload the provided files
on the secure drive to the designated court server.
• The steno notes and audio files will be stored on a designated court server. It should be noted
that this storage method is for purposes of complying with the Court Reporter Act and is not
meant to replace any archival system that reporters use.
20 EDVA Court Reporter Management Plan Revised March 2022
APPENDIX D
(v.2 02/2022)
UNITED STATES DISTRICT COURT &
UNITED STATES PROBATION OFFICE
EASTERN DISTRICT OF VIRGINIA
CONSOLIDATED INFORMATION TECHNOLOGY SECURITY
POLICY ADDENDUM FOR COURT REPORTERS
(February 2022)
Version 2.0
21 EDVA Court Reporter Management Plan Revised March 2022
UNITED STATES DISTRICT COURT &
UNITED STATES PROBATION OFFICE
EASTERN DISTRICT OF VIRGINIA
EXECUTIVE SUMMARY
This policy addendum is added to the Districts Court Reporter plan in response to the memorandum
regarding IT Security for Court Reporters (published July 2019) by the Administrative Office of the
United States Courts. The memo requires that at a minimum, Court Reporters for the Eastern District of
Virginia will:
• Acknowledge and agree to the minimum standards set forth in this policy.
• Complete initial and annual IT security training.
• Maintain positive control over IT assets that process or transport Judiciary information.
• Install, or enable, minimum anti-malware protections including anti-virus and firewall.
• Install, or update, operating systems and patches to the most current versions.
• Ensure third-party application patches and firmware updates are installed/configured.
• Install, or enable, full-disk encryption on all IT assets processing or storing court data.
• Adhere, at a minimum, to the judicial password requirement policy.
• Sealed materials may only be accessed and worked on while in a secure judiciary facility.
• Notify Consolidated IT Department and the court immediately upon suspicion of data
compromise (including any potential or actual unauthorized disclosure, loss, or theft).
• Adhere to sanitization guidelines upon notification by court unit executives, judges, or Director
of IT.
• (Recommended) Configure event logging for all security, file management, and user account
events that are essential in auditing access to protected IT equipment or judiciary data.
The District Court IT staff and Court Reporters acknowledge the complexity of meeting these requirements
due to the personally owned business equipment that the Court Reporters are required to purchase and
the separation that is maintained regarding IT staff assistance with that equipment.
IT staff will provide assistance with knowledge gaps and provide a “best effort” service by providing “over
the shoulder” assistance to the Court Reporters to ensure that these IT security requirements are met. IT
staff in no way will maintain control over or access a Court Reporters personally owned equipment.
22 EDVA Court Reporter Management Plan Revised March 2022
1. Overview.
2. Applicability.
2.1. Scope. This policy addendum is applicable to such users filling role(s) as Court
Reporters and all related IT equipment processing court data.
2.2. Roles and Responsibilities.
2.2.1. Pre-established roles and responsibilities. This policy addendum adheres to roles
and responsibilities as outlined in the United States District Court & United States
Probation Office, Eastern District of Virginia (EDVA), Consolidated IT Security
Policy.
2.2.2. Court Reporters.
2.2.2.1. Review and acknowledge this policy addendum.
2.2.2.2. Apply minimum standards contained in this policy addendum to reporter-
furnished IT equipment within 30 days of acknowledgement.
2.2.2.3. Suggest updates to this policy addendum, as necessary.
2.2.3. Consolidated IT Department Helpdesk.
2.2.3.1. Provide guidance, or direct IT support, if necessary, to enable Court
Reporters’ compliance with standards outlined in this policy addendum.
2.2.3.2. Suggest updates to this policy addendum, as necessary.
2.2.4. Consolidated IT Department IT Security Officer.
2.2.4.1. Review and recommend updates, if necessary, to this policy addendum
annually, at minimum.
2.2.4.2. Review incident reports and respond in accordance with threat-level and
established incident response procedures outlined in the parent IT Security
Policy.
2.2.4.3. Establish process for auditing policy addendum compliance and conduct
audit at least annually.
23 EDVA Court Reporter Management Plan Revised March 2022
3. Definitions.
3.1. IT Systems Users (Users). As defined in the Eastern District of Virginia Consolidated
Information Technology Policy.
3.2. Court Reporter. Any individual acting as a combined-position reporter, contract reporter,
non-tour of duty court reporter, official staff reporter, substitute reporter, or temporary
reporter in any capacity outlined by the Court Reporters Act (28 U.S.C. § 753) whereby
IT equipment is used to process or store original or copied judiciary information/data.
3.3. IT Equipment. Any electronic device used for data processing or storage.
3.4. Physical Security. Methods used to protect devices from unauthorized handling, and
facilities or spaces from unauthorized occupancy, that could result in loss or damage.
3.5. Logical Security. Software applications, tools, or features used protect systems
containing judiciary information/data from unauthorized access or events.
3.6. Sensitive Information/Data. Data that, if compromised, poses a potential threat to
judiciary operations or resources, including facilities, equipment, or personnel.
3.7. Compromised Judiciary Information/Data. Any information contained on IT equipment
that has been, or is suspected to be, revealed to unauthorized individuals, either
intentionally or unintentionally.
3.8. Security Incident. Any real or suspected event that compromised the confidentiality,
integrity, or availability of information/data, computer systems, or networks.
4. IT Security Training
Consistent with the Guide to Judiciary Policy and Local IT Security Policy, all
employees, including court reporters, will complete initial and annual IT security
training. Required training is accomplished through review and acknowledgement of the
Consolidated IT Security Policy and completion of a computer-based training course.
Employees will receive an invitation email with instructions explaining how to enroll and
complete the training.
5. Securing Judiciary Data.
5.1. Physical Security.
5.1.1. Sealed Documents. Sealed documents should only be accessed and worked on
while in secure judiciary facilities.
5.1.2. Judiciary facilities. Always maintain physical control of IT equipment to prevent
unauthorized disclosure of data or theft of property. Do not leave equipment
24 EDVA Court Reporter Management Plan Revised March 2022
unattended in public areas. Lock computer screen when IT equipment is not
within line-of-sight.
5.1.3. Personal residential areas. Ensure IT equipment is locked and powered down
when not in use to effectively enable hard disk encryption. Be aware of
surroundings and who is near IT equipment when judiciary information is being
processed. Take appropriate measures to prevent accidental unauthorized
disclosure.
5.1.4. Vehicle or public areas (hotels, libraries, food establishments, etc.). IT equipment
should not be left in vehicles. If leaving IT equipment in vehicles is necessary,
ensure it is powered down and not visible from outside the vehicle.
5.2. Logical Security.
5.2.1. Anti-malware and system updates.
5.2.1.1. Operating system updates and patches. Court Reporters will ensure a
supported version of operating systems (Windows, iOS, Linux,
Android, etc.) and vendor-recommended security patches are installed.
5.2.1.2. Virus protection. Native virus protection (i.e., Windows Defender Security
Center) will be enabled, at a minimum, by Court Reporters on computers
and mobile computing devices. If third-party security applications or
hardware are required (e.g., iOS computers do not come equipped with
native/built-in anti-virus applications) Court Reporters will install a
commercial anti-virus application.
5.2.1.3. Firewalls. Native firewall protection (i.e., Windows Defender Security
Center or residential router/switch combination devices firewall) will be
enabled, at a minimum, by Court Reporters on computers, mobile
computing devices, if capable, and/or between computers and mobile
computing devices and external internet connections (i.e., residential
routers for home-use).
5.2.1.4. Application vulnerability review, vendor updates and security patches. All
third-party applications purchased and installed on computing devices will
be listed and reported to the IT Security Officer for vulnerability research
and mitigation. Applications include, but are not limited to, Adobe
Shockwave Flash, Oracle, dictation software, audio capture software, etc.
This process may be automated for improved efficiency (i.e., using Belarc
Advisor application found at
https://www.belarc.com/AdvisorDownloadEmail).
5.2.1.5. Firmware updates. All IT hardware will be equipped with the latest
firmware to assist with vulnerability mitigation.
25 EDVA Court Reporter Management Plan Revised March 2022
5.2.2. Password policy. Password policy will, at minimum, adhere to established
guidelines within the IT Security Policy. Recommended passwords should be
complex and of sufficient length to preclude guessing or other means of
compromise.
5.2.3. Data encryption. Apply full-disc hardware encryption on all data storage devices
using native or third-party applications. IT to assist with the selection and
installation of native or third-party full-disc hardware encryption on all court
reporter-owned data storage devices. IT to provide, whenever available and/or
possible, court reporters with data encrypted thumb drives for IT-related
information transfer.
5.2.3.1. Computers. Windows computers may be encrypted using the native
BitLocker application. For other operating systems (i.e., Linux) or means
of encryption (i.e., VeraCrypt), notify the consolidated IT department
prior to implementing encryption so they may determine suitability.
5.2.3.2. Peripheral devices. Only use external hard drives or other peripheral
devices with full-disc encryption capability. The consolidated IT
department can be contacted for assistance locating approved full-disk
encryption devices and methods.
5.2.4. Log management. Equipment capable of capturing events will be configured to
locally log and notify users of potential malicious activity. This feature provides a
history of events to be reviewed should a security incident occur. If possible,
configure windows event forwarder, or a third-party forwarder (i.e., Splunk
Universal Forwarder), to send logged events to a judiciary centralized log server.
5.2.4.1. Logon events. Captures what user accounts were logged on as well as
failed logon attempts. Notifies of potential malicious activity and provides
history of events should a security incident occur.
5.2.4.2. Account management. Shows whether local user accounts are created,
modified, or deleted. Essential in monitoring malicious activity where
administrative accounts are created for backdoor access to systems and
files.
5.2.4.3. Directory services access. Records events associated with accessing,
creating, modifying, and deleting directory accounts.
5.2.4.4. Object access. Shows the date and time files are accessed and/or modified
and by what user account.
5.2.4.5. Privilege use. Shows events requiring elevated permissions (administrative
rights).
26 EDVA Court Reporter Management Plan Revised March 2022
6. Unauthorized Disclosure or Compromised Judiciary Data.
Unauthorized disclosure of data can be purposeful or accidental. Reasonable
means of prevention should be employed to protect judiciary data from
disclosure. Types of disclosure may include, but are not limited to, hacking,
accidental emails, or even shoulder surfing. For example, a family member
walking by your computer and witnessing information either on purpose or by
accident, is considered unauthorized disclosure. Any event that is potentially
harmful to judiciary data or may cause it to be disclosed to unauthorized
persons must be identified and reported to the Consolidated IT Department so
analysis and mitigation potential negative repercussions can take place.
Report any suspected or actual unauthorized disclosure of judiciary data
within 24 hours (including non-work days). Send notifications using the
incident response form to the IT Security Officer and the Director of IT. The
form can be found at:
http://vaedsharepoint/vaedit/IT%20Forms/VAE%20Incident%20Response%2
0Reportin g%20Form%20Fillable.pdf. You may also visit the Consolidated IT
Department or contact the Helpdesk via phone.
7. Sanitization of Devices.
7.1. Stolen devices. Despite reasonable means of protection, devices can be stolen
at any time by individuals who have enough determination. As a measure of
protection for this issue, proper reporting and other measures can be taken to
provide additional security.
7.1.1. Reporting. Devices believed to be stolen will be reported within 24
hours (including non-work days). Send notifications using the incident
response form to the IT Security Officer and the Director of IT. The
form can be found at:
http://vaedsharepoint/vaedit/IT%20Forms/VAE%20Incident%20Respon
se%20Re porting%20Form%20Fillable.pdf. You may also visit the
Consolidated IT Department or contact the Helpdesk via phone.
7.1.2. Remote wiping. This feature will allow IT equipment data to be erased
if it is lost or stolen. This is a vital feature to maintain positive control
and security over sensitive information. For assistance enabling and
modifying this feature on Windows, Apple, and Android devices, visit
the Consolidated IT Department or contact the Helpdesk.
7.2. Decommissioned devices. When devices processing judiciary data are no
longer in use, the hard drives should be destroyed to prevent disclosure.
Contact the Consolidated IT Department for means/methods of zeroizing or
destroying hard drives.
27 EDVA Court Reporter Management Plan Revised March 2022
