US · rules

D. Me. Loc. R. 158

Petty Offenses

activein force · 2025-04-01 – presentact-effective-date

(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.

Appendices

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.

(14) PSR means the Presentence Investigation Report prepared and filed by

the Probation Office.

(15) State means the State of Maine.

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

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.

(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.

(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.

(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;

(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;

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.

(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

(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;

(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

(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

(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

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;

(D) On a properly labeled 3.5” floppy disk, CD, or DVD.

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

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.

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.

(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

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.

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.

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).

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 )

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

respondent, the Attorney General, or other appropriate officer and will accept

service of the same.

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.

(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

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).

(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.

(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.

(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).

(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.

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

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

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.

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:

(a) counsel, including necessary employees;

(b) parties, including necessary employees;

(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

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.

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.

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

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).

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

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.

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:

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: